The University of Mississippi
Research and Sponsored Programs
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Since the events of September 11, 2001, the federal government has become increasingly concerned with protecting information and technology from disclosure by universities, the release of which could hamper U.S. economic vitality or contribute to the military potential of U.S. international adversaries. Export laws and regulations that have been in effect for the past 20 years and which are promulgated by the U.S. Department of Commerce, the U.S. Department of State, and the U.S. Treasury Department’s Office of Foreign Assets Control are the bases for restricting use and access to this information and technology. Because these laws may conflict with our tradition of academic freedom and openness in research, and may impose severe criminal and civil fines for individuals and the University for noncompliance, it is important that all persons involved in sponsored research understand the regulations and implementation requirements.
The Office of Research and Sponsored Programs (ORSP) will be contacting departments, centers, and institutes to present information and guidance on these matters to faculty and staff. Anyone with concerns about export control issues should contact Tom Lombardo, Ph.D., Director of Research Integrity and Compliance (phone 662-915-7482 or email Tom); Robin Buchannon, Ph.D., Director of Sponsored Programs Administration (phone 662-915-7482 or email Robin); or Donna Gurley, Associate University Attorney (phone 662-915-7014 or email Donna). For questions about classified information, contact the Facility Security Officer, Mr. Ed Movitz (phone 662-915-5433 or email Ed).
This document provides an overview of export control concepts, definitions of the relevant terms and principles, guidelines for sponsored research projects, and outline for managing controlled technology. [Updated 03/28/05]
ALL FACULTY WHO USE TECHNOLOGY SHOULD READ THIS DOCUMENT– TO PROTECT THEMSELVES, THEIR COLLEAGUES, AND THEIR STUDENTS.
Robin Buchannon, Ph.D., ORSP Director of Sponsored Programs Administration, and Tom Lombardo, Ph.D., ORSP Director of Research Integrity and Compliance, have been educating the campus community on the basics of export control issues. These PowerPoint slides, from a workshop presented December 3, 2004, by Drs. Buchannon and Lombardo, may serve as an introduction to the basic principles of export control and trade embargo laws and regulations; they are not formal legal advice.
1. DOES MY RESEARCH INVOLVE EXPORT-CONTROLLED TECHNOLOGIES?
See the first two lists below (a and b); then search the EAR and/or the ITAR databases (c and d).
a: Short List of Export-Controlled Technologies ~ Selected export-controlled technologies – a general topics list that can be a start to determine if your project falls under ITAR or EAR. You must check the ITAR and EAR databases to be certain, however.
b: Boycotted Countries: U.S. Treasury Department Office of Foreign Asset Control (OFAC) ~ The following countries (updated here 10/09/07) are currently on OFAC’s sanctions list:
Balkans | Belarus | Burma | Cote d'Ivoire (Ivory Coast) | Cuba | Democratic Republic of the Congo | Iran | Iraq | Former Liberian Regime of Charles Taylor | North Korea | Sudan | Syria | Zimbabwe
Shipping equipment or software or providing services, such as surveys, interviews, and marketing information, to these countries is illegal. Some services can be licensed, however. This list is subject to updates. See OFAC’s Sanctions Program and Country Summaries for the most current list.
c: ITAR Database — U.S. Munitions List
22 CFR Section 121.1
The Code of Federal Regulations Title 22, Foreign Relations; Chapter I, Department of State; Section 121.1, The U.S. Munitions List (General)d: EAR Database — The Commerce Control List
Export Administration Database
The Bureau of Industry and Security, Department of Commerce, list is a complete collection of regulations relating to EAR. Supplement 1 of 15 CFR Section 774 is represented by Categories 0-9.
2. DO I NEED TO OBTAIN AN EXPORT LICENSE?
a: Consult Export License Decision-Making Steps to guide your decision on the need to obtain a license.
b: Contact Robin Buchannon, Ph.D., ORSP Director of Sponsored Programs Administration (phone 662-915-7482 or email Robin); Tom Lombardo, Ph.D., ORSP Director of Research Integrity and Compliance (phone 662-915-7482 or email Tom); or Donna Gurley, Associate University Attorney (phone 662-915-7014 or email Donna).
The Office of Research and Sponsored Programs (ORSP) and Principal Investigators (PIs) use this form to assess applicability of ITAR/EAR. Should conditions warrant, the PI will be required to complete this form and return it to ORSP.
By signing this form, the Principal Investigator certifies accepting responsibility and acknowledging penalties associated with export controlled information.
Foreign nationals sign this form to acknowledge that they will not disclose export-controlled information to others.
The Bureau of Industry and Security is the ultimate authority on all issues relating to EAR. This site should be considered the most current source of EAR regulations and information.
The American Association of Universities provides timely and accurate analysis of federal policies impacting extramural research at universities in the United States.
The Council on Governmental Relations (COGR) provides further analysis and interpretation on a wide spectrum of government regulations. A copy of COGR’s current export control booklet is available here.