Export Control Compliance Manual

Faculty and Academic Units with Operational Responsibility for Export Control Compliance

Faculty

Faculty are responsible for maintaining compliance with export control laws, regulations, and policy, including while conducting research and scholarly activities. Key responsibilities for Faculty include:

• Referencing and following the requirements outlined in the Export Control Compliance Review of Purchases SOP for all purchases.
• Reviewing and confirming understanding and awareness of export control restrictions on research projects prior to accepting the sponsored funding.
• Developing and maintaining compliance with Technology Control Plans for export controlled research.
• Ensuring research team members understand and are aware of export control obligations, including briefing research team members on project-specific obligations and/or Technology Control Plans.
• Knowing if their data, materials, or technology may be subject to export control, complying with any applicable Technology Control Plans, and taking appropriate action to obtain licenses when sharing export controlled items through data or material transfers, traveling abroad, or presenting at conferences.
• Working with LTS to determine if loaner laptops and/or devices should be taken when traveling abroad.
• Complying with all Restricted Party Screening processes.
• Complying with the Export Control Compliance Review of Sponsored Programs Personnel process when identifying collaborators and staff to work on export controlled research.
• Complying with the Collaborating Academic Visitors Policy when hosting visiting scholars.

Information for Faculty is also available on our website.

Academic Units

Academic Units (e.g., colleges, departments, etc.) are responsible for supporting faculty compliance and maintaining operational compliance with export control laws, regulations, and policy. Key responsibilities for Academic Units include:

• Providing information needed to conduct RPS for applicable Collaborating Academic Visitors
• Supporting the Export Control Compliance Review of Sponsored Programs Personnel process for faculty, staff, and student employees working on export controlled research.
• Referencing and following the requirements outlined in the Export Control Compliance Review of Purchases SOP for all purchases.
• Partnering with building managers, Center Directors, Institute Directors, and others who are responsible for equipment oversight to manage export controlled assets, including equipment and software, including partnering with the ECO to develop Technology Control Plans and complying with Technology Control Plans.
• Transferring materials internationally in compliance with any applicable international shipping and/or export control regulations, including through material transfer and data use agreements.
• Supporting international travel by following travel purchasing processes and ensuring travelers contact LTS for potential loaner laptops and/or devices while abroad.
• Booking international travel and supporting faculty with obtaining loaner laptops and other international travel procedures.

Identified Academic Units and Administrative Departments

Lehigh takes a risk-based approach to implementing its export control program. The following Academic Units and Administrative Departments have been identified as having a high likelihood of conducting export controlled research or housing export controlled equipment:

• College of Health
• P.C. Rossin College of Engineering
• College of Arts and Sciences, departments of:
  • Biological Sciences
  • Chemistry
  • Emulsion Polymer Institute
  • Math
  • Physics
• Library & Technology Services (LTS)
• University Police

Impacted Policies, Procedures, Roles, and Responsibilities

Purchasing and Asset Management

Lehigh applies a risk-based approach to purchased items. Almost every item manufactured in the U.S. is controlled by the CCL, but Export licenses are typically only required if a Foreign Person will Use the item (i.e., able to do all six activities considered in the definition of Use) or will physically export the item. In contrast, Defense Articles are controlled by ITAR and almost always require an Export license for a Foreign Person to operate the item or to physically export the item. 

Lehigh is also responsible for ensuring it does not conduct business with any individual or organization under sanctions or blocked by the U.S. government. Purchasing establishes vendors in Banner. The vendor setup process helps ensure that Lehigh does not conduct business with a sanctioned or blocked entity or individual.

When Lehigh purchases equipment or software, it is important to know if the purchased item is a Controlled Physical Item so that Lehigh can ensure any licenses are obtained for Foreign Persons needing to Use the item. As such, Lehigh does not allow Controlled Physical Items to be purchased using OneCard. The Lehigh University Purchasing Manual has additional information about purchasing compliance.

