This report presents data from 22 internationally ranked research universities about their export control compliance practices including but not limited to faculty training, assessment and risk reports. Most participants are from the USA but the roster includes research institutions from Canada and Australia as well.
In addition to detailed data on export licenses, the study also furnishes data on the size of export controls staff, time spent on export controls issues, incidence of hiring outside attorneys and the precise hourly fees paid to such attorneys. Insignificant detail, survey respondents discuss their response to growing tension between the USA and China and its impact on their export controls regimen.
Survey respondents evaluate their faculty’s level of awareness of and degree of comprehension of export control structures, and comment on their preparedness and training. Respondents also give their opinion of the validity of the current efforts by governments in the USA, Canada, the UK and elsewhere to more tightly control technology exports to China and, to a lesser extent, Russia. They discuss how much of their research does or does not fall under the “Fundamental Research exclusion definition in the USA or similar concepts in other countries.
Data in the report - the third since 2015 -- is broken out by world university ranking, annual research revenues, enrollment, General field of research focus, and separately for R1, and R2 and all other universities (or colleges).
Just a few of this comprehensive 89-page report’s major findings are that:
- 4.55% of those surveyed have withdrawn a scholarship or expelled a foreign student over failure to disclose a relationship with a foreign military, university or government organization.
- 50% of respondents from universities where research was biomedically-oriented felt that policies governing the employment and use of postdocs and visiting faculty from China and Russia were unclear.
- 27.7% of participants are spending about the same amount of staff time on export controls as they had three years ago.
- 60% of R2 universities in the sample participated in the Collaborative Institutional Training Initiative [CITI] export control compliance training.
Table of Contents
THE QUESTIONNAIRE
PROXY LIST FOR THE SURVEY PARTICIPANTS
- Characteristics of the sample
SUMMARY OF MAIN FINDINGS
- Quality of Faculty Level of Knowledge About Export Controls
- Percentage of Research Falling Under “Fundamental Research” Exclusion
- Experience of Hacking Attacks
- Characterization of Hacking Attacks
- Size of Export Controls Compliance Staff
- Trend in Amount of Staff Time Spent on Export Controls Issues
- Use of Outside Attorneys on Export Controls Issues
- Average Cost per Hour for Outside Attorneys Working on Export Controls
- Extent and Forms of Required Export Controls Training
- Penalties for Failure to Take Export Controls Training
- Participation in CITI Export Controls Training
- Extent and Form of Restrictions Place on Foreign Nationals Working at the University
- Measures Taken to Assure Compliance with Export Controls
- Confidence in Uncovering Researcher Ties with Foreign Sources of Research Support
- Policies Regarding Issuance of Periodic Risk Assessment Reports
- View of the Appropriateness of Federal Government Export Controls Policies
- Has the University Ever Withdrawn a Scholarship or Expelled a Student for Violation of Export Controls?
- Clarity of Federal Rules and Policies Over Employment of Postdocs & Visiting Faculty from China or Russia
- Managing Research Partners from Adversarial Countries
- Number of Export Control Plans Filed Over Past Three Years
- Number of Export Control Licenses Filed in the Past Year
- Advice for Peers
List of Tables
Table 1.1 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal?
Table 1.2 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by world ranking
Table 1.3 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by work title
Table 1.4 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by field of research
Table 1.5 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by college type or Carnegie class
Table 1.6 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by enrollment
Table 1.7 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by research revenues, $USD
Table 2.1 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws.
Table 2.2 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by world ranking
Table 2.3 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by work title
Table 2.4 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by field of research
Table 2.5 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by college type or Carnegie class
Table 2.6 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by enrollment
Table 2.7 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by research revenues, $USD
Table 3.1 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls?
Table 3.2 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by world ranking
Table 3.3 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by work title
Table 3.4 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by field of research
Table 3.5 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by college type or Carnegie class
Table 3.6 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by enrollment
Table 3.7 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by research revenues, $USD
Table 4.1 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks?
