Research

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

• Does the work involve a US sanctioned/embargoed country (click here for a current list)?
• Are there publication restrictions?
• Is there evidence that export controlled information or items will be part of the research? (Contract terms, scope-of-work, RFP, guidance, etc.)
• Are there restrictions on foreign nationals working on the project or is there a request for detailed information or an approval process for foreign nationals working on a project?
• Is foreign travel involved?(Taking export restricted information out of the US on a laptop or PDA.)
• Will there be a collaboration with foreign persons or entities?
• Is there a possibility that the work will become controlled?
• Will there be a physical export physical export(1) Sending or taking a defense article out of the United States in any manner, except by mere travel outside of the United States by a person whose personal knowledge includes technical data; or
  (2) Transferring registration, control or ownership to a foreign person of any aircraft, vessel, or satellite covered by the U.S. Munitions List, whether in the United States or abroad; or
  (3) Disclosing (including oral or visual disclosure) or transferring in the United States any defense article to an embassy, any agency or subdivision of a foreign government (e.g., diplomatic missions); or
  (4) Disclosing (including oral or visual disclosure) or transferring technical data to a foreign person, whether in the United States or abroad; or
  (5) Performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the United States or abroad.
  (6) A launch vehicle or payload shall not, by reason of the launching of such vehicle, be considered an export for purposes of this subchapter. However, for certain limited purposes (see §126.1 of this subchapter), the controls of this subchapter may apply to any sale, transfer or proposal to sell or transfer defense articles or defense services. to a foreign country (this includes reexports)? (Shipping some commonly available items abroad can constitute export control violations.)
• Will research be conducted in aforeign country?
• Are "troublesomeclauses" in the final agreement or NDA, PIA, CDA, etc.?
• Are there any "side-deals" (verbal or written understandings that contradict research agreements) outside of the University contracting process relating to any of the above? (Unwritten agreements can result in the loss of important exclusions and exceptions under export control law.)

If any of the answers to the questions above are "yes," export compliance is an issue. Please proceed with caution. Work closely with your Contract Analyst and VEC as necessary for additional guidance to ensure compliance in your work.

Should the scope of work, information, or items during a project become export controlled, or if new restrictions (as noted above) become apparent, please contact your Contract Analyst immediately.

Note - work should not begin until approval has been received from all relevant Vanderbilt offices. Please recognize that it is important to allow ample time for contract negotiations/review.

Best Practices

Research - It is critical when evaluating the research agreement/contract/grant, etc., to determine if the Fundamental Research Exclusion (FRE) is applicable. 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 advising your Contract Analyst can save time in negotiations and avoid misunderstandings and errors.

Contract Negotiators should include documentation in each contract file that agreements have been evaluated for FRE applicability. A review of contracts for export restrictions is essential prior to the commencement of contract negotiations. A Project Export Compliance Form is a tool that is helpful is conducting and documenting this analysis. The form should be completed by the Contract Negotiator and made part of the contract file. 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 either the ability to publish or an individual's ability to participate in the grant because of their nationality. 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 immediately. It is also important to consider foreign travel and shipments as they relate to foreign collaborations.