Since the 1940s, the U.S. has enforced export regulations to control the flow of goods, technology, and information leaving the country. These federal laws are designed to protect national security and safeguard trade interests by restricting access to controlled items. In recent years, compliance with these regulations has become more critical due to heightened global concerns about homeland security, the proliferation of weapons of mass destruction, terrorism, and economic competition.
Rice University is committed to compliance with all U.S. export control laws and regulations. Our goal is to ensure that all university activities adhere to these laws while maintaining an open and collaborative research environment that is diverse, inclusive and free of discrimination.
What is an export?
U.S. export control laws are federal regulations that govern the transfer of sensitive information, technology, and goods to foreign countries and individuals. The term "export" is broadly defined. It includes not only sending technology overseas—even to a U.S. citizen—but also sharing it with a foreign national within the United States. This is known as a "deemed export." For example, having a discussion with a foreign student or researcher in a lab can be considered a deemed export. Without a license from the appropriate government agency, these regulations may prohibit foreign nationals from participating in research that involves controlled technology.
Regulations
The United States maintains a comprehensive set of export regulations to protect national security, foreign policy, and economic interests. These rules govern the shipment and transmission of items, technology, and information from the U.S. to foreign countries, entities, and persons. The primary regulatory bodies are the Bureau of Industry and Security (BIS) within the Department of Commerce, which administers the Export Administration Regulations (EAR) for "dual-use" commercial items with potential military applications, and the Directorate of Defense Trade Controls (DDTC) under the Department of State, which manages the International Traffic in Arms Regulations (ITAR) for military defense articles and services on the U.S. Munitions List. Additionally, the Office of Foreign Assets Control (OFAC) at the Department of the Treasury enforces economic sanctions and embargoes against specific countries and individuals.
U.S. export regulations generally apply to most areas of science, engineering, and technology, but they only require a license for a limited set of items and information. See 15 CFR 774, Supplement 1 (EAR) and 22 CFR 121.1 (ITAR). The government restricts these specific "license-controlled" exports for reasons of national security or to protect trade. The primary reasons a license might be necessary include:
- The nature of the item itself, particularly if it has military or economic significance.
- Concerns about the destination, whether it's a country, organization, or specific individual.
- The declared or suspected end-use of the item or the end-user.
This applies not only to tangible items like prototypes or software but also to the research results and technical data. The U.S. has a policy of denying licenses for transfers of these controlled items to certain countries.
Noncompliance
Violating these regulations can lead to severe consequences, both for the institution and for the individual researcher. Civil and criminal penalties can be levied, including fines and imprisonment. It is critical for Rice University researchers to understand their obligations and to work with the Office of Sponsored Projects (OSP), the Office of Research Security and Export Controls (RSEC) and their Grant Administrators to ensure that the university is in compliance with these laws.
Exclusions
For a research activity to be exempt from export controls, it must fall under one of three categories: the fundamental research exclusion, the public domain exclusion, or the education exclusion.
Fundamental Research Exclusion
Most research activities at Rice University are excluded from export controls because of the fundamental research exclusion. Fundamental research is defined as basic and applied research at a university where the results are typically published and shared openly within the scientific community. This is different from research with restrictions on its dissemination, such as for proprietary reasons or government-specific access controls.
Public Domain Exclusion
The public domain exclusion in US export control laws exempts information that is already published and freely available to the public from export control regulations. This exclusion is applied under both the Export Administration Regulations (EAR) as "publicly available" and the International Traffic in Arms Regulations (ITAR) as "public domain". Essentially, if information is accessible to the general public, such as through publications, libraries, patents, or open conferences, it's typically not subject to export controls.
Education Exclusion
The educational exclusion in US export control laws exempts certain information related to education from export restrictions, specifically information commonly taught in academic institutions and released through instruction in catalog courses and associated teaching laboratories. This exclusion allows for the sharing of knowledge regarding general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities with foreign nationals without requiring a license.
When Exclusions Don't Apply
If your research activity does not meet one of these exclusions, and you need to export a research item, you will likely need an export license. The process for obtaining a license from the Bureau of Industry and Security (BIS) or the Directorate of Defense Trade Controls (DDTC) can be lengthy, so it is important to plan ahead and begin the application process early. Contact Research Security and Export Controls (RSEC) if you have any questions about or need assistance with this process.
Export Controls and Travel
When traveling abroad, Rice travelers should contact the office of Research Security and Export Control to help determine whether items being taken out of the country are “license controlled” as determined by Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR). The Office of Foreign Assets Control (OFAC) might also prohibit travel to embargoed countries even if exclusions to EAR and ITAR are applicable. For example, travel to Cuba is commonly restricted because of the U.S. embargo on trade with Cuba. Please read Rice University Policy 852 regarding International Travel.
Failure to comply with federal export laws can lead to serious consequences, including criminal or civil penalties, loss of export privileges, and negative publicity.
Export controls are typically in place due to one or more of the following:
- The export has actual or potential military or economic protection applications.
- The government has concerns about the destination country, organization, or individual.
- The government has concerns about how the export will be used or who will use it.
Before leaving the country, you must confirm that any information you plan to discuss or items you plan to take with you are not controlled. If they are controlled, you must obtain the proper licenses first.
Summary
Federal export laws regulate the transfer of goods, software, and technology, which can significantly impact research at Rice University. These regulations control how specific items can be shared with foreign nationals, both overseas and within the U.S.
For more clarity, you can review the FAQ on export controls. (coming soon)
NASA Restrictions on Funding Activities with China
NASA issued an information circular (GIC 12-01) on February 9, 2012, enacting funding restrictions with respect to China. Clarifying its policy, NASA reissued the information circular on September 26, 2012 (GIC 12-01A), to specify that the restrictions are based on affiliation, not citizenship.
These restrictions apply to all NASA projects with funds appropriated on or after April 25, 2011, and to all future appropriations. This includes all NASA projects that involve any faculty, staff, or students from the Rice University, regardless of whether the work is performed on- or off-campus, within the U.S. or abroad.
When Rice University receives a NASA award, the Principal Investigator will be required to complete a questionnaire and sign an assurance of compliance with the China Funding Restriction. Refer to NASA’s FAQ website.
Export Controls Contact Information
Marcus Phillips
Marcus.Phillips@rice.edu
Cell: 281-795-6394
Swapna Hegde, PhD
Swapna.Hegde@rice.edu