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Awareness of export control laws and regulations at all stages of any research project (sponsored or non-sponsored) is important. Consider the following as it relates to your research before work begins:

    • Are there any publication restrictions or restrictions on foreign national participation?
    • Does the work involve a US sanctioned/embargoed country (click here for a current list)?
    • Are "troublesomeclauses" in the agreement?
    • Is there a Non-Disclosure Agreement (NDA), Proprietary Information Agreement (PIA), or Confidentiality Agreement (CDA) ?
    • Will there be a collaboration with foreign persons or entities or will research be conducted in a foreign country?
    • Is there evidence that export controlled information or items such as Controlled Biological Materials or Controlled Chemicals, will be part of the research? Are there publication or foreign national restrictions? scope-of-work? RFP? guidance?
    • Does the project involve foreign travel  or physical exports to a foreign country?
    • Does the project involve the transfer of export controlled information or items, or is there a possibility the work may become controlled?

If any of the answers to the questions are "yes," export compliance is an issue.  Work closely with your Contract Negotiator and VEC for additional guidance to ensure compliance in your work.

Best Practices

Research - It is important to determine if the research qualifies for the Fundamental Research Exemption (FRE). The Export Control Compliance Review Flow Chart may be used as a tool in this analysis.

Faculty should be sensitive to information found in proposal preparation documents – RFPs, RFAs, etc. – and collegial discussions suggesting that the proposed research might be export controlled. When in doubt, ask the program contact. Knowing this early on and collaborating with your Contract Negotiator can save time in negotiations and avoid delays.  Please recognize that it is important to allow ample time for contract negotiations/review.

Contract Negotiators should include documentation in each contract file that agreements have been evaluated for FRE applicability. A review of contracts for export controls is essential prior to the commencement of contract negotiations. Contact VEC as necessary during this analysis process or if restrictions apply to the agreement that void the FRE.

Grant Managers should evaluate grant awards for the inclusion of 'non-standard' grant terms and conditions that restrict the ability to publish, the participation of foreign nationals, or restrict access to project materials or technology.  Contact VEC prior to accepting the award if such restrictions apply to grants or cooperative agreements.

Foreign Collaborations - it is recommended that any known foreign entities and foreign contacts involved in the contract/agreement/grant/research, etc. should be screened using ListVUe™ denied persons search tool before negotiations, when there are amendments, new task orders, changes, etc. to determine if there are any denied parties involved. Print the search records and keep in the file for five years past the last date of activity. If a name is found on a denied parties list, please contact VEC.

It is also important to consider foreign travel and shipments as they relate to foreign collaborations.

Please click here review VIO guidelines for establishing international partnerships.

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ListVUe   For assistance using ListVUe, please email ocra@vanderbilt.edu

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