One of the primary purposes of Vanderbilt University is to create and disseminate knowledge in an open and free research environment, and most University research is not subject to – or excluded from – U.S. export control laws and regulations. However, the University recognizes that some research is subject to U.S. export control laws and regulations and that controlled research must be handled accordingly. See our Research Flyer for additional information.
Export Control Exclusions
Controlled Research
How do you know if your research is controlled?
Most items and information are controlled to some degree.
The U.S Department of Commerce’s Bureau of Industry and Security (BIS) maintains the Export Administration Regulations (EAR), which regulates export-controlled items, including dual-use items having both civil and military applications, on the Commerce Control List (CCL). The degree of control on this list varies per item, and in order to determine that degree, it is important to know the export classification, or the Export Control Classification Number (ECCN).
- EAR99 is an export classification indicating an item is subject to the EAR but is not listed with a specific ECCN on the CCL. Under most circumstances, EAR99 items do not require an export license.
- 600 Series items on the CCL are more sensitive items previously controlled under the United States Munitions List (USML) or were covered by the Wassenaar Arrangement Munitions List.
- 9×515 ECCN designated items include “spacecraft” and related items, as well as some radiation-hardened microelectronic circuits, that were previously controlled on the USML.
The U.S. Department of State, through the Directorate of Defense Trade Controls (DDTC), administers the International Traffic in Arms Regulations (ITAR), which regulates defense articles and services for the development or design of military and space applications. ITAR-controlled items are maintained on the U.S. Munitions List (USML) under 21 categories of control.
Examples of technologies controlled by the EAR and ITAR are listed here.
Classification of Research
Most all items and technologies are controlled to some degree. Just because it is not labeled does not mean it is not controlled. Just because you bought it commercially does not mean it is not controlled. If you do not know the classification of your research, the most reliable method of locating it is to contact the manufacturer or sponsor and ask for the ECCN or ITAR category. If you need additional help, contact vec@vanderbilt.edu to assist with a self-classification. Keep in mind, in general, while almost every item located within the U.S. is subject to export, most do not require an export license.
Troublesome Clauses & Restrictions
Troublesome clauses may be found in research agreements and negate the ability to use the Fundamental Research Exclusion (FRE). They most often appear in industry contracts with a defense prime, but the general restrictions may appear in any type of research agreement; if not removed or negotiated out of the agreement, they may subject the project to the full weight of export controls.These clauses contain restrictions on one or more of the following:
- Publication
- Participation
- Dissemination or access
Restriction | Clause |
---|---|
Publication | DFARS 252.204-7000 Disclosure of Information |
FAR 52.227-17 Special Works | |
FAR 52.227-14 Rights in Data | |
Participation | NFS 1852.225-71 Restriction on Funding Activities with China |
AFRL 52.004-440 Foreign Nationals Performing Under Contract | |
ER 52.0000-4017 Foreign Nationals | |
DEAR 952.204-71 Sensitive Foreign Nations Controls | |
Dissemination | DFARS 252.204-7008 Compliance with Safeguarding Covered Defense Information |
DFARS 252.204-7009 Requirements Regarding Potential Access to Export-Controlled Items | |
DFARS 252.204-7012 Safeguarding Covered Defense Information and Cyber Incident Reporting | |
NFS 1852.225-72 Access to Sensitive Information | |
NFS 1852.204-73 Release of Sensitive Information |
If troublesome clauses appear in your research agreement, work with Sponsored Programs Administration (SPA) to attempt to negotiate these out.
DD Form 2345
VEC maintains an approved Military Critical Technical Agreement/DD Form 2345 with the United States – Canada Joint Certification Office (JCO).
Those Requiring a DD Form 2345 Must Contact VEC.