Export Control Regulations in Research

Export Controls are federal laws that govern the export, shipment, transmission, transfer, or sharing from the U.S. to foreign countries, persons, or entities of technology, technical data, technical assistance, and items or materials. The U.S. Department of State and the U.S. Department of Commerce each administers different export control regulations. Additionally, the U.S. government restricts travel to, and financial transactions with, certain countries, individuals, and organizations, including certain foreign universities and research institutes. Export Control laws prohibit the unlicensed export of certain commodities or information for national security and/or protection of trade reasons. The U.S. government imposes Export Controls to protect national security interests and promote foreign policy objectives. In addition, it also participates in various multilateral Export Control regimes dedicated to preventing the proliferation and destabilizing accumulations of weapons of mass destruction and related materials. Export Controls regulations apply to research and other activities regardless of the source of funding.

NJIT provides a teaching and research environment dedicated to the free exchange of ideas both within the NJIT community and externally through academic and professional presentations and publications.  In some instances, export control regulations established by the U.S. government may impact the scope of research activities.

Many of the teaching and research activities at NJIT are excluded from the export control regulations through the fundamental research exclusion (see 22 CFR 120.11 (a)(8)), provided that there are no restrictions on publication or exclusions on who may participate.  If the activity is controlled and not considered fundamental research, a license from the cognizant federal agency will be required to permit the activity. If the controlled activity is neither fundamental research nor covered under a license, pursuing the activity may not be allowable.

Work in the following areas is considered high risk:

• Engineering
• Space sciences
• Computer Science
• Biomedical research with lasers
• Research with encrypted software
• Research with controlled chemicals, biological agents, and toxins

Examples of controlled goods, technology, and software (list is not all-inclusive):

• Toxicological agents
• Nuclear materials and technology
• Lasers and Sensors
• Night vision equipment
• Select agents (and other pathogens)
• Arms and ammunition
• Explosives Detection Equipment
• Chemical warfare precursors
• Semiconductors and microprocessors
• Telecommunications and encryption software
• Missile technology
• Navigation and avionics
• Marine vessels
• GPS technology
• Countermeasure technology for controlled goods
• Endangered Species
• Body armor and protective gear
• Fingerprint and identification retrieval
• Oscilloscopes
• Gas centrifuges
• Mass Spectrometers
• High strength materials

For the purpose of export controls, the following are considered exports:

• Transfer of controlled items or information to people or entities outside the U.S, whether through physical means (e.g. shipment or hand-carrying) or through electronic or digital transmission (e.g. email or uploading).
• Verbal, written, electronic, and/or visual disclosures of controlled information to foreign nationals inside the U.S. (referred to as a “deemed export”).
• Training or offering of services involving controlled equipment or information to foreign nationals.
• Transactions with, or providing services to, certain foreign countries or individuals who are on embargo lists.​

There are different sets of regulations depending on the kind of export involved.  These include the following:

• The Export Administration Regulations (EAR), administered by the Department of Commerce, regulates items that have a dual purpose, meaning both commercial and military applications (e.g nuclear materials, chemicals, microorganisms, toxins, electronics, computers, lasers). These regulations can be found at the Export Administration Regulation website.
• The International Traffic in Arms Regulations (ITAR), administered by the Department of the State, regulates munitions or defense articles and services (e.g. ammunition, ballistics, guidance and control equipment). These are maintained by the Directorate of Defense Trade Controls.
• The Office of the Foreign Asset Control (OFAC) of the Department of the Treasury provides regulations on trade sanctions, embargoes and travel restrictions in designated countries. Please visit the Resources section of the OFAC website for additional guidance.

NJIT researchers must contact the NJIT Office of Research if a research project involves any of the following:

• Shipping/exporting controlled materials, supplies, or samples to other countries.
• Sharing information disclosed under confidentiality agreements with foreign persons, including students, staff, and faculty.
• Carrying controlled materials, samples, or GPS equipment in checked or carry-on luggage on foreign travel.
• Collaborating with a researcher or institution outside of the U.S., especially when that collaboration involves individuals or institutions from a sanctioned country or when sensitive information or equipment may be shared.
• Traveling outside of the United States on university business with NJIT equipment or with high tech equipment, confidential, unpublished, or proprietary information or data.
• Traveling outside of the United States to a country/region with comprehensive sanctions. Currently, these include: Crimea Region of Ukraine, Cuba, Iran, North Korea, and Syria.
• Hosting foreign persons from sanctioned or embargoed countries or taking them to NJIT labs.
• Performing work under an RFP/Agreement/Contract that is marked "Export Controlled" or includes export control provisions.
• Exchanging unpublished research results or data with foreign persons located overseas or in the US by any means, including e-mail, file transfers, etc.
• Training a foreign person in the design, development, use, or testing of controlled equipment.
• Using third party export-controlled technology or information.
• Providing professional consulting services overseas, especially to embargoed or sanctioned countries.
• Being involved in a project/research related to military; space-related information; nuclear, chemical, and/or biological weaponry; missiles; unmanned vehicles; encryption technologies, or other items listed on the International Traffic in Arms Regulations (ITAR) U.S. Munitions List.
• You have reasons to believe a violation of export control laws or regulations has occurred.

Finding a list of export-controlled items:

The lists of controlled items and technology are extensive. The lists are dependent on the regulatory framework that describe them, and a few of them are listed below: 

Other Export Controls Resources:

National Institute of Health(NIH) Financial Conflicts of Interests and Foreign Components
National Science Foundation (NSF) Research Protection
Executive Office of the President (OSTP) Letter to the Research Community
US Dept. of Energy Foreign Government Talent Recruitment Programs and International Science and Technology Engagement Policy
Under Secretary of Defense Letter for Universities

University Compliance Collaboration

Compliance with the export regulations is a shared responsibility and all individuals at NJIT are expected to strictly adhere to all requirements. The Office of Research reviews all export control matters in collaboration with the Office of General Counsel and other university offices as appropriate.  Principal Investigators should notify the Office of Research of any changes in scope of a project that include the above identified considerations.

Export control inquiries can be directed to Raju Tamot, Assistant Director, Research Integrity and Compliance, at raju.k.tamot@dos5.net or Eric Hetherington, the Executive Director of Sponsored Research Programs Administration, at erich@dos5.net.

Reminder:

Cloud-based videoconferencing systems such as BlueJeans are not Export Controls compliant!

NJIT researchers should not discuss or share export controlled data or technology (including screenshots, screenshares, recordings) using these videoconferencing systems. They do not have end-to-end encryption protections and users can be located all over the world.