3. Download and take the short Export Controls Quiz.
4. Send or hand-carry the quiz to Derryberry Hall 306, and give to the Export Controls Officer. The completed quiz is prima facie evidence of knowledge and completion of the training program.
5. Fill out and give a copy of the Export Control Review Sheet to the Export Controls Officer.
6. Complete an Export Controls Plan, if needed.
Policy: Federal laws restricting exports of goods, services, information, or technology are enforced by various Federal Agencies including the U.S. Department of Commerce through its Export Administration Regulations (EAR)—("dual use items"), the U.S. Department of State through its International Traffic in Arms Regulations (ITAR)—("inherently military items), and the U.S. Department of the Treasury through the Office of Foreign Assets Controls, OFAC (trade embargos).
These laws restrict exports of goods and technology that could contribute to the military potential of U.S. international adversaries; to prevent the proliferation of weapons of mass destruction; to advance U.S. foreign policy goals; and to protect U.S. economy and promote trade goals.
Export controls present unique challenges to universities and colleges because they require balancing concerns about national security and U.S. economic vitality with individual concepts of unrestricted academic freedom, publication and dissemination of research findings and results. University researchers and administrators need to be aware that these laws apply to research, whether sponsored or not.
Implementation: It is the policy of Tennessee Technological University to pursue its mission in teaching, research, and service in a manner consistent with the applicable export control regulations. To implement this policy, the Principal Investigator (PI) and Office of Research and Graduate Studies (ORGS) must conduct a thorough review of research projects, contract and grant provisions to determine what, if any, export control laws apply. The review will proceed as follows:
The PI will review the terms of the research project, contract or grant for provisions that restrict access to or publication of research and technical data that limit the participation for foreign nationals in the research effort, or otherwise render exemptions from export control regulations inapplicable. The results of such review will be indicated on a checklist designed to facilitate such review, signed and dated by the PI.
If the results of such a review indicate that an exemption from export control regulations may not be available, the PI will forward the checklist and supporting documentation to ORGS. ORGS will confirm the review of the PI, and if the research project, contract, or grant contains terms and conditions that impact the University's exemption from export control regulations, the matter will be referred to the Associate Vice President for Research and Graduate Studies (AVPRGS).
The AVPRGS will meet with the PI for the research project, contract or grant, and together they will determine if the research falls into one of the categories of technology designated by the appropriate Federal Agency. The results of that determination shall be documented by the PI and the AVPRGS.
If the research project, contract, or grant falls under the terms of the export control regulations, AVPRGS will contact the sponsor to attempt to negotiate the removal or modification of the provisions in the contract or grant that impact University's exemption from export control regulations. If such negotiation does not result in removal or modification of the identified terms, the matter will be referred to the TBR General Counsel to determine whether TTU will apply for an export control license, conduct the research under the export control restrictions, or abandon the research effort due to possible burdens or restrictions associated with compliance with regulations.
If the AVPRGS determines an export control license is required, TBR Legal Counsel will proceed to make application for the appropriate license. No work under a contract or grant whether sponsored or not can commence until this process has been completed and the required export control license has been issued.
Under TTU policy, foreign faculty, students, staff, and scholars will not be singled out for restrictions in their access to TTU's educational and research activities and TTU will not agree to restrictions on publication of research results. TTU will not restrict publication or access/dissemination (such as approval requirements for participation by foreign nationals) in research awards. TTU will allow a short period (generally 30-60 days) for sponsor review (but not approval) of proposed publications to remove inadvertently included proprietary information provided by the sponsor or to seek patent protection. Not following this policy will impede the fundamental research, publicly available, and public domain exclusions/protections provided by the government. Without these protections, EAR or ITAR will apply to information (technology or technical data) concerning controlled Materials or Items. Unless a license exception applies, a "deemed export" license will then be required before the information is conveyed (even visually through observation) to foreign students, researchers, staff or visitors on campus and an actual export license will be required before the information is conveyed abroad to anyone.