常见问题

出口管制是美国的.S. laws and regulations that govern the distribution of technology, 出于外交政策和国家安全等原因向外国国民和外国提供服务和信息. Export controls usually arise for one or more of the following reasons:

• 该出口具有实际或潜在的军事用途或经济保护问题.
• Government concerns about the destination country, organization or individual.
• 政府对所申报或怀疑的最终用途或最终用户的关注.

In its promotion of academic inquiry and the dissemination of ideas, 它的基础研究和应用研究的表现以及它的商业交易的执行, the university and its personnel will comply with all U.S. export control laws and regulations. 大学寻求平衡其对研究和教育开放原则的承诺与这些法律法规规定的义务. 

尽管该大学的绝大多数活动不受出口管制限制或许可要求的约束, 大学社区的每个成员都应该熟悉出口管制和禁运限制，以及他们根据大学政策和程序对这些限制所承担的责任. 本网站旨在就出口管制在大学活动中的应用向大学社区提供指导，并确定在大学遵守出口管制方面负有正式行政责任的个人.

如果您收到出口管制材料(包括信息)，并且收到的材料尚未得到学校的批准, 立即 contact the 出口控制 Analyst and secure the material in a way that prevents disclosure of or access to the material by anyone else. 

If you receive export-control material, with prior approval by the university, 材料应按照学校为您的活动制定的经批准的技术控制计划中的物理和信息安全措施进行处理. 有关技术控制计划实施的任何问题都应向出口控制分析师提出.

出口管制法主要由下列机构实施和监督:

1. U.S. 国务院 (状态.gov /)
• International Traffic in Arms Regulations (itar) - 22℃.F.R. §§120-130
• 规管"国防物品和服务"及有关资料(特别设计或改装作军事用途的物品和资料).
2. U.S. Department of Commerce (商务.gov /)
• Export Administration Regulations (耳朵)- 15,c.F.R. §§ 730-774
• Governs “dual use” items and information, which are predominately civilian in character but have military applications.
3. U.S. Department of Treasury (财政部.gov /)

• Office of Foreign Assets Control (OFAC) Regulations - 31 C.F.R.§500
• Administers and enforces trade embargoes and economic sanctions.

Export regulations apply regardless of whether the recipient of the information, technology or materials is unfunded or is funded by a grant, contract or other agreement; they also apply whether or not the Export Administration Regulations (EAR) or the International Traffic in Arms Regulations (ITAR) are cited in related award documents. 如果研究人员从政府机构接受出口管制的技术或信息, 工业或其他地方, the researcher is subject to ITAR or EAR regulations. 如果大学研究人员不确定他/她是否可能接收或产生出口管制信息, the researcher should contact the 出口控制 Analyst, Office for Sponsored Programs, 寻求帮助. Export regulations may also apply, in the university context, to international shipping, 国际旅行, or university business transactions.

• 任何口头, 写, electronic or visual disclosure, 装运, transfer or transmission outside of the United States to anyone, 包括一个U.S. 公民，任何商品、技术(信息、技术数据或协助)或软件/代码.
• Such exports include transfers of such items or information to foreign embassies, overseas corporate affiliates and contractors.

• 任何口头, 写, electronic or visual disclosure, transfer or transmission to any person or entity of a controlled commodity, technology or software/codes to a non-U.S. 实体或个人，无论位于何处(即使是大学的外国学生或同事)

A foreign national is an individual who is not a United States citizen, a permanent resident alien of the United States, 合法承认的临时居留外国人或难民或其他受保护的个人.S.C. 1324b(a)(3). For purposes of export controls, 持有学生签证或H1签证的个人(包括外国访问教师)被视为外国人.

The equipment and technologies that may be covered by the regulations are extensive, 从软件, 电脑, 相机, 离心机, 高压灭菌器, 加速器, 辐射探测器, 等. to a wide range of chemicals, biological agents and toxins. Each item has detailed specifications (e.g., not all 相机 are subject to export controls) and, 重要的是, only technologies that are not publicly available are subject to the controls, although special rules apply to even publicly available encryption software. 在出口管制条例中，每种物品都按照不能出口到的国家进行分类. 例如, some items cannot be exported at all without a license; others may be shipped only to Canada without a license; while still other items can be exported to all but a few countries.

• Publication of research results would be severely restricted or controlled, contrary to university policy.
• Secure facilities with restricted access may be required.
• Special rules for controlled toxins, bio-agents and chemicals may be invoked.
• An export license may be required by Commerce or State if information, technology or an item or service is controlled. Obtaining an export license may be costly and result in considerable delays. 此外，这些许可证的范围是有限的，只允许一个个人或实体发布.

大多数大学的研究活动被排除在出口管制之外，因为基础研究一般被排除在管制之外. EAR和ITAR都规定，如果技术信息属于公共领域，则披露技术信息不需要许可证. 如果信息被发布，并且通过无限制和不受限制的分发或通过“美国认可的高等教育机构的科学和工程基础研究”向公众开放，则该信息属于公共领域.S. 结果信息通常在哪里发布并在科学界广泛共享.“这项基础研究排除适用于科学中的基础研究和应用研究，只要这些研究是公开进行的，不受出版、获取或传播研究结果的限制(EAR), 15 C.F.R. §734.8; ITAR, 22 C.F.R.§ 120.11(8)). By not accepting restrictions on publication or foreign nationals, the university protects the fundamental research exclusion.

While exports to all countries are controlled in various ways, 与这六个目前被禁运的国家的运输和互动都被严格禁止:

• 古巴
• 伊朗
• 利比亚
• 朝鲜
• 苏丹
• 叙利亚

重要的是，教师和其他研究人员了解他们在规定下的义务并遵守这些规定. The consequences of violating the regulations can be severe, and include loss of research funding, fines and/or prison time. The university will assist investigators in complying with export control laws, but the primary responsibility rests with the researcher. 有关违反出口管制处罚的更多信息，请参见违反规定.