Fundamental Research
Overview
Fundamental research is an important concept in university research and U.S. export control regulations.
Fundamental research generally means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community.
Under U.S. export control regulations, information, technology, or software arising during or resulting from qualifying fundamental research may be excluded from certain export control requirements.
Whether the fundamental research exclusion applies depends on the applicable export control regulations, the nature of the research, publication expectations, sponsor or contractual restrictions, government-imposed controls, and other circumstances of the activity.
Important: Fundamental research protections generally apply to information, technology, or software arising during or resulting from the research. They do not automatically apply to equipment, materials, software, technology, technical data, or proprietary information received or used in conducting the research.
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When May Research Qualify as Fundamental Research?
Research may qualify as fundamental research when:
- The research is basic or applied research in science or engineering.
- Research results ordinarily are intended for publication.
- Results are intended to be shared broadly within the research community.
- Researchers have not accepted restrictions on publication for proprietary or national security reasons.
- The research is not otherwise subject to controls that prevent the resulting information from being openly published or shared.
The specific requirements differ under the Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR).
What May Affect Fundamental Research Status?
Certain restrictions or circumstances may affect whether research results qualify for treatment as fundamental research.
Examples include:
- Sponsor approval requirements for publication.
- Restrictions on publication or dissemination of research results.
- Proprietary restrictions on research results.
- Restrictions on access to or participation in the research.
- Government-imposed access or dissemination controls.
- National security restrictions.
- Other contractual requirements limiting the public release of research results.
Not every sponsor review or government requirement eliminates fundamental research treatment. The specific terms and applicable export control regulations must be evaluated.
Contact ORS if an agreement, award, solicitation, or other research activity includes restrictions on publication, dissemination, access, or participation.
Common Considerations
The ability to publish and broadly share research results is central to fundamental research.
Certain limited prepublication reviews may be permitted, such as reviews intended to:
- Protect patent rights.
- Identify sponsor-provided proprietary information.
- Address other limited purposes permitted under the applicable regulations.
Requirements that give a sponsor authority to approve, deny, substantially restrict, or indefinitely delay publication may affect whether resulting information qualifies for fundamental research treatment.
Restrictions on who may participate in or access research can create export control and research security considerations.
Examples include:
- Foreign-person access restrictions.
- Citizenship or nationality restrictions.
- Sponsor approval of project personnel.
- Government-imposed access controls.
- Restrictions on access to controlled technology or technical information.
The effect of these restrictions depends on the applicable regulations, sponsor requirements, and circumstances of the research.
Contact ORS before accepting research terms that restrict participation or access based on citizenship or nationality.
Government-sponsored research may include access, dissemination, or national security controls.
Examples include:
- Controlled Unclassified Information (CUI).
- Classified Information.
- Government distribution statements or dissemination restrictions.
- Prepublication review requirements.
- Other government-imposed access or national security controls.
These requirements should be reviewed before an award is accepted or research begins to determine their effect on the research and any applicable export control requirements.
Fundamental research does not mean that every activity or item associated with a research project is excluded from export controls.
Export control requirements may still apply to:
- Research equipment.
- Materials.
- Software and source code.
- Sponsor- or third-party-provided technology.
- Proprietary technical information.
- Export-controlled technical data.
- International shipments or transfers.
- International travel with research equipment or technology.
- Foreign-person access to controlled technology.
The export control status of these items and activities must be evaluated separately from the research results.
Sponsor agreements, solicitations, awards, contracts, subawards, nondisclosure agreements, and other research documents may contain terms that affect fundamental research.
Researchers should contact ORS when proposed terms include:
- Publication restrictions.
- Sponsor publication approval.
- Foreign-person or citizenship restrictions.
- Access or dissemination controls.
- Export control requirements.
- Government-controlled information.
- National security restrictions.
ORS works with investigators and other University offices to determine whether proposed requirements affect fundamental research or create additional export control obligations.
Frequently Asked Questions
Does federally funded research automatically qualify as fundamental research?
No. Federal funding alone does not determine whether research qualifies for fundamental research treatment. The nature of the research, applicable regulations, award terms, publication expectations, and other restrictions must also be considered.
Can a sponsor review publications before they are submitted?
Certain limited prepublication reviews may be permitted, such as reviews intended to protect patent rights or identify sponsor-provided proprietary information. Broader sponsor approval or restrictions on publication may affect fundamental research treatment.
Does fundamental research apply to equipment?
Generally, no. Fundamental research provisions primarily address information, technology, or software arising during or resulting from the research. Equipment, materials, software, proprietary information, and other technology used to conduct the research may remain subject to export control requirements.
Can research involving international collaborators qualify as fundamental research?
Yes. International collaboration does not, by itself, prevent research from qualifying as fundamental research. However, export controls, sponsor requirements, sanctions, contractual restrictions, or other requirements may apply to the collaboration or related activities.
Does fundamental research mean export controls do not apply to my project?
No. Even when research results qualify for fundamental research treatment, export controls may still apply to equipment, materials, software, source code, proprietary technology, sponsor-provided information, international transfers, foreign-person access, or other activities associated with the research.
What should I do if an agreement contains publication, dissemination, or foreign-person restrictions?
Contact the Office of Research Security before accepting the restriction or beginning the affected research.
| Description | |
|---|---|
| Publicly Available Information | Learn when publicly available information is excluded from export control requirements and when additional restrictions may still apply. |
| Export Administration Regulations (EAR) | Learn about export controls governing commercial and dual-use items, software, and technology. |
| International Traffic in Arms Regulations (ITAR) | Learn about the types of government information and associated requirements |
| Government Information | Guidance for receiving, accessing, using, storing, sharing, and protecting government information, including CUI, FCI, Government-Furnished Information (GFI), and other government-controlled information. |
| Sponsor & Agreement Requirements | Guidance for reviewing and complying with research security, export control, information protection, publication, and other project-specific requirements contained in sponsor solicitations, award terms, and research agreements. |
Federal Regulatory References
| Federal Regulatory Reference | Description |
|---|---|
| National Security Decision Directive 189 (NSDD-189) | Establishes the U.S. Government policy defining fundamental research and supporting the broad publication and sharing of research results. |
| Export Administration Regulations (15 CFR § 734.8) | Defines fundamental research under the Export Administration Regulations (EAR) and explains when research results are not subject to the EAR. |
| International Traffic in Arms Regulations (22 CFR § 120.34) | Defines fundamental research within the ITAR public domain provisions and describes when research information is not subject to the ITAR |
Need Assistance?
If you are uncertain whether your research qualifies as fundamental research or whether sponsor terms, publication restrictions, foreign national restrictions, or other requirements may affect export control obligations, contact the Office of Research Security before accepting the award or beginning the research.