CSUEB Export Control Policy
US export controls exist to protect the national security and foreign policy interests of this country. Export controls govern the shipment, transmission, or transfer of regulated items, information and software to foreign countries, persons or entities. The U.S. government maintains two primary sets of export control regulations that may impact university research. The Export Administration Regulations (“EAR”) regulate exports of commercial items with potential military applications (so called “dual-use” items). The International Traffic in Arms Regulations (“ITAR”) regulates exports of items and services specifically designed for military applications.
In addition to these export control regulations, university activities also may be subject to the U.S. government’s economic sanctions against certain countries, entities and individuals. These economic sanctions programs are administered by the Treasury Department’s Office of Foreign Asset Controls (“OFAC”).
Since 9/11, the U.S. government has increased its scrutiny of universities and industry to make sure they are complying with these often-complicated regulations. As a result, researchers whose work may have export control implications, particularly those who perform research on behalf of the Department of Defense or defense contractors, must be aware of and comply with applicable laws and regulations.
CSUEB relies on proper documentation in order to make use of exclusions and exemptions from licensing requirements. Recordkeeping is important if you are involved in research efforts where it may be necessary to ship research articles outside the U.S. or share export-controlled information provided by third parties, such as vendors, subcontractors, or collaborators.
Commerce Control List Categories:
Research that impacts any area of the control list categories is subject to this policy. Proper approvals must be established prior to engaging in the research activities of the project.
Exclusion - Fundamental Research:
CSUEB usually conducts research that qualifies as fundamental research. This is defined as basic and applied research in science and engineering that is ordinarily published and shared broadly within the scientific community and is distinguished from proprietary research and from industrial development, design, production and product utilization. Research will not be considered fundamental research if there are restrictions on the publication of scientific and technical information resulting from the project.
No license is required to disclose to foreign persons information that is “published and which is generally accessible or available to the public through fundamental research in science and engineering at universities where the resulting information is ordinarily published and shared broadly in the scientific community.”
The fundamental research exclusion is nullified by any clause (regardless of sponsorship – federal, state, private, nonprofit, etc) that:
The fundamental research exclusion will not apply if the university accepts any restrictions on the publication of resulting information, other than a brief (~90 day) advance review by sponsors to:
Public Domain/Public Policy definition:
ITAR: information which is already published and generally accessible to the public is not subject to ITAR. Information that is available through books, periodicals, patents, open conferences in the United States, websites accessible to the public with no access controls, or other public release authorized by the U.S. government, is considered in the public domain.
EAR: publicly available technology and non-encryption software, such as information that is the subject of an open patent application, published in a book or periodical, released at an open conference anywhere, available on a website accessible by the public with no access controls or information that will be published is not subject to the EAR. This includes submission of manuscripts to journals for consideration with the understanding that the article will be published if favorably received.
How to handle Export Control Items:
PIs must take the following steps to assure that they do not violate the export regulations and become personally liable for the substantial civil and criminal penalties:
Contact the ORSP for assistance if you encounter problems in any of the above areas. We will help you to resolve the matter so that your research may proceed in a manner that avoids violation of the export regulations.