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Frequently Asked Questions about Export Regulations
- 1. I only teach and do research, why should I have to worry about the export regulations?
- 1.1 How might the export rules affect students based on their nationalities?
- 1.2 How might the export rules affect my potential to do follow-on research in a given field? In general, how will these rules affect my career?
- 1.3 How might the export rules affect teaching?
- 2. What is an export anyway?
- 2.1 Is any technical information excluded from control under the export rules?
- 2.2 What is "fundamental research" under the export regulations?
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I only teach and do research, why should I have to worry about the export regulations?
There are significant fines and potential imprisonment for violations of the export regulations. The fines might be imposed on the individuals involved as well as the university. Also, the export rules might create a need to discriminate among students based on nationality, might affect your potential to do follow-on research in a given field, and might adversely impact the potential to teach a course to students outside of the United States.
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1.1 How might the export rules affect students based on their nationalities?
A significant issue in the university environment is that it might be necessary to discriminate based on nationality as to which students will be allowed to participate in a research project if export controls are required for information or access to equipment or computer software involved with the project. Given the general university policy for openness of research and against such discrimination, such projects will have to be justified and approved by a number of people in the administration---and there is a definite potential that you might not be allowed to do the projects that you would like to do.
1.2 How might the export rules limit my potential to do follow-on research in a given field and generally affect my career?
Publication restrictions and resultant export controls on the results of research projects might affect your being able to continue research along the direction of the project for which there are controls. This could alter your ability to obtain support for further research as well as reduce the opportunities for you and your colleagues and students to publish in furtherance of your careers.
1.3 How might the export rules affect teaching?
The export regulations generally do not affect most teaching. There might, though, be some issues if a technical subject is being taught to students outside of the university, particularly if they are in a foreign country and as part of the course physical items or computer software is to be provided to the students.
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What is an export anyway?
An export is the transfer of a physical item, computer software or technical information to a foreign country. The transfer of technical information to a foreign national in the United States also is deemed to be an export. A permanent resident of the United States ("green card" holder) generally is treated as a United States person, the same as a U.S. citizen, and not as a foreign national.
Computer software downloaded from the web to another country would be considered exported. In addition to verbal or written transfers, technical information might also be transferred and deemed exported if it can be ascertained from access to physical items or computer software.
The provision of certain services also is considered an export, even if all of the information used or transferred in association with those services is not controlled under the regulations. For the most part, such services involve assistance for military or space projects, assistance with encryption commodities or software, or assistance to embargoed countries.
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2.1 Is any technical information excluded from control under the export rules?
Information commonly taught in courses at United States universities is excluded from control under the export regulations, though there might be a requirement that the teaching be in a catalog course. In general, publicly available information is also excluded from control, such as information published in journals, presented at open conferences or available in libraries. In addition, information resulting from "fundamental research" (see 2.2 below) is treated as being publicly available.2.2 What is "fundamental research" under the export regulations?
Information that results from "fundamental research" is treated as publicly available and not subject to export controls. The term "fundamental research" has special defined meanings under the export regulations. It includes both basic and applied research the results of which are ordinarily published and should not be equated with the term basic research.
An activity would not, though, be treated as fundamental research if there exist contractual restrictions on the dissemination of the research results. Such a contractual restriction might be created by "side deals" made by a researcher; and such side deals must be avoided.
The meaning differs between the State Department regulations, which cover defense and space items and technologies, and the Commerce Department regulations, which cover any items and technologies not exclusively controlled under other regulations. The State Department regulations only consider an activity to be fundamental research if it takes place at a United States university, whereas the Commerce Department regulations allow for the activity to take place even at commercial organizations, as long as the results would ordinarily be published. Special care may be needed if a project specifically involves military or space technology.
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What might trigger my need to be concerned about export issues? How will I recognize that an issue exists?
Here are some situations that might trigger an export issue:- A sponsor or resource indicates in a conversation or email that something might be "export controlled."
- Technical information is received with restrictions as to whom it may be disclosed.
- Computer software or physical items are received with restrictions as to who may have access.
- Restrictions on publication or other dissemination of project results are included in an agreement for support of research or other activity.
- Restrictions on who can participate are included in an agreement for a research project or other activity.
- Computer software or a physical item is to be transferred to another country.
- Computer software will be made available for people to download from the web.
- A research project will involve an international collaboration.
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How might I avoid or at least minimize the potential impact of export issues?
To reduce the adverse impact of the export rules:- Avoid restrictions on the dissemination of research results.
- Avoid to the greatest extent possible activities that are specific to defense items. Make it clear in statements of work and discussions with sponsors that the university's goals are to achieve results that would have wide potential uses by the public, with clear examples of how the results would be beneficial and useful for non-defense applications.
- Minimize the need, particularly by student participants, to use proprietary or controlled information, devices, equipment or computer software.
- If, in order to get funding for a research project, there is a need to address a specific defense item or to control the dissemination of research results, attempt to break the statement of work into segments such that only U.S. faculty or staff need to participate in those aspects of the project.
- Get help early if there is any potential export issue.
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Who will help me address export issues?
For research related activities and agreements, your first contact is your Project Representative in DRDA. Among such activities and agreements are:- Non-Disclosure Agreements: negotiations and subsequent compliance
- Proposals: preparation, negotiation
- Material Transfer Agreements for the receipt of materials, equipment, devices and/or computer software for use in a research project: negotiations and subsequent compliance
- Control of research results when obligated under support contracts and the export regulations
- Transfers of technical information, materials, equipment, devices and/or computer software to other countries in association with research activities
- Informal research collaborations with individuals or organizations in other countries
For travel to Cuba for research or educational activities, contact the Facility Security Officer.
For disposition of excess property to a foreign country, contact Property Disposition.
For transfers of University of Michigan intellectual property to a foreign country, contact the Office of Technology Transfer.
For issues other than research regarding interactions with individuals or organizations in, or who are nationals of, embargoed countries, contact the Office of General Counsel (e.g., involving Cuba, Iran, Syria, North Korea, Sudan).
Reviewed: November, 2009
Copyright © 2007-2009 The Regents of the University of Michigan