Fundamental Research Issues- Challenges for Universities and ...

U.S. Department of CommerceBureau of Industry and SecurityFundamental Research Issues-Challenges for Universities andResearch InstitutionsMarch 27. 2013University of PennsylvaniaStephen B. Hall- Office of Exporter Services

Fundamental Research• EAR 734.8- information that arises during orresults from fundamental research is exemptfrom EAR licensing requirements:• “Fundamental research is basic and appliedresearch in science and engineering where theresulting information is ordinarily published andshared broadly within the scientific community.”

Fundamental Research• The fundamental research exemption onlyapplies to information that “arises duringor results from” the research.• There is no “blanket exemption” for allinformation that is transferred in thecontext of such research

The Universe of ResearchPublicly availabletechnologies(Not Subject tothe EAR)INPUTPreexisting ExportControlled Technologies(Subject to the EAR)xxxxxxxxxxxxxxxxxxxResults of research published:(e.g., Fundamental Research)(Not Subject to theEAR)xxxxxOUTPUTResults of researchwithheld from publication(Subject to the EAR)

Publically Available Technology• Through published patents and patentapplications;• Through unlimited distribution at a conference,meeting, seminar, trade show or exhibition,generally accessible to the public, in the UnitedStates;• Through fundamental research in science andengineering where the resulting information ispublished and shared broadly in the scientificcommunity

Publically Available Technology• No license needed if technology is “publicallyavailable” or in the public domain• Examples--Sales through newsstands and bookstore-Through subscriptions available to anyone-At libraries open to the public or where thepublic can obtain documents

Challenges to UniversitiesFundamental Research:• No restriction on access ofinformation vs. deemed exportlicense and provisos• Compliance requirements

15 CFR- 734 Provisions• Fundamental Research– 734.8• Educational Information-734.9• Patent Applications- 734.10• Government-Sponsoredresearch covered bycontract controls- 734.11Be aware of license exceptions andcountry groups

Deemed Export Resources• On BIS Website:-Deemed Exports FAQ’s-Deemed Exports Fact Sheet-Guidelines for Preparing ExportLicense Applications InvolvingForeign Nationals• On USCIS website:- Form I-129 Part 6 FAQ’s

Contacting UsU.S. Dept. of Commerce (dual-use licenses)-Washington D.C. telephone- 202- 482-4811-Irvine, CA office- telephone- 949- 660-0144Web site – www.bis.doc.gov- has FAQ’s fordeemed exports & upcoming workshops-------------------------------------------------------------------U.S. Dept. of State (military-related licenses)Telephone- 202-663-1282Web site: www.pmddtc.state.gov