Ethics, Compliance and Audit Services
On-campus research with foreign nationals
The federal deemed-export rules prohibit certain individuals from receiving controlled information and/or controlled technologies without the required license(s), exception, or exemption, even if those individuals are otherwise authorized to work within the United States. Organizations who deal with technology or software subject to export control regulations may be “deemed” to be exporting such technology or software, simply by allowing foreign nationals access to restricted items.
Fundamental Research Exclusion
Fortunately, the University takes steps to ensure that our research falls within the safe harbor of the fundamental research exclusion (FRE). Export control regulations exempt from licensing requirements technical information (but not controlled items) resulting from fundamental research.
Fundamental research means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons. (National Security Decision Directive 189)
No license is required to disclose to foreign persons information that is “published and which is generally accessible or available to the public through fundamental research in science and engineering at universities where the resulting information is ordinarily published and shared broadly in the scientific community.” http://fas.org/irp/offdocs/nsdd/nsdd-189.htm
Citizenship and nondiscrimination
The university Nondiscrimination and Affirmative Action Policy states that the university does not discriminate on the basis of citizenship. UC, therefore, generally does not accept public and private sponsors’ restrictions of research based on citizenship.
In select cases, narrow exceptions to this policy may be made:
- Where there are compelling circumstances in support of legitimate public interests bearing on individual job requirements, e.g. for classified research. The chancellor may recommend such an exception to the president for his approval.
- Where the restriction to U.S. citizens is placed on fellowship support for graduate and undergraduate students (so-called training grants) because such fellowship restrictions from governmental sponsors are considered to be consistent with legitimate government interests in promoting the training of domestic students and because there is no specific policy precluding this practice.
Ownership and Dissemination of Research Results (RAO 85-16)
Anti-Terrorism Clauses PDF (RAO 07-01)
Technology Control Plans
A Technology Control Plan (TCP) is a customized management plan that outlines the procedures in place to prevent unauthorized exportation of protected items, products, information, or technology deemed to be sensitive to national security or economic interests. The Technology Control Plan is a critical component of the University’s export control compliance program.
In the event that a piece of equipment, technology, or technical data is identified as regulated by one of the three export control regimes, the Office of Research Administration assists the faculty member in creating a detailed Technology Control Plan to ensure compliance. Please contact Brian Warshawsky at 510-987-0413.
Export Control Licensing
Export control laws are in place to protect U.S. national security, foreign policy, and economic interests without imposing undue regulatory burdens on legitimate international trade. An export control license is the U.S. government mechanism to allow and trace transfers of export controlled technologies. License requests must be submitted to the specific federal agency responsible; the Department of State for ITAR-controlled items, the Department of Commerce for EAR-controlled items, and OFAC for OFAC-controlled countries.
To determine if a license is required, four questions must be answered:
- What is being exported (is it controlled and which agency controls it)?
- Where is it going?
- Who is receiving it?
- How will it be used?
If a researcher has a project/technology that is export controlled and needs an export license to proceed, he/she must curtail the activity until a review to determine if an exception or exclusion applies or if a license is required. Note that "deemed exports" may also require a license.
Only a designated ‘empowered official’ may apply for an ITAR license. Requests for an export license for a controlled item must be initiated through your local campus export control resource. Please see the Contacts section for more information.
License reviews, application and approvals or denials can take up to 3-6 months before a final determination is made. Each license is for a specific export transaction.