Export Control FAQs

The U.S. government regulates the transfer of information, commodities, technology, and software considered to be strategically important to the U.S. in the interest of national security, economic and/or foreign policy concerns. 有一个复杂的联邦机构网络和相互关联的法规管理出口，统称为“出口管制”."

In brief, Export Controls regulate the shipment or transfer, by whatever means, of controlled items, software, technology, or services out of U.S. (termed an "Export"). Perhaps of even more consequence to the university, is that the government also restricts the release of certain information to foreign nationals here in the U.S. (referred to as a "Deemed Export").

出口管制有可能严重限制大学教师及其学生和工作人员的研究机会, as well as to prevent international collaboration in certain research areas. 不遵守出口管制可能导致对个人和大学的严厉的金钱和刑事处罚, and can result in the loss of research contracts, governmental funding, and the ability to export items.

The policy is located on the Office of Research website at: http://r.stagnesemmaus.com/research/compliance/export-control.php

Research in export restricted science and engineering areas – examples include:

• Military or Defense Articles and Services
• High Performance Computing
• Dual Use Technologies (technologies with both a military and commercial application)
• Encryption Technology
• Missiles & Missile Technology
• Chemical/Biological Weapons
• Nuclear Technology
• Nuclear Technology
• Space Technology & Satellites
• Medical Lasers

Traveling overseas with high tech equipment, confidential, unpublished, or proprietary information or data – Traveling with certain types of high tech equipment including but not limited to advanced GPS units, scientific equipment, or with controlled, proprietary or unpublished data in any format may require an export license depending on your travel destination.

Traveling with laptop computers, web-enabled cell phones and other personal equipment – Laptop computers, web-enabled cell phones, 其他包含加密硬件或软件和/或专有软件的电子产品可能需要向某些目的地出口许可证. In general, an export license will be required to take any items to or through any U.S. sanctioned country (e.g., Iran, Syria, Cuba, Sudan, and North Korea).

Use of 3rd Party Export Controlled Technology or Information – University activities involving the use of export controlled information, items, 或从大学以外获得的技术不受基础研究排除的保护，所有涉及使用出口限制技术的研究都受到所有出口管制.

Sponsored research containing contractual restrictions on publication or dissemination -在大学进行的绝大多数研究都受到基础研究排除的保护，不受出口管制. However, 一旦大学或研究人员同意对论文发表进行任何限制，这种保护就会失效, dissemination, or access to the research by foreign nationals.

Shipping or Taking Items Overseas – 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.

Providing Financial Support/International Financial Transactions – University activities that involve the international payment of funds to non-U.S. 需要对海外人员进行核实，以确保大学不会无意中向被封锁或制裁的实体提供财政援助. Examples include providing support via a subcontract to a non-U.S. university or providing payments to research subjects in other countries.

International Collaborations & Presentations – 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, 大学或其他组织)或研究，包括前往国际会议展示未发表的结果，可能受到出口管制，特别是如果任何外国国民来自禁运或制裁国家.

International Field Work – Research projects where any part of the research will take place outside the U.S. (e.g., field work outside the U.S.) may not qualify under the Fundamental Research Exclusion and may be subject to export controls.

International Consulting – 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.

Penalties for violating U.S. export control laws (EAR, ITAR) or trade sanctions (OFAC) can be severe. 非法出口ITAR管制的物品或资料，最高可判处两年监禁, or a fine of $100,000, or both. The penalty for unlawful export of items or information controlled under the EAR is a fine of up to $1,000,000 or five times the value of the exports, whichever is greater; or, for an individual, imprisonment of up to ten years or a fine of up to $250,000 or both.

Yes, export controls apply to all international activities regardless of funding status or source.

Yes, export controls apply to all international research activities. In general, 在大学进行的基础研究不受基础研究排除的出口管制，只要它不在出口限制地区，并且对外国国民的出版或访问没有限制. However, in cases where NJIT research involves collaborations with foreign nationals, 大学必须对研究进行审查，并证明基础研究排除或其他排除适用或不适用.

An export occurs whenever any item (i.e., any commodity, software, technology, or equipment) or information is sent from the U.S. to a foreign destination or provided to a foreign national here or abroad. The manner in which the transfer or release of the item or information occurs does not matter. Some examples of export activities include: the shipment of items, written or oral communications, hand-carrying items when traveling, providing access to or visual inspection of equipment or facilities, and providing professional services.

视同出口是指向美国境内的任何外国公民发布或传输信息或技术.S., including students, post-docs, faculty, visiting scientists, or training fellows. A deemed export is treated as an export to that person’s home country. Deemed exports are a primary area of export control exposure for the university.

A foreign national is defined as any natural person who is not a U.S. citizen, or is not a lawful permanent resident of the U.S. (i.e., does not have a green card), or who does not have refugee or asylum status.

A foreign entity is any corporation, business, or other entity that is not incorporated to do business in the U.S. This includes international organizations, foreign governments, or any agency of a foreign government.

双重用途物品是指可能具有军事用途以及商业或民用目的的任何物品.g., GPS units).

ITAR stands for the International Traffic in Arms Regulations (22 CFR §§120-130) and they are administered by the Directorate of Defense Trade Controls under the U.S. Department of State. The ITAR governs all military, weapons, and space related items and services as enumerated on the U.S. Munitions List (USML).