• All purchasers are responsible for referencing and following the requirements outlined in the Export Compliance Review of Purchases SOP before making any purchase. If required by the Export Control Compliance Review of Purchases SOP, the purchaser is also responsible for:
  • Obtaining the ECCN or USML from the manufacturer and entering the ECCN or USML in UniMarket.
  • For USML-controlled items, obtaining prior approval from the ECO prior to purchasing.
• Purchasing is responsible for:
  • Conducting RPS on new vendors during vendor setup (students receiving tuition-related reimbursements are not considered vendors for export control purposes).
  • Reviewing contracts, as applicable and in partnership with other central offices, through the Lehigh University Contract Administration (LUCA) process and escalating applicable contracts to the ECO for review
  • Importing ECCN and USML data from UniMarket to Banner.
• Capital Asset Accounting is responsible for:
  • Supporting asset custodians with asset tagging.
  • Administering the annual inventory process to maintain asset locations and disposition.
  • Providing reports on capital assets to ORI.
• Asset custodians are responsible for:
  • Tagging new assets and maintaining accurate asset locations and disposition in accordance with processes administered by Capital Asset Accounting.
  • Developing and ensuring compliance with Technology Control Plans, as necessary.
  • Notifying the ECO prior to moving the location of any asset under a Technology Control Plan.
  • Notifying Capital Asset Accounting of additions, deletions, transfers that do not appear correctly on inventory reports.
  • For existing assets without an ECCN or USML (or determination that no ECCN or USML applies), identifying ECCN or USML from the manufacturer or partnering with the ECO to self-classify items.
• The ECO is responsible for:
  • Reviewing and authorizing proposed purchases of USML-controlled items as identified in the Export Compliance Review of Purchases SOP and intended use to determine if an export license and/or Technology Control Plan is necessary for anticipated users.
  • Communicating obligations and requirements to asset custodians and purchasers of Controlled Physical Items.
  • Supporting asset owners with item classification, as necessary.
  • Supporting asset owners with developing Technology Control Plans, as necessary.

Donating or Decommissioning Assets

When Lehigh seeks to donate decommissioned items which are destined for a foreign recipient, it is important to verify that the transfer of donated items to a foreign entity does not constitute an export requiring a license under either the EAR or ITAR regulations. To facilitate this determination, the donor will provide to ORI the specific name(s), model (or other identifier), as well as the ECCN of the item(s) to be donated, in addition to the name of the donee and the ultimate destination of the items being sent. 

International Travel

International travel typically does not require an Export license or specific approvals by the ECO, except in certain circumstances: 

• Travel to countries that are comprehensively sanctioned or have strict trade restrictions imposed by the U.S. government requires advance planning.
• Taking Controlled Physical Items, Controlled Information, Technical Data, Source Code, or Encryption Software may require a license depending on the type of item, destination of the travel, and End User.

Lehigh’s Travel and Business Expense Policy establishes general requirements for international travel. Student travel is governed by the International Travel Advisory Committee (ITAC). 

• All international travelers are required to:
  • Use Lehigh’s travel agent to purchase travel,
  • Consult with LTS to determine if a loaner laptop or device should be taken abroad, and
  • Notify the ECO as soon as possible if traveling to a sanctioned country or intending to take Controlled Physical Items, Controlled Information, Technical Data, Source Code, or Encryption Software out of the U.S.
• ITAC is responsible for notifying the ECO as soon as possible if student travel is planned to a sanctioned country or intending to take Controlled Physical Items, Controlled Information, Technical Data, Source Code, or Encryption Software out of the U.S.
• LTS administers the Laptop and Mobile Device Loaner Program, which provides clean devices on loan (i.e., devices without export controlled data or software).
• On a quarterly basis, Purchasing provides the ECO and LTS with a list of purchased international travel so the ECO and LTS can regularly communicate obligations and requirements with international travelers.

