With the continued progression of scientific research and advancements, certain critical and emerging technologies are becoming more of a focus in regards to export controls and research security. Below are some changes that will be implemented and affect faculty conducting research in the Quantum space over the next year. Any questions or requests for export control and/or research security reviews, please reach out to Research Compliance.
BIS New Interim Final Rule on Quantum and Other Technology
- The US Department of Commerce’s Bureau of Industry and Security (“BIS”) issued an interim final rule (“IFR”) on September 6, 2024. The IFR imposes new multilateral worldwide licensing controls on technologies that have reached broad technical agreement among our international partners.
- The intent to enhance international collaboration among U.S. allies and key suppliers of these critical technologies while imposing similar export controls.
- These controls will apply to certain advanced technologies, such as quantum computing, semiconductor-related technology, Gate All-Around Field Effect Transistors (GAAFET) technology, and additive manufacturing technology.
How BIS Administers Controls
These controls are administered through the Export Administration Regulations (EAR). All dual-use items, including tangible items, technology & software that have both commercial and military applications, are listed under the EAR Commerce Control List (CCL) (Supplement No. 1 to Part 774 of the EAR), and identified by an export control classification number (ECCN). The ECCN describes the parameters for which an item is subject to dual-use controls, the reason for the controls, and potential license exceptions if available.
ECCNs are five-character alpha-numeric designations used on the CCL, the ECCN identifies the broader category to which it belongs and the second character identifies the product group.
Export Control Review – next steps
- Review the full parameters of the ECCN
- What are the controls of the ECCN
- If controls apply, a Technology Control Plan (TCP) may be required
- Review the use of License Exception if applicable
Contact NU-RES Export Control Officer, Lissette Gilster, for assistance or if you have questions.
NST TRUST Framework
NSF has designed a research security risk management framework with NSF’s core science mission as a guide. Their approach to mitigating risks to the integrity and security of NSF-funded research is first and foremost focused on respecting the science, on finding ways to get to “yes”.
The name of the framework reflects the values that will be embedded throughout its implementation. Trusted Research Using Safeguards and Transparency (TRUST) is a decision tree approach to assess research proposals and ongoing projects for concerning appointments and research support, non-compliance with disclosure and other requirements, and potential risks to national security.
The TRUST decision tree includes three branches, one focused on assessing active appointments, positions, and research support, and a second focused on identifying instances of nondisclosure. Projects moving through either of those branches will follow similar progressions – First the Office of the Chief of Research Security Strategy and Policy (OCRSSP) team will conduct an analysis using proposal submission and other data to flag areas of potential concern. The OCRSSP team will then assess whether any flagged proposals warrant engagement with the awardee institution to gather additional information and consider whether risk mitigation and management may be required. The third branch of the TRUST decision tree represents a significant new effort for NSF, with the inclusion of national security considerations, which was congressionally mandated in the CHIPS and Science Act of 2022 and the Fiscal Year 2023 Appropriations bill.
TRUST Implementation: 3 Phase Rollout (FY25)
The rollout of TRUST will take place in three phases, enabling OCRSSP to build on lessons learned as we go, including those related to institutional burden, fairness, time-to-award delays, etc.
The phases will proceed as follows:
- Beginning in fiscal year (FY) 2025, the first phase is a pilot program in which the TRUST framework will be applied to quantum-related proposals after they undergo merit review. The purpose of the phase 1 pilot is to start collecting data, assess key metrics of the program, understand the impact on NSF directorates, and build and evaluate NSF’s capacity to review the potential foreseeable national security application of technology.
- The second stage of the rollout will be focused on implementing lessons learned from the quantum pilot. OCRSSP will also explore the need for making policy updates, including to the Proposal Awards Policy and Procedures Guide (PAPPG). During this stage, the pilot will be expanded to include other CHIPS and Science Act key technology areas.
- The third and final stage of the pilot will focus on scaling up and streamlining the review process as well as expanding the scope of projects to include all CHIPS and Science Act key technology areas.
How can Research Compliance help?
If you work in the quantum research space and would like to learn more about how the NSF TRUST process may impact you, please contact us.