Research

Awareness of export control laws and regulations at all stages of any research project (sponsored or non-sponsored) is important.

Consider the following as it relates to your research before work begins:

What are the possible export control issues that may apply to your research project? Questions to ask:

• Have you reviewed the Fundamental Research and FRE guidance?
• Are there any Export Control issues that may apply to your research project?
• Are there publication restrictions?
• Are there foreign national restrictions?
• Does the work involve a US sanctioned/embargoed country? (view a current list)
• Does the work involve a Tier 1 or Tier 2 Country of Concern? (view a current list)
• Is there a Non-Disclosure Agreement (NDA), Proprietary Information Agreement (PIA), or Confidentiality Agreement (CDA) ?
• Will there be a collaboration with foreign persons or entities and/or will the research be conducted in a foreign country?
• Are there Restricted Biological Agents (Viruses, Bacteria, Toxins, or Fungi) and/or Restricted Chemicals in the research?
• Does the project involve foreign travel or physical exports (shipping) to a foreign country?
• Does the project involve the transfer of export-controlled information or items, or is there a possibility the work may become controlled? If not certain, how do I determine? (Contact VUMC EC)

If any of the answers to the questions are "yes," export control measures should be involved and will require working with VUMC Export Compliance along with other central research administrative offices to ensure your project is export compliant.

Best Practices

• Research - It is important to determine if the research qualifies for the Fundamental Research Exemption (FRE).
  • The FRE questions and the Export Compliance Review Flow Chart may also be used as tools in this analysis.
• Encryption / Secure File Transfer - It is critically important that any/all technology, technical data, study methods or procedures, test data, results, methodologies, etc. being shared within and amongst other institutions is appropriately managed electronically. This is especially true if the information needs to be sent internationally.
  • VUMC's prior secure file transfer application known as 'Accellion' has been replaced with 'Sensitivity Labels' in Microsoft Outlook for Office 365 only.
    • Accellion use is retired as of June 30, 2021. For more information, see:
      • https://www.vumc.org/enterprisecybersecurity/cybersecurity-updates/accellion-retiring-you-have-two-new-options-sending-secure-content
  • If it is necessary to send files, data, or certain confidential/restricted information, please do the following:
    1. Confirm that the information is not export-controlled. If it is or you are unsure, please contact VUMC Export Compliance prior to sending the information/data, etc. (either domestically or internationally)
    2. Confirm that your system has the updated version of Microsoft Outlook for Office 365.
       • If you are using any other version, do not attempt to send encrypted information via Outlook.
       • Connect immediately with your department's IT personnel (https://www.vumc.org/it) to assist in upgrading your machine.
    3. Confirm that you are behind the VUMC VPN before attempting to use Sensitivity Labels or send encrypted information.
    4. Open a new thread in MS Office. Do not forward controlled information or data from an old thread or attachment.
    5. Follow the guidelines from VUMC's Cybersecurity Office on utilization of Sensitivity Labels for properly marking emails/attachments, as found here:
       • https://www.vumc.org/enterprisecybersecurity/sensitivity-labels
       • If the files, data, or information is export-controlled and the EC office has been notified and approved the file transfer, please use only the 'Restricted' sensitivity label.
• 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 Sponsor Program contact person. Knowing this early on and collaborating with the central research administrative office, i.e., OSP or OCM, (along with the Export Compliance office) can save time in negotiations and avoid delays.
  • Please recognize that it is important to allow ample time for contract negotiations/review.
• Contract Analysts should include documentation in each contract file that agreements have been evaluated for FRE applicability. A review of contracts for export controls is essential prior to the commencement of contract negotiations.
  • Contact the Export Compliance office 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 the ability to publish, the participation of foreign nationals, or restrict access to project materials or technology.
  • Contact the Export Compliance office prior to accepting the award if such restrictions apply to grants or cooperative agreements.
• International Collaborations - It is recommended that any known foreign entities and foreign contacts involved in the contract/agreement/grant/research, etc. should be screened through our Restricted Party Screening (RPS) process for inclusion on the denied persons list (DPL): before negotiations, when there are amendments, new task orders, changes, etc. to determine if there are any restricted or denied entities/parties involved (anywhere in the transaction).
  • VUMC's Export Compliance office will assist you in this process.
  • See the International Collaborations and RPS page for more details/requirements.

Know your Partner(s)

The Bureau of Industry and Security (BIS) provides very helpful guidance when considering who to do business/collaborate with:

1. Know your customer/collaborator.
2. Look for Red Flags that can help you recognize potentially illegal transactions.
3. Request a Restricted Party Screening from the export compliance office.
4. Report illegal transactions or any encouragement by internal or external parties to violate international laws immediately.

Review Supplement 3 to 15 CFR 732 for guidance from the U.S. Department of Commerce.

You are encouraged to contact the Export Compliance office at any time for assistance with restricted party screening (RPS) for denied persons or entities. It is also important to consider foreign travel and shipments as they relate to foreign collaborations.