The Export Controls Compliance division of the Office of Research Compliance provides support, guidance and education on export controls regulations.
What are Export Controls?
The U.S. government regulates the shipment or transfer of controlled items such as technology, equipment, components, software, and materials or information that are deemed important in the interest of national security and foreign policy concerns out of the United States. These laws also restrict the release of information to foreign nationals in the U.S. which is also known as a deemed export. Non-compliance with these regulations can result in severe monetary and criminal penalties for both the individual and institution.
The main U.S. government agencies that govern exports are the following:
- Department of Commerce’s Bureau of Industry and Security (BIS) administers the Export Administration Regulations (EAR) that regulate the export and re-export of commercial commodities, technology and items that may have dual-use capabilities.
- The list of EAR-controlled items are specified on the Commerce Control List (CCL)
- S. Department of State’s Directorate of Defense Trade Controls (DDTC) administers the International Traffic in Arms Regulations (ITAR) that regulate export and import of defense related articles and services
- S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) administers and enforces economic and trade sanctions.
In addition, other federal agencies also regulate the export, re-export, or re-transfer of certain items and technologies as well as imports of items and technologies into the U.S.
What Type of Activities May Prompt an Export Control Review?
An export control review is done to ensure that the research being conducted is in compliance with export regulations or determine if there are any restrictions based on certain activities. Activities that may prompt a review may include the following:
- Research in controlled or restricted areas (e.g., defense services, nuclear technology, chemical/biological weapons, and encryption)
- Research involving dual-use technologies (i.e., technologies used for civilian and military applications)
- Research involving collaborations with foreign nationals either at Northwell or overseas including international field work
- Sponsored Research: Sub-contracts awarded to foreign institutions/investigators
- The majority of research at Northwell is protected under the Fundamental Research Exclusion, but is lost if researcher agrees to any publication or dissemination restrictions on research activities
- International research collaborations, presentations or consulting arrangements
- Recruitment: Research employees and Visiting Scholars/Scientists that are non-US citizens need to be screened
- International shipping or transfer: Shipping or transferring research materials including materials, equipment, technology or information outside of the U.S. (depending on the destination, recipient and end use)
- International travel by researchers, faculty or staff depending on the destination, but a further review is required if going to any sanctioned country (e.g., Cuba, Iran, North Korea, Sudan and Syria)
- Note that traveling to sanctioned or embargoed countries with equipment including laptops, iPads, cell phones and other electronics with encryption hardware or software may require further review
- International financial transactions or financial research support involving payments to individuals or organization/institutions outside of the U.S.
The Office of Research Compliance will assist in performing a further review of any of the above activities to determine whether any governmental licenses, technology control plans or other steps are required. It is important for individuals to contact our office as soon as possible as the process to obtain licenses can take several months or more.
Please use the decision tree to determine whether an export license is required for research activities. The material is adapted from the basic design and content of Stanford University’s Decision Tree with their permission. We appreciate Stanford in granting us permission to adapt its content for Northwell’s benefit.
Please contact the ORC for any assistance in completing the decision tree.
Education and Training
An export controls educational course is offered through the CITI Collaborative Institutional Training Initiative (CITI) Program. Courses are required for anyone who is involved in certain export controls activities requiring a license or personnel who are part of a Technology Control Plan (TCP). Training is must be completed prior to initiating any activity.
To access training:
Click the link below to access CITI program and follow the instructions:
How Add the Export Control Course to your CITI Profile:
Under the Main Menu, click Add a Course. Answer all nine questions, check off Export Controls on the last question and press Submit. Export Compliance should be added to your courses.
Who to Contact for Questions:
Angela Pilla, Administrative Program Manager