Export Controls Frequently Asked Questions
1. What is the Office of Research and Economic Development’s (ORED) contact information?
Florida International University
Modesto A. Maidique Campus
11200 S.W. 8 Street, MARC 430
Miami, FL 33199-0001
Phone: (305) 348-2494
Fax: (305) 348-4117
2. Where can I find the official ORED policies?
All University policies and procedures are located in one central on-line location in the University Policies and Procedures Library maintained by the University Compliance Office at http://policies.fiu.edu/. All of the policies and procedures of the Office of Research and Economic Development may be reviewed on that database which is arranged by Pre-Award and Award, Post-Award, Office of Research Integrity and Office of Technology Management and Commercialization. Additionally, users may search the database using key words and all policies and procedures containing the key words will be listed, regardless of the University unit to which they pertain. This is particularly useful for sponsored research matters as administration of projects routinely involves other University units such as Purchasing, Travel, Risk Management and Environmental Health and Safety and many other units. Thus, the ability to search the Policies and Procedures Library using key words provides users with an expedient way to ensure that all relevant policies and procedures are accessed. The on-line policies and procedures also list the appropriate University contacts so that users may know whom they can call if they have any questions on the policies or procedures. Needed forms and background information are also included in the policies and procedures.
3. I need a confidentiality agreement, teaming agreement, material transfer agreement or memorandum of understanding executed on behalf of the University. Can I process that through the Office of Research and Economic Development, and if so, how?
See Office of Research and Economic Development Policy #2320.055, Negotiation and Execution of Sponsored Project Awards and Agreements at http://policies.fiu.edu/files/257.pdf.
Pre-Award may execute agreements that are not related to an existing proposal or sponsored project, but which are related to research or to potential future sponsored research projects or related to University intellectual property as follows.
Examples of these types of agreements are:
- Memoranda of Understanding setting forth that the parties will work together to determine if a research project may be pursued in the future;
Confidentiality Agreements where documentation is to be exchanged for the purpose of determining if the parties may be able to pursue a future research project or related to University intellectual property review. An approved form confidentiality agreement is on the Pre-Award website at https://www.research.fiu.edu/documents/forms/administrative/nonDisclosureAgreement.doc;
- Material Transfer Agreements where biological material is being transferred for research purposes;
- Teaming Agreements for a proposal effort
To request that Pre-Award execute an agreement other than an award document, the PI must provide to Pre-Award:
- The completed Agreement Request form
- A draft of the proposed agreement, if the PI has a draft (e.g., the form FIU confidentiality agreement with the blanks filled in)
Pre-Award will determine if the agreement is appropriate for execution by Pre-Award and if needed, will negotiate the agreement with the entity with which the agreement will be executed. The negotiation will be done in consultation with the PI and other FIU units, as necessary (e.g., Office of the General Counsel, Office of Technology Management and Commercialization). When the agreement is signed by all parties, Pre-Award will send a copy to the PI.
Special Considerations relating to Material Transfer Agreements
If a Material Transfer Agreement (MTA) seeks to transfer any Special Hazards Material (as defined in policy #125.405, Security in Laboratories with Special Hazards), the PI must obtain the approval from Environmental Health & Safety (EH&S) before the MTA may be signed by Pre-Award. Policy #125.405 defines Special Hazards Materials as including, but being not limited to, radioactive materials, Drug Enforcement Administration (DEA) controlled substances, select agents, carcinogenic and explosive materials, infectious materials, and laser devices, and any other hazardous materials, the purchase, handling, storage or transfer and disposal of which is regulated by federal, state, or local laws.
The PI must provide to Pre-Award, the appropriate EH&S Research Clearance Form (found on the Pre-Award website at http://www2.fiu.edu/~ehs/dsrt/index.htm) with EH&S approval of the transfer of the materials.
If the MTA is for the transfer of animals, the PI must work with the Laboratory Animal Research to ensure the Facility is prepared for the transfer and the care of the animals. Any IRB, IBC or IACUC approvals must also be in place, as applicable, before beginning to use the material transferred in any research project. See Office of Research and Economic Development Policy #2350.060, Purchase or Receipt of Items Requiring EH&S Prior Approval.
4. What are Exports?
Exports are any items (e.g., commodities, software, technology) sent from the U.S. to a foreign destination. Exports include the release or sharing of restricted technology or data (orally or in writing) with foreign nationals inside or outside the U.S. these are called “deemed” exports. See online ORED Export Control Training at: https://research.fiu.edu/export-controls/export-training/
5. What are Export Controls?
Export controls are federal laws that regulate the export of sensitive technologies, equipment, software, biological agents, and related data and services. These laws require that licenses be obtained for exports, including “deemed” exports, of these sensitive items (e.g., defense articles, items with potential military applications, select agents and some commercial items) unless an exemption exists.
6. Why is it Important to Be Aware of These Laws?
Violations of trade sanctions and export controls can result in criminal penalties:
- Individual and/or institutional fines (up to $1 million per violation) and
- Individual incarceration (up to 10 years per violation).