Understanding Export Controls

Export controls are federal regulations that govern certain transfers of goods, technologies, and information to non-U.S. persons and destinations. These regulations aim to protect national security, foreign policy interests, and economic competitiveness. They apply to a wide range of items, including: 

• Physical goods: From chemicals and materials to machinery and software 
• Technical data: Information about the design, manufacture, use, or operation of controlled items 
• Technical assistance: Providing instructions, training, or other support related to controlled items 

Many universities conduct research that involves controlled items or information. Even seemingly basic research can have dual-use potential, meaning it could be used for both civilian and military purposes. Export controls help to ensure that such research doesn't fall into the wrong hands and is used responsibly. 

Activities include but are not limited to:

• Research using controlled materials or equipment: This could include anything from biological agents to advanced computer technology. 
• Collaboration with foreign nationals: Sharing controlled information or technology with foreign nationals, even on campus, might require an export license. This includes students, researchers, collaborators, or visitors from certain countries or with specific affiliations. 
• Traveling internationally with controlled data or equipment: Presenting research at conferences or collaborating with international partners may involve transferring controlled information or items, potentially requiring export licenses. 
• Research agreements with export control restrictions: Funding agreements or contracts that restrict publication, dissemination, or access to research results based on nationality might void the Fundamental Research Exclusion and require control measures. 

Fundamental Research is defined as: "research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons.” (15 CFR 734.8(c)) 

The good news is that fundamental research generally enjoys an exemption from export controls. This means that research conducted with the intent of broadening scientific knowledge, without specific applications in mind, is typically not subject to regulation. However, it's important to note that: 

• The exemption only applies to the results and findings of the research, not in the conduct of the research, or shipments of items or commodities, even if they are developed during a fundamental research project. 
• Sharing research findings with certain individuals or institutions, or engaging in specific collaborations, may still require an export license. 
• It's always best to consult with UCSF Export Control to determine if your research activities fall under the exemption or require further scrutiny. 

Note: Fundamental Research is defined as: "research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons.” (15 CFR 734.8(c)) 

• Be aware of export control regulations: Familiarize yourself with the regulations by completing available online training or consulting UCSF Export Control. 
• Identify controlled items and activities: Evaluate your research activities for the use of controlled items, collaboration with foreign nationals, and contractual restrictions. 
• Seek guidance from UCSF export control office: If unsure about the export control implications of your research, consult UCSF Export Control for guidance and assistance. 
• Contact Export Control prior to any international shipments, by completing the International Shipment Form and sending to [email protected].