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Fundamental Research and Other Exclusions
Most research, clinical, educational, and service activities at UMB are excluded from export controls because they fall under the fundamental research exclusion or other exclusions.
Basic and applied research in science and engineering performed by institutions of higher learning in the United States is excluded from the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR), as long as the research is carried out openly and without restrictions on publication or access to or dissemination of the research results. This is known as the fundamental research exclusion.
Protecting the Fundamental Research Exclusion:
- UMB aggressively protects its investigators' rights to publish and cannot, by policy, agree to publication restrictions. Pre-publication review by the sponsor without undue delay is acceptable.
- The fundamental research exclusion may be lost if research is identified as Dual Use Research of Concern (DURC).
- The fundamental research exclusion will be lost if an investigator accepts export-restricted information from a sponsor or collaborator. To avoid this possibility, UMB negotiates language in agreements by which the other party must identify export-restricted information, UMB and its investigator may reject the information, and, if need be, the scope of work may be modified to assure the fundamental status of UMB's research.
- The fundamental research exclusion will be lost if a researcher agrees to a "side deal" allowing a sponsor to approve publications or control access to the project or project results.
The Fundamental Research Exclusion does not apply to all activities and transactions:
- Research performed outside the United States may not qualify for the fundamental research exclusion. This does not automatically mean that an export license will be required, but it does mean that an export control determination needs to be made before the work begins.
- Exports of tangible goods: While research results developed or generated under the fundamental research exclusion are exempt from export controls and can be freely shared with foreign nationals here and abroad, any materials, items, technology, or software generated as a result of the research ARE NOT exempt from export controls. Before shipping or taking any item abroad, an export control review needs to be conducted to determine if an export license is required to take or transfer the item.
- Activities that are not research (services, training) do not fall under the fundamental research exclusion.
Other export regulations may apply, in particular, the Office of Foreign Assets Control (OFAC) sanctions and embargoes.
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