Export Controls “Where you stand depends on where you sit!” The Coalition for Academic Scientific Computation Geoff Grant NSF and OSTP March 9, 2006

Outline Multiple Federal Perspectives Multiple Federal Perspectives Suite of National Security Policies Impacting Science and Engineering Suite of National Security Policies Impacting Science and Engineering Science and Security Science and Security Export Controls Export Controls Next Steps Next Steps Outcomes of Deemed Exports Outcomes of Deemed Exports Longer Term Longer Term Emerging Principles Emerging Principles Institutional Issues/Outlook Institutional Issues/Outlook

Multiple Federal Perspectives President President “American Competitiveness Initiative” “American Competitiveness Initiative” Departments of State and Education Departments of State and Education “International Education” “International Education” Departments of State and Homeland and National Security Departments of State and Homeland and National Security “Secure Borders and Open Doors” “Secure Borders and Open Doors” National Security National Security Foreign Policy and Economic Goals Foreign Policy and Economic Goals Science Science Globalization Globalization Research Agencies Research Agencies as sponsors and managers of Federal labs as sponsors and managers of Federal labs Increasing mix of basic, proprietary, and applied research Increasing mix of basic, proprietary, and applied research Increasing focus on intellectual property and proprietary terms Increasing focus on intellectual property and proprietary terms Legislative Legislative Audit and Compliance Audit and Compliance Deemed exports one of five OIG reviews of export controls Deemed exports one of five OIG reviews of export controls Distribution of determinations Distribution of determinations

“Washington Perspectives” Legislative Audit and Compliance Science National Security Foreign Policy/Economic International Education

Washington Perspectives Legislative: Legislative: Congressional Appropriations or Authorization Committees Congressional Appropriations or Authorization Committees national security, defense, trade, science, etc. national security, defense, trade, science, etc. National Security/Foreign Policy Perspective: National Security/Foreign Policy Perspective: White House- National Security Council, DoD, State, DHS, DoC, DoE, NASA, CIA, FBI White House- National Security Council, DoD, State, DHS, DoC, DoE, NASA, CIA, FBI Defense, homeland security, terrorism, non-proliferation, weapons and dual use, space technology, intelligence/espionage, foreign policy, economic competitiveness, etc. Defense, homeland security, terrorism, non-proliferation, weapons and dual use, space technology, intelligence/espionage, foreign policy, economic competitiveness, etc.

Washington Perspectives Science Perspective: Science Perspective: Research institutions, associations, for-profits, National Academy of Science, etc. Research institutions, associations, for-profits, National Academy of Science, etc. Education and research- impossible to distinguish Education and research- impossible to distinguish Open communication and access Open communication and access Little or no physical security Little or no physical security Increasing mix of basic, proprietary, and applied research Increasing mix of basic, proprietary, and applied research Research agencies- as sponsors and managers of Federal Labs Research agencies- as sponsors and managers of Federal Labs NIH, NSF, DoD, DoE, USDA, NASA, etc. NIH, NSF, DoD, DoE, USDA, NASA, etc. Note agency conflicts between regulatory and sponsor roles Note agency conflicts between regulatory and sponsor roles Science, access of foreign national students and faculty, open communication, international competitiveness, compliance, etc. Science, access of foreign national students and faculty, open communication, international competitiveness, compliance, etc. Audit Perspective: Audit Perspective: Agency Inspectors General, General Accountability Office (not to date), and agency audit Agency Inspectors General, General Accountability Office (not to date), and agency audit Compliance, risks, implementation gaps, poor management, etc. Compliance, risks, implementation gaps, poor management, etc.

Suite of National Security Policies Impacting Science and Engineering Regulation/PolicyRegulatoryAuthorityCoordination VISAS Homeland Security State Select Agents CDCUSDA Biosafety NIH, HHS Export Controls BIS, DoC DoD, State, DoE ITARDoDNASA OFACTreasury

Science and Security Overarching National Policy Might Address: Overarching National Policy Might Address: Compete or Contain? Compete or Contain? Impact of Globalization? Impact of Globalization? Overseas ownership and production Overseas ownership and production US campuses abroad US campuses abroad Country Specific or Individual Specific Threats? Country Specific or Individual Specific Threats? Principles, Policies, and Interagency Coordination? Principles, Policies, and Interagency Coordination? Legislative Mandates and Regulations? Legislative Mandates and Regulations? Ideally move toward consistency Ideally move toward consistency

