Santa Clara University

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Export Control Management

Export control regulations are federal laws that regulate the export, transfer, or transmission of certain types of commodities, software, technology, and technical information from the United States to a foreign destination or to foreign nationals on U.S. soil.

For foreign travel, see the foreign travel export control questionnaireSCU guidelines for international travel with technology and travel tips for guidance.

Santa Clara University is committed to fully complying with all federal export control regulations including those administered by the International Traffic in Arms Regulations (ITAR) and the Export Administration Regulations (EAR).

The University is also committed to free and open inquiry in research (Faculty Handbook section 3.7.8) affirms this commitment. Consistent with the principle of free and open inquiry, the University will not accept grants or contracts for the purpose of secret research.

Santa Clara University seeks to comply with ITAR and EAR through their exclusions for fundamental research (Faculty Handbook section 3.7.8.1) Fundamental Research is basic or applied research in science and engineering performed at an accredited institution of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community.

Fundamental Research Exclusion

The EAR provides that university research normally will be considered as fundamental research unless the university or its researchers accept sponsor restrictions on publication of scientific and technical information resulting from the project or activity. The EAR specifically permits limited prepublication reviews by research sponsors to prevent inadvertent divulging of proprietary information provided to the researcher by the sponsor or to insure that publication will not compromise patent rights of the sponsor (15 CFR § 734.8).

The ITAR states that university research will not be deemed to qualify as fundamental research if: (1) the university or its researchers accept any restrictions on publication of scientific and technical information resulting from the project or activity; or (2) the research is federally funded and specific access and dissemination controls protecting information resulting from the research have been accepted by the university or the researcher (22 CFR § 120.11(8)).

Note that the Fundamental Research Exclusion applies only to the dissemination of research data and information, not to the transmission of material goods.

From time to time, questions arise around export controls, particularly with industry-sponsored projects, collaborations involving a foreign university or corporation, or projects involving foreign national students of the University. The export control checklist will help you identify cases in which your projects would be exempt or potentially subject to U.S. export controls or other restrictions.

Export controls could potentially be relevant if you are:

  1. sending your research or elements of your research overseas;
  2. discussing your research with persons outside of the United States
  3. discussing your research with foreign nationals in the United States; or
  4. allowing visual inspections of any technology, software or technical data to any non-U.S. citizen whether in the U.S. or abroad.

Researchers should be aware that the criminal penalty for individuals who unlawfully export or disclose export-controlled information under ITAR is up to ten years imprisonment and/or a fine of $1,000,000 per violation and under EAR is imprisonment of up to twenty years and/or a fine of up to $50,000 per violation.

It is critical for researchers to understand the impact of these compliance responsibilities. The following references are regulatory overview and resources on export control topics:

Regulatory Overview
Export Control Overview Penalties Law and Governing Agencies
Definitions Licenses and Exclusions

EAR Commerce Control List

ITAR U.S. Munitions List

Resources for Researchers
What Researchers Need To Know

Foreign Travel Export Control Questionnaire

Deemed Exports

Travel to Foreign Countries

 

Travel Tips

Technology control plan template

Any questions regarding export controls should be directed to Esther Pham, Director for Office of Research Compliance and Integrity: epham@scu.edu(408) 554-5591