Export control regulations are federal laws regulating the export, transfer or transmission of certain commodities, software, technology and technical information from the United States to a foreign destination or to foreign nationals on U.S. soil. Export control laws may arise for one or more of the following reasons:
If the research falls into a category enacting export control laws the researcher may apply for an export license. There are three federal regulations governing university-sponsored research:
The OFAC covers sanctioned countries.
The term "export" can mean not only technology leaving the United States (including transfer to a U.S. citizen abroad whether or not it is pursuant to a research agreement with the U.S. government), but also transmitting the technology to an individual other than a U.S. citizen or permanent resident within the United States.
A discussion with a foreign researcher or student in a campus laboratory is considered a "deemed export." Export controls preclude the participation of all foreign nationals in research that involves covered technology without first obtaining a license from the appropriate government agency.
Three exclusions are available for academic research:
Most NIU research is fundamental. Fundamental research is basic or applied research in science and/or engineering when the resulting information is expected to become part of the public domain. This means there are no restrictions on publication beyond those intended to protect pre-existing proprietary information or intellectual property rights. It is important to review terms to look for publication restrictions.
To guarantee the use of these exclusions, researchers should publish their findings to the fullest extent possible and not agree to confidentiality clauses or other terms that restrict the dissemination of research materials and results. Researchers should review any funding announcements including Request for Proposals (RFPs) for any restrictive terms.
When these exclusions do not apply and one needs to export a research item or equipment, it is important to obtain an export license from either the BIS or the DDTC (as applicable). It is important to contact ORCIS as soon as possible if you believe you may need a license. The timeline can be lengthy.
Criminal penalties exist for individuals who unlawfully export or disclose export-controlled information. Penalties include personal fines and imprisonment.
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