2. EXPORT CONTROLS

3. The U.S. Government regulates the
WHAT IS EXPORT CONTROL
The U.S. Government regulates the
Transfer of Information
Commodities
Technology
Software
Strategically important to U.S. National Security, Economic Security, and/or Foreign Policy Concerns.

4. Three Primary Government Agencies Regulating Exports
Department of Commerce
Department of State
Department of Treasury

5. NDSU EXPORT CONTROL POLICY
It is the policy of the university that all personnel, including faculty, staff, students, visiting scientists and scholars, post-doctoral fellows, and all other persons retained by or working at the university comply with all U.S. laws and regulations as they relate to university activities including all export control regulations.
As an accredited U.S. academic institution, the vast majority of the university’s activities are shielded from Export Controls under the
Fundamental Research
Educational Information
Public Information Exclusions

6. NDSU EXPORT CONTROL POLICY
In order to qualify as Fundamental Research, research must
be conducted freely and openly
with no restrictions on publication
no restrictions on the participation or access by foreign nationals
It is the university’s long-standing practice to pursue its teaching, research, and service missions in a free and open manner, allowing full participation in all educational and research opportunities by all foreign nationals and further, insisting on the unrestricted dissemination and sharing of research results with the global research community.

7. WHAT DO NDSU PERSONNEL NEED TO DO?
EXPORT CONTROL
In order to ensure compliance with export controls, it is critically important for university personnel to identify when their activities may trigger export controls. When export controls apply, individuals must take the appropriate steps to
obtain any required governmental licenses
monitor and control access to restricted information
safeguard all controlled materials
WHAT DO NDSU PERSONNEL NEED TO DO?

8. WHAT ACT MIGHT TRIGGER EXPORT CONTROL
Science and Engineering Research
Space Technology & Satellites; Missile Technology
Nuclear Technology; Military or Defense Articles and Services;
High Performance Computing; Encryption Technology
Chemical/
Biological Weapons; Select Agents and Toxins
Dual Use Technologies; Medical Lasers
Research in export restricted science and engineering areas – examples include:

9. EXPORT CONTROL Overseas Travel
High Tech Equipment
Confidential Information
Unpublished Information
Proprietary Information
Proprietary Data
Traveling with certain types of high tech equipment including but not limited to advanced GPS units, scientific equipment, or with controlled, proprietary or unpublished data in any format may require an export license depending on your travel destination. See International Travel for more information.

10. EXPORT CONTROL
Proprietary Confidential
Controlled Information
Items
Outside Technology
Not Protected
Subject to Export Controls
University activities involving the use of export controlled information, items, or technology received from outside the university are not protected under the Fundamental Research Exclusion and all research involving the use of export restricted technology is subject to all export controls.

11. Restriction On Sponsored Research
EXPORT CONTROL
Restriction On Sponsored Research
Personal
Publication
Dissemination
The vast majority of research done at the university is shielded from export controls under the Fundamental Research Exclusion. However, this protection is lost whenever the university or the researcher agrees to allow any restrictions on the publication, dissemination, or access to the research by foreign nationals.

12. EXPORT CONTROL Shipping Items Overseas
Project Information Transfer
Equipment
Materials
Technology
All Subject to Export Control
University activities that involve the transfer of project information, equipment, materials, or technology out of the U.S. by whatever means will be subject to export controls and may require export license(s) depending on the item, destination, recipient, and end-use.

13. International Transactions
EXPORT CONTROL
Financial Support
International Transactions
Payment of Funds
Non U.S. Persons Abroad
Blocked Entity
Sanctioned Entity
University activities that involve the international payment of funds to non-U.S. persons abroad need to be verified to ensure that the university is not inadvertently providing financial assistance to a blocked or sanctioned entity. Examples include providing support via a subcontract to a non-U.S. university or providing payments to research subjects in other countries. Contact if your activity involves payment to persons or organizations outside the U.S.

14. EXPORT CONTROL International Collaborations
International Presentations
Foreign National Faculty
Foreign National Students
Foreign National Staff
Visiting Foreign Scientist
Foreign Collaborator(s)
University activities that involve foreign national faculty, students, staff, visiting foreign scientists or collaborator(s), or other foreign entities (e.g., non-U.S. company, university or other organization) or research that will include travel to international conferences to present unpublished results may be subject to export controls especially if any of the foreign nationals are from embargoed or sanctioned countries. See International Collaborations for more information.

15. International Consulting Prohibited Professional Services
EXPORT CONTROL
International Consulting Prohibited
Professional Services
Iran
Syria
Cuba
Sudan
North Korea)
Providing professional consulting services overseas, especially to embargoed or sanctioned countries (e.g., Iran, Syria, Cuba, Sudan and North Korea) is, in most cases, strictly prohibited.

16. WHAT HAPPENS IF WE VIOLATE THE EXPORT CONTROL LAWS?
The consequences for noncompliance are very serious for both the University and the investigator (including fines up to $1,000,000 and/or imprisonment up to 10 years for individuals). These penalties apply to single violations; multiple violations in the same project can easily result in enormous penalties.
Violations under the EAR (Export Administration Regulations) can bring civil penalties of $10,000 to $120,000 per violation and criminal penalties of $50,000 to $1 million per violation along with up to 10 years in prison.
Violations under OFAC regulations (Office of Foreign Assets Control) can bring civil penalties of $250,000 per violation and criminal penalties of up to 20 years in prison.
Violations under the ITAR (International Traffic in Arms Regulations) can bring civil penalties of $500,000 per violation and criminal penalties of up to $1 million per violation along with up to 20 years in prison.

17. Academia and Export Controls – Case Study
Dr. J Reece Roth was the sub-recipient of an U.S. Air Force (USAF) contract to develop plasma actuators to control the flight of small, subsonic, unmanned, military drone aircraft. These activities are controlled by the Arms Export Control Act which forms the basis for the International Traffic in Arms Regulations (ITAR).
The Arms Export Control Act prohibits the export of defense-related materials, including the technical data, to a foreign national or a foreign nation.

18. Academia and Export Controls – Case Study Cont.
During the course of that contract,
He allowed two foreign national students to access export controlled data and equipment.
He exported some of the data from the contract by taking his laptop on a trip to China.
He had difficulties with his while visiting China so he had a foreign national graduate student a report on the project to a Chinese colleague.
He was convicted of:
One count of conspiring with the prime contractor to unlawfully export 15 different “defense articles” to a citizen of the People’s Republic of China in violation of the Arms Export Control Act.
He was charged with Fifteen counts of violating the Arms Export Control Act.
One count of wire fraud.

19. EXPORT CONTROL
Lessons Learned
Criminal penalties are a possibility for violating export control laws and regulations.
While the Fundamental Research Exclusion covers many of the research activities at a university, it does have limitations.
Care must be taken to insure that export control data and/or technology is not taken out of the country without the proper permits/licenses in place.