Grant and Contract Administration

An export is an actual shipment of controlled commodities, information or software out of the country. Transfer, release or disclosure to foreign entities in the United States of information (“deemed export"). A license or license exception is required prior to the export of controlled items, information to foreign entities.

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• Exporting of almost all encryption software in either source code or object code is subject to export control regulations.
• US persons are prohibited without prior authorization from providing technical assistance (i.e., instruction, skills training, working knowledge, consulting services) to a foreign entity with the intent to assist in the overseas development or manufacture of encryption software.
• License Exception TMP (Temporary Exports) allows those departing from the US to take with them as "tools of the trade" retail-level encryption items such as laptops, personal digital assistants (PDAs), and cell phones and encryption software.
• TMP requires that items and software will remain under individuals "effective control" overseas and are returned to the US within 12 months or are consumed or destroyed abroad.
• License Exception BAG (Baggage) allows individuals departing the US either temporarily (travel) or longer-term (relocation) to take with them as personal baggage retail-level encryption items including laptops, personal digital assistants (PDAs), and cell phones and encryption software in source or object code.
• BAG requires encryption items and software must be for their personal use in private or professional activities

What is the "Fundamental Research" exclusion?

• The export control regulations exempt from licensing requirements information (but not controlled items) resulting from "fundamental research."
• Fundamental research is defined as basic and applied research in science and engineering conducted at an accredited U.S. institution of higher education where the resulting information is ordinarily published and shared broadly within the scientific community.
• Information resulting from fundamental research may be shared with foreign colleagues abroad and shipped out of the United States without securing a license.
• Yale based research is not considered "fundamental research" if the university or its researchers accept (at the request, for example of an industrial sponsor) restrictions on publication of scientific and technical information resulting from the project.

• If you accept confidential or proprietary information subject to a Confidentiality or Non-Disclosure Agreement, and the disclosure restrictions affect your ability to publish research results, the research itself will lose its characterization as "fundamental research".
• Should the research entail information or software identified on US export control lists, and you wish to have foreign nationals participate in the research, you may be required to obtain an export license.
• If the confidential data pertains to such information as personal health, income, or other demographic data that is not identified on US export control lists, then export control restrictions on foreign national participation would not apply.

• The Commerce Control List (CCL) is maintained by the Bureau of Industry and Security (part of the US Department of Commerce) as part of the Export Administration Regulations (EAR). This list is sometimes called the "dual use" list, as the items on it may have either a military or commercial application.
•  Category 0: Nuclear Materials, Facilities & Equipment and Miscellaneous Items)
•  Category 1: Materials, Chemicals, Microorganisms, and Toxins
•  Category 2: Materials Processing
•  Category 3: Electronics Design, Development and Production
•  Category 4: Computers
•  Category 5: Part 1: Telecommunications, Part 2: Information Security
•  Category 6: Sensors and Lasers
•  Category 7: Navigation and Avionics
•  Category 8: Marine
•  Category 9: Propulsion Systems, Space Vehicles and Related Equipment
•  Specific information necessary for the "development", "production", or "use" of equipment or software. Technology includes information subject to the EAR released in the form of technical assistance or technical data.
•  Technical assistance includes instruction, skills training, working knowledge, consulting services. Technical assistance may involve transfer of export controlled information.
•  Technical data includes blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.
•  Information that is, or will be, placed in the public domain, such as that generated by fundamental research, is not subject to the EAR and is exempt from export control regulations.
•  EAR defines software code as a collection of one or more programs or microprograms fixed in any tangible medium of expression. Software code is comprised of source code or object code.

• Export controls which are based not on the nature of the technology but the individuals and countries involved in the transaction.
• Regulations are administered by the Office of Foreign Assets Controls (OFAC).
• Transactions of value (payments, providing services, collaborations) with certain countries and individuals are prohibited without a license from the U.S. government.
• Counties included are Belarus, Burma, Ivory Coast, Cuban, DR Congo, Iran, Iraq, Liberia, N. Korea, Sudan, Syria. Individuals subject to prohibitions are those identified in government lists as supporting terrorism, proliferation of weapons, illegal exporting activities and other such activities.
• Any concerns you should provide your recipient's name, location and institution for the conduct of an export control screen against US Government prohibited party lists.