Exclusions from Export Controls

Exclusions from Export Controls

As UNC Chapel Hill is an accredited U.S. academic institution, most of its activities are shielded from export controls under the Fundamental Research, Educational Information, and Public Information exclusions. 

1. Fundamental Research Exclusion (“FRE”) 

The U.S. government, recognizing that the strength of academic research relies on creating an environment that promotes creativity and the free exchange of ideas, released the National Security Decision Directive 189 (NSDD-189), which included an exclusion for “fundamental research.” 

Fundamental Research:

“Fundamental research” is defined by the NSDD-189 as “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.”

Covered by the FRE

Technology or software that arises during, or results from, fundamental research is not subject to export controls. 

NOT covered by the FRE

  • Tangible items (equipment, materials, prototypes, samples, etc.) used in the performance of, or resulting from, fundamental research are subject to export controls. Shipping any such items internationally, or carrying them on an international trip, may require an export license or other form of prior government authorization. 
  • Proprietary or confidential technology/information and software used in the performance of, or resulting from, fundamental research are subject to export controls. Releasing any such information or software to foreign nationals in or outside the U.S. may require an export license or other form of prior government authorization.
    • Be mindful of confidentiality/non-disclosure agreements. Accepting proprietary/confidential information or software without a proper export control review can quickly put your research in jeopardy of noncompliance. 

Qualifying for the FRE: 

To qualify for the FRE, your research must be conducted free of publication restrictions and without access or dissemination restrictions (e.g., restrictions based on nationality). UNC Chapel Hill works to preserve the FRE by reviewing terms and conditions of sponsored awards, material transfer agreements, and other research-related agreements to ensure no such restrictions are imposed. 

Publications: Review vs. Approval/Prohibition 

  • Prepublication review for particular reasons (e.g., for the removal of confidential information or patent protection) and for a limited time does not invalidate the FRE.
  • Prior approval of publications or prohibition to publish the research results does invalidate the FRE and subject the research to export controls. 

Working outside the U.S. 

The FRE also may not apply if your research includes work done outside the U.S., particularly in a sanctioned or embargoed country. This does not automatically mean that export licenses will be required, but it does mean that an export control determination needs to be done before the work begins. 

2. Educational Information Exclusion 

Information that is normally taught or released by a university as part of the normal instruction in a catalog course or in an associated teaching laboratory is considered educational information and, as provided for under federal regulations, is not subject to export controls. 

3. Public Information Exclusion 

Information that is already published, publicly available or in the public domain is considered public information and, under federal regulations, is not subject to export controls. Examples include:  

  • books, newspapers, pamphlets; 
  • publicly available technology and software; 
  • information presented at conferences, meetings and seminars open to the public;  
  • information included in published patents; and  
  • websites freely accessible by the public. 

Helpful Export Compliance Resources 

Questions?  

Contact the Export Compliance Office at [email protected].