V. STANDARD Operating Procedures

The following standard operating procedures have been developed to enable the Administration, Principal Investigators (PIs) and other persons engaged in research at the University to fully comply with Export Control (EC) regulations promulgated by the US Department of Commerce, through its Export Administration Regulations (EAR), the US Department of State through its International Traffic in Arms Regulations (ITAR) as well the US Treasury Department through its Office of Foreign Assets Control (OFAC).

Principal Investigator’s Responsibilities:

1. PI’s will cooperate with the Office of Sponsored Research and Programs (OSRP) in determining the applicability of EC regulations to research before starting any projects.  The PI’s will provide a description of the project, proposed personnel, and whether there is to be involvement of any foreign national or exchange of technologies or information with a foreign country.  
2. The PI will notify OSRP of any changes in the scope or staffing of research projects that could alter initial determinations about the applicability of EC regulations;
3. The PI will notify OSRP well in advance of sending scientific equipment or information including GPS equipment and encrypted software out of the country in order to determine if a license is required;
4. The PI will send all proposed Nondisclosure Agreements, Material Transfer Agreement, grants or contracts (hereafter referred to as “Agreements”) to OSRP for review and modification of any provisions that could eliminate exclusions from EC regulations.
5. The PI will contact OSRP before engaging in research activities with persons in or from foreign countries that are named on the Embargoed or Sanctioned Country List of the State Department  or the Office of Foreign Access Control or the .  As of August 2006, this includes: Afghanistan, Balkans, Belarus, Burma, China, Cote D’Ivoire (Ivory Coast), Cuba, Cyprus, Democratic Republic of the Congo, Eritrea, Haiti, Iran, Iraq, Liberia, Libya, North Korea, Rwanda, Somalia, Sudan, Syria, Vietnam, Yemen, Zimbabwe;
6. If it is known that a research proposal or any Agreements may or will require shipping scientific equipment out of the country or transmitting technology or information to foreign persons abroad, the PI shall submit this information along with the relevant documents to OSRP.

Office of Sponsored Research and Programs (OSRP):

1. The Associate Director shall be designated as the University Compliance Officer and be the lead person for assisting the Institutional Official in implementation of the  University’s EC policy.
2. The Compliance Officer shall review proposed (Confidentially) Nondisclosure Agreements ((NDA), Material Transfer Agreements (MTA), grants and contracts (hereinafter designated as “Agreements”) for provisions that restrict access to or publication of research and technical data, limit the participation of foreign nationals in the research effort, or otherwise render inapplicable the exclusions and exemptions from the EC regulations.  The results of such review will be recorded on an Export Control Review report signed by the Compliance Officer and transmitted to the Institutional Official. (Record of Export Control Review).
3. No export license will be required as a condition of releasing research results or granting foreign nationals access to the research if the project qualifies under the Fundamental Research Exclusion or Public Domain Exemption.
4. If the results of such review indicate that an exemption from the EC regulations may not be available, OSRP will forward the Export Control Review report and supporting documentation to the Office of General Counsel.  The Office of General Counsel will confirm the review of OSRP and forward these findings to the Institutional Official for review and action, as appropriate. 
5. The Institutional Official will meet with the PI to determine if adjustments can be made to address issues which resulted in the conclusion that the research project falls under the EC regulations.
6. The Compliance Officer and General Counsel will review revised documents and make the necessary recommendations to the Institutional Official who will make a final determination as to the applicability of EC regulations. 
7. The PI will receive written notice of the Institutional Official’s determination and will cooperate with the OSRP in taking the directed actions, e.g., further modification to the proposed project or seeking a license from the relevant federal agency.    Copies of this determination shall be provided to the PIs department head (or center director), dean and the Vice President for Research and Economic Development.  All export control decisions will be documented and kept on file by OSRP.
8. In situations where a technology is arguably covered by both the EAR and ITAR, the University will submit a Commodity Jurisdiction Request to the Office of Defense Trade Controls to receive guidance as to whether Commerce or State has jurisdiction. The PI will sign the Certification on the Handling of Export-Controlled Information and Acknowledgement of Briefing form.
9. If an Agreement falls under the terms of the EC regulations, the PI and OSRP, with assistance of the Office of General Counsel as needed, will contact the research sponsor to negotiate modification of the provisions that impact the University’s exemption from EC regulations.  If this negotiation does not result in elimination of conditions that negate exclusions/exemptions from the EC regulations,   the matter will be referred to the Institutional Official to determine if the University will apply for an export control license, conduct the research under EC restrictions, or abandon the research effort due to the possible burdens or restrictions associated with compliance.
10. OSRP, on behalf of the Associate Provost, will conduct an Annual Review and Certification with the assistance of PIs engaged in EC-related research and licenses to determine if any aspect of the project has changed necessitating further action to assure compliance.  If no changes are found, a notice to that effect will be filed with the Institutional Official with a copy to the PI, department head (or center director), dean, Institutional Official and the Vice President for Research and Economic Development. 

Institutional Official:

The Institutional Official is responsible for assuring compliance with the federal EC regulations, and for overseeing the implementation of the Policy and SOP

The Standard Operating Procedure is intended to promote understanding of the regulations to enable compliance by all persons involved in research and related activities within the University’s responsibility.  Questions whether EC regulations apply to specific research should be referred to the Compliance Officer in the OSRP office (CARR 407) or at 6-5972.  


FORMS:

Export Control Review Form (found in the Office of Sponsored Research and Programs) The OSRP and PIs are to use this form to assess applicability of ITAR/EAR/OFAC. This will be tailored to the discipline being applied and will be discussed between the PI and the Compliance Officer. Should conditions warrant, the PI will be required to complete this form and return it to OSRP.

Certification on the Handling of Export-Controlled Information and Acknowledgement of Briefing (word document) Certification on the Handling of Export-Controlled Information and Acknowledgement of Briefing (PDF document) By signing this form, the PI certifies accepting responsibility for assuring compliance with EC regulations and acknowledging penalties associated with violations of these regulations.

EXPORT CONTROL NON-DISCLOSURE FORM (MS Word document) EXPORT CONTROL NON-DISCLOSURE FORM (PDF document) Foreign nationals sign this form to acknowledge that they will not disclose export-controlled information to others.