- The items, materials, technology or technical data used in the research are identified on U.S. export control lists.
- Working with (formally or informally), or providing technical assistance to, foreign nationals from countries currently sanctioned (e.g., for trade, travel, or terrorism) by the U.S.
- A research agreement (e.g., contract, award, non-disclosure agreement) limits publication of results or participation in the design, conduct, or reporting of the research based on citizenship.
Examples of transactions that generally require oversight
- Encryption software,
- Items, articles, software or technology listed on the EAR/Commerce Control List,
- Items, articles, software or technology listed on the ITAR/U.S. Munitions List,
- Work with any sanctioned countries,
- Items to restricted parties on the Entity and Denied Persons Lists.
Fundamental Research Exclusion
As a practical matter, most research at the University is excluded from the scope of EAR and ITAR regulations due to the “fundamental research” exclusion. Fundamental research is defined as basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research, the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls.
The results of fundamental research are not subject to the EAR or the ITAR, and may be disclosed to non-U.S. persons in the U.S. or abroad without specific authorization. The fundamental research exclusion applies only to the dissemination of research data and information, not to the transmission of material goods. The fundamental research exclusion is not applicable if a project sponsor imposes certain publication, access, proprietary, or confidentiality restrictions which limit the dissemination of the results to the scientific community.
Similarly, federal export control regulations do not apply when dealing with instruction in general science, math, and engineering principles commonly taught at schools, colleges and universities, and conveying information through courses listed in course catalogues and in associated teaching laboratories of academic institutions.