Export Controls - Our Position
Contract and Grant Lifecycle
- Roles and Responsibilities Matrix
- Proposal Preparation / Submission
- Preaward Administration
- Award Negotiation and Setup
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- Outgoing Subawards
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- Export Control
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- Staff Directory
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- Uniform Guidance
The goal of export control guidance is to assure that the faculty, students and staff of the University do not compromise our academic standards and, as well, do not violate the export control regulations.
The University of California is an internationally renowned, academic research institution, attracting a student body, staff, and faculty from around the world. Exchange of information with foreign colleagues occurs both on and off campus and it would be contrary to policy, as well as administratively impossible, to attempt to place any restrictions on the conduct of research and the dissemination of findings based upon citizenship status or nationality. University policy is that classrooms, libraries, laboratories, and specialized research facilities are open, without regard to citizenship, residency status, or visa category. To advance science, we must preserve the ability to communicate and disseminate the results of fundamental research among visiting scientists, scholars, students, and postdoctoral researchers, without the necessity of inquiry or concern for citizenship or residency status. To divide our community or limit access to our research programs, libraries, or facilities is both unworkable and unproductive.
At the same time, the University must comply with federal regulations, including those promulgated under the Export Administration Regulations and the International Traffic in Arms. These regulations are crafted in such a manner that publicly available, fundamental research results are excluded from the regulatory requirements for approvals or licenses. Specifically, publicly available (EAR reference - under 15 CFR 734.3(b)(3) and 734.7 through 734.11) technology and software are not subject to the EAR and technical data in the public domain ( ITAR reference - under 22 CFR 120.10(a)(5) and 120.11(a))is exempt from the ITAR. In addition to general exclusions for information disseminated in an education environment, or which is publicly available or will be published, it is particularly important to note the exemption for fundamental research. Both the EAR and ITAR define fundamental research in a similar manner; it is "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 right to publish and disseminate the results of University research is a keystone principle of the University of California. Fortunately, both EAR and ITAR recognize and protect the open, academic environment in the above-cited sections. Accordingly, no restrictions on foreign nationals' access to or participation in the design, fabrication, or scientific results generated in University-conducted fundamental research is required, as long as there is open access to the technical data or technology, and the results are shared broadly within the community. However, in cases where the University is actually fabricating an item for shipment outside the U.S., once the design is finalized and scientific equipment fabricated, the University of California will secure any required export licenses prior to shipment. In this manner, the University can maintain an open academic environment, but also comply with the export regulations.