Export Control Basics

 

What Are Export Controls?

Export control regulations are a complex set of laws designed to control the transfer of information, technology, software, other items, and services considered to be important the to U.S. due to concerns regarding national security, economic competitiveness, or support of international treaties and foreign policy. The U.S. government regulates the shipment or transfer of exports outside the U.S., as well as the release of certain information to foreign persons here in the U.S. Export Controls have the potential to significantly impact the activities of university faculty, staff, and students. 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, government funding, and the ability to export items.  Finally, violations of export control regulations can have long lasting negative consequences regarding the reputation of the university.

 

Do Export Controls Apply to Me?

Yes! Export controls apply to all University faculty, staff, students, consultants, and related parties regardless of nationality or citizenship.

 

How do the Regulations Impact Research and non-Research Activities at OSU?

As part of our Land Grant Mission, OSU strives to maintain openness and transparency is the research being conducted by its faculty, staff and students, and therefore most of the research at OSU is unrestricted, Fundamental Research. However, OSU does conduct some restricted research and many inputs to research, including equipment, materials, biologics, and non-university technical data, are controlled.

Export control regulation also affect many OSU non-research activities, including but not limited to:

1. Foreign travel by faculty, students, and staff;
2. Teaching/Lecturing abroad;
3. Attendance and/or participation in international conferences;
4. Hosting foreign national visitors (non-U.S. persons);
5. Hiring individuals from comprehensively sanctioned/embargoed countries;
6. Providing laboratory access to controlled equipment and technical data to a foreign person;
7. Licensing controlled technology to an international entity;
8. Accepting money or other gifts from a restricted party;
9. Outbound shipments to foreign destinations.

 

Why Should I Be Concerned About Export Controls?

Failure to comply with export control laws and regulations can result in severe monetary penalties, revocation of export privileges, debarment from federal funding, and civil and/or criminal enforcement against both OSU and/or the individual faculty, staff or student to whom a violation is attributed. Researchers (faculty, staff, students) may be personally liable for violating export control laws and regulations. Therefore, it is critical to review regulations and ask the export control officer for assistance. In addition, use care in identifying research assistants and/or collaborators who are foreign persons. In the event that items, information, or collaborations are determined to be subject to export controls, the Office of Research Security and Export Trade Compliance will file for appropriate export licenses. Until approval is received (export license or authorization), you should not transfer or disclose such information to a foreign person. Once approval is received you should take care in controlling access to export controlled information in your possession.

The penalty for unlawful export and disclosure of export-controlled information is up to twenty (20) years in prison and monetary penalties per criminal violation of $1,000,000 under the ITAR or EAR (frequently with numerous multipliers) and $1,111,908 per civil violation under the ITAR or $289,238 per violation under the EAR. The export compliance officer will assist researchers in complying with regulations, but the primary responsibility rests with the Principal Investigator.