What is necessary when complying with research and export control regulations?

If you have questions regarding export controls, the Office of Compliance is available to provide guidance.  You can contact the Office of Compliance at compliance@emory.edu or 404-727-2398.

 

If export controls regulations prohibit your intended research activity, you will need to apply for a license from the U.S. Government in order to move forward.  Investigators should understand that license applications require the assistance of outside counsel, require time (often months), and considerable expense.  It is also important to understand that the U.S. Government may or may not grant the license.  If a license is required for an intended activity and you wish to discuss applying for one, the Office of General Counsel should be contacted.  The Office of Compliance can also connect you with the Office of General Counsel for such matters.

The United States regulates the exports of certain items, materials, equipment, software and technology in furtherance of national security interests and foreign policy objectives.

Export controls can apply to a wide range of research activities, regardless of the source (or existence) of funding.  The shipment of materials outside the U.S. can invoke export controls restrictions depending on the nature of item and/or the destination. Additionally, export controls can apply to items that a researcher takes with him/her in travel, depending on the nature of the activities.   Finally, the disclosure of scientific information, technical information related to equipment, and certain software, whether outside the U.S. OR to a non-U.S. citizen, non-permanent resident within the U.S. (i.e., a “deemed” export),also can constitute an export that is potentially subject to export controls.  

For the export of physical items, while many things are not export-controlled, it is important to make sure to perform a diligence check to ensure that your export can be made.  

With regard to disclosures of scientific information, technology, and software, either outside of the U.S. or to foreign national researchers in the U.S., investigators should be aware that most disclosures will not be subject to export controls regulations if the information, technology, or software is the product of academic research that is intended to be disclosed broadly in the scientific community (e.g., through journal publication) and is not subject to confidentiality or publication restrictions (i.e., “Fundamental Research”).  Therefore, it is very important for investigators to understand whether or not confidentiality or publication restrictions exist on their research, and whether or not they will be utilizing proprietary technology or software from an outside source.  Also, note that the Fundamental Research Exclusion only applies to disclosures of information, technology, and software, not to the physical export of other items outside the U.S.

To assist with the analysis of potential exports and deemed exports, Global Services and the Office of Compliance worked together to create the International Assessment Questionnaire (IAQ).  While completion of the IAQ is a part of the sponsored research compliance process, researchers may also fill out the IAQ for non-sponsored/internally-funded/unfunded research activities in order to receive guidance and a diligence check.

The IAQ has two main purposes:  

·         To assist the Office of Compliance in identifying activities that require additional assessment under export control and related regulations.

·         To enable Global Services to provide assistance with the various administrative and business considerations (e.g., HR, travel) that international projects can involve.  

 

The IAQ is available at https://redcap.emory.edu/surveys/?s=CHEKWDRP4A.  Only those researchers who answer “Yes” to either of the questions in the EPEX section entitled “International and Export Control Information” will need to follow the foregoing link to the IAQ.  Completion of the IAQ is not a prerequisite to EPEX proposal submission.  Accordingly, proposal submission will not be delayed by the IAQ.  IAQ completion, however, is required prior to the distribution of funding.

 

Any questions about completing the IAQ should be directed to Chris Rapalje at christine.rapalje@emory.edu.  

 

When routing a proposal or contract to start a project for which you think export controls may apply, indicate this by checking the “yes” box on the OSP routing form question about export controls.  You will then receive an automatically generated e-mail requesting additional information.  Your responses will be reviewed by the Export Control Coordinator who is trained to assist you in making determinations about whether or not export controls apply to your specific situation. 

The Office of Compliance offers training on the Fundamentals of Export Control.  In person training for groups available upon request.  Information and resources regarding export controls is also available on the Office of Compliance website at http://compliance.emory.edu/export-control/index.html. 

Contact us at compliance@emory.edu or 404-727-2398