Text Only Tool
9.20 / Compliance with Federal Export Regulations
Purpose:
The purpose of this statement is to set forth University policy with
regard to compliance with federal export regulations.
Preamble:
The federal government has promulgated numerous regulations that
directly affect University research conducted for federal and state
agencies, industries and other clients. These regulations include
the Export Administration Regulations (hereinafter "EAR") promulgated
by the U.S. Department of Commerce and the International Traffic in
Arms Regulations (hereinafter "ITAR") promulgated by the U.S.
Department of State.
These regulations are intended to provide for governmental control and
supervision of research involving technological, biological, chemical
and military-related research when tangible items are exported or a
non-U.S. citizen participates in any segment of a research
project. Export regulations apply to all research activities,
regardless of funding source (including unfunded research) and apply to
both commercial contracts and to awards made under grants and
cooperative agreements.
In the case of academic or research institutions, there is an exemption for fundamental
research, results of which are or are about to be, in some cases,
ordinarily are publicly available. Additional exemptions may be
available and require review on a case-by-case basis. The
regulations require in some circumstances that the University apply for
a license with the appropriate government department or find and record
an exception to the law which is allowed and/or develop processes that
ensure compliance.
Non-compliance penalties are severe and include monetary and criminal
punishment. University compliance with export regulations is
required by law and they apply whether or not the regulations are
referenced in research awards. Consequently, the University may
never get a warning when there is a possible export situation and a
violation may result if corrective measures are not applied.
Policy Statement:
1. Wichita State University will implement a compliance system to
seek to prevent export law violations in the areas of funded research
and testing and to ensure that the University is in full compliance
with federal export regulations in regard to research and testing
conducted by faculty and staff.
2. Proposals for research or testing must be reviewed for
export regulation compliance by the Office of Research Administration
(hereinafter "ORA") prior to submission to potential sponsors. A
routing sheet providing a check-off system to determine whether a
proposal may be subject to export regulations will be used.
3. ORA has the responsibility of reviewing any research
proposal, grant or contract to determine whether a license is needed or
an exception to the law exists (ORA may consult with the University's
General Counsel). If it is determined that a license is needed,
ORA will serve as the institutional office with the authority to secure
a license on behalf of Wichita State University.
4. ORA will inform faculty and staff researchers as to their
respective responsibilities to comply with export regulations through
educational programs and flow-down requirements to sub-recipients and
collaborators.
5. ORA will be responsible for conducting on-going educational
programs to keep faculty and staff fully apprised of current export law
and requirements.
Implementation:
This policy shall be included in the WSU
Policy and Procedures Manual and shared with appropriate
constituencies of the University.
The Provost and Vice President for Academic Affairs and Research
shall have
primary responsibility for publication, dissemination and
implementation of this University policy.
Effective Date:
October 15, 2005
