Survey of STEM Faculty in Higher Education, Experience of Export Controls

This study presents detailed data and commentary on the experience of higher education faculty predominantly in technology oriented areas, with their university export controls policies.

The study examines familiarity with policies and training programs, and their views on the ease of use, need for, and effectiveness of export controls offices in higher education. The report helps its end users to answer questions such as: how much do faculty know about export controls? How many have taken or plan to take export controls training? How do they view the effectiveness of such training? How much time do they spend on export controls and related issues? How could the process be made more efficient? How many and which faculty have authored or contributed to export control technology plans? How commonly is the fundamental research exclusion provision understood by faculty? How do faculty perceive requirements to take export controls training? What can export controls authorities do to make the process more seamless and productive?

Data in the report is broken out by many institutional and personal variables, enabling the study’s end users to pinpoint use of and evaluation of export control training and strictures by gender, ethnicity, academic field, level of lifetime grant receipts and other variables. Data is based on a survey of 240 faculty, predominantly from research universities and medical schools.

Just a few of this 124-page report’s many findings are that:

A significant portion of the entire sample (44.35%) reported having no knowledge about their university's export control and technology sanctions compliance policies.
7.53% of the entire sample have ever authored or contributed to an export control plan.
14.29% of engineering faculty in the sample understand clearly or very clearly what is generally contained in export control plans.

