2. Lynn Titus Jr (Tye) Export Controls Administrator
NDSU
“Export Controls”
Training
Research Integrity and Compliance Office of Research and Creative Activity
Lynn Titus Jr (Tye) Export Controls Administrator

3. NDSU Export Controls Web Site https://www. ndsu

4. NDSU Export Controls PowerPoints

5. NDSU Export Controls CITI Courses “Free”
CITI offers the following export control courses (free) which discuss general and specific information to researchers.
These are a great resources for faculty, post docs, and lab personnel, and they can print a certificate for each course that they complete.
This is a great resource for documentation purposes for your department.
Introduction to Export compliance (ID: 16800)
Export Compliance for Researchers: Part I (ID: 16801)
Export Compliance for Researchers: Part II (ID: 16802)
Export Compliance for Research Administrators (ID: 16803)
Export Compliance and Biosafety (ID: 16805)
Export Compliance for Operational Departments (ID: 16806)
Export Compliance for International Shipping (ID: 16807)
Export Compliance and Purchasing (ID: 16808)
Export Compliance and Collaboration (ID: 16810)
Export Compliance and united States Sanctions Programs (ID: 16812)

6. What is Export Controls
The U.S. Government regulates
Transfer of Information
Commodities
Technology
Software
Important to National Security, Economic Security, and Foreign Policy Concerns.

7. What is an Export
An export occurs whenever any item 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:
Shipment of items
Written or oral communication (Deemed Export)
Hand-carrying items when traveling
Providing access to or visual inspection of equipment or facilities
Providing professional services

8. Primary Government Agencies
Department of Commerce
Export Administration
Regulation
(EAR)
Department of State
International Traffic in Arms Regulations
(ITAR)
Department of Treasury
Office of Foreign
Assets Control
(OFAC)

9. NDSU Policy Employees Comply with U.S. Laws and Regulations
Most Research Protected from Export Controls
Fundamental Research Exclusion
Educational Information Exclusion
Public Information Exclusion

10. Fundamental Research Qualifications
Research Must Be:
Conducted Freely and Openly
No Restrictions on Publications
No Restrictions on the Access by Foreign Persons

11. When Export Controls Apply
Individual's Must:
Contact Export Controls
Monitor/Control Access to Restricted Information
Safeguard Controlled Materials

12. What Acts Might Trigger Export Controls
Research in Restricted Science and Engineering Areas
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

13. May Require Export License
When Traveling With
Overseas Travel
High Tech Equipment
Confidential Information
Unpublished Information
Proprietary Information
Proprietary Data

14. Fundamental Research Protection Lost (FRE)
Outside Activities Involving
Proprietary Confidential
Controlled Information
Shipment of Items
Outside Technology
Not Protected under FRE
Subject to Export Controls

15. Restrictions on Sponsored Research
Fundamental Research Protection Lost (FRE)
Primary Investigators Accept Restrictions on Sponsored Research
Restrictions on Sponsored Research
Personnel
Access
Publication
Dissemination

16. All Subject to Export Controls
Shipping Items Overseas
Project Information Transfer
Equipment
Materials
Technology
All Subject to Export Control

17. International Transactions
International Payment of Funds
Must Be Verified
Financial Support
International Transactions
Payment of Funds
Non U.S. Persons Abroad
Blocked Entity
Sanctioned Entity

18. May Be Subject To Export Controls
International Collaborations
International Presentations
Foreign National Faculty
Foreign National Students
Foreign National Staff
Visiting Foreign Scientist
Foreign Collaborator(s)

19. International Consulting Prohibited Professional Services
Strictly Prohibited
Embargoed or Sanctioned Countries
International Consulting Prohibited
Professional Services
Iran
Syria
Cuba
Sudan
North
Korea

20. Export Controls Violations
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.

21. Academia and Export Controls – Case Study
Export Controls Violations
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.

22. Academia and Export Controls – Case Study Cont.
Export Controls Violations
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.

23. 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.

24. Thank You!