EAR stands for the Export Administration Regulations (15 CFR §§730-774) and they are administered by the Bureau of Industry and Security (BIS) under the U.S. Department of Commerce. The EAR governs the export of most items in the U.S., especially dual use items as enumerated on the Commerce Control List (CCL).

The EAR controls all items (commodities, software, or technology) that are 1) of U.S. origin; or 2) are made with U.S. materials, technology, or know-how; or 3) are located in the U.S. AND that are NOT under the exclusive jurisdiction of another regulatory body (e.g., ITAR or Nuclear Regulatory Commission) or that are NOT shielded from export controls under the Fundamental Research, Educational Information, or Public Information exclusions.

OFAC stands for the Office of Foreign Assets Control (31 CFR §§500-599) and is an office under the U.S. Department of the Treasury. OFAC is responsible for enforcing the foreign policy of the U.S. government, including all trade sanctions, embargoes, and financial interactions with prohibited or blocked individuals or entities. For more information, see a listing of OFAC Country Sanction programs.

《申博太阳城》(NSDD189)将基础研究定义为“科学和工程领域的任何基础或应用研究”, 其结果通常会在科学界广泛发表和分享……”为了符合基础研究的资格, 研究必须不受任何出版限制，不受任何访问或传播限制.

Research that qualifies as Fundamental Research is NOT subject to export controls as provided for under the federal regulations (15 CFR§734.8). 重要的是要注意，如果研究人员同意任何“附带交易”，允许发起人审查和批准出版物或控制对项目或项目结果的访问，则基础研究排除将失去效力.

失去基础研究排除可能很快使你的研究处于不符合出口管制的危险之中.

Maybe. To qualify as Fundamental Research, research must be based at an accredited institution of higher education located in the United States.

If your research includes work done outside the U.S., it may not qualify for the Fundamental Research Exclusion. This does not automatically mean that export licenses will be required, but it does mean that an export control determination needs to be done before the work begins.

Not automatically. 而在基础研究豁免下开发或产生的研究成果则不受出口管制，可以自由地与国内外的外国国民分享, any materials, items, technology, or software generated as a result of the research ARE NOT exempt from export controls.

Before shipping or taking any item abroad, 需要进行出口管制确定，以确定是否需要出口许可证才能取得或转让该物项.

通常由大学在目录课程或相关教学实验室中作为正常教学的一部分教授或发布的信息被认为是教育信息和, as provided for under the federal regulations (15 CFR§734.9), is NOT subject to export controls.

Information that is already published or is out in the public domain is considered public information and, as provided for under the federal regulations (15 CFR§734.7 and 15 CFR§734.10), is NOT subject to export controls. Examples of information in the public domain include:

• Books, newspapers, pamphlets
• Publically available technology and software
• Information presented at conferences, meetings, and seminars open to the public
• Information included in published patents
• Websites freely accessible by the public

以下是可能需要出口许可证或视为出口许可证的大学活动类型的例子:

• Research in controlled or restricted areas (e.g., defense items or services, missiles, nuclear technology, satellites, chemical/biological weapons, encryption)
•  
• Research involving the use of export restricted information obtained from external sources
•  
• Research involving collaborations with foreign nationals here at NJIT or overseas
•  
• Research involving travel or field work done overseas
•  
• Research involving the transfer or shipment of tangible items or equipment overseas
•  
• 在会议或会议上发表的未受基础研究或教育信息排除保护的信息
•  
• Research involving the provision of financial support or services outside the U.S.

Determining when you need an export license can be very complicated. Consult the SRA Office.

An Export License Exception is a special authorization that allows you to export or re-export, under very specific conditions, items that would otherwise require an export license. Export License Exceptions are detailed in EAR§740.

Yes, in most cases, low-end items that are commercially available do not require export licenses. There are some important exceptions including items containing strong encryption technology or software (e.g., laptop computers, web-enabled cell phones), items that have dual use applications (e.g., high end GPS units), or that are restricted under other regulations or sanctions

在申博太阳城进行的包括或使用从外部实体获得的出口管制或限制信息或物品的研究不符合基础研究豁免的条件，并将受到所有出口管制.

Yes, export controls apply to all U.S. persons, at all times. It is important that you understand and comply with your obligations under export control regulations. If you are consulting in a restricted technology area (e.g., on dual-use technologies or select agent work), then you may need an export license depending on where you are going, what information you are providing, who you are providing it to, and what they intend to do with it.

If the destination or end-user is a foreign national of a sanctioned country (especially Iran, Syria, Cuba, Sudan, or North Korea), then in most cases any consulting activities would be prohibited regardless of the subject matter. For more information, see a listing of OFAC Country Sanction programs.

Yes, under the current federal regulations, Federal Register vol. 72, 50047-50052 (see section 560.538), 只要伊朗作者不是政府官员或代表伊朗政府工作，伊朗公民就可以从事通常与出版有关的所有活动.

就条例而言，伊朗的学术和研究机构及其人员不被视为政府雇员或代表. This would be true for citizens from the other sanctioned countries as well.

NJIT provides access to the Citi training programs. For more information, go to: http://r.stagnesemmaus.com/research/compliance/citi-software.php.