Santa Clara University

Export Control Management

Free and Open Inquiry 

Santa Clara University is committed to free and open inquiry in research.  Our policy on Secret Research (section 3.7.11 of the Faculty Handbook) affirms this commitment as follows:

Secret research is defined as any research whose methods or results cannot be published without the prior approval of a sponsor. In order to ensure that research conducted at Santa Clara is consistent with the principle of free and open inquiry, the University shall not accept grants or contracts for the purpose of secret research.

The University shall also not award degrees for theses or dissertations based on secret research. Exceptions can be made only if the imposition of secrecy was unforeseeable until the work was so far advanced that it could not be modified without substantial inequity to the student.

In no case will the University give a sponsor the right to prevent publication or require modification of data or conclusions. The University may agree, however, to provide advance copies of publications to sponsors for their comment. Upon demonstration of compelling reasons, it may also agree to defer publication for a period of up to six months from the date copies are provided. Any extension of this period must be approved in writing by the Provost.

Sponsors of research projects may occasionally give the University access to proprietary or classified information. The University will accept such information only under the following conditions:

1. The information must be important for the conduct of the research project.
2. It must be clearly identified in writing as proprietary or classified.
3. Use of the information must not preclude publication of meaningful research results.
4. Use of the information must not preclude meaningful participation in the project
   by any member of the research group.
   

While the University will make all reasonable efforts to maintain the confidentiality of proprietary or classified information, it cannot accept financial liability for inadvertent disclosure of such information.

Public Domain and Fundamental Research Exclusions and Export Control Management

Given the University Policy on Secret Research, Santa Clara conforms with 15 CFR 734.4(b); 734.8 and 22 CFR 120.11(8) requirements for public domain and fundamental research exclusion from export control regulations. 

From time to time, questions arise around export controls particularly with industry sponsored projects.  The University is committed to fully complying with all federal export control regulations (International Traffic in Arms Regulations (ITAR) and Export Administration Regulations (EAR)) and is developing administrative processes to identify and manage any export control issues that may arise related to the conduct of research at Santa Clara.  Any questions regarding export controls should be directed to the Associate Provost for Research Initiatives.

Researchers should be aware that the criminal penalties for individuals who unlawfully export or disclosure of export-controlled information under ITAR is up to ten years imprisonment and/or a fine of $1,000,000 per violation and under EAR is imprisonment of up to twenty years and/or a fine of up to $50,000 per violation.