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These laws and regulations relate to: In compliance with federal regulations, it is Cornell University’s strategy to protect its fundamental research exclusion by negotiating the elimination of all contractual clauses that restrict publication rights or limit participation of foreign nationals in its research and sponsored projects. This helps us to provide you with a good experience when you browse our website and also allows us to improve our site. This helps us to provide you with a good experience when you browse our website and also allows us to improve our site. As a globally-leading provider of telecommunications equipment and network solutions, ZTE executes applicable control requirements of sales, transfer, export, reexport and dealing of hardware, software and technology. ZTE makes every endeavor to comply with global export control laws and regulations to gain trust from partners and the public, mitigate the operational risk, but also takes this as an obligatory duty as ZTE plays an important role in the international market. ZTE performs strict Sanctioned Party Screening on clients, freight forwarders, visitors and employees and also conducts detailed due diligence on potential business partners. If the party is sanctioned, ZTE resolutely refuses to seek for business opportunities. ZTE strictly follows the controls of products and technologies, forbids any export or transfer of controlled item and technology without license and prohibits using products for military purposes, monitoring or other human right violation purposes. ZTE has established Compliance Committee to ensure the implementation of export compliance program. Compliance Committee is the highest authority within ZTE which is in charge of establishing and implementing export compliance policies and procedures. Any dealing, export and other business activities related to controlled items or technologies must be reviewed by Compliance Committee.
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According to relevant export control laws and regulations and ZTE export control compliance requirements, the Compliance Committee has veto power against whether to perform such business activities. ZTE Export Control Compliance Manual has set up comprehensive and detailed requirements, including sanctioned party screening, license management, records management, violation report, audit and reexport control, etc. The manual requires that each department shall follow ZTE business conduct code, export compliance program, import and export management measures and import and export material inventory operation guidelines. Meanwhile ZTE integrates compliance requirement originated from export control laws and regulations and compliance manual into the main procedures including LTC, HPPD and supply chain and impose obligation to each department which involves in export. ZTE has introduced an advanced IT system to screen business partners and conduct transactions review. Through transmission the review results to relevant business systems, ZTE could achieve compliance control towards core business systematically and automatically. ZTE cooperates with professional institutions to organize and implement comprehensive export compliance training. The training for all employees is focused on the introduction of the basic compliance requirements. The training for different business unit is emphasized on core requirements applicable for each business procedure. The core position training is focused on the “must known knowledge” for important positions. Through various and comprehensive training, ZTE continually improves compliance awareness and impart applicable business compliance requirement differentially to all employees. ZTE periodically conducts export control compliance risk evaluation on business procedure, audits and inspects high risk countries and important business activities and carries on recording keeping requirements.
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Based on audit and inspection, ZTE continually optimizes business procedure and control schemes and punishes any employee who violates ZTE’s export control policy. ZTE will strictly carry out export compliance program and comply with law and regulations applicable to this compliance plan, meet the compliance commitment made to the business partners and actively undertake relevant export control compliance obligation. Purpose, III. Scope of Manual, IV. Introduction to Export Control Laws, V. Export Controls and University Research, VI. Roles and Responsibilities, VII. Key Issues in University Research, VIII. Export Control Procedures at Boston University, IX. Export Logistics and Shipment Processing, Appendix A: OFAC: Economic Sanctions and Embargoes, Appendix B: International Traffic in Arms Regulations (ITAR), Appendix C: Export Administration Regulations (EAR), Appendix D: Foreign Trade Regulations: Title 15 CFR, Part 30 (Export Shipments Reporting), Appendix E: Penalties for Export Violations, Revision History The policies and procedures outlined in this manual serve as BU’s standard for conducting research and international activities, and provides a comprehensive program of internal controls, safeguards and measures to minimize risk of potential violations of applicable export control regulations and institutional policies. Table of Contents I. Policy Statement II. Purpose III. Scope of Manuel IV. Introduction to Export Laws V. Export Controls and University Research VI. Roles and Responsibilities VII. Key Issues in University Research VIII. Export Control Procedures at BU XI.
