It is the policy of the University of Alabama in Huntsville 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. Certain federal regulations, however, may require the University to obtain permission from the Department of State or the Department of Commerce before allowing foreign nationals to participate in research involving specific technologies or before sharing research information with persons who are not citizens of the United States or permanent resident aliens.
These export control regulations have the potential to limit the research opportunities of University researchers and their students, affect publication rights, and prevent international collaboration in certain research areas. In addition, violations of these export control regulations can result in the loss of research contracts, monetary fines, or incarceration in the penitentiary. The regulations do not apply, however, to information that is in the public domain or to information that is the result of fundamental research activities.
Therefore, it is the policy of the University of Alabama in Huntsville to pursue its mission in 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 exemptions to the regulations. To implement this policy, the Office of Sponsored Programs (OSP), the Office of Counsel (OOC), and the Principal Investigators (PI) of University research contracts and grants must conduct a thorough review of research projects and contract and grant provisions to determine the applicability of export control regulations and the exemptions thereto. This review will proceed as follows:
1. The Contract Administrator assigned to a particular research contract or grant will review the terms of the contracts or grant for provisions that restrict access to or publication of research and technical data, that limit the participation of foreign nationals in the research effort, or otherwise render the exemptions from the export control regulations inapplicable. The results of such review will be indicated on a checklist designed to facilitate such review that will be signed and dated by the Contract Administrator. The OOC will provide such assistance as may be needed for the Contract Administrator to complete the review and will make an independent determination, as part of its general contract review procedure, that the checklist has been completed correctly.
2. If the results of such review indicate that an exemption from the export control regulations is not available, the Contract Administrator will ask the PI for the contract or grant to determine if the research falls into one of the categories of technology designated by the Department of State or the Department of Commerce as export controlled. The OSP will provide a form designed to facilitate this review to the PI. The PI will complete this review, sign and date the form, and return it the OSP. The University will assist the PI in this review and in assessing the applicability of the export control regulations; however, primary compliance responsibility rests with the PI of the contract or grant. Before changing the scope of research or before adding new staff to the project the PI must re-evaluate this determination.
3. If the review of the PI indicates that the research falls into one of the categories designated as export controlled, the OSP will notify the Vice President for Research and the appropriate dean and department chair or research center director of such determination. These parties will then collaborate, along with the PI, to implement a response to this determination that satisfies the requirements of the export control regulations. Such response may include a decision to forego the research opportunity in view of the possible burdens or restrictions associated with compliance with the regulations.
4. No work under a contract or grant, or proposed contract or grant, can begin until this process has been completed.