Research

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RPI's Principal Investigative Roles

RPI researchers are at the front line of export control issues.  They are the ones with the control over the scope of the research project.  The PI also make the decisions and/or approval regarding equipment, data and technology which will be implemented in a project and to whom the controlled data or knowledge may need to be shared or transferred.  For example, the researchers determine when a research project may involve a dispatching of equipment or transferring technical information to colleagues abroad or to foreign nationals within their research laboratory, an “export” or a “deemed export,” respectively. 

RPI investigators need to be aware of the export control regulations and the potential impact on their research. The term "export" as used in these regulations includes the actual export or shipment of “commodities,” “data,” “technical information,” and “technology” to abroad, i.e., foreign countries, entities and individuals, but also "deemed export" which covers the transfer to a non-U.S. “person” within the U.S. of export controlled “items,” “commodities,” “data,” “software,” and “information.”  

 When the export control regulations apply and no regulatory exemption or license exception is available, an export license will be required before the export controlled “commodity,” “ item,” “data,” “technology,” “software,” and “information” can may be exported, transferred abroad or shared , transferred on campus with a “foreign person” participating or collaborating in the project.   

The following activities, among others, may be restricted: 

  1. The ability of "foreign persons" (e.g. scholars and students) to participate in export controlled research at RPI.
  2. The ability of RPI investigators to disclose or discuss any unpublished research at conferences and meetings where “foreign persons” are attendees.
  3. Attending or participating in conferences and meetings where a “foreign person” is an attendee.
  4. The ability of RPI investigators to engage in collaborations with foreign investigators, including restrictions on teaching foreign collaborators on how to use export controlled items in research (regulated as providing a "service").
  5. The ability to send or receive research equipment abroad.
Accordion

Fundamental Research

The export control regulations (e.g., the EAR, the ITAR, and the NRC) define “fundamental research” to mean “basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, and for which the researchers have not accepted restrictions for proprietary or national security reasons”. (15CFR §734.8(c).

“University research will not be considered fundamental research if: (i) The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or (ii) The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable," [ITAR 22 CCR §120.11(a)(8)(i)&(ii)).  “Public domain” means “Information which is published and which is generally accessible or available to the public…” (§120.11(a)). To be noted, government officials, as well as guidance on several university web sites, have asserted that only technical data which is (already) published qualifies as fundamental research excluded from the ITAR.  But, under ITAR, controlled technical data is not automatically removed from ITAR licensing by posting it to the Internet, because the Internet is not considered to be “public domain.”  Under the EAR, however, information is considered “published” as soon as it is posted to the Internet and therefore is not subject to the EAR.

The intent of the ITAR is similar to the EAR and it is intended to encompass the conduct and results of fundamental research. It aligns with established university research practice and with the practical reality of universities. When there are no restrictions on publication, and no restrictions on participation in federally-funded research, RPI makes the reasonable determination that there is no basis for excluding non-U.S. researchers from participating in the conduct of research that will become publicly available.  As a result, it is reasonable to expect that the results of the research will be improved by the contributions of the most capable researchers without regard to nationality.

It is to be noted, the following ITAR statement "already published" or “is published” model would mean that only U.S. researchers could contribute to research in the scope of the ITAR project,  As a result this would be considered a restriction until publication which is “…after approval by the cognizant U.S. government department or agency…” 22CFR120.11(a)(7)g or exceptions under 22CFR125.4 (b)(13), could become available to everyone.”

Looking to related government expressions for clarification:
•    Further, specifically exempted from the definition of technical data is “... information that is in the ‘public domain’ if published and generally available and accessible to the public through, for example, sales at newsstands and bookstores, subscriptions, second class mail, and libraries open to the public (22 CFR 120.11). Information is also in the public domain if it is made generally available to the public ‘through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public in the United States’ or ‘through fundamental research in science and engineering at accredited institutions of higher learning in the U.S., where the resulting information is ordinarily published and shared broadly in the scientific community,’” 22 CFR 120.11(6) and (8) and, also, providing compliance with 22CFR125.4 (b)(13) are adhered to.
•    “’Fundamental research’ means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.” ... No restrictions may be placed upon the conduct or reporting of federally-funded fundamental research that has not received national security classification, except as provided in applicable U.S. Statutes. [NSDD-189].
    