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Export Logistics and Shipment Processing Appendix A: OFAC Appendix B: ITAR Appendix C: EAR Appendix D: Foreign Trade Regulations Appendix E: Penalties for Export Violation List of Abbreviations AVPRC Associate Vice President for Research Compliance BIS Department of Commerce Bureau of Industry and Security BU Boston University BMC Boston Medical Campus BUMC Boston University Medical Campus Boston University Medical Campus CCL Commerce Control List CJ Commodity Jurisdiction CRC Charles River Campus Boston University Charles River Campus DDTC Department of State Directorate of Defense Trade Controls EAR Export Administration Regulations ECCN Export Control Classification Number ECO Export Control Officer EMO Empowered Official FRE Fundamental Research Exclusion ITAR International Traffic in Arms Regulations OFAC Department of the Treasury Office of Foreign Assets Control OGC Office of the General Counsel ORI Office of Research Integrity SP Sponsored Programs (SP) is the coordinating office for all p. Sponsored Programs PI Principal Investigator. View Boston University's policy on. Principal Investigator RPS Restricted Parties Screening SDN List Specially Designated Nationals and Blocked Persons List TAA Technical Assistance Agreement TCP Technology Control Plan USML United States Munitions List I. Policy Statement It is the policy of Boston University (“BU” or “University”) to comply with U.S. export control laws. The U.S. export control agencies place responsibility on the University to understand and ensure compliance with export control laws and regulations, it is therefore the responsibility of faculty, staff and students to be aware of and comply with U.S. export control laws, as well as the University’s policies and procedures. II. Purpose This Export Control Manual (the “manual”) is intended to provide guidance on U.S.
export controls laws and regulations, identify key export compliance issues related to activities conducted within the University, and to describe how BU implements its export control policies and procedures. The policies and procedures outlined in this manual serve as BU’s standard for conducting research and international activities, and provides a comprehensive program of internal controls, safeguards and measures to minimize risk of potential violations of applicable export control regulations and institutional policies. This manual is not intended to serve as, and should not be considered formal legal advice. This manual provides an overview of U.S. export controls, key issues related to universities, and outlines BU policies and procedures. IV. Introduction to Export Control Laws Export control laws are a complex set of federal government regulations designed to protect U.S. national security, prevent the proliferation of weapons of mass destruction, advance U.S. foreign policy, support regional stability, protect human rights, maintain U.S. economic competitiveness, and implement anti-terrorism and crime controls. To understand export control regulations, it is important to understand what is considered an export. An export is any transfer of an item or information to anyone, including U.S, citizens, in a foreign country or to a foreign national located within the United States Read more Export control laws govern how information, technologies, software, technical data and commodities may be transferred abroad to anyone or to foreign nationals within the United States. Export controls restrict the export of products and technology based on the type of product, the party that will use it, the destination of the export, and the end use. Technology includes technical data, such as blueprints and manuals, as well as services (including the transfer of knowledge) and training.
Although the vast majority of activities at Boston University are exempt from export control laws, export controls do apply to the following areas: Research with controlled technologies, software, data or equipment International Travel International Shipping Financial Transactions Educational Classes The three principal government agencies that regulate exports are: 1. The U.S. Department of the Treasury, which administers exports to embargoed countries through its Office of Foreign Assets Control (“OFAC”). The OFAC regulations govern travel and transactions (e.g., financial, collaborations, research, and shipping) related to countries where the U.S. maintains economic and trade sanctions. Trade sanction programs exist against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the U.S. The level of restriction or prohibition of an existing sanction program is influenced by foreign relations and national security. The majority of activities with these countries require an authorization. More details are provided in Appendix A of this manual. 2. The U.S. Department of State, which administers the International Traffic in Arms Regulations (ITAR) through its Directorate of Defense Trade Controls (DDTC). ITAR regulations control the export and temporary import of defense articles, data and services. A defense article is any item or technical data that is specifically designed, developed, configured, adapted, or modified for military or space use. Defense services are services provided to foreign persons, whether in the U.S. or abroad, in the design or development of defense articles. This service may be in the form of providing training, engineering, production, testing, repair, maintenance, operation, destruction, or processing of a defense article.
