I. University Employees Responsible for Export Control Compliance
A. Empowered Officials
The current Director of the Office of Trade Compliance is the UECO and will function as the University’s primary Empowered Official for export controls matters. In addition, the SVCR and the Chief Legal Officer (CLO) may also function as Empowered Officials for export controls matters should the UECO be unavailable. The Empowered Officials have the authority to resolve export controls matters within their area of operation and represent the University before the export controls regulators in matters related to registration, licensing, commodity jurisdiction requests, or voluntary disclosures. While certain oversight functions may be delegated further by Empowered Officials to other staff, only the Empowered Officials have the power to sign and bind the University in any proceeding before the Directorate of Defense Trade Controls (DDTC), the Bureau of Industry and Security (BIS), Office of Financial Assets Control (OFAC), or any other government agency with export controls responsibilities. Although Empowered Official is defined only in the ITAR, is it used synonymously in this Export Controls Management Plan (ECMP) to describe University positions that carry high level primary or secondary export controls responsibility.
B. University Export Controls Officer (UECO)
The UECO reports to the SVCR. The UECO has the authority and the responsibility for the implementation of the procedures set forth in the University’s ECMP.
The UECO works closely with the SVCR and other members of the UECC and the OTC staff in performing his or her responsibilities.
- identifies areas at the University relative to research and other business functions that are impacted by export controls regulations;
- conducts on-going risk assessment monitoring;
- develops procedures in collaboration with other University departments and areas to ensure the university complies with export control laws and regulations;
- develops activity and lab specific desk procedures for locations or activities are more prone to export control risks or concerns;
- creates and conducts educational programs for the University community to include, inventors, principal investigators, centers, academic units, and business units relating to export control compliance and University export control procedures;
- monitors and interprets export controls laws and regulations with advice and counsel as necessary from appropriate federal agencies and the OUC;
- opulates and maintains a University export controls website containing all relevant guidance documents, FAQs, and links to federal regulations;
- assists investigators, researchers and offices within the University in determining whether research equipment or results are subject to export controls and assists in drafting Technology Control Plans (TCPs) to properly manage the equipment and/or research activities;
- assesses and determines export controls jurisdiction and classifications for University technology and equipment;
- completes export controls license applications, commodity jurisdiction requests, and commodity classification requests on behalf of the University for items or situations under the jurisdiction of government agencies such as the Department of Commerce, Department of State, Department of Treasury, or Nuclear Regulatory Commission.
C. Office of Trade Compliance (OTC)
The OTC staff will work collaboratively with other University members involved in the export controls process to provide assistance and expertise to the University community. The OTC staff will:
- provide assistance to University central offices including the OR, Purchasing Services, Pitt-IT, and UCIS, in their review of grant proposals, program announcements, contracts and other agreement types for assessment and negotiation of export controls language;
- assist University offices and individuals when performing restricted party screenings;
- evaluate and perform mandatory I-129 deemed export reviews for University sponsored H1B, H1BI, L, and O type visas processed through the OIS;
- conduct export control reviews for schools and departments for non-student and graduate student visitors;
- provide advice and support to University faculty and staff when traveling internationally;
- review and provide advice for University shipments, especially those which are international;
- provide both broad and direct advice on United States sanctions, embargoes, and other government regulations including executive orders which relate to export controls;
- assist faculty when evaluating items or technology for export and deemed export purposes;
- maintain and populate the MyEC electronic recordkeeping system and support other supplementary systems as necessary in order to comply with government export controls recordkeeping requirements;
- create, maintain and conduct export controls training to the University community in collaboration with the UECO
D. Key University Managers
Academic deans, department chairs, and directors share the responsibility of overseeing export controls compliance in their respective schools, departments, centers, or institutes. They will also support the UECO in implementing procedures as deemed necessary by the UECO for export controls compliance in their respective departments, centers, or schools. In addition, the directors of other University offices share the responsibility of overseeing export controls compliance in their offices and supporting the UECO in implementing procedures as deemed necessary by the UECO for export controls compliance, including, but not limited to: Chief Financial Officer areas (Research/Cost Accounting, Purchasing, Accounts Payable, Financial Information Services, and Shipping & Receiving), the OIS, UCIS, Pitt-IT, Human Resources, the Innovation Institute, and EH&S. The export controls staff will work with these offices to establish review procedures to manage export controls risk.
E. Principal Investigator ("PI")
Principal Investigators (PI) possess the detailed knowledge of the type of information and technology involved in a university research project or other university activity. Accordingly, PIs are expected to work collaboratively with the UECO and OTC staff to identify and resolve export controls issues which arise in the course of their university research. Beyond research activities, PIs must be sensitive to possible export controlled activities and exposure of these activities to foreign nationals which can occur in the course of presenting at conferences, and discussing research findings in class with fellow researchers or collaborators.
To meet his or her obligations under the export controls regulations, each PI is encouraged to take export controls training offered by the OTC. University export controls training can also be found online through the CITI training modules and through the OTC website. When export controls issues do arise, PIs are vital in assisting the OTC to correctly evaluate an item or technology for licensing purposes. If government licenses or internal management plans are required for the situation, PIs must assist the OTC in completing and submitting a license application or creating an appropriate internal management plan for the situation.