Stevens Institute of Technology is committed to a research environment that promotes openness, collegiality and collaboration.  To that end, the University observes the tenets in its institutional policy, the “Openness in Research” at  (80.?) and does not generally accept research agreements that limit (or require approval) of publication results or that limit the participation of researchers (including students) on the basis of citizenship.

At the same time, Stevens is committed to complying with all applicable export control laws and regulations that pertain to the conduct and dissemination of research and its products.  Given the wide-ranging nature of export control regulation, it is likely that a researcher will, at some time, receive an award from the federal government (or as the result of a federal flow-through from a for-profit company) that impose access requirements; restrictions on the dissemination or transfer of items and/or information; require review and approval before allowing publication or presentation of any research results; or that restricts the presence of researchers on the basis of citizenship.  These circumstances often denote the presence of United States Export Control Regulations. 

FEDERAL REGULATIONS RELATED TO EXPORT CONTROLS ARE COMPLEX AND UNDER CONSTANT REVISION BY THE GOVERNMENT.  ADD TO THIS, THE FACT THAT AGENCIES DO NOT USE STANDARD VERBIAGE, DEFINE DIFFERENT ITEMS AS BEING CONTROLLED, AND ISSUE CONTRADICTORY REGULATIONS ON THE SAME TOPICS.

United States export controls exist to protect the national security and foreign policy interests of this country. Export controls govern the shipment, transmission, or transfer of certain sensitive items, information or software to foreign persons or entities. Where applicable, they may require authorization from the US Government in the form of an export license. Most of the items, information or software that Stevens ships or shares with its colleagues and research partners is not of a nature that would be restricted for these purposes, nor are they destined for countries or individuals subject to US embargoes or sanctions. However, Stevens recognizes it is required to exercise due diligence, and for this reason a Decision Matrix has been crafted for the purpose of complying with US trade law.

The Decision Matrix will take you through a series of questions designed to determine whether an export control license is needed.  While it will cover a large percentage of the circumstances we encounter during our university research, you will find that some questions require additional information and it is necessary to complete all associated parts of this assessment. 

If one of your responses prompts you to contact SIT’s Empowered Official, you should do that as expeditiously as possible as an export control license is likely to be required and that process may take from 2-4 months.  Please provide the results of this Decision Matrix and all associated assessments to the Empowered Official if you are shipping or carrying materials abroad.  This includes the assessments provided to qualify for an exception or exclusion as this provides confirmation to any auditors that Stevens has exercised its due diligence and engaged in an analysis of the circumstances.

COMMON EXCEPTIONS AND/OR EXEMPTIONS

Some of the most commonly controlled items are laptops, PDAs, cell phones and flash drives.  There are EAR exceptions available for most of these items but it is necessary to engage in the assessment as this is part of the record-keeping requirement levied on the exporter (in this case the university and its employees). 

Exception/Exemption checklists for the most common shipping circumstances of controlled technology are available as shown below:

TECHNOLOGY CONTROL PLAN

If the research involves Export Controlled Information (ECI) and it cannot qualify for an exception or exemption through the ITAR or EAR because of award terms and conditions, or because it does not meet the threshold definition of “basic research” or “educational information” or the “fundamental research exclusion” or information in the “public domain;” then it will be necessary for the Principal Investigator to develop a Technology Control Plan (TCP).  TCPs engage in an assessment of the steps to be taken to secure the controlled technology and are a required element of the governmental record-keeping responsibilities.  TCPs will suffice to protect the controlled technology and obviate the requirement for an export license, until (and unless) the technology is shipped or shared.  TCPs should be developed in concert with the Empowered Official in the Office of Sponsored Research.

• Project Technology Control Plan (TCP) Template

INFORMATION IN THE PUBLIC DOMAIN AND EXEMPT FROM EXPORT CONTROLS

Research might involve Export Controlled Information (ECI); however, if it might qualify as exempt from the requirement for a license or Technology Control Plan if it is information in the “public domain.”  The checklist that follows will engage that assessment and provide substantiation of our institutional analysis. 

• Checklist for Public Doman Exemption

DECISION MATRIX REGARDING THE APPLICABILITY OF EXPORT CONTROLS

• Decision Matrix

Federal Regulations

Export Forms