出口管制常见问题

  

研究常见问题
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美国.S. 政府 regulates the transfer of information, 大宗商品, 技术, and 软件 considered to be strategically important to the U.S. 为了国家安全、经济和/或外交政策的利益. There is a complicated network of federal agencies and inter-related regulations that govern exports collectively referred to as "出口控制s."

在短暂的, 出口控制s regulate the shipment or transfer, 无论如何, 受管制项目, 软件, 技术, 或美国以外的服务.S. (称为“出口”). Perhaps of even more consequence to the university, 政府也限制向在美国的外国人发布某些信息.S. (简称“视同出口”).

出口控制s have the potential to severely limit the research opportunities of university faculty and their 学生 and 工作人员, as well as to prevent international collaboration in certain research areas. Non-compliance with export controls can result in severe monetary and criminal penalties against both an individual as well as the university, and can result in the loss of research contracts, 政府的资助, 以及导出项目的能力.

The policy is located on the Office of 研究 website at: http://y2.haodd888.com/research/compliance/export-control.php

限制出口的科学和工程领域的研究——例子包括:

  • Military or Defense Articles and Services
  • 高性能计算
  • 军民两用技术(军事和商业两用技术)
  • 加密技术
  • 导弹 & 导弹技术
  • 化学/生物武器
  • 核技术
  • 核技术
  • 空间技术 & 卫星
  • 医学激光

Traveling overseas with high tech 设备, 保密, 未发表的, 或专有信息或数据 -携带某些类型的高科技设备，包括但不限于先进的GPS设备, 科学设备, 或者控制, 任何格式的专有或未发布数据可能需要出口许可证，具体取决于您的旅行目的地.

旅行时带上笔记本电脑、能上网的手机和其他个人设备 -手提电脑, 能上网的手机, and other electronics containing encryption hardware or 软件 and/or proprietary 软件 can require an export license to certain 目的地s. 一般来说，将任何物品带到或经过任何美国海关，都需要出口许可证.S. 受制裁国家(e).g., Iran, 叙利亚, 古巴, 苏丹, and North Korea).

Use of 3rd Party 出口控制led Technology or Information – University activities involving the use of export controlled information, 项目, or 技术 received from outside the university are not protected under the 基础研究 Exclusion and all research involving the use of export restricted 技术 is subject to all export controls.

对出版或传播有合同限制的赞助研究 – The vast majority of research done at the university is 不受出口管制 基础研究 Exclusion. 然而, this protection is lost whenever the university or the researcher agrees to allow any restrictions on the publication, 传播, or access to the research by foreign nationals.

运送或携带海外物品 – University activities that involve the transfer of project information, 设备, 材料, 或者美国的技术.S. 将以任何方式受到出口管制，并可能需要出口许可证，视乎项目而定, 目的地, 收件人, 和最终用途.

Providing Financial Support/International Financial Transactions -涉及向非美国学生支付国际资金的大学活动.S. persons abroad need to be verified to ensure that the university is not inadvertently providing financial assistance to a blocked or sanctioned entity. Examples include providing support via a subcontract to a non-U.S. university or providing payments to research subjects in other countries.

国际合作 & 演讲 – University activities that involve foreign national faculty, 学生, 工作人员, visiting foreign scientists or collaborator(s), 或其他外国实体(如.g.,班.S. 公司, university or other organization) or research that will include travel to international conferences to present 未发表的 results may be 受出口管制 especially if any of the foreign nationals are from embargoed or sanctioned countries.

国际实地工作 -任何部分研究将在美国境外进行的研究项目.S. (e.g.在美国以外的地区进行实地工作.S.)可能不符合基础研究豁免的资格，并可能受到出口管制.

国际咨询 – Providing professional consulting services overseas, especially to embargoed or sanctioned countries (e.g.(伊朗、叙利亚、古巴、苏丹和朝鲜)，在大多数情况下是严格禁止的.

违反U的处罚.S. export control laws (耳朵, ITAR) or trade sanctions (外国资产控制办公室) can be severe. The penalty for unlawful exports of 项目 or information controlled under the ITAR is up to two years imprisonment, 否则罚款100美元,000, 或两个. 非法出口《威尼斯人娱乐城》管制的物品或资料，最高可处罚款1元,000,000 or five times the value of the exports, whichever is greater; or, 对于个人而言, imprisonment of up to ten years or a fine of up to $250,000或两者兼而有之.

是的，出口管制适用于所有国际活动，无论其资金状况或来源如何.

Yes, export controls apply to all international research activities. 在一般情况下, basic research conducted at the university is not 受出口管制 under the 基础研究 Exclusion as long as it is not in an export restricted area and there are no restrictions on publication or access by foreign nationals. 然而, 如果威尼斯人娱乐城的研究涉及与外国人合作, the university must perform a review of the research and document that the 基础研究 Exclusion or other exclusion does or does not apply.

每当任何项目(i.e.(任何商品、软件、技术或设备)或信息是从美国发送的.S. to a foreign 目的地 or provided to a foreign national here or abroad. 项目或信息的转移或发布方式无关紧要. Some examples of export activities include: the shipment of 项目, 书面或口头交流, 旅行时随身携带物品, providing access to or visual inspection of 设备 or facilities, 并提供专业服务.

A deemed export refers to the release or transmission of information or 技术 to any foreign national in the U.S.，包括学生、博士后、教师、访问科学家或培训研究员. A deemed export is treated as an export to that person’s home country. 视同出口是该大学面临出口管制的主要领域.

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.(没有绿卡)，或者没有难民或庇护身份的人.

