Export Control Guidance

This guidance document provides a quick outline to the key aspects of export control.

First, Who you are working with? Restricted Party Screening ensures you do not work with restricted individuals, entities, or organizations. Next . . .

1Research Evaluation

Evaluate research activities to determine whether they fall under export controls. This evaluation includes identifying research as:

• Public Domain: Information that is already published and generally accessible to the public without restriction,
• Fundamental Research: Research which is to be published without restrictions, or
• Export Controlled: Research that falls under U.S. export control regulations.

2Fundamental Research

The definitions of fundamental research differ by U.S. government regulation:

• EAR (Export Administration Regulations): Research in science, engineering, or mathematics, the results of which are ordinarily published and shared broadly within the scientific community, with no proprietary or national security restrictions. EAR | 15 CFR Part 734.8
• DOE: Basic and applied research shared broadly within the scientific community, with no proprietary or national security restrictions. DOE | 10 CFR Part 810
• ITAR (International Traffic in Arms Regulations): No fundamental research exclusion for work at BNL. Export controls always apply for items and activity identified on the ITAR U.S. Munitions List (USML). ITAR | 22 CFR Part 121 

3Exports

The release, transfer, provision of access to, or transmission of goods, technology (technical data), software, or services (assistance) to a non-U.S. person, whether in the United States or abroad. EAR | 15 CFR Part 734.13. This includes:

• Actual shipment or transmission out of the U.S. (including sending or hand-carrying items).
• Releasing or transferring export-controlled technology to a non-U.S. person in the United States (this is a “deemed” export). Example: Sharing export-controlled information during a tour at BNL that includes non-U.S. persons.
• Releasing or transferring export-controlled technology to a non-U.S. person of a country other than the foreign country where the release or transfer takes place (this is a “deemed” re-export).

Example: Discussing export-controlled technology while visiting a partner research facility in country A, with a citizen of country B (although you are in country A, the release of export-controlled information may also need to be authorized for country B).

4Application to Research

Export control considerations may apply to research under various circumstances, including:

• Restrictions: Research with restriction on public dissemination.
• Certain Government Funded Research: Research funded in areas of nuclear energy, national security, space, defense, or intelligence.
• Military Applications: Research involving items, technical data, software or services for military applications, military training, spacecraft, launch vehicles, or national security.
• Nuclear Reactor Applications: Research relevant to nuclear reactor applications (e.g., commercial nuclear fuel, molten salts or other nuclear reactors, nuclear grade graphite, uranium enrichment).
• Collaborations: Collaborations outside of BNL with non-U.S. persons from entities incorporated outside the U.S.
• Shipping Items: Shipping items (e.g. samples, materials, commercial or BNL developed hardware) to non-U.S. persons or entities, whether in the U.S. or abroad.
• International Travel: Travel with regulated equipment or data (e.g. laptops with controlled technology, software).

Summary

• Publicly available information and fundamental research are generally exempt from U.S. export control regulations.
• Distinguishing between fundamental research and export-controlled research activity requires careful consideration.
• Export-controlled equipment or technology used in fundamental research may require access restrictions and potential export authorization.
• Violations of U.S. Export Control Regulations can lead to civil and criminal penalties.

For questions or more information on how Export Controls may apply to your research contact Export Compliance Manager Michele Parisi.