Table 4.2 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by world ranking
Table 4.3 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by work title
Table 4.4 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by field of research
Table 4.5 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by college type or Carnegie class
Table 4.6 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by enrollment
Table 4.7 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by research revenues, $USD
Table 5.1 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization?
Table 5.2 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by world ranking
Table 5.3 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by work title
Table 5.4 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by field of research
Table 5.5 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by college type or Carnegie class
Table 5.6 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by enrollment
Table 5.7 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by research revenues, $USD
Table 6.1 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same?
Table 6.2 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by world ranking
Table 6.3 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by work title
Table 6.4 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by field of research
Table 6.5 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by college type or Carnegie class
Table 6.6 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by enrollment
Table 6.7 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by research revenues, $USD
Table 7.1 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls?
Table 7.2 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by world ranking
Table 7.3 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by work title
Table 7.4 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by field of research
Table 7.5 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by college type or Carnegie class
Table 7.6 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by enrollment
Table 7.7 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by research revenues, $USD
Table 8.1 What was the average cost per hour for the outside legal assistance required by the department handling export controls?
Table 8.2 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by world ranking
Table 8.3 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by work title
Table 8.4 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by field of research
Table 8.5 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by college type or Carnegie class
Table 8.6 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by enrollment
Table 8.7 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by research revenues, $USD
Are seminars or other forms of training in export control compliance required of some faculty or employees and if so, which faculty, and how extensive is the required training?
If export control compliance training is required what is the penalty for failure to do it?
Table 9.1 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training?
Table 9.2 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by world ranking
Table 9.3 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by work title
Table 9.4 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by field of research
Table 9.5 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by college type or Carnegie class
Table 9.6 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by enrollment
Table 9.7 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by research revenues, $USD
What restrictions does your organization place on foreign nationals studying or working at your institution from countries subject to US export controls? Have restrictions increased in recent years?
What measures does your university take to assure strict compliance with regulations that require disclosure of links to foreign governments or foreign sources of research support?
Table 10.1 How confident are you that your current export control compliance regime uncovers all or nearly all affiliations of your researchers with foreign sources of research or research financial support?
Table 10.2 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by world ranking
Table 10.3 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by work title
Table 10.4 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by field of research
Table 10.5 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by college type or Carnegie class
Table 10.6 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by enrollment
Table 10.7 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by research revenues, $USD
Table 11.1 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen?
Table 11.2 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by world ranking
Table 11.3 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by work title
Table 11.4 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by field of research
Table 11.5 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by college type or Carnegie class
Table 11.6 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by enrollment
Table 11.7 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by research revenues, $USD
Table 12.1 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them?
Table 12.2 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by world ranking
Table 12.3 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by work title
Table 12.4 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by field of research
Table 12.5 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by college type or Carnegie class
Table 12.6 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by enrollment
Table 12.7 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by research revenues, $USD
Table 13.1 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization?
Table 13.2 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by world ranking
Table 13.3 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by work title
Table 13.4 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by field of research
Table 13.5 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by college type or Carnegie class
Table 13.6 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by enrollment
Table 13.7 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by research revenues, $USD
Table 14.1 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas?
Table 14.2 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by world ranking
Table 14.3 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by work title
Table 14.4 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by field of research
Table 14.5 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by college type or Carnegie class
Table 14.6 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by enrollment
Table 14.7 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by research revenues, $USD
When developing research partnerships that may include researchers from Russia, China or other nations often viewed as adversarial, what general measures do you take to insure compliance with export and technology control regulations?
Table 15.1 How many Technology Control Plans has the college filed cumulatively over the past three years?
Table 15.2 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by world ranking
Table 15.3 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by work title
Table 15.4 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by field of research
Table 15.5 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by college type or Carnegie class
Table 15.6 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by enrollment
Table 15.7 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by research revenues, $USD
Table 16.1 How many export control licenses has your institution applied for in the past year?