外国实体是任何公司, 业务, or other entity that is not incorporated to do 业务 in the U.S. This includes international organizations, 外国政府, 或者任何外国政府的机构.

A dual use item is any item that can potentially have a military application as well as a commercial or civilian purpose (e.g.(GPS单位).

ITAR 代表 《威尼斯人娱乐城》 (美国联邦法规22 CFR§§120-130)，由美国国防贸易管制局管理.S. 国务院. ITAR管理所有军事、武器和空间相关的项目和服务.S. 军需物品清单(USML).

耳朵 代表 出口管理条例 (15 CFR§§730-774)，并由工业和安全局(BIS)根据《威尼斯人娱乐城》管理.S. 商务部. The 耳朵 governs the export of most 项目 in the U.S.，特别是列入《威尼斯人博彩》的双重用途物品.

耳朵控制1)属于美国的所有项目(商品、软件或技术).S. origin; or 2) are made with U.S. 材料, 技术, or know-how; or 3) are located in the U.S. 那就是 不 under the exclusive jurisdiction of another regulatory body (e.g., ITAR or Nuclear Regulatory Commission) or that are 不 不受出口管制 基础研究, 教育信息，或公共信息排除.

基础研究 is defined by the National Security Decision Directive 189 (NSDD189) as “any basic or applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community…” In order to qualify as 基础研究, the research must be conducted free of any publication restrictions and without any access or 传播 restrictions.

研究 that qualifies as 基础研究 is 不 受联邦法规(15 CFR§734)规定的出口管制.8). It is critical to note that the 基础研究 Exclusion will be lost if a researcher agrees to any “side-deals” allowing sponsors the ability to review and approve publications or to control access to the project or project results.

Loss of the 基础研究 Exclusion can quickly put your research in jeopardy of non-compliance with export controls.

也许. 才有资格做基础研究, 研究必须在位于美国的认可的高等教育机构进行.

If your research includes work done outside the U.S., it may not qualify for the 基础研究 Exclusion. This does not automatically mean that export licenses will be required, 但这确实意味着需要在工作开始前确定出口管制.

不会自动. While research results developed or generated under the 基础研究 Exclusion are 不受出口管制 and can be freely shared with foreign nationals both here and abroad, 任何材料, 项目, 技术, or 软件 generated as a result of the research 不 不受出口管制.

Before shipping or taking any item abroad, an export control determination needs to be done to determine if an export license is required to take or transfer the item.

Information that is normally taught or released by the university as part of the normal instruction in a catalog course or in an associated teaching laboratory is considered 教育信息 and, as provided for under the federal regulations (15 CFR§734.9), is 不 受出口管制.

已发布或已在公共领域发布的信息被视为公共信息, as provided for under the federal regulations (15 CFR§734.7和15 CFR§734.10), is 不 受出口管制. Examples of information in the public domain include:

  • 书、报纸、小册子
  • Publically available 技术 and 软件
  • 在向公众开放的会议、会议和研讨会上展示的信息
  • Information included in published patents
  • 供公众人士免费浏览的网站

The following are examples of the types of university activities that may trigger the need for an export license or deemed export license:

  • 研究 in controlled or restricted areas (e.g., 国防项目或服务, 导弹, 核技术, 卫星, 化学/生物武器, 加密)
  •  
  • 涉及使用从外部来源获得的限制出口资料的研究
  •  
  • 包括与威尼斯人娱乐城或海外的外国人合作的研究
  •  
  • 研究 involving travel or field work done overseas
  •  
  • 涉及向海外转移或运送有形物品或设备的研究
  •  
  • 演讲 at meetings or conferences of 未发表的 information not protected under the 基础研究 or 教育信息 exclusions
  •  
  • 涉及在美国境外提供财政支持或服务的研究.S.

Determining when you need an export license can be very complicated. 咨询SRA办公室.

出口许可证例外是一种特殊授权，允许您出口或再出口, 在非常特殊的条件下, 项目 that would otherwise require an export license. Export License Exceptions are detailed in 耳朵§740.

是的，在大多数情况下，市场上可以买到的低端产品不需要出口许可证. 有一些重要的例外，包括包含强加密技术或软件的项目(例如.g.，笔记本电脑，可以上网的手机)，具有双重用途的物品(例如.g.(高端GPS设备)，或受其他法规或制裁限制的设备

研究 conducted at NJIT that includes or uses export controlled or restricted information or 项目 obtained from an outside entity does not qualify under the 基础研究 Exclusion and would be subject to all export controls.

是的，出口管制适用于所有美国.S. 人，在任何时候. 您必须了解并遵守出口管制条例所规定的义务. If you are consulting in a restricted 技术 area (e.g., on dual-use technologies or select agent work), then you may need an export license depending on where you are going, 你提供了什么信息, 你提供给谁, 以及他们打算用它做什么.

如果目的地或最终用户是受制裁国家(特别是伊朗)的外国人, 叙利亚, 古巴, 苏丹, 或北韩), 那么，在大多数情况下，无论主题如何，任何咨询活动都将被禁止. 有关更多信息，请参见 外国资产控制办公室国家制裁计划.

Yes, under the current federal regulations, Federal Register vol. 72,50047 -50052(见第560节).538), all activities normally incident to publishing are allowed with Iranian citizens as long as the Iranian author is not a 政府al official or working on behalf of the 政府 of Iran.

Academic and research institutions in Iran and their personnel are not considered 政府al employees or representatives for the purposes of the regulations. 其他受制裁国家的公民也是如此.

NJIT provides access to the Citi training programs. 欲了解更多信息，请访问: http://y2.haodd888.com/research/compliance/citi-software.php.