THE QUESTIONNAIRE

Characteristics of the sample

INSTITUTIONAL AFFILIATIONS OF THE SURVEY PARTICIPANT LIST

SUMMARY OF MAIN FINDINGS

General Familiarity with Export Control Policies (Table 1.1 - 1.9)
Views on the Need for Personnel Clearance and Briefing Procedures in Technology Control Plans (Table 2.1 - 2.9)
Percentage of Faculty Who Have Ever Authored or Contributed to an Export Control Plan (Table 3.1 - 3.5)
Percentage of Faculty Who Understand the Fundamental Research Exclusion Provision of US Export Control Laws (Tables 4.1 - 4.9)
Faculty Time Spent on Export Controls and Technology Sanctions (Tables 5.1 - 5.9)
Perception of Changes in Time Spent on Export Controls (Tables 6.1 - 6.9)
Participation in Export Control Compliance Courses (Tables 7.1 - 7.9)
Faculty Clarity on What is Contained in Technology Control Plans (Tables 8.1 - 8.9)
Perceived Effectiveness of Export Control Monitoring at One’s Institution (Tables 9.1 - 9.9)
Evaluation of Effectiveness of Export Controls and Technology Sanctions Compliance Training (Tables 10.1 - 10.9)
Requirements to Take Training Sessions or Certification in Export Controls or Sanctions Policy (Tables 11.1 - 11.9)
Participation in the Collaborative Institutional Training Initiative for Export Compliance (CITI) (Tables 12.1 - 12.9)
Number of Technology Control Plans Faculty Have Ever Been Involved With (Tables 13.1 - 13.9)
Evaluation of Productivity of the Technology Control Plan Process (Tables 14.1 - 14.9)
Perceived Necessity of Technology Control Plans (Tables 15.1 - 15.9)
Clarity of Personnel Clearance and Briefing Procedures (Tables 16.1 - 16.9)
Views on the Comprehensiveness of Security Measures to Safeguard Technology and Documents (Tables 17.1 - 17.9)
Table 1.1 How familiar are you with your university’s export control and technology sanctions policies?
Table 1.2 How familiar are you with your university’s export control and technology sanctions policies? Broken out by enrollment
Table 1.3 How familiar are you with your university’s export control and technology sanctions policies? Broken out by age of respondent
Table 1.4 How familiar are you with your university’s export control and technology sanctions policies? Broken out by political views
Table 1.5 How familiar are you with your university’s export control and technology sanctions policies? Broken out by lifetime receipt of research grants
Table 1.6 How familiar are you with your university’s export control and technology sanctions policies? Broken out by tenure status
Table 1.7 How familiar are you with your university’s export control and technology sanctions policies? Broken out by gender of respondent
Table 1.8 How familiar are you with your university’s export control and technology sanctions policies? Broken out by race or ethnicity
Table 1.9 How familiar are you with your university’s export control and technology sanctions policies? Broken out by academic field
Table 2.1 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans?
Table 2.2 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans? Broken out by enrollment
Table 2.3 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans? Broken out by age of respondent
Table 2.4 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans? Broken out by political views
Table 2.5 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans? Broken out by lifetime receipt of research grants
Table 2.6 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans? Broken out by tenure status
Table 2.7 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans? Broken out by gender of respondent
Table 2.8 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans? Broken out by race or ethnicity
Table 2.9 In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans? Broken out by academic field
Table 3.1 Have you ever authored or contributed to an export control plan?
Table 3.2 Have you ever authored or contributed to an export control plan? Broken out by enrollment
Table 3.3 Have you ever authored or contributed to an export control plan? Broken out by age of respondent
Table 3.4 Have you ever authored or contributed to an export control plan? Broken out by political views
Table 3.5 Have you ever authored or contributed to an export control plan? Broken out by lifetime receipt of research grants
Table 3.6 Have you ever authored or contributed to an export control plan? Broken out by tenure status
Table 3.7 Have you ever authored or contributed to an export control plan? Broken out by gender of respondent
Table 3.8 Have you ever authored or contributed to an export control plan? Broken out by race or ethnicity
Table 3.9 Have you ever authored or contributed to an export control plan? Broken out by academic field
Table 4.1 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws?
Table 4.2 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws? Broken out by enrollment
Table 4.3 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws? Broken out by age of respondent
Table 4.4 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws? Broken out by political views
Table 4.5 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws? Broken out by lifetime receipt of research grants
Table 4.6 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws? Broken out by tenure status
Table 4.7 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws? Broken out by gender of respondent
Table 4.8 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws? Broken out by race or ethnicity
Table 4.9 How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws? Broken out by academic field
Table 5.1 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies?
Table 5.2 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies? Broken out by enrollment
Table 5.3 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies? Broken out by age of respondent
Table 5.4 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies? Broken out by political views
Table 5.5 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies? Broken out by lifetime receipt of research grants
Table 5.6 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies? Broken out by tenure status
Table 5.7 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies? Broken out by gender of respondent
Table 5.8 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies? Broken out by race or ethnicity
Table 5.9 How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies? Broken out by academic field
Table 6.1 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same?
Table 6.2 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by enrollment
Table 6.3 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by age of respondent
Table 6.4 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by political views
Table 6.5 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by lifetime receipt of research grants
Table 6.6 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by tenure status
Table 6.7 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by gender of respondent
Table 6.8 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by race or ethnicity
Table 6.9 Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by academic fiel
Table 7.1 Have you ever taken a course in export control compliance?
Table 7.2 Have you ever taken a course in export control compliance? Broken out by enrollment
Table 7.3 Have you ever taken a course in export control compliance? Broken out by age of respondent
Table 7.4 Have you ever taken a course in export control compliance? Broken out by political views
Table 7.5 Have you ever taken a course in export control compliance? Broken out by lifetime receipt of research grants
Table 7.6 Have you ever taken a course in export control compliance? Broken out by tenure status
Table 7.7 Have you ever taken a course in export control compliance? Broken out by gender of respondent
Table 7.8 Have you ever taken a course in export control compliance? Broken out by race or ethnicity
Table 7.9 Have you ever taken a course in export control compliance? Broken out by academic field
Table 8.1 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not?
Table 8.2 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not? Broken out by enrollment
Table 8.3 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not? Broken out by age of respondent
Table 8.4 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not? Broken out by political views
Table 8.5 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not? Broken out by lifetime receipt of research grants
Table 8.6 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not? Broken out by tenure status
Table 8.7 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not? Broken out by gender of respondent
Table 8.8 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not? Broken out by race or ethnicity
Table 8.9 In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not? Broken out by academic field
Table 9.1 How effective is export controls monitoring at your institution?
Table 9.2 How effective is export controls monitoring at your institution? Broken out by enrollment
Table 9.3 How effective is export controls monitoring at your institution? Broken out by age of respondent
Table 9.4 How effective is export controls monitoring at your institution? Broken out by political views
Table 9.5 How effective is export controls monitoring at your institution? Broken out by lifetime receipt of research grants
Table 9.6 How effective is export controls monitoring at your institution? Broken out by tenure status
