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Home > Policies for the Responsible Conduct of Research > Export Controls
Export Controls
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It is the policy of Duke University to fully abide by federal and state laws and regulations, including the Export Administration Regulations (EAR), the International Traffic in Arms Regulations (ITAR) and other bodies of export regulations. The export of material and technology to a foreign country may require a license or exemption prior to export. The release or disclosure of controlled technology or technical data to any foreign person, whether it occurs in the United States or abroad, is deemed to be an export, and may require either an export license, exemption documentation, or other form of legal authorization. Foreign persons include foreign individuals, corporations, government agencies, or other foreign entities. U.S. individuals are defined for export purposes as U.S. citizens, U.S. permanent residents (“green card holders”) and certain individuals in the United States under refugee or asylum status. University research may be exempt from export control laws under the “Fundamental Research Exemption” by ensuring that it meets the definition of fundamental research: basic and applied research that is conducted with a clear intent to publish the results, and to do so without restriction or approval, and that the research does not have any national security restrictions, such as a restriction on the participation of foreign nationals.
When strictly adhered to, Duke policies ensure the “Fundamental Research Exemption” and are broadly applicable to all sponsored research, regardless of the source of funding. These policies are articulated in the University-Industry Guidelines, as follows:
- A sponsor shall have the privilege to define broadly the topic of the research to be funded. The university principal investigator shall have final authority over the design and control of that research.
- Final determination of what may be published or not published shall remain with the University. The University will also retain the right to make a final determination with respect to publication of computer programs. Exceptions may be granted by the Provost only after detailed review and upon the advice of the Research Policy Committee.
- A sponsor may, prior to publication, review materials resulting from research it has sponsored in those cases where possible proprietary rights may be involved or where the University has been provided a sponsor’s proprietary information. Such reviews should not delay publication for more than ninety (90) days, except with the approval of the Provost.
- It is also the responsibility of each individual researcher to protect freedom to communicate with colleagues and to refuse to enter into sponsored agreements that will restrict that freedom in unreasonable or unacceptable ways.
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