Fabrication & Manufacturing Outside the United States
Overview
Researchers may use companies outside the United States to fabricate printed circuit boards (PCBs), custom components, prototypes, semiconductor devices, research equipment, or other items designed or developed through University research.
Using a foreign manufacturer may involve more than purchasing a service. Researchers may need to provide the manufacturer with technical information such as engineering designs, drawings, specifications, CAD files, Gerber files, software, source code, fabrication instructions, process information, or other technical details necessary to produce the requested item.
Providing technical information to a person or organization outside the United States may constitute an export and may be subject to U.S. export control laws. Whether export control requirements apply depends on the information being transferred, its export classification, whether the information is published or otherwise outside the scope of the export control regulations, the destination, the recipient, and the intended end use.
Foreign fabrication may also be subject to sponsor or award requirements, restrictions on the use of foreign vendors, restricted-party requirements, economic sanctions, procurement requirements, and other project-specific obligations.
The Office of Research Security (ORS) can assist researchers in identifying applicable requirements before design or technical information is provided to a foreign manufacturer.
REQUEST AN EXPORT CONTROL REVIEW | CONTACT ORS
Contact ORS Before You
Contact ORS before providing a foreign manufacturer or fabrication service with:
- Engineering designs, drawings, schematics, or technical specifications;
- PCB, Gerber, CAD, GDSII, or other design or fabrication files;
- Software, source code, algorithms, or technical documentation;
- Manufacturing, production, assembly, testing, or process information;
- Unpublished technical information developed through research;
- Export-controlled, proprietary, confidential, sponsor-controlled, or government-controlled information; or
- Other technical information necessary to manufacture, develop, produce, test, or modify a research item.
Researchers should also contact ORS when the proposed manufacturer is located in a Country of Concern, is affiliated with a foreign military or government organization, appears on a U.S. Government restricted-party list, or will receive information developed under a sponsored research award.
Key Considerations
Ordering an item from a foreign company can involve an export even when no physical
item is shipped from the United States. Providing a foreign manufacturer with technical information electronically—such as
by email, file transfer, vendor portal, cloud storage, or other electronic means—may
constitute an export under U.S. export control regulations. Examples may include: ORS evaluates the information being transferred, destination, recipient, end use,
and applicable export control requirements before determining whether U.S. Government
authorization is required. Not all technical information provided to a foreign manufacturer is subject to the
Export Administration Regulations (EAR). Under the EAR, unclassified technology or software that has been made available to
the public without restrictions on further dissemination may qualify as published and is not subject to the EAR. Examples include information made publicly available
through unrestricted publications, public Internet sites, libraries, open conferences,
and certain submissions intended for public publication or presentation. The fact that research about an item has been published does not necessarily mean
that all of the technical information required to fabricate the item has been published. For example, a journal article may describe: The files provided to a manufacturer may contain additional information that was not
included in the publication, such as: ORS may therefore need to compare the information being provided to the manufacturer
with the information that has actually been made publicly available.
A research result does not necessarily have to already be published to fall outside the EAR.
Under EAR §734.8, technology or software that arises during or results from fundamental research and is intended to be published is not subject to the EAR. Whether this provision applies depends on the particular technology or software involved and the circumstances of the research.
This distinction can be important when researchers are developing or testing new designs.
For example, a researcher may intend to publish the experimental findings from a project but not necessarily publish the detailed fabrication files used to produce experimental devices. ORS may need to determine whether the specific design or fabrication information being transferred is technology arising from the fundamental research that is intended to be published, rather than assuming that all information generated during an otherwise publishable research project is outside the EAR.
Researchers should not assume that a fabrication file is outside export control requirements solely because:
- The project is fundamental research;
- Related research has previously been published;
- The researcher is free to publish;
- The resulting article will discuss the fabricated item; or
- The manufacturer is providing only a commercial fabrication service.
Preexisting controlled technology provided to researchers to conduct fundamental research is also not made unrestricted merely because it is subsequently used in fundamental research.
If technical information is neither published nor otherwise outside the scope of the EAR, ORS may need to determine whether the information is subject to the EAR and, if so, its export classification.
Being subject to the EAR does not automatically mean that an export license is required. Licensing requirements depend on factors that may include the export classification, destination, recipient, end use, and end user.
Researchers should therefore contact ORS before sending unpublished design, development, production, or other potentially controlled technical information to a foreign manufacturer.
Foreign manufacturers and other parties involved in the transaction require restricted-entity screening.
U.S. Government restricted-party lists may impose prohibitions, license requirements,
heightened due diligence requirements, or other restrictions depending on the entity,
item, technology, destination, and end use. See - Restricted Entity Screening
Screening may include:
- The manufacturer;
- Parent or affiliated organizations;
- Intermediaries;
- Subcontractors, when known;
- Other parties receiving the technology or participating in the transaction; and
- Relevant end users.
Researchers should notify ORS if a manufacturer proposes transferring the work or technical information to another facility, affiliate, subcontractor, or country.
The fact that an export may be permissible under U.S. export control laws does not necessarily mean that use of the foreign manufacturer is permitted under the research award.
Federal and other sponsors may establish requirements concerning:
- Use of foreign vendors or subcontractors;
- Foreign expenditures;
- Countries or entities with which award funds may be used;
- Foreign components or performance outside the United States;
- Research security requirements;
- Government-controlled information;
- Publication or dissemination;
- Foreign access to project information;
- Procurement or supply-chain restrictions; or
- Prior sponsor approval.