Table 9.7 How effective is export controls monitoring at your institution? Broken out by gender of respondent
Table 9.8 How effective is export controls monitoring at your institution? Broken out by race or ethnicity
Table 9.9 How effective is export controls monitoring at your institution? Broken out by academic field
Table 10.1 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively?
Table 10.2 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively? Broken out by enrollment
Table 10.3 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively? Broken out by age of respondent
Table 10.4 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively? Broken out by political views
Table 10.5 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively? Broken out by lifetime receipt of research grants
Table 10.6 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively? Broken out by tenure status
Table 10.7 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively? Broken out by gender of respondent
Table 10.8 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively? Broken out by race or ethnicity
Table 10.9 If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively? Broken out by academic field
Table 11.1 Are you required to take some kind of training or certification in export control or technology sanctions policy?
Table 11.2 Are you required to take some kind of training or certification in export control or technology sanctions policy? Broken out by enrollment
Table 11.3 Are you required to take some kind of training or certification in export control or technology sanctions policy? Broken out by age of respondent
Table 11.4 Are you required to take some kind of training or certification in export control or technology sanctions policy? Broken out by political views
Table 11.5 Are you required to take some kind of training or certification in export control or technology sanctions policy? Broken out by lifetime receipt of research grants
Table 11.6 Are you required to take some kind of training or certification in export control or technology sanctions policy? Broken out by tenure status
Table 11.7 Are you required to take some kind of training or certification in export control or technology sanctions policy? Broken out by gender of respondent
Table 11.8 Are you required to take some kind of training or certification in export control or technology sanctions policy? Broken out by race or ethnicity
Table 11.9 Are you required to take some kind of training or certification in export control or technology sanctions policy? Broken out by academic field
If export controls of technology sanctions compliance training is required what is the penalty for failure to comply?
Table 12.1 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training?
Table 12.2 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by enrollment
Table 12.3 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by age of respondent
Table 12.4 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by political views
Table 12.5 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by lifetime receipt of research grants
Table 12.6 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by tenure status
Table 12.7 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by gender of respondent
Table 12.8 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by race or ethnicity
Table 12.9 As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by academic field
Table 13.1 Over the past three years, how many technology control plans have you been involved in developing or implementing?
Table 13.2 Over the past three years, how many technology control plans have you been involved in developing or implementing? Broken out by enrollment
Table 13.3 Over the past three years, how many technology control plans have you been involved in developing or implementing? Broken out by age of respondent
Table 13.4 Over the past three years, how many technology control plans have you been involved in developing or implementing? Broken out by political views
Table 13.5 Over the past three years, how many technology control plans have you been involved in developing or implementing? Broken out by lifetime receipt of research grants
Table 13.6 Over the past three years, how many technology control plans have you been involved in developing or implementing? Broken out by tenure status
Table 13.7 Over the past three years, how many technology control plans have you been involved in developing or implementing? Broken out by gender of respondent
Table 13.8 Over the past three years, how many technology control plans have you been involved in developing or implementing? Broken out by race or ethnicity
Table 13.9 Over the past three years, how many technology control plans have you been involved in developing or implementing? Broken out by academic field
Table 14.1 In general, about how streamlined and productive has the technology control plan process been at your university?
Table 14.2 In general, about how streamlined and productive has the technology control plan process been at your university? Broken out by enrollment
Table 14.3 In general, about how streamlined and productive has the technology control plan process been at your university? Broken out by age of respondent
Table 14.4 In general, about how streamlined and productive has the technology control plan process been at your university? Broken out by political views
Table 14.5 In general, about how streamlined and productive has the technology control plan process been at your university? Broken out by lifetime receipt of research grants
Table 14.6 In general, about how streamlined and productive has the technology control plan process been at your university? Broken out by tenure status
Table 14.7 In general, about how streamlined and productive has the technology control plan process been at your university? Broken out by gender of respondent
Table 14.8 In general, about how streamlined and productive has the technology control plan process been at your university? Broken out by race or ethnicity
Table 14.9 In general, about how streamlined and productive has the technology control plan process been at your university? Broken out by academic field
Table 15.1 In general, how necessary do you believe these technology control plans to be?
Table 15.2 In general, how necessary do you believe these technology control plans to be? Broken out by enrollment
Table 15.3 In general, how necessary do you believe these technology control plans to be? Broken out by age of respondent
Table 15.4 In general, how necessary do you believe these technology control plans to be? Broken out by political views
Table 15.5 In general, how necessary do you believe these technology control plans to be? Broken out by lifetime receipt of research grants
Table 15.6 In general, how necessary do you believe these technology control plans to be? Broken out by tenure status
Table 15.7 In general, how necessary do you believe these technology control plans to be? Broken out by gender of respondent
Table 15.8 In general, how necessary do you believe these technology control plans to be? Broken out by race or ethnicity
Table 15.9 In general, how necessary do you believe these technology control plans to be? Broken out by academic field
Table 16.1 In general, how clear were the personnel clearance and briefing procedures in the technology control plans?
Table 16.2 In general, how clear were the personnel clearance and briefing procedures in the technology control plans? Broken out by enrollment
Table 16.3 In general, how clear were the personnel clearance and briefing procedures in the technology control plans? Broken out by age of respondent
Table 16.4 In general, how clear were the personnel clearance and briefing procedures in the technology control plans? Broken out by political views
Table 16.5 In general, how clear were the personnel clearance and briefing procedures in the technology control plans? Broken out by lifetime receipt of research grants
Table 16.6 In general, how clear were the personnel clearance and briefing procedures in the technology control plans? Broken out by tenure status
Table 16.7 In general, how clear were the personnel clearance and briefing procedures in the technology control plans? Broken out by gender of respondent
Table 16.8 In general, how clear were the personnel clearance and briefing procedures in the technology control plans? Broken out by race or ethnicity
Table 16.9 In general, how clear were the personnel clearance and briefing procedures in the technology control plans? Broken out by academic field
Table 17.1 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents?
Table 17.2 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents? Broken out by enrollment
Table 17.3 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents? Broken out by age of respondent
Table 17.4 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents? Broken out by political views
Table 17.5 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents? Broken out by lifetime receipt of research grants
Table 17.6 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents? Broken out by tenure status
Table 17.7 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents? Broken out by gender of respondent
Table 17.8 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents? Broken out by race or ethnicity
Table 17.9 In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents? Broken out by academic field

