Federal
regulations govern more of what we disclose to colleagues and
students
We
all know that publication of engineering and computer science
research in peer-reviewed journals is the hallmark of a successful
academic program. Indeed, every faculty member's career depends
on finding the right technical journal for publication of research
results. The reputation of an engineering college hinges largely
on the regular publication of the work of faculty and students
in prestigious technical journals.
However,
there is a cloud on the horizon. It is the limitations imposed
by federal regulation on the dissemination of some technical information.
These restrictions do not just apply to “classified”
information but to other categories of information that fall under
the guidelines of U.S. Export Control law. The result is that
we may not be able to freely discuss our best ideas with all of
our colleagues and students. Every engineering faculty member
should be aware of these restrictions and conduct his or her research
activities within this framework.
The Wen Ho
Lee case at Los Alamos has led the U.S. Department of Energy to
impose new restrictions on the transfer of technical information
to foreign nationals. While the D.O.E. is principally concerned
with national security and the release of information related
to the design and development of nuclear weapons, these restrictions
are being applied much more broadly at the D.O.E. labs. This may
lead to a certain amount of dissatisfaction among D.O.E. laboratory
employees, who are no longer able to communicate freely, either
within the lab or at national technical conferences, any time
foreign nationals are present. It also can restrict the ability
of our graduate students who are foreign nationals to get access
to D.O.E. laboratory programs, such as summer employment and research
appointments.
But, you
ask, since there is little “classified information”
present in the environment of an engineering school that allows
for uncontrolled publication of research results in technical
journals, what is the issue for us? There are two federal laws
that affect our actions regarding technical information: the International
Traffic in Arms Regulations (ITAR), also called “eye-tar,”
for control of defense technologies, and the Export Administration
Regulations for control of “dual use” technologies.
“Dual-use” technologies may have both civilian and military
applications. Examples include computers, software, and special
materials, which are materials that have different physical properties
than expected. An example is steel that's much stronger than
normal steel, and which might have a defense application.
ITAR was
enacted to implement the Arms Export Control Act. These regulations
have the purpose of controlling the export of defense articles
and defense services to protect the citizens of the country. This
seems well and good; however, according to the U.S. Munitions
List, those items identified as needing control include a general
category of “technical data.” The types of technical
data that are to be controlled include many areas of typical engineering
research.
The Export
Administration Regulations' controlled technology list also
involves many areas of active engineering research. Some examples
are materials, chemicals, microorganisms, materials processing,
electronics, computers, communications, telecommunications, optics,
and lasers.
We are fortunate
that there is an exclusion from the export control laws for “technical
data” that is in the public domain. This exclusion allows
for the unlimited distribution of fundamental research in science
and engineering at accredited institutions of higher learning
in the U.S. where the resulting information is ordinarily published
and shared broadly in the scientific community. However, and here
is the rub, if the work is restricted for proprietary reasons,
such as work under contract to an industry sponsor, or has specific
access and or dissemination rules, such as work under a U.S. government
contract, it is no longer exempt. If you as principal investigator
accept restrictions on publication of scientific or technical
data in the terms of an industry contract, you may be subject
to ITAR.
The implications
for conducting research that has ITAR and export control restrictions
is that information cannot be freely disseminated with colleagues,
undergraduate students, or graduate students from certain countries—
those on the “ITAR proscribed country” list, which is
maintained by the U.S. Department of State. Such free dissemination
of technical information is “deemed to be export.” The
list of proscribed countries includes China, India, Pakistan,
and Vietnam, among others. We often have students from these countries
in our programs, so this export control restriction is an issue
that we must carefully address.
As an employee
of your university you are personally responsible for safeguarding
sensitive and export-controlled technical data from disclosure
to foreign nationals. It is recommended that you become familiar
with ITAR and Export Control restrictions as they apply to your
research activities, and carefully monitor your contract and grant
documentation for your obligations under ITAR. The Defense Federal
Acquisition Regulations in particular often contain ITAR requirements.
Work with your college's associate dean for research or the
director of your university's office of sponsored programs
to learn about your obligations regarding export control and “eye-tar.”
Dave Woodall is the dean of the College of Science, Engineering
and Mathematics at the University of Alaska Fairbanks and a
member of the Board of Directors of the ASEE Engineering Research
Council.
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