Office of Research & Sponsored Programs
Ferris Library for Information, Technology and Education (FLITE)
Ferris State University
1010 Campus Drive, FLITE 410 D & F
Big Rapids, MI 49307
FSU Export Controls Procedure
Ferris State University is required to comply with a variety of U.S. Government statutes and regulations dealing with export controls and trade sanctions. ORSP has developed the on-line Export Control and Open Research Review Worksheet (ECORRW) to help identify export controlled technologies or materials found on the International Traffic in Arms Regulations (ITAR) list, and/or the Export Administration Regulations (EAR) list, and to identify research activities planned with international entities that may be subject to trade sanctions.
All PIs and other project personnel are individually responsible for compliance with export controls and trade sanctions and completing appropriate CITI Training. If you have questions regarding the ECORRW, the short form, or the potential applicability of EAR, ITAR, or trade sanctions to your proposal or project, contact the Office of Research and Sponsored Programs at [email protected]
Circumstances in Which Review is Required
The need for preparation of an ECORRW for FSU review is governed by three criteria:
1. Regardless of funding source, FSU requires that a review be completed if the project:
· will be performed in whole or part outside of the United States,
· suggests a military application, defense service or article,
· requires the delivery of a prototype (including software), or a chemical or biological sample or product, when the provided material or information will not be made freely available to the public.
· involves encryption or cryptology,
· entails a restriction on open publication of FSU research results, other than allowing for a brief delay for a funder or other contractor(i) to check for erroneous inclusion of proprietary information it provided to FSU, (ii) to pursue patent protection and/or (iii) to accumulate reports from multiple subcontractors and coordinate publication of a multi-site clinical trial.
· involves bacteria or viruses (or their toxins or genetic material) or radiation (or counter measures to it),
· involves plant or animal pathogens,
· entails a restriction on the citizenship of permissible project participants,
· requires prior approval of project participants on an individual basis by the funder, OR
· involves parties within, collaboration with, or funding from, a country on the Office of Foreign Assets Control country list: http://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx
2. For projects where funding originates with the U.S. government, FSU also requires that a review be completed if such funding comes from any of the following Federal agencies (with or without involvement of non-Federal prime contractors other than FSU):
· US Department of Defense (DoD), including the Defense Advanced Research Projects
· US Department of Homeland Security (DHS), including the Federal Emergency Management Agency (FEMA)
· US Department of Justice (DOJ)
· National Aeronautics and Space Administration (NASA)
· US Department of Commerce (DOC)
· US Department of Energy (DOE)
· US Department of State (DOS)
· US Agency for International Development (USAID)
· National Security Agency (NSA), and
· Any intelligence agency (including DNI and IARPA)
3. For projects where funding originates from a non-U.S. Government source, FSU also requires that a review always be completed UNLESS it is the case that BOTH
(a) NO condition set forth in #1 above applies,
(b) the project is one of the following:
1. Consumer software development in the United States,
2. A project focused on K-12 or American Higher Education services or testing in the United States,
3. A clinical trial being conducted in the United States,
4. Non-military human or animal health research, to be conducted in the United States
5. A seed testing or seed field trial conducted in the United States
6. A plant breeding study conducted in the United States
7. An agreement with a Michigan or United States agricultural commodity group
8. Survey research or polling being conducted in the United States for a U.S. client.
9. A project to be conducted in the United States for a U.S.-based food or beverage producer or packager or
10. Business planning, market assessment, or similar business services to be performed in the United States OUTSIDE of the defense, aerospace, and cyber-security industries.
If a review is not taking place based upon application of this exception provision [i.e., both Section 3(a) and 3(b) above], the applicable subsection of Section 3(b) - e.g., "3(b)(3)" - must be identified in the request to FSU for account set-up.
Attach the most current version of the statement of work to the ECORRW where indicated. This may be done at any time from pre-proposal submission to acceptance of the award; earlier form completion will minimize possible delays later. ORSP will review the project against export control and trade sanction lists and evaluate any contractual issues that may impact FSU's ability to claim the "fundamental research exclusion" (FRE) for the project if related technologies or data are otherwise controlled by ITAR or EAR.
For the agencies and projects for which a review is required, whenever one of the below conditions are met, a new ECORRW may need to be submitted:
· Supplemental funds are added to a project for new work
· The scope of work is changed
· There is a change in project PIs or co-PIs
· Changes to the terms and conditions that result in a publication or participation restriction
It is the responsibility of FSU employees who are shipping items outside the United States including hand-carrying items such as research equipment, materials, data, or biological materials to comply with export control laws and regulations. Any transfer of information, equipment, materials, or technology out of the U.S. by any method may be subject to export control restrictions and require an export license or be prohibited depending on the item, destination, recipient, and end-use. Even if an item is cleared through Customs, it may still require an export control license.
The simple act of sending a package to a foreign collaborator can result in a violation of export controls. Also, shipping to countries subject to embargoes must first be cleared by FSU. FSU personnel who are responsible for shipping packages out of the country should obtain a list of contents before shipping. Shipping regulated items out of the U.S. without a license can result in significant individual fines of up to $250,000 and up to ten (10) years imprisonment. This applies to the individual, although there may be fines for FSU as well. One should not ship an item without taking the time to find out if a license is required.
Mislabeling the package or misrepresenting the classification of the item is illegal. Violations may result in civil penalties of up to $32,500 per violation, and deliberate violations may result in criminal prosecution of up to $500,000 and five (5) years in prison. Under-invoicing or undervaluing an exported item is also against the law. Reporting an incorrect export value on a Shippers Export Declaration is a violation of export regulations. Any potential export control issues regarding shipping should be referred to your shipping coordinator, Purchasing Department, or the ORSP.
Email [email protected] with questions.