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 (NSDD189), which included an exclusion for “fundamental research.”

National Security Decision Directive 189 (NSDD189)

Definition

Fundamental research is defined by the NSDD189 as: "Basic and applied research in science and engineering where the resulting information is to be 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."

The Fundamental Research Exclusion does not apply to items, equipment, technical data or software that are export-controlled.

Qualifying Research

In order to qualify for the Fundamental Research Exclusion, your research must be conducted free of any publication restrictions and without any access or dissemination restrictions (i.e., no restrictions based on nationality). Brown University works to preserve the Fundamental Research Exclusion by reviewing terms and conditions of sponsored awards, material transfer agreements and other research-related agreements to ensure such restrictions are not placed on the research.

Tangible Items vs. Intangible Items 

While research results and knowledge or information developed or generated under the Fundamental Research Exclusion are exempt from export controls and can be freely shared with foreign nationals both in the U.S. and abroad, any materials, products or software generated as a result of the research (e.g., prototypes) are not exempt from export controls. Before shipping or taking any tangible item generated under your research project abroad, an export control determination needs to be made to determine if an export license is required to take or transfer the item.

Activities That May Undermine the Fundamental Research Exemption

Engaging in ‘Side Deals’ or Contractual Restrictions

The Fundamental Research Exclusion could be jeopardized if you agree to any “side deals” outside of the negotiated terms and conditions of an award or agreement. If, in practice, you allow sponsors the ability to review and approve publications or to control who can participate in the project based on nationality, or if you allow any other restrictions on the publication, dissemination or access to the research by foreign nationals, you may lose your ability to take advantage of the Fundamental Research Exclusion. Loss of this exclusion can quickly put your research in jeopardy of noncompliance with export controls.

Working Outside the U.S.

The Fundamental Research Exclusion 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. Contact Export Control for help in determining if a license is required.

Information that is normally taught or released by the 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.

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; publicaly 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.