THE QUESTIONNAIRE

1. Please answer the following:

A. Name:
B. Institution
C. Title (associate, professor, instructor, etc.)
D. Academic Field
E. Country:
F. Email Address:

2. Which Carnegie Class description best fits your college?

A. Community College
B. BA-Granting Institution
C. Specialized College (i.e., performing arts, seminary, etc.)
D. MA-PHD Granting College
E. Level 1 or Level 2 Research University

3. Your college or university is public or private?

A. Public
B. Private

4. What is the approximate full time equivalent enrollment of your college/university?

5. Which age band best describes you:

A. 30 or Under
B. 31-
C. 40-
D. 50-
E. 60 or over

6. Which phrase best describes your political views

A. Left of Liberal
B. Liberal
C. Middle of the Road
D. Conservative
E. Right of Conservative

7. What amount best approximates your lifetime receipt of research grants

A. Never received a grant
B. Less than $100,
C. $100,000 to $500,
D. $500,000 to $2,000,
E. $2,000,000 to $10,000,
F. More than $10,000,

8. You are:

A. Tenured
B. Not tenured but on a tenure track
C. Not tenured and not on a tenure track

9. Which phrase best describes your gender?

A. Female
B. Male
C. Transgender

10. Which phrase best describes your race or ethnicity

A. White or Caucasian
B. Black or African American
C. Hispanic or Latino
D. Asian or Asian American
E. Indigenous
F. Mixed Race

11. Your academic field is best described by which of the following designations

A. Social Sciences
B. Engineering
C. Economics/Finance
D. Medicine
E. Mathematics/Statistics/Computer Science
F. Hard Sciences (Chemistry, Biology, Physics)
G. Allied Health: Nursing, Occupation or Physical Therapy, Nutrition, etc.
H. Earth and Environmental Sciences
I. Architecture
J. Other (please specify)

12. How familiar are you with your university’s export control and technology sanctions policies?

A. I am highly familiar and have detailed knowledge
B. I have a general idea but need some guidance
C. I have some idea but need extensive guidance
D. Really, I have only a vague idea and need serious assistance
E. Don't know anything about it at all

13. In general, in your view, how truly necessary were the personnel clearance and briefing procedures in the technology control plans?

A. Always
B. Usually
C. Sometimes
D. Rarely
E. Never

14. Have you ever authored or contributed to an export control plan?

A. Yes
B. No

15. How clearly do you understand the following: the "Fundamental Research" exclusion provision of US export control laws?

A. Extremely clearly
B. Generally clearly
C. Somewhat clearly
D. Not so clearly
E. Not at all clearly

16. How much time, in total hours, have you spent in the past year on matters related to export controls and technology sanctions policies?
Other (please specify)

17. Over the past three years, the amount of time you spend on issues related to the export or control of technology has increased, decreased or remained about the same?

