Educating and sharing information with others is a key component of the University’s mission and culture. However, within research, the question of whether researchers are permitted to share their results becomes a bit more nuanced. NSDD 189 defines “fundamental research” as:
U.S. export controls provide an exclusion for the information that arises during or results from research which qualifies as “fundamental research”. Evaluations of whether the “fundamental research” exclusion can apply must consider several variables, including the statement of work, whether the technologies (project inputs and outputs) are found on the USML, CCL, etc., as well as any relevant contractual restrictions and requirements implemented by a research sponsor. This includes publication restrictions or citizenship-based participation restrictions that have been implemented due to national security or proprietary concerns, other access or dissemination controls, etc. In projects that do qualify as “fundamental research”, researchers may still need to submit proposed publications through a specific pre-publication review and comment process, which is typically outlined by the sponsor in the terms of an award. HSC’s Office of Research Administration/Norman’s Office of Research Services can advise further on specific agreements. Tangible items, even when developed under “fundamental research”, remain subject to export regulations.
By accepting such restrictions and controls within the terms of a research agreement, researchers abdicate the “fundamental research” exclusion over the technical information generated. The data becomes subject to, and potentially controlled by, U.S. export controls regulations. Research agreements containing export control clauses must be reviewed by the Office of Export Controls on a case-by-case basis. If the University determines that the export control issues within a particular research agreement are manageable, it may accept the agreement. To facilitate compliant export-controlled research, the Office of Export Controls works with researchers to implement a Technology Control Plan (TCP). TCPs are required when an activity involves ITAR- and/or EAR-controlled controlled items or technical data, certain contractual restrictions, or otherwise does not fit within the “fundamental research” exclusion.
