Export Controls Policy
Op4.01-3 Export Controls Policy
It is the policy of Missouri State University that, absent extraordinary circumstances, teaching, research, and service will be accomplished openly and without prohibitions or restrictions on the publication and dissemination of the results of academic and research activities. However, certain federal regulations may require the University to obtain licenses from the U.S. Departments of State, Commerce, or Treasury before allowing foreign nationals to access research involving specific technologies or before sharing research information with persons who are not citizens of the United States or permanent resident aliens.
It is the policy of Missouri State University to pursue teaching, research, and service in a manner that is consistent with the applicable Export Control regulations while making reasonable efforts to maximize the situations in which the University may claim the benefit of the public domain or fundamental research exclusion to the regulations.
The Board of Governors has delegated responsibility for assuring the University acts in compliance with Federal Export Control Regulations to the President. The President has delegated authority to implement and enforce this policy to the Institutional Official for Export Control.
Responsibilities of the Institutional Official shall include:
- Assuring that University personnel are aware of and comply with the Export Control Regulations;
- Establishing and implementing a Standard Operating Procedure for identifying University activities that are within the purview of the Export Control Regulations;
- Determining the validity of allegations of violations of these regulations and University policy;
- Reporting violations of these regulations to the appropriate federal offices;
- Directing the application for licenses as needed to enable allowable access by foreign nationals to export control materials, or for shipping of such materials to foreign countries;
- Submitting reports as required under these regulations.
The Institutional Official also has designated the Associate Director of the Office of Research Administration as the Compliance Officer responsible for assisting the Institutional Official in assuring compliance with the Export Control regulations and the University policy and Standard Operating Procedures.
Responsibilities of the Compliance Officer include:
- Assisting the Institutional Official in implementing the Standard Operating Procedure;
- At the request of the Institutional Official, investigating allegations of violations of Export Control regulations and the University policy;
- Assisting the Principal Investigators (PIs) in review of current and planned projects to determine the applicability of these regulations;
- Determining with a PI whether the technology or other material to be used in a research project is included on the Commerce Control List (CCL) or the U.S. Munitions List and, if applicable, initiating the application for a license.
- Coordinating the investigation of alleged violations, and presenting results to the Institutional Official;
- Maintaining a centralized database of projects within the University’s responsibility that fall within the purview of EC regulations;
- Conducting an annual review of projects that fall within the purview of EC regulations and reporting results to the Institutional Official;
- Preparing reports as required under these regulations;
- Maintaining awareness of and disseminating current information on Export Control Regulations and this policy throughout the University community; and
- Reviewing of research agreements and contracts for export control language and for terms or provisions that restrict accessibility or prohibit publication of research results, limit the participation of foreign nationals on the research or otherwise render the fundamental research exclusion inapplicable.
The Office of General Counsel (OGC) is responsible for providing assistance to the University with regard to legal interpretation of the regulations as related to University activities.
The Office of Human Resources responsibilities include assuring that information provided by PIs regarding applicability of Export Control regulations are incorporated into announcements for hiring personnel.
Faculty and professional staff who serve as a Principal Investigator (PI) on projects involving University personnel, facilities and other resources are responsible for
- Identifying the potential applicability Export Control Regulations to current and planned projects;
- If found to be applicable, identifying all personnel involved or to be involved in the project, including names and country of origin;
- Assuring that information about EC regulations, where applicable, are included in announcements for hiring of personnel who would be involved in covered projects;
- Assuring that access to and distribution of technologies and information related to EC covered projects are restricted to those persons and destinations that are not subject to these regulations;
- Understanding that acquiring a license for actions required by EC regulations may take 4 to 6 months; and
- Reporting any suspected violations of these regulations to the Institutional Official or the Office of Research Administration.
Suspected violations of the Export Control Regulations and this policy will be reported to the Institutional Official. Results of an investigation will be reviewed with the input from the OGC and the Provost.
Actions to be taken in cases of documented or validated violations of Export Control Regulations include:
- Reporting validated violations to the applicable federal agency;
- Cooperating in the imposition of penalties as directed by federal agencies; and
- Sanctions to be determined based on the Faculty, Employees or student status.