Breadcrumb
Export Control
One of the ways Sponsored Programs Foundation (SPF) supports and enables international research and collaboration is by helping researchers understand and navigate the complexities of U.S. export control laws and regulations. Due to the nuances and continuous evolution of export controls, we strongly recommend researchers reach out to risk-management@humboldt.edu for guidance and training, in addition to reviewing the resources below and the SPF Export Controls Policy. Understanding export controls protects individual researchers, SPF, and Cal Poly Humboldt from legal and reputational risks associated with the unauthorized transfer of controlled technology, information, and materials.
Non-compliance with export controls may subject the university and individuals involved to civil and criminal penalties.
We are collectively responsible for compliance with federal export laws and regulations, while safeguarding the University’s open academic environment, free interchange of information among researchers, and promoting responsible global engagement.
If you plan to:
- Travel abroad for research or conference
- Mail or carry university-equipment abroad
- Communicate with a foreign national about non-fundamental research
- Send controlled information to a foreign national or someone from a sanctioned country
- And much more…
Please review the SPF Export Controls Policy and reach out to risk-management@humboldt.edu for guidance as export controls may apply.
Export controls are federal laws and regulations that govern the shipment, transmission, or transfer of export controlled items, information, and software to foreign persons, entities, or countries. Export controls can affect international travel, collaborations, shipping, and research.
The export control system consists primarily of two sets of regulations:
- The Export Administration Regulations (EAR) and their Commerce Control List (CCL)
- The International Traffic in Arms Regulations (ITAR) and their Munitions List
Export Control governs how information, technologies, and commodities can be transmitted overseas to anyone, including U.S. citizens, or to foreign nationals in the U.S. This can include tangible and intangible items, including technical knowledge and data that is not publicly available. The phrases “Technology” or “Technical Data” refer to technical information beyond general and basic marketing materials about a controlled commodity. They do not refer to the controlled equipment/commodity itself, or to the type of information contained in publicly available user manuals. Rather, broadly speaking, the terms “technology” and “technical data” mean specific information necessary for the development, production, or use of a commodity, and usually takes the form of blueprints, drawings, photographs, plans, diagrams, models, formulae, tables, engineering specifications, and documentation.
Results of Fundamental Research are excluded from export control, as described below in the “Fundamental Research Exclusion” section.
Taking university-owned research equipment may require export control considerations and documentation. This may also apply to technology, technical data, and proprietary knowledge or information depending on the circumstances. Please review the International Travel page and reach out to risk-management@humboldt.edu for guidance.
SPF operates under the Fundamental Research Exclusion (FRE), which provides that technology (meaning “technical data”) or software that arises during, or results from, fundamental research and is intended to be published is excluded from the export control regulations. The exclusion does not extend to items or information that may be used during the course of fundamental research.
The exclusion for fundamental research from export controls applies to technical data only:
- When conducting fundamental research,
- With the intent to publish the results, AND
- You have accepted no publication/dissemination or access restrictions (i.e. your project is not subject to publication approval by sponsors or the government, nor have you accepted citizenship-based restrictions on who may be included on the research team).
University research will NOT be considered fundamental research if:
- The University or its researchers accept other restrictions on publication of scientific or technical information resulting from the project or activity, or
- The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable.
Some research activities and information may be more difficult to assess if they qualify under the FRE, so if it is ever unclear please contact risk-management@humboldt.edu for guidance to ensure your activity is appropriately documented.
Educational Information
Educational information may be exported or “deemed” exported without an export license during instruction in courses regularly offered by universities. This exemption includes instruction in science, math, and engineering concepts taught in courses listed in the university’s catalogue and associated teaching laboratories, even if the information concerns export controlled commodities or items.
Public Domain
Information that is published and generally accessible or available to the public through sales at bookstores or newsstands, subscriptions, libraries, patents available at any patent office, conferences, meetings, seminars or trade shows, or through fundamental research.