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Export Controls & Unfunded Agreements
Your answer to the “openness in research” question on a Materials Transfer Agreement (MTA) or Non-Disclosure Agreement (NDA) in eResearch may indicate potential export controls.
The applicable central office reviews the agreement terms and conditions to remove potential export controls if possible.
When to Indicate Potential Export Controls
Investigators are asked to consider the potential for export controls on their research activity when submitting:
- A proposal for sponsored research, or
- A research activity agreement (e.g., materials transfer agreement or non-disclosure agreement)
PAF: Export Controls Question
The eResearch Proposal Approval Form (PAF), which is required for submission of sponsored proposals at U-M, facilities this consideration.
By selecting “Yes” or “Unsure,” the Principal Investigator (PI) is required to provide an initial description and, should the proposal be funded, answer further clarifying questions at the award stage.
ORSP Project Representatives and/or the U-M Export Controls Officer may review any proposal for export controls considerations and request additional information, even if the initial answer in the PAF is “no.”
If More Information Is Needed
At award time, a system email notifies the PI and the Primary Pre- and Post-Award Research Administrators listed on the PAF that additional export control details are needed. By answering “yes” to any of the following questions in eResearch and providing descriptive detail, you help the U-M Export Control Officer determine whether the project involves export controls and requires a Technology Control Plan, an Export License, or both.
- Does the research involve potential military application, defense technology or software, or other defense articles?
- Does the research involve export restricted science or engineering areas (e.g., defense areas, missiles, weapons, satellites or other space technology, select agents or toxins, encryption technology)?
- Does the research involve technology or equipment with a strong potential dual use application (i.e., both civilian and military use)?
- Does any of the research take place outside the U.S., or do you anticipate any international travel on this project?
- Does the research involve transfer of project information, equipment, materials or financial support out of the U.S. (e.g., sending project deliverables or providing funding via a subcontract internationally)?
- Is any member of the project team a foreign national (i.e., not a U.S. citizen or permanent resident), or does the research involve any foreign visiting scientists or other foreign entities (i.e., non-U.S. companies or other organizations)?
- Does the solicitation indicate that any of the following will be included in the eventual award: approval prior to publication, export control restrictions, restrictions on access or participation of foreign nationals, or a U.S. government security classification/clearance?
Prior to accepting an award, ORSP negotiates with sponsors to remove any initial contract language and terms that restricts publication or project personnel. The Office of Technology Transfer conducts similar negotiations for material transfer agreements (MTAs). If accepted, these restrictions override the fundamental research exception (FRE) and result in the research or research activity being subject to export controls.
Even when publication and personnel restrictions are removed, your research or research activity may be subject to export controls if it involves items, materials, technology, and/or information on ITAR’s United States Munitions List (USML) or EAR’s Commerce Control List (CCL). This includes travelling internationally with these items or information.