9.21 / Compliance with Federal Export Regulations
The purpose of this statement is to set forth University policy with regard
to compliance with federal export regulations.
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.
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 and Technology Transfer
(RTT) 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. RTT 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 (RTT may consult with the University's General Counsel).
If it is determined that a license is needed, RTT will serve as the
institutional office with the authority to secure a license on behalf of
Wichita State University.
4. RTT 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
5. RTT will be responsible for conducting on-going educational
programs to keep faculty and staff fully apprised of current export law
This policy shall be included in the WSU Policy and Procedures Manual and shared with
appropriate constituencies of the University.
The Vice President for Research and Technology Transfer shall have
primary responsibility for publication, dissemination and implementation
of this University policy.
October 15, 2005