ITAR regulations apply to any item, service, or technical data that is listed on the United State Munitions List (USML). The definition of technical data is broad and includes technical data recorded or kept in physical form (e.g., notebooks, computer disks), models, mock-ups, blueprints, photographs, plans, instructions, software, etc.). Technical data does not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges, and universities or information in the public domain. The ITAR regulations are covered in more detail in Appendix B of this manual. 3. The U.S. Department of Commerce, which administers the Export Administration Regulations (EAR) through its Bureau of Industry and Security (BIS). EAR regulations are designed to control items, technologies, materials or software that are considered to be “dual use,” that is, as having both civil and military uses. Examples of covered technologies include global positioning systems, pathogens, toxins, explosives, propulsion systems, space vehicles, telecommunication, and information security. In general, any physical item made in the U.S. will be subject to the EAR unless the item qualifies for an exemption or is under another jurisdiction, such as ITAR. While almost every item located within the U.S. is controlled on the EAR, most do not require an export license. Items and technical data that are subject to the EAR are listed on the Commerce Control List (CCL). EAR regulations are discussed in more detail in Appendix C of this manual. The ITAR and EAR regulations subject to export control laws and regulations apply to University activities that involve: The transfer of specific physical items, information, and the provision of specific services (e.g., consulting on ITAR controlled technology) to persons and entities outside the United States (these are referred to as “exports”). The disclosure of specific information (e.g.
, technical specification or data) and the provision of specific types of services, to foreign nationals inside the United States (termed as “deemed exports”). While these are the three main agencies that regulate exports, other agencies also have jurisdiction over certain items and activities subject to export controls (e.g., Department of Energy, Drug Enforcement Administration, Nuclear Regulatory Commission, U.S. Census Bureau, and U.S. Customs and Border Protection). Export requirements for these other agencies must also be met to ensure compliance with U.S. export control regulations. V. Export Controls and University Research U.S. national security and economic interests are heavily dependent on technological innovation and advantage. Many of the nation’s leading-edge technologies, including defense-related technologies, are discovered by U.S. citizens and foreign nationals in U.S. university research and university-affiliated laboratories. U.S. policymakers recognize that foreign nationals have made substantial contributions to U.S. research efforts, but the potential transfer of controlled defense or dual-use technologies to their home countries could have significant consequences for U.S. national interests. The U.S. export control agencies place responsibility on the University to understand and comply with export control laws and regulations. Export controls present unique challenges to the University because they require balancing concerns about national security and U.S. economic vitality with traditional concepts of unrestricted academic freedom and publication and dissemination of research findings and results. University researchers and administrators need to be aware that these laws may apply to research, whether sponsored or not, and that they might be personally liable for any violations. Export of a controlled item without proper authorization (e.g.
, license or license exception) may result in criminal and civil penalties for the university and the responsible individual. This includes deemed export violations, which are subject to the same federal penalties as physical exports Penalties may include seizure of items, loss of export privileges, debarment from participating in future federal contracts, fines, or jail time VI. Roles and Responsibilities Expand Collapse all A. Empowered Officials The Associate Vice President of Research Compliance (“AVPRC”) is the University’s Empowered Official (“EMO”) for export control matters. In this capacity, the EMO has the authority to represent the University to export control regulators in matters related to registration, licensing, commodity jurisdiction and classification requests and voluntary or directed disclosures. Certain oversight functions may be delegated, but only the EMO is authorized to sign documents on behalf of the University in any proceedings before DDTC, BIS, OFAC or other agencies. The EMO also has independent authority to inquire into any aspect of a proposed export or temporary import by the University, verify the legality of the transaction and the accuracy of the information and deny any license application or other request for approval. B. Export Control Officer The University’s ECO is appointed by the AVPRC and reports to the Executive Director of Research Integrity. The ECO is responsible for leading and managing the export control program to ensure compliance with all applicable export control laws, regulations and institutional policy. The ECO directs and delegates the day-to-day operational management of BU’s export control program. The ECO has the authority and the responsibility to implement the procedures set forth in this Export Control Manual and should be consulted when questions related to export compliance or international shipping arise.
