Tier Level, Risk Factors, Timeline and Review Process for Exception Requests
Tier Level
Review Process/Timeline (after form completion)
Tier 3: High Risk (one or more of the following:)
Publication of research results categorically prohibited;
Involvement of non-US persons (i.e., persons in the US on a visa) categorically prohibited;
Publication or participation restriction imposed by a non-U.S. sponsor; or
Material risk to student publication/graduation or ability of postdocs or currently untenured faculty to publish, given history of or concern about potential agency denial of publication.
Estimated timeline: 1 month
Form completion by PI, Export Controls and Research Security, Sponsored Projects Administration (SPA) and Office of General Counsel (OGC)
Senate Research Committee (SRC) Openness in Research Subcommittee review and recommendation
SRC Full Committee review and recommendation
VPRI decision
SPA notifies SRC and enacts decision
Tier 2: Medium Risk (one or more of the following and none from Tier 3):
Prior approval restrictions on participation of non-US persons generally;
Publication, participation, or related restrictions that cause research results to be controlled technology or software subject to the Export Administration Regulations or International Traffic in Arms Regulations;
Publication approval restrictions imposed at time of award (not known at time of proposal);
Sponsor imposed restrictions related to reasons of competition, IP, trade secret, or other commercial reasons (requires Tech Comm agreement as well); or
Publication or participation restrictions imposed at time of proposal by sponsors that are sovereign tribal nations that potentially impair student progress towards graduation.
Estimated timeline: 1 week
Form completion by PI, Export Controls and Research Security, SPA, and OGC
VPRI decision
SPA notifies SRC and enacts decision
Tier 1: Low Risk (one or more of the following and none from Tiers 3 and 2)
Prior approval restrictions or full prohibition on participation of non-US persons from only specified countries, such as “foreign countries of concern” (currently China, Iran, North Korea, and Russia);
Publication approval restrictions that were a part of the originating NOFO or RFP (e.g., the proposal will already be subject to approval by the dept. head, dean and SPA), unless otherwise included in Tier 2 or 3;
Sponsor-required publication delays greater than 6 months (18 months for clinical trials) that will not pose a material risk to the academic or professional progress of students, postdocs, or currently untenured faculty;
Publication or participation restrictions imposed by sponsors that are sovereign tribal nations at time of proposal having no material or practical impact on students.
An earlier Openness in Research Policy exception was granted within the previous three years for a project involving the same sponsor, materially similar research, and materially similar dissemination and/or participation restrictions.
Estimated timeline: 3 business days
Form completion by PI, Export Controls and Research Security, SPA, and OGC
Appendix