1370 Export Controlled Information

Responsible Official: 
Director, Corporate Contracts and Export Control Licensing
Responsible Office: 
Office of Research Administration
Effective Date: 
February 7, 2013
Revision Date: 
March 20, 2017

Scope

This policy applies to all Yale faculty members, staff, students, and trainees who may receive or create information subject to federal export control laws in the course of their research (“Yale researchers”).

Reason for the Policy

For reasons of national security, the federal government regulates the export of a broad range of information in virtually all fields of science, technology, medicine, and engineering. Federal regulations apply both to the overseas export of this information and its disclosure to foreign nationals in the United States. Most Yale activities are exempt from regulation because the information involved is considered “published” (generally accessible to the interested public) under export control laws; is the result of “fundamental research” under export control laws; or is taught as part of a listed Yale course. These conditions generally correspond to blanket regulatory exemptions.

The creation or receipt of export-controlled information without an exemption poses a particular problem for academic researchers because serious restrictions attach to the dissemination of such information, and those restrictions undermine the mission of academic research. Specifically, export control restrictions on dissemination conflict with Yale’s policies forbidding secret or classified research or restraints on the publication of research. (See Faculty Handbook sections XX.C.1(b) and (c)) These restrictions also conflict with Yale’s commitment to maintaining a research enterprise that is open to persons of all nationalities.

The purpose of this policy is to help Yale researchers comply with Yale’s policies on openness in research and federal export control laws. This policy establishes the responsibility of Yale researchers (i) to avoid, whenever possible, the receipt or creation of export-controlled information that falls outside the exemptions listed above; and (ii) to safeguard non-exempt export-controlled information in the event that they do create or receive it.

Definitions

“Yale researcher” means any Yale faculty member, student, trainee, or staff member who may create or receive export-controlled information in the course of their Yale employment, studies, or training.

“Information” means knowledge, technology, or a combination of the two.

“Export-controlled information means information governed by the Commerce Department’s Export Administration Regulations or the State Department’s International Traffic in Arms Regulations.

“Non-exempt export-controlled information” means export-controlled information that is not subject to any of the regulatory exemptions that would otherwise free the information from export-control related restrictions on its dissemination.

“Foreign national” means (i) a person in the United States who does not have U.S. citizenship, permanent resident status, or a grant of asylum or (ii) a corporation, association, or other entity not incorporated to do business in the U.S.

Policy Sections

1370.1 Responsibility to Avoid Creating or Receiving Non-Exempt Export-Controlled Information

Yale strongly discourages the acceptance of any non-exempt export-controlled information by Yale researchers for reasons stated in this policy.  In the rare circumstances when it is necessary to accept such information, Yale researchers may do so only through an agreement negotiated and signed by the Office of Sponsored Projects (“OSP”) or the Office of Cooperative Research (“OCR”), in consultation with the Director of Export Control Licensing.

Because export control laws are complex and the range of information covered by the regulations is broad and growing, it may be difficult for Yale researchers to identify the circumstances that cause research information to lose its exemption from export control laws.  The most likely of these circumstances is the acceptance by a Yale researcher of contractual restrictions on the dissemination of information.  For this reason, confidentiality or non-disclosure agreements relating to research may be negotiated and signed only by OSP or OCR, in consultation with the Director of Export Control Licensing, and Yale researchers must inform the Director of Export Control Licensing whenever a sponsor or other party asks that they restrict the disclosure of information created or received in relation to their research.

The Director of Corporate Contracts and Export Control Licensing will advise Yale researchers on how to conduct research in a way that is consistent with Yale’s policies on openness in research and avoids inadvertently creating or receiving non-exempt export-controlled information.

1370.2 Responsibility t​o Protect Non-Exempt Export-Controlled Information in Transmission or Storage

Yale researchers may not transmit non-exempt export-controlled information by email (even from one yale.edu address to another) because email service companies may store email and attachments on computers located in foreign countries or may give employees who are foreign nationals access to customer email. 

Yale researchers and employees may electronically store non-exempt export-controlled information only on computers owned by Yale and located on the Yale campus because companies that provide electronic storage and transmission services may store information on computers located in foreign countries or may give employees who are foreign nationals access to customer information.

Yale researchers may not store non-exempt export-controlled information on portable electronic devices or media because they are easily lost or stolen. 

Paper files that contain non-exempt export-controlled information must be kept in a locked cabinet when not in use because they are easily lost or stolen. 

Yale researchers may not carry non-exempt export-controlled information outside the United States in any form without first obtaining the advice of the Director of Corporate Contracts and Export Control Licensing, who will determine whether a U.S. government license must be obtained.

Detailed security requirements for the storage and transmission of non-exempt export-controlled information can be found at the Office of Sponsored Projects.

1370.3 Responsibility to Protect Non-Exempt Export-Controlled Information from Improper Disclosure to Foreign Nationals

Yale researchers may not disclose or convey non-exempt export-controlled information to foreign nationals (including Yale students, faculty, staff and post-doctoral researchers) orally, by allowing visual inspection of the information, or by allowing a foreign national to practice or apply the information under a Yale researcher’s guidance without first obtaining the advice of the Director of Export Control Licensing, who will determine whether a U.S. government license must be obtained. 

1370.4 Responsibility to Report the Possible Loss, Mishandling, Export, or Disclosure of Non-Exempt Export-Controlled Information

Any Yale faculty member, student, trainee, or staff member who believes that any of the following events may have occurred must immediately report his or her concerns to the Director of Export Control Licensing:

  • Non-exempt export-controlled information or a device storing such information has been lost or stolen.
  • Non-exempt export-controlled information has been transmitted by email; stored on a computer that is not owned by Yale and located on the Yale campus; or stored on a portable device or medium.
  • Non-exempt export-controlled information has been carried or sent outside the United States without first obtaining the advice of the Director of Export Control Licensing.
  • Export-controlled information has been disclosed or conveyed to a foreign national without first obtaining the advice of the Director of Export Control Licensing. 

Roles and Responsibilities

Director of Corporate Contracts and Export Control Licensing

  • Provide advice regarding any agreement accepting non-exempt export-controlled information.
  • Provide advice regarding any non-disclosure or confidentiality agreement regarding scientific research.
  • Provide advice regarding the disclosure of non-exempt export-controlled information to foreign nationals.
  • Receive reports of the loss, mishandling, export, or disclosure of non-exempt export-controlled information.

Office of the General Counsel

Provide advice regarding compliance with export control laws.

Office of Sponsored Projects

  • Negotiate and sign agreements accepting non-exempt export-controlled information.
  • Negotiate and sign non-disclosure or confidentiality agreements regarding scientific research.

Office of Cooperative Research

  • Negotiate and sign agreements accepting non-exempt export-controlled information.
  • Negotiate and sign non-disclosure or confidentiality agreements regarding scientific research.

Chief Information Security Officer

Provide advice regarding security requirements for the storage and transmission of non-exempt export-controlled information.