Export Compliance Manager

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The Export Compliance Manager (EC Manager) will report to the Director of Research Security in the Office of Research Security (ORS) and will assist with the implementation of the Caltech Export Compliance Program for the Institute. The ORS is under the direction of the Office of Research Policy, Office of the Vice Provost for Research, and is responsible for supporting the Institute community in understanding and complying with research security requirements prescribed by the National Security Presidential Memorandum 33 (NSPM-33), including, but not limited to, requirements for disclosure, transparency, compliance with export laws and regulations, travel reporting and approval, cybersecurity, and training in these areas. The Office of Research Security is focused on compliance with these highly technical regulations and emphasizes providing assistance to researchers in such a way as to foster the ongoing research and education activities of Caltech while ensuring compliance and safeguarding the research enterprise.

The EC Manager will be responsible for oversight of Caltech's Export Compliance Program which encompasses interpretation of complex government regulations; possessing the ability to research and analyze technical parameters of a product or technology for export controls; ability to conduct document review to determine whether information falls under the export control regulations; prepare licenses and develop processes; perform internal assessments of export and import procedures. The EC Manager will supervise the Research Security and Import/Export Analyst and serves a critical role by ensuring Caltech research complies with legal and regulatory obligations related to export and import control, research security, and all relevant Institute policies. In their oversight role, they will help maintain and continuously improve a robust, integrated, and effective compliance program; partner with campus process owners to identify and address regulatory requirements and implementation; and provide strategic oversight to staff and faculty with related responsibilities within their departments. Their role will support bringing a thorough understanding of related laws and regulations, such as the International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), and Office of Foreign Assets Control (OFAC), and they will demonstrate proven skills in risk-based analysis, decision-making, and communications.

The EC Manager must effectively interface with faculty, postdocs, and research staff to review their research and related activities, both within and outside of the Institute, and must work closely with colleagues in the Office of Research Security, the Offices of Sponsored Research, Technology Transfer and Corporate Partnerships, General Counsel, the Institute's Information Management and System Services, the Institutional Review Entity and Administrative Committee on Biosafety (IBC), and any other relevant regulatory committees or bodies at Caltech to ensure a robust export Compliance program. To this end, it is preferred that the EC Manager will have a background in science or engineering and strong communication skills to facilitate these conversations.

• Supervise Research Security and Import/Export Analyst, as applicable, to coordinate the execution of these essential job duties.
• Oversee the Restricted Party Screening Program for the campus.
• Conduct project assessments and reviews for compliance with export regulations, the NSPM-33/Chips & Science Act, and Caltech policies.
• Assessment and review include review of project personnel, international collaborations, restricted party screenings, compliance with sponsor requirements, and export license determinations. Interface with project personnel to implement any requirements and written rationale in support of review, as required.
• In collaboration with the Caltech Conflict of Interest Manager, review international collaborations for export and NSMP-33/Chips & Science Act compliance; and interface with faculty and researchers to ensure compliance with relevant export and research security requirements and regulations.
• Provide technical review and analysis of technologies and items for both import and export compliance and research security, as applicable, to ensure compliance with regulatory and safeguarding requirements.
• In cooperation with the Director of Research Security and the Conflict of Interest Manager, review research terms and conditions and assist the Office of Sponsored Research and researchers with compliance with research security requirements, including determinations of any export restrictions that may apply.
• Work closely with researchers, staff, and internal and external stakeholders to assess and address existing and potential export control and research security issues.
• Work with researchers to gather sufficient information to conduct export classification/license determination of projects and shipments, including classification/license determinations of hardware, software, technical data, technology transfers, and preparation of export licenses.
• Interface with staff and researchers to conduct export license determinations for the Department of Homeland Security I-129 process.
• Prepare and submit export licenses, Technology Control Plans, Security Plans, and serve as primary liaison between customs broker and Caltech.
• Work with the Caltech Conflict of Interest Manager, the Office of Research Compliance, and other offices, as applicable, to develop procedures to ensure import and export and research security compliance guidance to campus researchers and staff.
• In cooperation with the Director of Research Security, Conflict of Interest Manager, and the Research Security and Import/Export Analyst, review research terms and conditions and assist the Office of Sponsored Research and researchers with compliance with research security requirements, including determinations of any export restrictions that may apply.
• Develop procedures and provide export compliance guidance and export awareness training to campus researchers and staff, consistent with current regulatory requirements, and maintain a robust website.
• In conjunction with the Caltech Conflict of Interest Manager and relevant stakeholders, develop and provide export and research security awareness training and other resources to campus process owners and researchers.
• Assist in further developing and updating the export compliance and research security programs and ensure appropriate risk protection.
• Perform internal campus assessments to determine effectiveness of export compliance and research security procedures.
• Perform other related duties as assigned.

• Bachelor's degree, preferably in a scientific or engineering discipline.
• Independent, detail-oriented, reliable, with excellent problem-solving and decision-making skills.
• Excellent verbal and written communication skills with the ability to effectively communicate with faculty, all levels of staff and researchers, government officials, and vendors.
• Ability to interpret government regulations and analyze against technical specifications of a product or technology.
• Proven strong organizational skills and the ability to independently manage and oversee multiple projects and assignments effectively.
• Experience with U.S. Export regulations and laws (ITAR, EAR, and OFAC) and experience with export/import classifications and denied party screening requirements.
• Experience with import and export control commodity classifications and export/import license application preparation and submittal.
• Effective team player with the ability to work well with people.
• Ability to handle confidential matters with discretion and exercise good judgment.
• Excellent organizational skills; ability to work on multiple concurrent tasks and projects, and ability to re-prioritize on a continuous basis.

• MS or PhD in a scientific or engineering discipline.
• Strong engineering or other demonstrated technical background, such as experience working with space flight projects, aerospace/defense industry, or related areas such as semi-conductor, sensor, detector, optics, or laser industries.
• Experience with ITAR, EAR, DOE, OFAC regulations, and NSPM-33, the Chips and Science Act, and related guidance, rules, and regulations.
• Licensed U.S. Customs Broker or good working knowledge of the Harmonized Tariff Code.
• Excellent computer skills; prior experience with eCustoms, Excel, Microsoft Word, AES, SNAP-R, and D-Trade.

• Resume