Temporary Export Exception

Even when taking certain Controlled Physical Items, Controlled Information, Technical Data, Source Code, or Encryption Software, a license exemption may be available through the Temporary Export license exception (TMP). The TMP allows for various temporary Exports and Re-Exports of Lehigh-owned items, technology, or software, so long as the Exported item will remain in the traveler’s physical custody and control for the duration of travel and will return to the U.S. no later than one year from the date of original Export or Re-Export. The TMP does not apply to:

• Satellite or space-related equipment, components, or software.
• Encryption items controlled under ECCN 5E002.
• Items controlled by ITAR.
• Travelers to embargoed countries.

A TMP self-certification form is available here. A TMP must be completed for each international trip and whenever any changes occur. Contact the ECO if you are not sure if the TMP applies or if you have questions about its contents.

BAG Exception

In addition to the TMP exception, the Export License Exception BAG (Baggage) allows those leaving the U.S. temporarily to take personal items, including personal hardware, software, and retail-level encryption items, so long as the items are for their personal use. Individuals leaving the U.S. temporarily must bring back the items they exported under this license exception unless the items are consumed or destroyed abroad. 

A BAG self-certification form is available here. A BAG must be completed for each international trip and whenever any changes occur. Contact the ECO if you are not sure if the BAG applies or if you have questions about the BAG self-certification form.

International Shipping

Everything that leaves U.S. borders is considered an Export. In contrast to many other processes discussed in this Manual, export-related information is needed for almost all international shipments. Additionally, shipments of Controlled Physical Items, Controlled Information, Technical Data, Source Code, or Encryption Software, and shipments over $2,500 must be entered into the U.S. Census Bureau’s Automated Export System (AES).

Similarly, every export to another country is an import to that country; country-specific procedures and authorizations may also apply. Customs fees and Value Added Tax (VAT) may also apply to your shipment.

Additional regulations apply to shipments of hazardous or biological materials. Environmental Health & Safety (EH&S) maintains Lehigh’s policy on Shipping of Hazardous Materials.

Because of the complex requirements associated with international shipping, Lehigh strongly encourages all personnel shipping abroad to use an international customs broker. The customs broker will support preparing documentation needed for U.S. export compliance and identifying any requirements of the recipient country. For larger, palletized shipments, Lehigh has an established relationship with ArcBest (Robert Kimball, rkimball@arcb.com; Larie Elliott, LElliot@arcb.com; Customer Service for domestic shipments: 800-610-5544; Customer Service for international shipments: 877-301-2237).For smaller, non-palletized shipments, FedEx or DHL may be used.

• The shipper is responsible for reviewing Lehigh’s Guidance for International Shipments, which includes:
  • Reviewing the list of contents.
  • Contacting the ECO for an export license determination as necessary.
  • Providing the customs broker with accurate and complete information and obtaining copies of final documentation from the customs broker (or completing all required information and registering all applicable information in relevant government systems if not using a customs broker).
• The ECO:
  • Conducts RPS on the entity receiving the shipment.
  • Reviews the proposed shipment to determine if a license is necessary and can help with classifying the shipment contents.
• The ECO will involve EH&S if the proposed shipment involves hazardous or biological materials.

International Collaborations

International collaborations typically do not require an Export license or specific approvals by the ECO unless they involve use of Controlled Physical Items, Controlled Information, Technical Data, Source Code, or Encryption Software, or scholars in sanctioned countries. However, Lehigh is responsible for ensuring it does not conduct business with any individual or organization under sanctions or blocked by the U.S. government.

Establishing a New Collaboration

The Office of International Affairs (OIA) Global Partnerships and Strategic Initiatives Office (GPSI) establishes new collaborations in accordance with its International Partnership Guidelines. These guidelines include documenting the initial project proposal, anticipated partnership outcomes, and a lead contact at the partnering institution. 

• The Director of Global Partnership and Strategic Initiatives notifies the ECO when a new partnership is contemplated.
• The ECO reviews the new partnership proposal and anticipated outcomes to determine if a license is necessary.
• OIA conducts RPS on the entity and senior personnel at the entity, including the lead contact at the partnering institution.

