Research & Economic Development

Export Controls and Trade Sanctions

 

Export Controls

Tennessee Tech University is committed to advancing knowledge through open research and the free exchange of ideas. However, certain U.S. federal laws and regulations govern the transfer of specific technologies, data, and information to foreign nationals and entities, both within the United States and abroad. These laws and regulations are designed to protect national security, foreign policy interests, and economic competitiveness. Understanding and complying with U.S. export control laws and regulations are essential for all members of the Tennessee Tech community who are engaged in research, teaching, or international collaborations.

 

What are export controls?

Export control laws and regulations govern the distribution of certain technologies, services, and information to foreign persons and entities. These regulations include but are not limited to:

Export Administration Regulations (EAR): Administered by the U.S. Department of Commerce, EAR controls dual-use technologies that have both commercial and potential military applications.

International Traffic in Arms Regulations (ITAR): Administered by the U.S. Department of State, ITAR controls military and defense-related articles and services.

Office of Foreign Assets Control (OFAC) Regulations: Administered by the U.S. