Memo

TO: All Faculty

FROM: Colleen Donaldson, Grants Development Director and Ralph Trecartin, Compliance Officer

DATE: March 22, 2006

RE:: Export Control Violations Including Knowledge Exports

New government restrictions on exports have been put in place that impact not only traditional exports of real goods, but also exports of services, software, publications and other knowledge activities in which many university faculty become engaged.

What is an export?
The export regulations define an export as:

Any oral, written, electronic or visual disclosure, shipment, transfer or transmission outside the U.S. to any person or entity (including a U.S. citizen) of any commodity, technology (e.g., information, technical data, assistance) or software/codes.
Any oral, written, electronic or visual disclosure, transfer or transmission to any person or entity of a controlled commodity, technology, or software/codes with an intent to transfer it to a non-U.S. entity or individual, wherever they are located (including a SUNY researcher/foreign student).
Any transfer of these items to a foreign embassy or affiliate. The only exports listed on the export "controlled technologies" list are those for which the U.S. government requires a license. The vast majority of exports do not require a U.S. government license.

Is all research affected?
The export control regulations affect all research, and potentially instruction, however most of the research conducted by the University is fundamental and is exempt from export controls. However, there are instances when research is export controlled, and those cases may increase with the federal government's extended funding for homeland security research. Universities are provided with the fundamental research exemption, if there are no restrictions on publication of the research, other restrictions on the dissemination of the information, or if the research/information is made public or is intended to be made public.

What are export controls?
Export controls regulate the use of export materials. There are two federal government agencies responsible for implementing the export control laws into their regulations by codification in the U.S. Code of Federal Regulations (CFR), the Department of Commerce and the Department of State.

Is the Research Foundation affected?

Yes, the RF is affected by the export control laws and regulations. Following the September 11, 2001 terrorist attacks the United States Government export control laws and regulations became more prominent. University compliance has come into focus because of the intersections associated with cutting-edge science, technology and engineering research, national security, foreign policy, and homeland security. It is important that State University of New York faculty, researchers, and administrative staff understand the export control laws and regulations, the associated responsibilities, and adhere to them to assure compliance. Export controls impact a broad area of university research, and the penalties for non-compliance fall on individuals and they are severe.

Brockport Faculty Arrested

This could be you facing fines of $1 million or more if you are unwittingly involved in knowledge exports to:

Sanctioned countries or persons (even indirectly).
Professors going abroad with laptops containing certain types of information.
Hiring foreign students to work on certain grants and other research projects.

The Research Foundation for the State University of New York is taking the lead on how to quickly check to see you if you are in compliance with these regulations. For more information and to find constantly updated lists of sanctioned exports and people please go to:

http://www2.rfsuny.org/comply/controls/index.htm.

This site is constantly updated and can provide answers to your questions about export controls.