Undertaking Activities using an Existing Collaboration

The Office of International Affairs (OIA) Global Partnerships and Strategic Initiatives Office (GPSI) works with faculty to engage with collaborators using existing partnership agreements. When a new activity is occurring under an existing agreement, an addendum to the existing agreement is established. This process includes documenting the project proposal and the scholars or other personnel involved from the partnering institution.

• GPSI notifies the ECO when an addendum to an existing partnership is contemplated.
• The ECO reviews the project proposal and anticipated outcomes to determine if a license is necessary.
• OIA conducts RPS on identified partnering institution personnel.

Personnel and Visitors

Through the other processes discussed in this manual, Lehigh works to ensure the vast majority of its research is considered fundamental and exempt from export control regulations so that its international community can participate in scholarly activity. However, as discussed in Deemed Exports, when Lehigh technology or research projects are subject to export controls, Foreign Persons involvement may need to be limited or controlled. In these instances, Lehigh works to apply appropriate, targeted controls to maintain compliance with export control regulations while limiting the impact to its international employees, students and scholars.

Faculty, Postdoctoral Trainee, and Classified Staff Hiring and Graduate Student Admissions

Lehigh tenured, tenure-track, and research term faculty, postdoctoral trainees, and graduate students in Identified Academic Units (i.e., the College of Health, P.C. Rossin College of Engineering, and in the College of Arts and Sciences departments of Biological Sciences, Chemistry, Emulsion Polymer Institute, Math, and Physics); as well as all classified staff undergo RPS during the appointment or hiring process and dynamically as sanctions lists are updated. Certain Lehigh-sponsored visa holders are subject to additional requirements as outlined by the Office of International Students and Scholars’ (OISS) Information for Departments.

• The Provost’s Office conducts RPS for all tenured, tenure-track, and research term faculty hired into Identified Academic Units prior to hire.
• Postdoctoral trainees:
  • HR provides the ECO with a query of postdoctoral trainees hired into Identified Academic Units.
  • The ECO conducts RPS on hired post-doctoral trainees in Identified Academic Units.
• Graduate students:
  • Enrollment Services provides the ECO with a query of newly deposited/applicant accepted graduate students in Identified Academic Units.
  • The ECO conducts RPS on newly deposited/applicant accepted admitted graduate students in Identified Academic Units.
• HR conducts RPS for all classified staff hires, regardless of citizenship status or visa sponsorship, prior to hire.
• OISS facilitates the Visa Deemed Export Screening process for Lehigh-sponsored  visa holders in a visa type facilitated by filing of an I-129, including, but not limited to, H-1B and O-1.
• Hiring managers are responsible for identifying whether hires need access to special equipment or software and partnering with the asset manager and the ECO to ensure compliance with any relevant Technology Control Plans. 

Unscreened Personnel Participating in Federally Funded Research or Research with Identified Academic Units

Lehigh personnel who were not screened at time of hire per the processes outlined above will undergo RPS if they are paid off of federally-funded sponsored programs or sponsored programs originating in an Identified AU (for example, a faculty member in Business participates in an award made to the Math department; a faculty member in Psychology receives a federal award, etc.). 

• RPS is conducted automatically through Banner-Visual Compliance integration when the individual’s payroll is changed to include a federal sponsored program or Identified AU funding source or when effort is committed on a funded award.

OISS administers the Visa Deemed Export Screening process for Lehigh-sponsored visa holders in a visa type facilitated by filing of an I-129, including, but not limited to, H-1B and O-1.

Collaborating Academic Visitors

Collaborating Academic Visitors who are foreign nationals and will be participating in research at Lehigh undergo RPS prior to appointment. The Office of the Provost & Senior Vice President for Academic Affairs (Provost’s Office) administers Lehigh’s Collaborating Academic Visitor Policy.

