The University of California’s strategy for compliance with the federal export controls is based upon maintaining an open, fundamental research environment, such that scientific data and results qualify as being in the “public domain” under ITAR and are not subject to the EAR under the provisions related to “publicly available technology”, “published information and software”, “information resulting from fundamental research”, and ”educational information”. By qualifying under these sections of EAR and ITAR, the University can avoid the problems associated with “deemed exports” of technical data, and then secure any required export licenses for actual shipment of controlled items into or out of the United States. In this manner, UC can maintain its open research and education environment while also complying with the export regulations.
In response to efforts to insert contract language controlling publication and participation of foreign nationals in University research, the University confirmed its policy on maintaining an open research and education environment. In September 2002, the Vice Chancellors for Research from the nine UC campuses unanimously agreed that the University would not make exceptions to the publication policy or accept restrictions on the open dissemination of research results. It is essential that government contractors and agencies understand that it is not merely a matter of University policy and its education and research mission; it is a matter of compliance with export regulations.
Steps for Researchers to Follow to Adhere to UC’s Export Compliance Plan
UC faculty and staff must take the following steps to assure that they do not violate the export regulations and become personally liable for substantial civil and criminal penalties.
Publications and Personnel Restrictions:
It is important to take these steps to preserve the “publicly available” and “public domain” exemptions provided by the government, including that afforded to fundamental research. Without exemptions, the EAR or ITAR licensing requirements may apply to information (technology or technical data) concerning controlled commodities or items. Unless a license exemption applies, a “deemed export” license would then be required before information is conveyed (even visually thorough observation) to foreign students, researchers, staff, or visitors on campus, and an actual export license would be required before information is conveyed abroad to anyone. The University’s mission of education and research and the international nature of science and academic discourse require that we maintain an open academic environment without regard to citizenship or visa status. The export regulations provide appropriate “safe harbors” for fundamental research to protect the University. By following the above guidance, we can assure that the faculty, students, and staff of the University do not compromise our academic standards and do not violate the export regulations.