The ECO has the delegated authority to apply for export control licenses on behalf of the University and to represent the University to regulatory authorities in all matters pertaining to export control compliance. The ECO is responsible for developing and implementing procedures set forth in this Manual. ECO responsibilities include: Identifies areas at BU relative to research that are impacted by export control regulations. Develops control procedures to ensure research remains in compliance. Recommends procedures to senior administration to strengthen BU’s overall compliance. Monitors, interprets, and implements regulatory changes and recommend policies and procedures accordingly. Reviews terms of sponsored program agreements, material transfer agreements, and other non-monetary agreements Provides assistance to PIs in identifying international components of sponsored program agreements, identifying potential export control issues in the proposed international component and verifying that the international entities and individuals are not restricted parties or specially designated nationals. Conducts restricted parties screening Determine licensing requirements or exceptions as applicable. Submits license applications, classification requests, and advisory opinions. Maintains the export controls website. Maintains transactional databases and record-keeping. Assists PIs in developing a Technology Control Plan (TCP), in consultation with Information Security, for research involving export-controlled items or information to ensure compliance with export control regulations; Educates principal investigators, centers, and academic units about export control regulations and procedures followed at BU to facilitate understanding and compliance with export controls. Assists investigators, researchers, and offices within BU when research or research results are export-controlled.
Provides export control support to other units within BU such as Purchasing, Travel, Global Programs, IRB, Human Resources, Financial Affairs, Office of the General Counsel and Technology Development. Conducts focused training and outreach on export controls. Manages the University laptop loaner program. C. Office of Research Integrity The Office of Research Integrity (ORI), in cooperation with other offices, is responsible for developing and implementing the procedures outlined in this manual. The ECO within the ORI has direct day-to-day responsibility for administering the University’s export control program. D. University Export Controls Advisory Committee The Export Control Advisory Committee (ECAC) is appointed by the AVPRC and provides guidance regarding export control issues at Boston University. The Export Control Advisory Committee meets on annual basis, and more frequently if necessary. ECAC responsibilities include: Advising the EMO Advising the ECO Monitoring the Export Control program Reviewing, prioritizing, and advising on identified areas of export control compliance risk Developing mechanisms to mitigate or eliminate unacceptable risk Assisting in development of policies, guidelines, record keeping requirements, and training materials pertaining to Export Control issues Facilitating training and disseminating information within its units Assisting with periodic program reviews and development of any corrective action plans required Reviewing the Export Control Manual and the Export Control Program at least every 3 years and recommending changes or improvements Facilitating communication about the importance of export regulatory compliance and policies among the University community, including provosts, deans, associate deans for research, center directors, administrative offices, global operations, and principal investigators E.
University Personnel University personnel are responsible for complying with export controls as well as applicable University policies and procedures. The ECO assists University personnel in assessing export control requirements on a case-by-case basis. If a license is required for a proposed export related to University responsibilities or to the University’s business, the ECO facilitates coordination of the license application process. If a license is required, no export or deemed export can take place until a license is obtained. F. Key University Managers Academic deans, directors, and department heads share the responsibility of overseeing export control compliance in their respective schools, departments, centers, or institutes and supporting the ECO in implementing procedures as deemed necessary by the EC for export control compliance. In addition, the directors of other offices or units on campus including, but not limited to, Accounting, Environmental Health and Safety, Human Resources, Global Programs, and Technology Development share the responsibility of overseeing export control compliance in their units and supporting the ECO in implementing procedures as deemed necessary by the ECO for export control compliance. G. Principal Investigator (PI) PIs have expert knowledge of the type of information and technology involved in a research project or other University activity (e.g., presenting at conferences and discussing research findings in class with fellow researchers or collaborators). PIs must ensure that they do not disclose controlled information or transfer-controlled articles or services to a foreign national without prior authorization as required. PI responsibilities included: Understanding their obligations under the export controls laws, and participating in regular trainings to help identify export control issues. Identifying research activities in which export control issues might exist. Notifying the ECO of identified export control issues.