• Visitor requestors are responsible for completing the Visitor Information Form, including indicating whether the visitor will be participating in research, if the visitor is a Foreign Person, and if the visitor requires access to certain assets.
• The ECO is responsible for:
  • Conducting RPS on such visitors and the visitor’s home institution.
  • Conducting the Export Control Compliance Review of Sponsored Programs Personnel process if the visitor will be participating in export controlled research.
  • Notifying the asset manager if the visitor requires access to certain assets and partnering with the asset manager and visitor requestor to ensure compliance with any relevant Technology Control Plans.

Research Administration

Research at Lehigh generally falls under the Fundamental Research Exception, or FRE (see above for detailed discussion on the FRE). Because of the FRE, most research at Lehigh is not subject to export controls. However, research can become subject to export controls in certain circumstances, including, but not limited to:

• Lehigh accepts restrictions on:
  • Publishing research data (this does not include pre-publication review).
  • What personnel can work on its research projects (e.g., prohibition on Foreign Person participation).
• The scope of the research includes:
  • Controlled Physical Items, Controlled Information, Technical Data, Source Code, or Encryption Software.
  • Controlled Unclassified Information as identified by the U.S. government.
  • Developing new Technology or Technical Data that is governed by export controls (e.g., designing a new laser, etc.) (see Technology Transfer).

Lehigh incorporates several checkpoints throughout the research lifecycle to review for potential export control impact.

Proposal and Solicitation Review and Submission

The Office of Research and Sponsored Programs (ORSP) reviews and submits proposals and solicitations on behalf of Lehigh’s faculty in accordance with its Proposal Submission Policy. Timely submission to ORSP ensures thorough review of all Lehigh and sponsor compliance requirements.

Process:

• The research team completes the Funding Proposal submission in LIRA.
• ORSP reviews the Funding Proposal. If ORSP identifies any potential export control issues during its review of the Funding Proposal, ORSP will notify the ECO, and in partnership with the ECO, notify the PI of any planned steps to negotiate out export control terms and/or of potential implications should the award be made.

Award Acceptance and Contract Execution

ORSP accepts awards and executes sponsored research contracts on behalf of Lehigh University. ORSP, the ECO, and the PI work closely together before accepting projects subject to export controls to better understand and confirm whether Lehigh has resources to ensure export compliance (e.g., secured enclaves, facility access restrictions, etc.) and whether the PI can complete the research with export control restrictions (e.g., are research team members with appropriate expertise available, can publication restrictions be accepted, etc.).

• ORSP reviews award and contract terms and conditions for potential export control impacts and escalates any export control issues to the ECO.
• The ECO reviews escalated awards and, if the award is subject to export controls, works with the PI to determine if Lehigh can accept the award inclusive of export control restrictions.
• If the ECO and the PI determine that Lehigh can conduct such research, the ECO notifies ORSP that the award can be accepted and of applicable export control restrictions. ORSP then:
  • Obtains approvals prior to award setup. Research that includes export control restrictions requiring a TCP must be approved by the PI, their respective Dean, and the ECO prior to ORSP accepting the award.
  • As necessary, initiates the Export Control Compliance Review of Sponsored Programs Personnel process described in the next section below.
  • Depending on the type of export control restrictions, the ECO will work with the PI to develop a Technology Control Plan and/or apply for a license with the applicable U.S. government agency. In these instances, award setup may be delayed until all necessary Technology Control Plans and/or licenses are in place.
• Advance accounts will not be set up for Department of Defense (including Air Force, Army, Navy, DARPA, etc.) or Department of Energy awards unless the full award terms and conditions are available at the time the Advance Account is requested.
• During the life of the award, the Academic Unit submits payroll allocations to charge personnel salary to sponsored programs. Banner integration with Visual Compliance triggers automatic RPS for individuals whose salary is charged to a federally-funded sponsored program or a sponsored program originating in an Identified Academic Unit.