Deemed Exports Interagency OIG Report- April 2004 Interagency OIG Report- April 2004 OSTP Staff met with DoE, DoD, and State Dept. Staff OSTP Staff met with DoE, DoD, and State Dept. Staff Discussed the report with OIG staff Discussed the report with OIG staff Received letters from leaders in the research community Received letters from leaders in the research community Initiated a National Science and Technology Council Task Group- February 2005 Initiated a National Science and Technology Council Task Group- February 2005 Reports to both Reports to both Committee on Science and Committee on Science and Committee on Homeland and National Security Committee on Homeland and National Security

Task Group on Export Controls for Science and Technology Goal: To provide input by research agencies into “deemed export” requirements Goal: To provide input by research agencies into “deemed export” requirements balance concerns for research and national security- one in the same balance concerns for research and national security- one in the same Coordination: Department of Commerce (DoC) with all research agencies, DoS, DoD, DHS, etc. Coordination: Department of Commerce (DoC) with all research agencies, DoS, DoD, DHS, etc. Research Agencies: Both as sponsors and as managers of Federal labs Research Agencies: Both as sponsors and as managers of Federal labs NSF, NIH, FDA, NIST, NOAA, DoE, including ORNL, ANL, DoD, USDA, NASA, etc. NSF, NIH, FDA, NIST, NOAA, DoE, including ORNL, ANL, DoD, USDA, NASA, etc. Met four times 2005 Met four times 2005

Current NSTC Structure April 2005 Oceans S & T Biotechnology National Security R&D Social, Behavioral & Econ. Infrastructure WMD Medical Countermeasures WH: Shana Dale DOD: Michael Wynne DHS: Charles McQueary WH: Richard Russell DOC: Phillip Bond WH: Kathie Olsen DOC: Conrad Lautenbacher EPA: TBD NSTC Director, OSTP WH: Kathie Olsen NSF: Arden Bement NIH: Elias Zerhouni Aquaculture Human Subjects Research IWG Dom. Animal Genomics IWG Plant Genome IWG Physics of the Universe Education & Workforce Dev. Research Business Models Global Change ResearchDisaster ReductionEcosystemsToxics & Risks Water Availability & Quality Air Quality Research Committee on Environment & Natural Resources Committee on Environment & Natural Resources Committee on Science Committee on Technology Committee on Homeland and National Security Aeronautics S& T IWG Prion ScienceIWG Trans-boarder Samples IWG Multinational Orgs* IWG on Dioxin Networking & Information Technology Nanoscale Science, Engineering & Technology Advanced Technologies For Education & Training Manufacturing Research & Development International* R&D Investment Criteria** * in development ** Informal Export Controls for S&T Foreign Animal Disease Threats* Standards Oceans S & T Subcommittee on Research Business Models Purpose: Facilitate Collaboration Streamline Administration Maximize Return on Science Investment Earth Observations Health and the Environment Working Group on Export Controls for S&T Purpose: Provide an additional forum for internal U.S. government discussion of the fundamental research exemption and the use of export controlled technology when these issues intersect with the conduct of Federally sponsored research

Deemed Exports Current Events Current Events Short Term – Long Term Policy Process Short Term – Long Term Policy Process Task Group Task Group Could sunset following BIS short term policy publication Could sunset following BIS short term policy publication

Outcomes of Deemed Exports? Institutional Systems of Compliance? Institutional Systems of Compliance? Proprietary research and research with national security restrictions? Proprietary research and research with national security restrictions? Limited, specific technologies or countries of exceptional concern? Limited, specific technologies or countries of exceptional concern?

Next Steps Longer Term? Longer Term? NSTC Activity on Science and Security? NSTC Activity on Science and Security? Public advisory process? Public advisory process? Address Current Policy Dilemmas Address Current Policy Dilemmas Complexity/multiple controls Complexity/multiple controls Licensing paradigm Licensing paradigm Distribution of compliance determinations Distribution of compliance determinations

Emerging Principles Develop partnership to articulate principles Develop partnership to articulate principles Potential precedents in select agents and biosafety Potential precedents in select agents and biosafety Research community needs to partner with regulatory and research agencies to prospectively identify: Research community needs to partner with regulatory and research agencies to prospectively identify: threat threat appropriate action appropriate action

Longer Term Issues Possibly reexamine national security and conduct of science International competitiveness International competitiveness Quality of science and education Quality of science and education Training of future generations of scientists and engineers Training of future generations of scientists and engineers National security - post 9/11 National security - post 9/11 Dual Use Dual Use Open access, foreign nationals, scientific communication Open access, foreign nationals, scientific communication Licensing paradigm Licensing paradigm

Questions? Discussion? Thank You!!