Providing the ECO with all required documentation and guidelines provided by the contracting agency to ensure compliance with export controls. Assisting the ECO with classifying technology involved in the research or other university activity. Informing the ECO that a TCP is required, and in consultation with the ECO and Information Security, developing the TCP for any activity, data, or equipment where the need for such a plan is required; Identifying foreign nationals that may be involved and, if the research is subject to export restrictions, initiating the process of clearing foreign national participation well in advance to ensure that a license is obtained in a timely manner, or implementing proper measures to isolate foreign nationals from participation. Coordinating with the ECO to ensure that foreign nationals will be isolated from participation in an export-controlled project in accordance with the TCPs, unless the University applies for and obtains an export license from the relevant agency. If undertaking an export-controlled project, briefing the students and other researchers involved in the project of their obligations under export controls or requesting assistance form the ECO. Ensuring that all physical exports comply with export regulations, import requirements in the destination country, and that all shipping paperwork is accurate and records of all shipments are kept on file for at least five years from the date of export. H. Central Offices Many central offices provide assistance with export controls and work closely with the ECO and ORI in identifying export control issues and providing support for their solution. It is each individual central office’s responsibility to communicate and consult with the ECO. Assists with the developing TCPs for research subject to Export Controls Sponsored Programs (SP) Sending a comprehensive report listing all awards received and proposals submitted by BU to ORI on a weekly basis.
Assisting PIs in reviewing the terms of a sponsorship agreement or grant to identify restrictions on publication and dissemination of the research results, and negotiating out such restrictions. Notifying the ECO when export controls issues are flagged. Maintaining a centralized database of all documentation relating to sponsored projects. Providing any additional application, award and supporting documents to the ECO during their review of export control issues Office of Technology Development (OTD) Contacting the ECO if export control issue are identified in CDAs, NDAs, Patent applications or other OTD documents. Forwarding outgoing Material Transfer Agreements (MTAs) to the ECO for RPS Global Programs Providing strategic program support to international activities, including the University Cuba Travel Program ( ). Authorizing travelers to carry a General License letter to ensure full compliance with the law. The VP and Associate Provost for Global Programs and Associate General Counsel is BU’s authorized signatory for the letter. Providing export control assistance and training on international research and travel activities. BU requires that suppliers provide notice before transferring controlled equipment, technology or software to the University ( ). Notifying the ECO of any purchases involving controlled equipment, technology or software. If equipment requested is restricted, the ECO provides advice to the purchasing lab on export compliance. Charles River Campus (CRC) Institutional Review Board (IRB) Forwarding international requests to the ECO for review. The ECO will coordinate export compliance with researchers, when applicable. Office of the General Counsel Providing support to the ECO with export control issues and Boston University relationship’s with outside counsel. Assisting the ECO, upon request, with reviews of export control issues related to agreements, licenses, MOUs and sponsored contracts.
Training includes information on international shipments and export control. Ensuring requirements related to importing and exporting shipments comply with regulatory requirements. Assisting the ECO and PIs determine shipping licensing requirements, classification and documents. VII. Key Issues in University Research Expand Collapse all A. Deemed Exports While exports are commonly associated with the shipment of a tangible item across the U.S. border, export controls have a much broader application. One of the most difficult issues with respect to export controls is the fact that an export is defined to include the transfer of controlled information or services to foreign nationals even when the transfer takes place within the territory of the U.S. Under the ITAR and EAR a transfer of controlled technology, source code, technical data, or defense services to a foreign national is deemed to be an export to the national’s country even if the transfer takes place within the U.S. Defined differently, if an export license is required to export a controlled item, technology or software to a foreign national’s country, then export license is required to release the technical data about the item (ITAR) or to transfer the technology required for development, production, or use of the item to the person or entity in the U.S. Technical assistance related to a development of a controlled item is also subject to this rule. The “ Deemed Exports Rule ” has been in place for decades and is most applicable in a university environment. While a university may be involved in the shipment abroad of equipment or machinery to participate in a conference, a joint project, or equipment loan programs, most often faculty and students are engaged in teaching and research. Whenever teaching or research is related to controlled equipment or technology, the involvement of foreign students or researchers may trigger export control compliance issues.