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

2. 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

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

4. 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

5. 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

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

7. 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

8. 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

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

10. 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.

11. 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.

12. 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.

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

14. Questions
Export Control Administrator, Scot Allen, (970) ,