Table 16.2 How many export control licenses has your institution applied for in the past year? Broken out by world ranking
Table 16.3 How many export control licenses has your institution applied for in the past year? Broken out by work title
Table 16.4 How many export control licenses has your institution applied for in the past year? Broken out by field of research
Table 16.5 How many export control licenses has your institution applied for in the past year? Broken out by college type or Carnegie class
Table 16.6 How many export control licenses has your institution applied for in the past year? Broken out by enrollment
Table 16.7 How many export control licenses has your institution applied for in the past year? Broken out by research revenues, $USD
What advice can you offer to your peers in optimizing their export control regime while minimizing costs?
Table 1.2 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by world ranking
Table 1.3 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by work title
Table 1.4 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by field of research
Table 1.5 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by college type or Carnegie class
Table 1.6 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by enrollment
Table 1.7 About how pervasive is knowledge of export controls in the faculties or research employees with whom you traditionally deal? Broken out by research revenues, $USD
Table 2.1 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws.
Table 2.2 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by world ranking
Table 2.3 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by work title
Table 2.4 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by field of research
Table 2.5 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by college type or Carnegie class
Table 2.6 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by enrollment
Table 2.7 If your organization is a college, university or other non-profit research organization about what percentage of the research done by your institution would you say falls under the "Fundamental Research" exclusion provision of US export control laws. Broken out by research revenues, $USD
Table 3.1 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls?
Table 3.2 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by world ranking
Table 3.3 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by work title
Table 3.4 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by field of research
Table 3.5 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by college type or Carnegie class
Table 3.6 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by enrollment
Table 3.7 To the best of your knowledge has your institution experienced hacking attacks on data subject to export controls or other government technology controls? Broken out by research revenues, $USD
Table 4.1 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks?
Table 4.2 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by world ranking
Table 4.3 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by work title
Table 4.4 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by field of research
Table 4.5 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by college type or Carnegie class
Table 4.6 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by enrollment
Table 4.7 If your institution has experienced hacking attacks on data subject to export controls how would you characterize the nature of such attacks? Broken out by research revenues, $USD
Table 5.1 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization?
Table 5.2 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by world ranking
Table 5.3 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by work title
Table 5.4 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by field of research
Table 5.5 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by college type or Carnegie class
Table 5.6 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by enrollment
Table 5.7 In full time equivalent staff, how many individuals are largely dedicated to export control compliance responsibilities in your organization? Broken out by research revenues, $USD
Table 6.1 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same?
Table 6.2 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by world ranking
Table 6.3 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by work title
Table 6.4 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by field of research
Table 6.5 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by college type or Carnegie class
Table 6.6 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by enrollment
Table 6.7 Over the past two years, the amount of time your university spends on issues related to the export or control of technology has increased, decreased or remained about the same? Broken out by research revenues, $USD
Table 7.1 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls?
Table 7.2 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by world ranking
Table 7.3 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by work title
Table 7.4 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by field of research
Table 7.5 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by college type or Carnegie class
Table 7.6 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by enrollment
Table 7.7 Has the office in charge of export control compliance used outside attorneys within the past year for any issue related to export controls? Broken out by research revenues, $USD
Table 8.1 What was the average cost per hour for the outside legal assistance required by the department handling export controls?
Table 8.2 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by world ranking
Table 8.3 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by work title
Table 8.4 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by field of research
Table 8.5 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by college type or Carnegie class
Table 8.6 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by enrollment
Table 8.7 What was the average cost per hour for the outside legal assistance required by the department handling export controls? Broken out by research revenues, $USD
Are seminars or other forms of training in export control compliance required of some faculty or employees and if so, which faculty, and how extensive is the required training?
If export control compliance training is required what is the penalty for failure to do it?
Table 9.1 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training?
Table 9.2 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by world ranking
Table 9.3 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by work title
Table 9.4 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by field of research
Table 9.5 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by college type or Carnegie class
Table 9.6 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by enrollment
Table 9.7 Does your institution participate in the Collaborative Institutional Training Initiative (CITI) for export control compliance training? Broken out by research revenues, $USD
What restrictions does your organization place on foreign nationals studying or working at your institution from countries subject to US export controls? Have restrictions increased in recent years?
