ࡱ> xzwk o(bjbj 7@[f[f f """""6668n4,6Å"\'l8BDDDDDD$ih"h""}""BB:SlVR?b^T*.0ÅTpTV"V.kr\9Whh:XÅ X : UNIVERSITY OF NORTH CAROLINA AT PEMBROKE EXPORT CONTROL POLICY (Draft, October 2007) 5-2 Academic Freedom and Responsibility of Faculty (鶹P Faculty Handbook) It is the policy of the University of North Carolina at Pembroke to support and encourage full freedom, within the law, of inquiry, discourse, teaching, research, and publication for all members of this institution's academic staff. Members of the faculty are expected to recognize that accuracy, forthrightness, and dignity befit their association with this institution and their position as men and women of learning. They should not represent themselves, without authorization, as spokespersons for 鶹. The University will not penalize nor discipline members of the faculty because of the exercise of academic freedom in the lawful pursuit of their respective areas of scholarly and professional interest and responsibility. As described in the 鶹P Faculty Handbook (above), academic freedom, absent extraordinary circumstances, in the pursuit of 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 export control regulations, however, may require the University to obtain permission from the U.S. Department of State, the U.S. Department of Commerce, or the U.S. Department of the Treasury's Office of Foreign Assets Control 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. It is the policy of 鶹P to fully comply with all applicable federal statutes, executive orders, regulations, and contractual requirements for the safeguarding of controlled technical information in its possession. This includes full and total compliance with export controls and the transfer of controlled technology. Under no circumstances shall employees or other persons acting on behalf of 鶹P engage in activities in contravention of U.S. export control regulations. These export control regulations have the potential to limit research opportunities, affect publication rights, and prevent international collaboration in certain research areas. In addition, violations of these regulations can result in the loss of research contracts, monetary fines, and/or or incarceration of individuals. 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, which is characteristic of 鶹P research programs. Therefore, it is to the benefit of 鶹P to pursue its mission in a manner that is consistent with all applicable regulations while making reasonable efforts to maximize opportunities in which the University may claim the benefit of the public domain or fundamental research exemptions to the regulations. Primary responsibility for compliance rests with the PI conducting the research activity. The Office of Sponsored Research and Programs, along with the University Attorney, will serve as the primary resources for faculty and professional personnel who serve as Principal Investigators (PIs) on research grants or contracts in determining the applicability of export control regulations and the steps to be taken after the determination is reached. Faculty and professional personnel who serve as Principal Investigator (PI) on projects involving University personnel, facilities, and other resources are responsible for: Identifying the potential applicability of 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, is 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 four to six months; and Reporting any suspected violations of these regulations to his/her department chair and the Institutional Official/Office of Sponsored Research and Programs. Suspected violations of the EC regulations and this policy will be reported to the Institutional Official designated by the Chancellor. Results of an investigation will be reviewed with input from the University Attorney and Provost/Vice Chancellor for Academic Affairs. The responsibilities of the Institutional Official will include: Assuring that University personnel are aware of and comply with the Export Control regulations; In cases when negotiations with research sponsors to remove or modify restrictive provisions are unsuccessful, the IO will make a recommendation to the Provost whether the University will apply for an export control license, conduct the research under the EC restrictions, or abandon the research effort due to the possible burdens or restrictions associated with compliance with the regulations. Determining the validity of allegations of violations of these regulations and University policy; Reporting violations of these regulations to the appropriate federal offices; and Submitting these reports as required under these regulations. The Office of Sponsored Research and Programs Coordinators will directly assist in the following: Conducting training of faculty, staff, deans, and department chairs; Reviewing of research agreements and contracts for EC 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. Determining with a PI whether the technology or other material to be used in a research project fits into one of the categories of technology designated by the Department of State (U.S. Munitions List) or the Department of Commerce (Commerce Control List) as export controlled, or if the restrictions imposed by the Department of Treasury (Office of Foreign Assets Control), apply; If determining that a research contract or grant falls under the terms of any of these regulations, the University Attorney, acting on behalf of the Office of Sponsored Research and Programs, will contact the research sponsor to attempt to negotiate the removal or modification of the provisions in the contract or grant that impact the University's exemption from EC regulations; At the request of the Institutional Official, investigating allegations of violations of Export Control regulations and the University policy; Conducting an annual review of projects that fall within the purview of EC regulations and reporting such to the Institutional Official; Preparing reports as required under these regulations; and Maintaining awareness of and disseminating current information on EC regulations and this policy throughout the University community. The University Attorney is responsible for: providing assistance to the University with respect to legal interpretation of the EC regulations as related to University activities, negotiating with research sponsors when restrictive provisions relating to EC regulations are found in contracts or grants, and making application for appropriate licenses in cases where it is determined that the University will take this path. Actions to be taken by the University of North Carolina at Pembroke in cases of documented or validated violations of EC 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, employee, or student status of persons found to be in violation or otherwise failing to comply with this policy.     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