Export Controls: The Researchers

1
Export Controls The Researchers Friend or Foe?

• Shannon G. Davis, Ph.D.
• Assistant Dean for Research
• College of Engineering

2
The Purpose of This Presentation is NOT

• To teach you the details of export control
  regulations
• Discuss the bureaucratic intricacies of export
  control and what you have to do to manage it.
• Field a bunch of potential scenarios that you
  want to get advice about.

3
The Purpose of This Presentation is

• To provide an alternative viewpoint of optimism
  about working on export controlled projects.
• To provide potential reasons for a more open
  viewpoint for accepting such projects.
• Why it might be an opportunity and not just a
  burden
• Provide a testimonial from one of your peers
  who thinks this is a potential gold mine to use
  his words.

4
What is Export Control?

• US laws that regulate the transfer of items,
  technology, software, and services
• Apply to all activities with foreign persons
  and foreign countries not just sponsored
  research projects

5
Is Export Control Friend or Foe?

• It is foe if you are trying to avoid it
• You cant avoid it and it creates a lot of
  bureaucracy with regard to
• Students
• Research activity
• Equipment
• Travel
• International collaboration

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How this applies to you..

• Managing export control properly
• Avoids reputational harm and adverse publicity
• Severe criminal and civil penalties for
  individuals and institutions
• But Creates extra bureaucratic requirements
• Permission to publish
• Export control plans
• Requests for licenses to the government

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The Good news
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Exemptions

• Fundamental Research exemption
• There are a lot of exceptions to this so remember
  the handout is just a definitional guide.
• Educational exemption
• Published public domain exemption
• ITAR employee exemption

9
What if we thought of export control as an
opportunity instead of just a compliance burden?
10
The Reality of Global Markets

• Transferring technology is cheaper in China,
  India, and other countries because the global
  market makes everything cheaper.
• Export Controlled Projects Stay in the US
• This provides some protection from the global
  markets

11
What if export controlled projects are the first
steps toward doing classified research?

• Historically, the path to classified research
  work
• Acquire clearances
• building infrastructure
• I am told by company partners now that we can
  take small steps to getting there by starting
  with export controlled research. It is the
  beginning of the process.
• It builds trust with the company partner
• leads to additional work that can become
  classified.
• University provides something special that
  partner needs.

12
Testimonial from one of your colleagues who says
export control is a potential gold mine.

• What we can learn from the Cases?
• If you are specialized, export control gives you
  leverage you might not otherwise have.
• They dont want the technology to go to a
  competitor.
• You get latitude from the company if there is no
  place to go because other universities are averse
  to taking export controlled projects.
• Universities might have a better negotiating
  position regarding IP
• We might even be able to do away with right of
  first refusal. In fact it might be the best
  thing so that they do not take for granted we
  will license the IP to them.

13
How do we deal with publication restrictions?

• As Jim suggests, there would be lag time.
• You would carefully sequence publications.
• Just as you are completing one approval for a
  publication, you make sure you have another ready
  for the pipeline.
• Departments and colleges would need to learn to
  give at least partial credit for lagged
  publication work.
• Publication work that is in the process of being
  approved, but not yet cleared by the sponsor
  should count.
•  

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• THANK YOU!!