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NASA

NASA and Export Controls

NASA projects are often export controlled but can sometimes be fundamental research. ITAR Category XV - Spacecraft and Related Articles is one of the categories on the U.S. Munitions List. Northwestern is not registered with the State Department to conduct ITAR work and does not accept projects where the sponsor needs to provide ITAR or EAR technology beyond EAR99, or projects with publications approvals or certain foreign person restrictions.  

How do you know if the work is fundamental Research?  There are three primary questions used to assess whether work may be covered by the Fundamental Research Exclusion (FRE): (1) whether there are publication approval or dissemination restrictions; (2) whether there are restrictions on the participation of foreign persons; and (3) whether NASA must provide export-controlled technical data or other inputs controlled beyond EAR99 in order to perform the work.  A definitive determination cannot be made without coordination with NASA and review of the specific award terms.

NASA award terms can make it difficult to determine whether the funded work is subject to export controls or qualifies for the FRE. As a result, Sponsored Research typically asks the following questions during the award stage for NASA and other space‑technology–related agreements: 

  1. Do you anticipate that Northwestern can openly publish the research results without approval?
  2. Are there any restrictions on foreign nationals working on the project? If so, what are the anticipated restrictions?
  3. Do you anticipate that Northwestern’s work will be fundamental research?
  4. What are the Export Control Classification Numbers (ECCNs) or ITAR categories for any items (technology, data, software, materials, equipment, etc.) involved in the project?
  5. Do you intend to share any export-controlled items that are controlled higher than EAR99? If so, what are the ECCNs or ITAR categories for each item?

 What is the fundamental research exclusion?   (See NSDD 189)  "'Fundamental research' means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons."

For further information, see the NASA Grant and Cooperative Agreement Manual (GCAM).

Visit our Research Security website for information about NASA’s restrictions on collaborating with Chinese entities.

 If you have any questions, please reach out to the ECIC team at exportcontrols@northwestern.edu.