Export Controls are governmental laws and regulations that require governmental approval before the export of controlled items, commodities, technology, software, or information to restricted foreign entities can occur, and are designed to restrict the transfer of technologies which potentially could adversely affect national security. Export controls in the U.S. normally arise when the nature of the export has actual (or potential) military or space-based application, when the government expresses concerns about the declared (or expected) end-use of the export, and/or when there are concerns surrounding the “foreign entity.” Restricted foreign entities can be nations, persons, universities, and/or companies, and laws (in the United States) apply to all research activities, regardless of funding sources. This can make certain areas of collaboration, such as science and engineering, more difficult with certain global partners. Additionally, trade embargoes and sanctions reflecting foreign policy concerns of varying nations can affect a researcher’s ability to travel to certain countries and transport certain research equipment.
Research administrators are the vanguard for possible export control issues on research projects. They are in the unique position of viewing all aspects of a research project and can assist in identifying potential issues at the earliest possible stage. Furthermore, export controls may be applied to personal transport, mailings, shipping, and technical data transfers and a watchful eye must be present at all stages of the collaboration process. Some useful information for both departmental and sponsored research administrators found on the University of South Florida’s Export Control website here. Otherwise, some basic proposal and contract considerations can be found immediately below.
At the proposal stage, things to consider are:
- Foreign national restrictions (i.e. will there be foreign nationals working on the project at your university)
- Sponsor publication restrictions
- Shipping equipment outside of your home nation
- Buying equipment that is export controlled
- Use of propriety or sensitive information
- Encryption and the use of encrypted software
- Export control language in the RFP
- Advanced work with technology for military applications
Questions to consider when evaluating an international research project, or interacting with foreign nationals on a domestic project:
- What items or technologies are being used? – See list of high risk areas of research (U.S. specific)
- Where are any items or technologies going?
- Who will access the research, items, or technologies? – See list of high risk sponsors (U.S. specific)
- What is the end use or application?
Export control red flags at the proposal stage:
- Export control language
- References to DoD or other high risk sponsors
- References to prohibited countries
- Sponsor is a foreign entity
- Clear military component to research
- References to “classified” information
- The research requires travel to foreign countries – take note of countries of concern, sanction, and embargo
- A member of the research team is a foreign national
- The research involves technology with a strong potential dual-use (civilian, commercial, and military) application
Troublesome contract clauses at both the prime contract and subcontract level (U.S. specific):
- Two versions of DFARS252.204-7000 (DEC 1991 and AUG 2013)
- Two versions of DFARS 252.204-7008 (Jul 2008 and APR 2010)
- DFARS 252.204-7004
- DFARS 252.204-7012
- FAR 52.204-2
- FAR 52.227-17
- ARL 52.004-4400
- AFMC 5352.227-9000
- DEAR 952.204-71
Descriptions and more information on the above can be found at the University of South Florida’s Export Control website.
Export control red flags at the contract stage:
- Publications restrictions, including approvals
- Foreign National restrictions
- Requirements for security plans
- Intellectual property rights
- Statement that proprietary or export controlled information will be provided
- Non-disclosure agreements are included
- Requires delivery of a prototype
- Requires foreign travel or shipment of research results
Non-U.S. Export Control Resources
Australian Defence Export Controls
United Kingdom Export Control
- UK Export Control Organisation
- Oxford University export control legislation
U.S. Resources
- University of South Florida’s Export Control Manual.
- Useful export control information for principal investigators and department research administrators including international travel and electronic devices information, a laptop and GPS checklist, countries of concern list, and case studies/FAQs.
- U.S. export control exclusions and exemptions for fundamental research, educational instruction, and the public domain.
- U.S. export control training video series sponsored by the Pacific Northwest National Laboratory.
- U.S. export controls explained to an Australian audience by the University of Pennsylvania.
- To Infinity & Beyond: Managing [U.S.] Export Controls Compliance | Presentation from the 2017 SRA-I Annual Meeting by Abigail Walsh, True Compliance Group PC, and Susan Wyatt Sedwick, Sttain LLC.
- Impact of Export Controls on Higher Education and Research Institutes Conference Report (Australia).
- U.S. export controls explained to the European exporter.
- Export control and international students.
- Encryption Overview presentation from Deloite Tax LLP, presented at the 2016 SRAI Annual Convention.
Material sourced from the University of South Florida’s Office of Export Controls and Examining Core Elements of International Research Collaboration: Summary of a Workshop.