Contents
NCCU Policy Statement on Export Controls
Procedure
Roles and Responsibilities of Key Personnel
Definition of Export Controls
Export Control Compliance
Background Information
Other Resources
NCCU Policy Statement on Export Controls
Undergirding the mission of the university is the obligation to generate and disseminate knowledge. Essential to this commitment are the fundamental principles of open scholarly exchange and academic freedom. Absent of compelling reasons, the university shall not accept restrictions on participation in university research or on the dissemination of the results of research conducted at the university. The university cooperates with research sponsors in the orderly publication of research results, subject to appropriate restrictions on the use of publications or of the university’s name for commercial purposes.
Thus, it is university policy to comply fully and completely with all United States export controls laws and regulations, including those implemented by the Department of Commerce through its Export Administration Regulations (EAR), the Department of State through its International Traffic in Arms Regulations (ITAR), as well as those imposed by the Treasury Department through its Office of Foreign Assets Control (OFAC).
It is of outmost importance that university research projects qualify for the fundamental research exclusion. This exception requires that the university and the principal investigator have ascertained that it is reasonable to accept the burdens of compliance with export controls, which are complex and difficult to implement. The consequences of violating these regulations can be quite severe, ranging from loss of research contracts to monetary penalties to incarceration for the individual violating these regulations. Through the Office of Sponsored Research and Programs (OSRP) and the Office International Affairs (OIA), NCCU will assist Principal Investigators (PIs) in assessing the application of such regulations. However, primary compliance responsibility rests with the principal investigator of the research.
NCCU is working with the United States Bureau of Investigation and Security (BIS) and other research universities statewide and nationally to develop and conduct a thorough review of research for export regulations at NCCU. At the university, the Office of International Affairs (OIA) and the Office of Sponsored Research and Programs (OSRP) are responsible for conducting a thorough review of research projects and contract provisions to determine whether and how particular research projects are impacted by export regulations. However, PIs have the following responsibilities:
In academia, export controls may impact researchers if their projects involve:
Procedure
NCCU has developed the following guidelines to assist the Assistant Director of OSRP, the Program Manager of OIA, PIs and other researchers engaged in research at the university in their decisions about whether the EAR and/or ITAR affects particular research projects and the appropriate action needed to address noncompliance.
The Assistant Director OSRP will review the research contract for terms or provisions that restrict access to or publication of research and technical data, limit the participation of foreign nationals, or otherwise render inapplicable the exclusion of fundamental research conducted in the public domain. If the project qualifies as fundamental research, subsequently, research information will be publishable and generally accessible or available to the public. No export license will be required.
When it appears that the fundamental research and public domain exceptions are not applicable, the Assistant Director of OSRP in consultation with the Program Manager of OIA will provide a form for the PI to complete and determine whether the research falls within the CCL or the MCL. The OSRP will then forward the form to the OIA. The Program Manager of OIA in consultation with the Director of OIA will make a final determination on the application of export control regulations and provide written notice of that decision recommending appropriate actions to the PI, the Assistant Director of OSRP and the appropriate dean and department chair, if applicable.
The Program Manager of OIA will work with the PI and the Assistant Director of OSRP to implement the determination of export controls.
The Assistant Director of OSRP and the Program Manager of OIA will work with the PI and other appropriate parties to implement the determination of export controls.
Roles and Responsibilities of Key Personnel
Sponsored Projects Administration is to:
The Office of International Affairs is to:
Definition of Export Controls
Export Controls refers to regulations used by the federal government to control the export of information or items for reasons related to national or economic security and foreign policy.
Export controls apply not only to items, but also technological information that is not in the public domain. Most of the research conducted at North Carolina Central University qualifies for the public domain, “fundamental research” exclusion, from export controls over information. However, certain types of projects could be subjected to export controls over information or items.
1. Publication Restrictions
If you or the university has agreed to restrictions on publication of research results (other than normal patent delays), the “fundamental research” exclusion does not apply. Disclosure of information resulting from the research to any non-resident foreign persons (students, post-doctoral researchers, collaborators) would then be considered an export to the person’s home country (“deemed export” rule).
2. Confidential or Non-Public Information
If you are using confidential technical information to conduct research (such as product, design or equipment information, or a source code that a company has provided under a non-disclosure agreement), that information may be subjected to export controls. Disclosure to non-resident foreign persons is treated as an export to the person’s home country. In addition, if you do not intend to publish your research results in a timely manner, or if you have the information about how to use the research equipment that you do not intend to share freely within the scientific community, consequently, the information would be non-public and may be subject to export controls.
3. Sending Materials or Equipment Outside the U.S.
Sending materials you use or develop in your research to collaborators overseas and taking equipment out of the U.S. to conduct research are actual export controls that require an export license. For example, high-end GPS equipment used in such diverse academic fields such as Earth Science, Conservation Biology, and Landscape Architecture is subject to export controls.
4. Somewhat limited scope of Export Controls
Export controls apply to (a) items and information developed for a uniquely military or security purpose and (b) “dual use” items such as GPS and information which are usable for both civilian and military purposes. A substantial body of high technology items equipment and information falls into the “dual use” category; the listing is over 175 pages long. If your research and the equipment tools you use have no military or security uses, export control generally should not apply to your work.
5. Blanket Restrictions
Very broad export controls apply to transactions involving (a) certain boycotted countries (Cuba, Iran, Sudan, North Korea); (b) certain entities involved in nuclear activities in China, India, Israel, Pakistan, and Russia; and (c) individuals and entities identified on a lengthy list of supporters of terrorism.
Export Control Compliance
Export Control compliance includes the following elements:
Printable Version of the Export Controls Management Plan
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