What measures does your university take to assure strict compliance with regulations that require disclosure of links to foreign governments or foreign sources of research support?
Table 10.1 How confident are you that your current export control compliance regime uncovers all or nearly all affiliations of your researchers with foreign sources of research or research financial support?
Table 10.2 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by world ranking
Table 10.3 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by work title
Table 10.4 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by field of research
Table 10.5 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by college type or Carnegie class
Table 10.6 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by enrollment
Table 10.7 How confident are you that your current export control compliance regime uncovers all of nearly all affiliations of your researchers with foreign sources of research or research financial support? Broken out by research revenues, $USD
Table 11.1 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen?
Table 11.2 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by world ranking
Table 11.3 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by work title
Table 11.4 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by field of research
Table 11.5 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by college type or Carnegie class
Table 11.6 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by enrollment
Table 11.7 Does your college or company compile periodic risk assessment reports to foresee any possible problems with export control violations before they might happen? Broken out by research revenues, $USD
Table 12.1 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them?
Table 12.2 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by world ranking
Table 12.3 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by work title
Table 12.4 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by field of research
Table 12.5 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by college type or Carnegie class
Table 12.6 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by enrollment
Table 12.7 In your view, your federal government correctly assesses the risks from foreign students, underestimates such risks, or exaggerates them? Broken out by research revenues, $USD
Table 13.1 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization?
Table 13.2 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by world ranking
Table 13.3 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by work title
Table 13.4 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by field of research
Table 13.5 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by college type or Carnegie class
Table 13.6 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by enrollment
Table 13.7 To the best of your knowledge has your university ever withdrawn a scholarship or expelled a foreign student as a result of their failure to disclose a relationship with a foreign military, university or government organization? Broken out by research revenues, $USD
Table 14.1 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas?
Table 14.2 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by world ranking
Table 14.3 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by work title
Table 14.4 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by field of research
Table 14.5 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by college type or Carnegie class
Table 14.6 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by enrollment
Table 14.7 How clear do you feel are federal rules and policies regarding the employment of postdocs or visiting faculty from China or Russia in emerging technology areas? Broken out by research revenues, $USD
When developing research partnerships that may include researchers from Russia, China or other nations often viewed as adversarial, what general measures do you take to insure compliance with export and technology control regulations?
Table 15.1 How many Technology Control Plans has the college filed cumulatively over the past three years?
Table 15.2 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by world ranking
Table 15.3 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by work title
Table 15.4 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by field of research
Table 15.5 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by college type or Carnegie class
Table 15.6 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by enrollment
Table 15.7 How many Technology Control Plans has the college filed cumulatively over the past three years? Broken out by research revenues, $USD
Table 16.1 How many export control licenses has your institution applied for in the past year?
Table 16.2 How many export control licenses has your institution applied for in the past year? Broken out by world ranking
Table 16.3 How many export control licenses has your institution applied for in the past year? Broken out by work title
Table 16.4 How many export control licenses has your institution applied for in the past year? Broken out by field of research
Table 16.5 How many export control licenses has your institution applied for in the past year? Broken out by college type or Carnegie class
Table 16.6 How many export control licenses has your institution applied for in the past year? Broken out by enrollment
Table 16.7 How many export control licenses has your institution applied for in the past year? Broken out by research revenues, $USD
What advice can you offer to your peers in optimizing their export control regime while minimizing costs?
Samples
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Sources / Contributors
- Auburn University
- Boise State University
- Harvard University
- Hofstra University
- McGill University
- Monash University
- Montana State University
- New York College of Medicine
- North Carolina State University Raleigh
- Stanford University
- Stonybrook University
- University of Alabama
- University of California, Irvine
- University of Iowa
- University of Kentucky
- University of Minnesota
- University of Montana
- University of Nebraska
- University of North Carolina Greensboro
- University of Oklahoma Tulsa
- University of Ontario Institute of Technology
Methodology
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