邢唷��>� MO���L������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������������欹�k ��$bjbj 4*棠[f棠[f$�������00�������������$��E����嘍塂塂塂塂塂塂$鳩�甀�璂������璂���翫����
��嘍��嘍���W,�.����P^a侵�����"�,sD谼0E�,FJ��FJ(.FJ�.h�vgT��D�����璂璂�F���E������������������������������������������������������������������������FJ���������0X�: Export Controls: The Basics
What is an export?
The transfer (shipment, transmission) abroad of controlled technology, information, equipment, software, or services to a foreign national or entity. A "deemed export" can also take place when transmitting the item, technology, information, etc, to a foreign national or entity inside the U.S., including faxes, email, telephone and face-to-face discussions, visual inspections and tours of labs, training sessions, and computer data.
What are export controls?
A series of regulations enforced by federal agencies related to the distribution of certain exports to foreign nationals and countries:
Export Administration Regulations (EAR), issued from the U.S. Department of Commerce for "dual-use technologies" (items that can be used both in military/strategic and commercial applications).
International Traffic in Arms Regulations (ITAR), issued from the U.S. Department of State for inherently military technologies
Office of Foreign Assets Control (OFAC), under the U.S. Department of the Treasury, prohibits transactions with countries subject to embargo, boycott or economic sanctions
Why impose export controls?
Export control regulations restrict the export of goods and technologies that could directly and indirectly contribute to the military potential of other countries. Export controls can also prevent the creation of weapons of mass destruction, as well as terrorism and other similar activities. Though export controls have existed for many decades, the advent of 9/11 brought increased attention to their enforcement, including the scrutiny of university activities.
Who is a foreign national?
A foreign national is any natural person who is not a lawful permanent resident of the U.S. or who is not a "protected individual." ITAR also defines foreign national to include any corporation, business association, partnership society, trust, or any other entity, organization, or group that is not incorporated to do business in the U.S. (including governmental entities).
What is excluded from export controls?
Fundamental Research: basic and applied research in science and engineering performed by U.S. institutions of higher education, the results of which are published and shared broadly within and beyond the scientific community.
Education: sharing of information concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain.
Public Domain: sharing of technical data or information with a foreign national inside the U.S. as part of a class, laboratory, or conference or seminar, if the same technical data or information has already been widely published or is available to the public.
Employment: no license is required if the foreign person is a full-time regular university employee and has a permanent address in the U.S. while employed, provided that the person is
not a national of a country to which exports are prohibited
advised in writing not to share controlled information with other foreign persons
This exclusion does NOT apply to graduate students.
Government Sponsored Research: contracts for government-sponsored research already include security controls.
What if no exclusions apply to my export?
When exclusions do not apply and a license is required (as determined by the nature of the export in question), the license must be obtained before the exporting takes place. Please note that obtaining an export license can take a few months. Plan ahead!
What are the penalties for violating export control regulations?
Violations of export control regulations are subject to both civil and criminal penalties against both the individual and the institution. This includes criminal fines of up to $1M for a university and $250,000-$1M for individuals, up to 10 years in prison, seizure of articles, loss of export privileges, etc.
How do I know if I need an export license?
In order to determine whether or not you need to secure an export license, ask yourself the following questions:
What are the nationalities of the research team members/collaborators (including graduate students)?
Will the results be publicly available? (e.g. presentations, publication, website, etc)
Does the project involve any of the categories being regulated?
Will there be restrictions?
on publications
on access
on dissemination
on proprietary information
Will I be receiving any restricted information?
Destination: is the research/equipment/data, etc, going overseas to a foreign company, government, or individual?
What do the end-users intend to do with the research results?
The answers to these initial questions will help to determine the needs (if any) for addressing export control regulations applicable to your work. Please be aware that export controls do not pertain just to extramurally sponsored projects.
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