Rutgers Export Compliance Officer Fundamental Research Quick Reference Robert Phillips Rutgers Export Compliance Officer 09/11/2012

University Strategy Protect fundamental research exclusion by eliminating contractual clauses that deny our ability to claim the exclusion.

Exclusions Fundamental Research 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. Public Domain Publicly accessible through books, periodicals (hardcopy or electronic) and generally distributed media, unrestricted subscriptions and websites that are free (or available for less than production/distribution costs), libraries, patents or open (published) patent applications, release at open conferences, seminars and trade shows.

Exclusions Educational Information Instructional content of curriculums for all students, including foreign nationals, that exist in general science, math and engineering principles commonly taught through courses, and associated teaching laboratories. Must be listed in course catalogs. Employment An ITAR license not required for colleges and universities to share information in the U.S. with a foreign person if that person: Is a bona fide employee of the university — full time with benefits Is not a national from an embargo country Resides at a permanent address in the U.S. while employed And, is advised in writing not to share covered technical data with any other foreign nationals without government approval.

What is not covered ITAR Controlled Hardware, Technology or Services. EAR controlled equipment: Equipment classified under EAR: Rutgers will NOT disclose technology necessary for the "development," "production," or "use" of High Tech or experimental equipment. New definition of “use” – must meet ALL SIX of the following activities: Operation Installation Maintenance Repair Overhaul Refurbishing

The Following may deny “Fundamental Research” Forbids the participation of foreign nationals Restrictions on the publication of the results of the project Any agreements outside original Non-disclosure agreement or acceptance of export-controlled information The agreement requires sponsor approval prior to publication Sponsor “Review” vs “Approval” Okay to review and comment up to 60 days, but not approve The government contract involves an ITAR project with access and dissemination of information controls There is a transfer of defense services Potential license requirements for work with foreign nationals

Red Flags Does the Project involve Export Control Clause Access to location Publication Restrictions (Approval Needed) Foreign National Restrictions Confidential Research Shipping Equipment to a Foreign Country Collaboration with Foreign Colleagues Abroad Classified/Sensitive Matter Software, Controlled Chemicals, Bio-Agents Use for Weapon of Mass Destruction Item or Software Modified for Military Use

Restrictive Clauses DFARS 252.204-7000 Prohibitions on disclosure of information (reference to unclassified but sensitive) ARL 52.004-4400 Approval of foreign nationals performing under contract, or reference to background checks AFMC 5352.227-9000 Export Controlled Data Restrictions under ITAR TACOM 52-227-4004 Approval by Contracting Officer prior to release ARO 360-1 D1/2 Clearance and Release of Contractor Materials/Information FAR 52.227-17 (d) Release and Use restriction DD2345 Military Critical Technical Data Agreement: places a restriction as a condition of attending a conference or receiving data form the government

Contact Rutgers Export Compliance Officer (RECO), Robert Phillips, is available to meet with individuals or groups to provide assistance, training or explain the regulations as they may be applicable to the work being done. He can be reached at 848-932-4522, or via email at robert.phillips@rutgers.edu The Export Compliance website: http://vpr.rutgers.edu/export.php