These requirements are separate from the export control analysis.
Researchers should confirm that use of the proposed foreign manufacturer and associated charges are permitted under the award and applicable University requirements before placing the order.
Do not provide a foreign manufacturer with proprietary, confidential, sponsor-controlled, Controlled Unclassified Information (CUI), Federal Contract Information (FCI), Government-Furnished Information, or other restricted information unless the transfer has been reviewed and authorized.
Information received from another organization may remain subject to restrictions even when it is being used as part of otherwise unrestricted University research.
ORS may also need to understand what the foreign manufacturer will do.
There may be an important difference between a company that:
Fabricates to University-provided specifications
and a company that:
Participates in design, engineering, development, testing, troubleshooting, optimization, or modification of the technology.
Researchers should describe any technical assistance, engineering support, design recommendations, testing, or other services the manufacturer will provide in addition to fabrication.
Information ORS May Request
For a foreign fabrication review, ORS may ask the researcher to provide:
- Manufacturer: Company name, location, and country.
- Research project: Project description and funding source/award, if applicable.
- Item being fabricated: Brief description of what the manufacturer will produce.
- Information being transferred: Types of files, designs, software, specifications, or technical information that will be provided.
- Publication status: Whether the technical information has already been published or otherwise made publicly available.
- Fundamental research: For unpublished research-generated information, whether the specific designs or technical information arose from the research and are intended to be published.
- Preexisting information: Whether the design incorporates proprietary, sponsor-provided, government-controlled, export-controlled, or other restricted information.
- Manufacturer's role: Whether the company will only fabricate the item or will also provide design, engineering, testing, modification, or technical assistance.
- End use: How the fabricated item will be used in the research.
- Other locations: Whether the manufacturer will provide the information to another facility, affiliate, subcontractor, or country.
Frequently Asked Questions
Does using a foreign manufacturer automatically require an export license?
No. Many foreign fabrication activities may proceed without an export license. ORS must first determine what information or items are being transferred and whether they are subject to export control requirements. If they are subject to the EAR or another export control regime, additional classification and licensing analysis may be required.
My research is fundamental research. Can I send my designs to a foreign manufacturer?
Possibly. Technology or software arising during or resulting from fundamental research and intended to be published may not be subject to the EAR. However, researchers should not assume that every design, fabrication file, or other technical detail generated during a research project automatically qualifies. ORS may need to understand whether the specific technical information being transferred falls within the fundamental-research provisions.
I published a paper about the device. Does that mean the fabrication files are published?
Not necessarily. The publication may disclose the research results without disclosing all technical information contained in the fabrication package. ORS may need to compare the information being sent to the manufacturer with the information that has actually been published.
The design has not been published yet. Does that mean it is export controlled?
Not necessarily. Unpublished technology arising during or resulting from qualifying fundamental research may be outside the EAR when it is intended to be published. Other unpublished information may be subject to the EAR and require classification.
The manufacturer is only making a prototype. Does export control still matter?
Potentially. Export controls may apply to the technical information provided to manufacture the prototype, regardless of whether the resulting item is experimental, a prototype, or a final product.
Can I use research funds to pay a foreign manufacturer?
Possibly, but this is a separate determination from export control. The sponsor, award terms, procurement requirements, or other applicable requirements may restrict or require approval for use of foreign vendors or foreign expenditures.
Related Guidance
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Related Guidance |
Description |
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International Transfers (Shipping, Hand-Carry & Electronic Transfers) |
Guidance for shipping, mailing, hand-carrying, or electronically transferring research equipment, materials, software, technology, technical information, or research information internationally. |
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Guidance for using external laboratories, testing or sequencing services, data analysis or computing services, research platforms, consultants, and other third-party services that may receive, process, store, or access research information, data, samples, materials, software, or technology. |
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Guidance for sharing research information, data, software, technology, technical information, presentations, publications, or other research outputs with collaborators, sponsors, companies, government agencies, or other third parties. |
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Learn how equipment, materials, software, technology, and technical information are classified under U.S. export control regulations. |
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Learn when publicly available information is excluded from export control requirements and when additional restrictions may still apply. |
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Learn how organizations and individuals are screened against U.S. government restricted party and entity lists before certain University activities. |
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Learn about countries that may require additional review because of export control regulations, federal research security requirements, sponsor expectations, or institutional policy. |
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Guidance for reviewing and complying with research security, export control, information protection, publication, and other project-specific requirements contained in sponsor solicitations, award terms, and research agreements. |
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Guidance for receiving, accessing, using, storing, sharing, and protecting government information, including CUI, FCI, Government-Furnished Information (GFI), and other government-controlled information. |
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Working with Proprietary & Confidential Research Information |
Guidance for receiving, accessing, using, storing, sharing, and protecting proprietary or confidential research information received from sponsors, collaborators, companies, universities, and other external organizations. |
Need Assistance
Contact ORS before providing designs, fabrication files, software, technical information, or other research information to a manufacturer or fabrication service outside the United States when you are uncertain whether export control, restricted entity, sponsor, funding, information protection, or other requirements apply.
ORS can help determine whether the information being transferred is subject to export control requirements, conduct restricted entity screening, identify applicable sponsor or project requirements, and coordinate with other University offices when additional review is needed.