Fundamental Research Definitions Compared

Topic

EAR (§734.8, 734.11)

ITAR (§120.11(a)(8))

Core Principles

“…it remains the type of research, and particularly the intent and freedom to publish, that identifies 'fundamental research…'”

  • US only
  • Universities/colleges only
  • Status before publication ambiguous

Type of Research

Basic and applied research in science and engineering.



Not proprietary research or industrial development, design, production, or product utilization

Basic and applied research in science and engineering

Intent to Publish

The resulting information is ordinarily published and shared broadly within the scientific community

The resulting information is ordinarily published and shared broadly within the scientific community

Freedom to Publish

Not restricted for proprietary reasons or specific national security reasons

Not restricted for proprietary reasons or specific national security reasons

Specific Guidance

 

 

Universities

Research conducted by scientists, engineers, or students at an accredited institution of higher learning in the U.S. normally will be considered fundamental.

No restrictions on publication of scientific and technical information resulting from the project activity, except:

  • Prepublication review to protect proprietary information
  • Brief prepublication review to protect patent rights

For research funded by the U.S.Government, there must be no specific national security controls:

  • Prepublication review with approval
  • Restrictions on pre-publication dissemination
  • Restrictions on participation by non-U.S. citizens or others

Accredited institutions of higher learning in the U.S.



For research funded by the U.S.Government, there must be no specific access and dissemination controls applicable

Federally Funded R&D Center

Research may be designated as fundamental within an appropriate system

== not applicable ==

Lincoln Laboratory, national labs, SLAC, JPL) or Federal Agency

Devised by the FFRDC or agency.

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Corporate

Similar to Universities (above), except:

Research conducted by scientists or engineers working for a business entity will be considered fundamental at such time and to the extent that the researchers are free to make scientific and technical information resulting from the research publicly available without restriction or delay based on proprietary concerns or specific national security controls.

== not applicable ==

Exception

Encryption software classified under ECCN 5D002 remains subject to EAR export controls, except "publicly available encryption object code software classified under ECCN 5D002 when the corresponding source code meets the criteria specified in § 740.13(e) of the EAR...[for] License Exception TSU."

== not applicable ==

The Department of Energy’s Assistance to Foreign Atomic Energy Activities (10 CFR Part 810) regulations don’t explicitly refer to fundamental research, but based on previous interpretations provided by DoE, they interpret fundamental research in line with the EAR’s core principle, focusing on intent and freedom to publish, with the additional guidance that full publication is expected (partial publication with some results withheld would not qualify).