A. Decreased significantly
B. Decreased
C. Remained about the same
D. Increased
E. Increased significantly
18. Have you ever taken a course in export control compliance?

A. Yes
B. No

19. In technology control plans (US government required plans for business and higher education to safeguard export or communication of restricted technologies) generally how clear is it to you exactly what is covered and what is not?

A. Extremely clear
B. Very clear
C. Somewhat clear
D. Not so clear
E. Not at all clear
F. No experience with this at all

20. How effective is export controls monitoring at your institution?

A. Extremely effective
B. Very effective
C. Somewhat effective
D. Not so effective
E. Not at all effective
F. Not really sure

21. If you have received training in export controls and technology sanctions compliance, how effective was it at enabling you to comply with export control regulations efficiently and effectively?

Extremely effective
Very effective
Somewhat effective
Not so effective
Not at all effective

22. Are you required to take some kind of training or certification in export control or technology sanctions policy?

A. Yes, already taken it
B. Yes, planning to comply
C. Not required as far as I know
D. Not really sure

23. If export controls of technology sanctions compliance training is required what is the penalty for failure to comply?

24. As far as you know, does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training?

A. Yes
B. No
C. Not really sure

25. Over the past three years, how many technology control plans have you been involved in developing or implementing?

26. In general, about how streamlined and productive has the technology control plan process been at your university?

A. Highly bureaucratic and unproductive
B. Generally slow and somewhat burdensome
C. Usually relatively well functioning
D. Streamlined and efficient

27. In general, how necessary do you believe these technology control plans to be?

A. Extremely necessary
B. Necessary
C. Sometimes necessary
D. Usually not necessary
E. Not at all necessary

28. In general, how clear were the personnel clearance and briefing procedures in the technology control plans?

A. Extremely clear
B. Very clear
C. Somewhat clear
D. Not so clear
E. Not at all clear

29. In general how comprehensive are the security measures at your university to safeguard sensitive technologies and documents?

A. Not really comprehensive enough
B. About right
C. Too comprehensive, complicating research

INSTITUTIONAL AFFILIATIONS OF THE SURVEY PARTICIPANT LIST

Albert Einstein College of Medicine
Baylor College of Medicine
Boston College
Brigham Young University
Cal State Univ San Bernardino
California Northstate University
California State University, San Bernardino
Caltech
Carleton College
Carnegie Mellon University
Colgate University
CU Boulder
CUNY City College
Dartmouth College
DPBH
Drexel University
Flathead Valley Community College
Florida Atlantic University
Florida State University
Framingham State University
Friedman Nutrition School Tufts University
Graduate Center City Univ. NY
GVSU
Harvard University
Hofstra Medical School
Icahn School of Medicine
Jacobi Medical Center
JHSPH
Johns Hopkins University
Johnson & Wales University
Kent State University
KSOM of USC
Lincoln University
Loma Linda university
Louisiana Tech University
Loyola Marymount University
LSU Health Sciences Center
Medical College of Wisconsin
Miami Dade College
Michigan State University
Middlebury College
Montefiore Einstein
Morrison
NC State University
Norfolk State University
Norris Cancer Center
North Carolina State University
North Shore Community College
Ohio State University
Okinawa Institute of Science and Technology
Oklahoma State University
Old Dominion University
Oregon State University
Penn State University - UP
Phelps Northwell
SUNY- University at Buffalo
Texas Christian University
Texas State University
The City College of New York
The Cooper Union
The State University of New York at Buffalo
The University of Cincinnati
Tidewater Community College
Tufts University
Tusculum University
UAB
UC Davis
UC Irvine
UC Riverside
UC Riverside
UC Santa Barbara
UCCS
UCLA
UCSB
UMass Med School
UMBC
Union College
University at Buffalo
University of Arizona
University of Arkansas
University of Arkansas Clinton School of Public Service
University of California, Berkeley
University of Central Florida
University of Cincinnati
University of Colorado Anschutz Medical Campus
University of Colorado Denver
University of Florida
University of Maryland, Baltimore County
University of Minnesota
University of Mississippi
University of Oregon
University of Sioux Falls
University of Southern California, School of Pharmacy
University of Tennessee
University of Texas at Dallas
University of Utah
University of Wisconsin-Milwaukee
Utah State University
UW Milwaukee
Virginia Tech
Warner Pacific University
Weill Cornell Medical College
West Virginia University

Methodology

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Just a few of this 124-page report’s many findings are that:

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Methodology

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