Research Procedures

Research is the area usually affected by export control laws and regulations. The general procedure for research at the UPRM is divided into five stages:

First stage: Screening of prohibited parties lists of foreign nationals. This includes the screening of suppliers, employees, associates, research partners, among others. This screening must be done by the Principal Investigator (PI) of the project with support from the ECCO.

Second stage: Determining whether the material, technology, service or equipment export (including deemed export) is listed on the CCL or USML or being sent to a sanctioned country by OFAC. This step is also done in deemed exports, as in the case of hiring, inviting or working with foreign nationals. This will be the responsibility of the PI of the project with support from the ECCO

o   Every project that directly works with export controlled goods or services must have a Technology Control Plan (TCP). The plan will be done by the PI with the assistance of the ECCO before the project starts. Since only U.S. citizens or Lawful Permanent Residents may work or visit on an export controlled project covered by the TCP without prior or proper authorization (e.g. license or license exemption). The ECCO will verify the qualifying status of all authorized participants.

Third stage: Determine whether a license is required (or a Technology Assistance Agreement - TAA in the certain cases in ITAR, see TAA in Definitions section).  The PI will consult the ECCO on this matter.  Depending on the findings, the ECCO will proceed with the next steps:

o   If a license is required, the decision will be referred to the ECC which recommends if the license should be requested or not. The ECCO and the R&D Center Director will consider the ECC recommendation and submit a proposal to the Chancellor for a final decision. If the UPRM decides to apply for a license, the ECCO will prepare the proper documentation. No export including deemed exports must be done until the license is received.

o   If a license is required, but a TAA is an option, the decision will be referred to the ECC. If the UPRM decides to make a TAA, the PI with assistance from ECCO will prepare the documentation. No export including deemed exports must be done until the license is received, or a TAA is done.

o   If a license is not required, go to stage four.

Fourth stage: If a license was approved and received or if a license was not required, the appropriate UPRM office will work with the PI to make the export transaction. The interested PI is responsible for other documentation related to the transaction.  Example of export transactions are:

o   Overseas shipments

o   Disclosure or transfer of items to foreign persons

o   Hiring a foreign person Foreign travel

o   Acquiring and using controlled items or data

o   Accepting controlled items or data

Fifth stage: All export decisions will be documented and kept at the Office of the ECCO. The PI will retain copies of final decisions.