Export Control Compliance Review of Sponsored Programs Personnel

When award terms and conditions restrict Foreign Persons’ participation in research or when a Foreign Person Collaborating Academic Visitor will participate in research, additional due diligence is conducted to prevent unlicensed deemed exports from occurring. As required by any award terms and conditions or any applicable Technology Control Plan:

• ORSP and the ECO will confirm any restrictions on Foreign Persons participation during the Award Acceptance and Contract Execution process.
• The ECO is responsible for reviewing research project personnel citizenship status and the Technology Control Plan to determine if any licenses are needed.
• ORSP is responsible for verifying personnel on all export controlled research project personnel, including citizenship status, with HR and submitting this information to the ECO. ORSP will notify the ECO if payroll forms are submitted for any individuals not listed on an approved and active TCP. 

Subcontract and Subaward Issuance

Regardless of whether research is export controlled, Lehigh is responsible for ensuring it does not conduct business with any individual or organization under sanctions or blocked by the U.S. government. Lehigh screens all subrecipients and subcontractors on all sponsored research projects.

• ORSP conducts RPS on the subaward or subcontract entity and the lead PI or point of contact at the entity for all subawards.
• ORSP will flow down any export control terms to any subrecipient.

Technology Transfer

Most technology transfer activity typically does not require an export license or specific approvals by the ECO unless activity stems from export controlled research or involves international transfer of materials or data. However, Lehigh is responsible for ensuring it does not conduct business with any individual or organization under sanctions or blocked by the U.S. government.

New Technology Development and Commercialization Activity

The Office of Technology Transfer (OTT) works closely with faculty who have created new intellectual property/technology during the course of their research and is authorized to pursue commercialization and licensing opportunities on Lehigh’s behalf. This work includes understanding novel technology and potential licensees of Lehigh technology.

• OTT reviews invention disclosures to determine if new technology could be considered a Controlled Physical Asset or contain Controlled Information, Technical Data, Source Code, or Encryption Software.
• OTT conducts RPS on all entities with which Lehigh may pursue any commercialization or licensing opportunities prior to executing an  agreement with any such entity.

Material Transfers

OTT negotiates material transfer agreements (MTAs) for Lehigh’s faculty. This review includes understanding the material being transferred, the intended end use of the material, and the recipient of the materials.

Process:

• The research team initiates an MTA Agreement in LIRA.
• OTT reviews the Agreement. Based on the research team’s responses to export control questions in LIRA or if OTT identifies potential export control issues with the Agreement’s terms and conditions, OTT escalates the agreement to the ECO.
• The ECO:
  • Conducts RPS on the recipient entity and lead personnel at the recipient entity.
  • Reviews the proposed transfer to determine if a license is necessary.
  • Notifies the research team of other applicable procedures relevant to International Shipping, as necessary.

Data Sharing

Lehigh faculty use established Lehigh templates for data use agreements (DUAs) with outside recipients. LTS reviews DUAs for compliance requirements, including export control, as well as compliance with Lehigh’s Information Security Policy and related frameworks. 

Process:

• The research team initiates a DUA Agreement in LIRA.
• Based on the research team’s responses to export control questions in LIRA, LTS escalates the agreement to the ECO.
• The ECO is responsible for:
  • Conducting RPS on the data recipient.
  • Confirming that any proposed data sharing of export controlled data is in compliance with applicable terms & conditions and any TCP.

Export Control Operations

Restricted Party Screening

As discussed throughout this Manual, RPS is conducted by a variety of Lehigh offices to ensure that Lehigh does not do business or otherwise engage with persons or entities who are restricted, debarred, blocked, or sanctioned by the U.S. government. A summary of offices with RPS responsibilities is below.

• Offices conducting RPS are responsible for screening persons and entities in Visual Compliance.
• If screening produces a positive match, the office escalates the match to the ECO for resolution.
• The ECO is responsible for investigating the positive match, clearing or confirming the match, and providing background information to support leadership with determining whether confirmed matches restrict Lehigh from engaging with the person or entity.
•