Professional Development Institute CSU 2016 Research with International Students and Scholars – Export Compliance for CSU Professional Development Institute CSU 2016 January 13, 2016

Panel Members Lisa Pappas, Office of International Programs Paul Collier, Office of International Programs Grant Calhoun, Office of the General Counsel Claire Calhoun, Office of the Vice President for Research

Agenda Export Basics & Risks Bringing Research Talent to CSU, H-1B Temporary Work Visas Exchange Visitors (J-1) Safeguards at CSU Scenarios

Export Control Restrictions Culture of Compliance CSU Export Control Policy: Link Depts. of State, Commerce, Treasury, FBI, DHS Definitions: Export, Deemed Export, Re-export, Technology Control Plan, Export License, Fundamental Research, Export Reform Areas Affected: Faculty, Visiting Scientists and Students, Hiring, Admissions, International Travel, and Shipping Actions: Educate, Advise, Screen, Protect Technology, Prior Authorization Export Control – applies to technology between public domain and national security classified CSU Policy, revised effective 1 Sep 2015 Sponsored Research FRE applies to most research at CSU and other universities – however, publication limits, nationality restrictions, and work done outside US: no FRE Visiting Researchers and Students - Restricted Party Screening New Hires Temporary Work Visas (H-1B) International Students Visa Application Considerations Research Project Sensitivity, Restrictions Individual Researcher or Student Restrictions on Primary Investigator’s Other Projects Level of Department’s Export Restrictions International Travel and Shipping International Travel Advice – Case by Case: Meet in Person Pre-Travel Voucher Notifications to Risk Management and Export Control Restricted Party Screening for Shipping Canvas Learning Management System – Blocks Access from Sanctioned Countries Export License – General or Specific

Risks to People and the University Prof. John Reece Roth, University of Tennessee, Four Years Prison, Co-PI Barred from Receiving Federal Grants Univ. Massachusetts-Lowell, $100K Penalty: EAR99 to Pakistan Research Agency on Commerce/BIS Entity List Iowa State Student Wentong Cai, Recruited by Cousin in China, Exported ITAR Sensors in Speakers 18-month sentence

Bringing Research Talent to CSU H-1B Temporary Work Visas Role of International Programs Export Control Review – Existing Process

Bringing Research Talent to CSU J-1 Exchange Visitor Scholar Visas Role of International Programs Export Control Review – New Risk-Based Process Conducted Risk Assessment Considered Universal Checks Studied Nationality Focus Decided on Technology (Department) Focus

Decision Tree Researcher Visa Type Temporary Work Visa H-1B Exchange Visitor Scholars, J-1 Engineering, Veterinary Medicine, Bioagricultural Sciences, Biology, Chemistry, Computer Science, or as Needed Yes No Conduct Export Review No Export Review Required

Safeguards at CSU Visa Reviews Restricted Party Screening Travel Advice Canvas Learning Management System

Hypothetically… SCENARIO 1 Professor Z has been awarded a grant to conduct research comparing and reconciling wind speed readings from 4500 data collection sites with cloud pattern information gathered by orbiting satellites. Professor Z is on a short schedule to get his project up and running which will require having three postdocs working on the project in about a month. The three candidates Professor Z has identified for the postdoc positions are from China, Canada and Iran. All three postdocs will have duties that involve analyzing data and writing reports for publication and presentation. One postdoc must specifically have expertise in identifying anomalies in weather satellite data associated with non-climatic signals.

Hypothetically… SCENARIO 2 Professor X is performing fundamental research on how penguins play underwater tag, using military sonar equipment and non- military GPS gear. He is on location in Chile and Antarctica. Professor X has three graduate assistants. The two with him on assignment are from Canada and China, although the Chinese student is now a citizen of the U.K. The third is back on campus crunching the numbers, and she is from Iran. The research is funded by National Geographic, which is withholding publication rights to the results in case there is something juicy, and they want to use it on their penguin reality television show.

Hypothetically… SCENARIO 3 Professor Y runs a lab where her undergrads do assigned lab work, and the graduate students do sponsored research. In particular, they use a high-powered electron microscope, which is controlled by the Commerce Department under the EAR. On the other side of the lab, another professor has a plasma thruster he uses to test materials, which is controlled by the State Department under the ITAR. Professor Y invites her colleagues from Germany, China, Pakistan, and Iran to campus for a visit. They visit the lab, looking at all the projects taking place. Professor Y gives a draft of her new research paper in development to all of her visitors on hyper-encrypted flash drives. The guests tour the local breweries and go home to their respective countries.

Red Flags Publication Limits Nationality Restrictions Work outside the U.S. Sanctions and Denied Parties International Travel Requirement for Authorization Before Sharing Technology

Questions Export Control Administrator, Scot Allen, (970) 491-1563, scot.allen@colostate.edu