The University of Mississippi has developed the following processes and guidelines to help Program Development Specialists, Grants Specialists, Sponsored Programs Administration staff, Principal Investigators, and other persons engaged in research at the University decide whether the EAR and/or ITAR affect a particular research project and identify appropriate action to take.
Principal Investigators have the following general responsibilities:
- Cooperate with ORSP in determining the applicability of export control requirements to research before starting any research; and
- Notify ORSP of any changes in the scope or staffing of research projects that could alter initial determinations about the applicability of export control regulations; and
- Notify ORSP well in advance of sending scientific equipment, including GPS equipment, and encrypted software out of the country in order to determine if a license is required; and
- Send all nondisclosure agreements to ORSP for review and modification of any provisions that could eliminate our exclusions from export control requirements; and
- Contact ORSP before engaging in research activities with persons in countries subject to OFAC boycott programs; e.g., Balkans, Cuba, Iran, Iraq, Liberia, Libya, North Korea, Sudan, Syria, and Zimbabwe.
The University will help PIs assess the application of export control regulations and OFAC boycotts to specific projects, but primary responsibility for compliance rests with the PI.
With respect to specific research contracts, nondisclosure agreements, teaming agreements and other research contracts, the responsibility for making export control decisions will be shared among ORSP staff, PIs and others as follows:
- If the PI knows that a research contract, nondisclosure agreement or material transfer agreement may or will require shipping scientific equipment out of the country or transmitting technology to foreign persons abroad, the PI should highlight those facts when submitting the contract to ORSP.
- The ORSP staff and others will work with the PI to review the applicability of the EAR or ITAR and take appropriate steps as discussed below.
- The designated ORSP staff will review the research contract, nondisclosure agreement or material transfer agreement for any terms or provisions that restrict access to the research or research information, limit the participation of foreign persons in the research, restrict the release of research results, or otherwise render inapplicable the exclusion for fundamental research conducted in the public domain.
- No export license will be required as a condition of releasing research results or granting foreign persons access to the research if the project qualifies as fundamental research and research results will be publishable and generally accessible or available to the public.
- If the designated ORSP staff member determines that provisions of the contract render the fundamental research and public domain exceptions inapplicable, the Contract Administrator will send the PI the ORSP Record of Export Control Review form to use in determining whether the research is controlled under the CCL or the MCL. The PI will complete the form, certify his or her decision, and return the completed form.
- Staff from ORSP and/or the University Attorney’s Office are available to help PIs make their decision.
- The Director of Research Integrity and Compliance, the Facilities Security Officer, and University Attorneys will make a final determination as to the application of export control regulations. The PI and designated ORSP staff member will receive written notice of the decision. In situations where a technology is arguably covered by both the EAR and ITAR, the University may submit a Commodity Jurisdiction Request to the Office of Defense Trade Controls to decide whether Commerce or State has jurisdiction.
- If the decision is that a license is required, the Director of Research Integrity and Compliance will send written notice of that decision to the PI, designated ORSP staff member, Vice Chancellor for Research and Sponsored Programs, and the appropriate dean and department chair along with recommendations on how to proceed.
- All export control decisions will be documented and kept on file by ORSP.
This document is intended to promote understanding of the regulations in order to ensure compliance by all persons involved in research. Direct questions about how the export regulations apply to specific research to Mandy King, MS, CIP, CPIA, Director of Research Integrity and Compliance (662-915-5458 or firstname.lastname@example.org). For projects containing classified information, contact Eric, Freimark Facility Security Officer (662-915-7494 or email@example.com).