Taken as a whole, RPI’s interpretation of “fundamental research” is that the intent of the EAR and ITAR is that research conducted on campus, without restrictions on publication or participation, is “fundamental research” from inception to publication as long as the intent is to publish the results.

The “Fundamental Research Exclusion” (FRE) to US Export Control Law does not apply outside the United States. To minimize the chance of export control violation it is a good practice to limit material presented outside of the United States to that which has already been published per the definitions of the EAR and ITAR, such as in conference proceedings, journals, websites, publically-accessible theses, etc. To the extent practicable, this should be kept in mind when answering questions about the research at public fora.

When discussing potential collaborations with foreign nationals, by phone, email, and other correspondence, you should use judgment and contact the ECO if you are in any doubt about areas of research you will be discussing or other material you plan to disclose. Also, the ECO can check that the potential collaborator and his/her institution is not on any restricted parties list. You should be careful not to disclose any "technical data" on restricted material defined as information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense articles or be interpreted as a “service.”

The exchange of scientific information with researchers abroad can trigger control requirements, such as end user screening and export licensing for tangible items and software under ITAR and EAR control regimes as well as OFAC sanctions on select countries (currently Cuba, Sudan, Iran, and Crimea area of Ukraine). In addition, the ITAR regulations include controls on providing a “defense service.” This pertains to providing advice, training assistance, and other release of technical data to a foreign national with respect to an article on the USML or for a military/defense objective with respect to any article, whether or not listed on the USML. Visiting scholars and researchers who visit RPI as part of a collaboration need to be restricted from accessing laboratories in which ITAR items or data are kept or used.
 

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Fundamental Research Details

EAR.  Research within the scope of EAR, technology and software that “arise during, or result from, “fundamental research” are considered publically available and excluded from the EAR.  “Fundamental research” is “basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community.” (15CFR§734.8(a))

Research conducted by scientists, engineers, or students at a U.S. university normally will be considered fundamental research unless there are restrictions on publication or the researchers accept specific national security controls on U.S. government-funded research (15CFR§734.8(b)); the definition included in §734.8(b)(1) limits “university” to U.S. institutions.

Note:  Encryption software controlled under 5D002 for encryption (EI) reasons and mass market encryption software with symmetric key length  greater than 64 bits controlled under 5D992 remain subject to the EAR, (EAR §734.3 and §734.9). For more information regarding EI, Supplement No. 1 to 15CFR Part 734, Sections A and D, contains questions and answers to clarify the regulations.

ITAR. Research within the scope of ITAR, “information, which is published and which is generally available to the public through fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly within the scientific community.  Without restrictions on publication of scientific and technical information resulting from the project activity or access and dissemination controls for U.S. Government-sponsored research, is considered public domain and excluded from ITAR control."  (22CFR120.11)

DoE.  Research within the scope of DoE controls, research not involving any of the designated countries or involving specified items, for example production reactors, enrichment, reprocessing, fabrication of nuclear fuel containing plutonium, production of heavy water, or research reactors, is generally authorized;  research involving the designated countries or the specified activities must be specifically authorized (10 CFR §810.7 and §810.8).

NOTE: DOE’s written regulations don’t specify a fundamental research exclusion, but one does apply if the full results will be published.  Because of the risk of acting unilaterally under general authorization and the written regulations’ failure to accurately describe practice, it is good practice to ask for DoE interpretation as specified in the regulations.

The US government makes special provisions for fundamental research as matter of national policy:

  • "It is the policy of this Administration that…the products of fundamental research remain unrestricted…  No restriction may be placed upon the conduct or reporting of federally funded fundamental research that has not received national security classification..."
    National Security Decision Directive 189, "National Policy on the Transfer of Scientific, Technical and Engineering Information", September 21, 1985 (Reagan Administration)
  • “The key to maintaining U.S. technological preeminence is to encourage open and collaborative basic research. The linkage between the free exchange of ideas and scientific innovation, prosperity, and U.S. national security is undeniable.”
    Condoleeza Rice, National Security Advisor to Pres. George W. Bush, November 1, 2001, Affirmation of NSDD-189 
  • “Dept. of Defense awards for… contracted fundamental research should not involve classified items, information, or technology… Furthermore, unclassified contracted fundamental research awards should not be structured, managed, or executed in such a manner that they become subject to… U.S. export control laws and regulations.”
    Undersecretary of Defense Ashton Carter, May 24, 2010, Re-affirmation of NSDD-189