What are the exclusions for fundamental research and published information?

For export purposes, 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. The Fundamental Research Exclusion (FRE) allows for the results of university research to be excluded from export control regulations. 

This definition does not include proprietary research and industrial development, design, production and product utilization if the resulting information, products and projects ordinarily are restricted for proprietary or national security reasons. 

Important Cautions:

1. It is possible that a project is fundamental research but uses controlled technology or materials. The FRE applies only to the dissemination of research data and information, not to the transfer of technology or materials.
2. The FRE becomes INVALID if the university accepts any contract clause that:
   • Forbids the participation of foreign nationals.
   • Gives the sponsor a right to approve publications resulting from the research.
     • The fundamental research status is not affected by a prepublication sponsor review done solely to insure that the publication would not inadvertently divulge proprietary information furnished by the sponsor to the researchers.
     • The fundamental research status is not affected if a sponsor does a prepublication review in a timely manner to ensure the publication would not compromise patent rights.
   • Otherwise restricts participation in research and/or access to and disclosure of research results.
3. “Side deals" beyond the established contract can eliminate the FRE protection and expose the sponsor, the investigator and other responsible entities (university, center, lab) to penalties for export control violations.

State University of New York (SUNY) policy prohibits the acceptance of any awards that restrict dissemination of research results and/or foreign national participation. (documents 1800 and 1801)

You can request a justifiable exception to this policy when working with Sponsored Projects Services (SPS) during the contract negotiation process.

• These requests are submitted to the chancellor or her designee for approval and are decided on a case-by-case basis as to protect state and national security.
• Any projects granted exceptions will warrant further review as to the need for a technology control plan and/or export licenses.

Under the Published Information Exclusion, information that is "published" is not generally subject to export controls. Information is published when it becomes generally accessible to the interested public in any form, including:

• Publication in periodicals, books, print, electronic, software or other media available for general distribution to a community of persons interested in the subject matter, such as those in a scientific or engineering discipline:
  • Excludes certain encryption software;
  • Includes websites that provide free and uncontrolled access
• Readily available at public or university libraries.
• Patents and published patent applications available at any patent office.
• Release at an open conference, meeting, seminar, trade show, or other open gathering held in the U.S. (ITAR) or anywhere (EAR).

*Note, a conference or gathering is "open" if all technically qualified members of the public are eligible to attend and attendees are permitted to take notes or otherwise make a personal record of the proceedings and presentations. The following do NOT change its open status:

• A registration fee reasonably related to cost; or
• Limited attendance based on 'first-come' or relevant scientific / technical competence.