Exclusions Exemptions

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Exclusions/Exemptions from Export Control Regulations

See also: Stanford's Export Control Decision Tree

The export regulations have several exclusions and exemptions that may remove University research from export control restrictions. There are three exclusions that are relevant to academic research: the fundamental research exclusion and the public domain exclusion, and the bona fide full-time employee exemption.

Fundamental Research Exclusion

Fundamental research is excluded from export control regulations. It is important to note that only the information (not the materials or technology) resulting from research may be disclosed to foreign nationals.

University research will not qualify for this exclusion if: (1) the University or researcher accepts any restrictions on the publication of the information resulting from the research, other than limited prepublication review by research sponsors to ensure that proprietary information is not inadvertently disclosed in publication or to ensure that publication will not compromised the patent rights of the sponsor; or (2) the research is federally funded and specific access and dissemination controls regarding the resulting information have been accepted by the University or researcher.

Again, it is important to remember that the Fundamental Research Exclusion only applies to information. Also, it does not apply to a sponsor's existing proprietary information when some or all of that information is required to be confidential.

In addition, it is important to note that the exclusion may not apply to information relating to export-controlled equipment used in research projects and classes. In the past some researchers have assumed that they could share such information with foreign nationals without a license, since the information is being used while conducting fundamental research.

Export control regulations do not apply to information released in academic catalog-listed courses or in teaching labs associated with those courses. This means that a faculty member teaching a University course may discuss what might otherwise be export-controlled technology in the classroom or lab without an export control license even if foreign national students are enrolled in the course. This exclusion is based on the recognition in ITAR that "information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain" should not be subject to export control restrictions.

To qualify for the FRE exclusion please complete the Fundamental Research Exclusion/Public Domain Exclusion Report (PDF file) and submit it to the Office of Research Integrity.

 

Public Domain Exclusion

Information that is published and generally available to the public, as well as publicly available technology and software is outside the scope of the export control regulations. This exclusion does not apply to encrypted software, to information if there is reason to believe it may be used for weapons of mass destruction, or where the US government has imposed access or dissemination controls as a condition of funding.

To qualify for the FRE exclusion please complete the Fundamental Research Exclusion/Public Domain Exclusion Report (PDF file) and submit it to the Office of Research Integrity.

 

Exemption for Disclosures to Bona Fide Full-time Employees

Export control regulations exempt disclosures of unclassified technical data in the U.S. by U.S. universities to foreign nationals where 1) the foreign national is the University's bona fide full-time regular employee, 2) the employee's permanent abode throughout the period of employment is the U.S., 3) the employee is not a national of an embargoed country pursuant to Sec. 126.1 of ITAR, and 4) the University informs the employee in writing that information disclosed may not be disclosed to other foreign nationals without governmental approval.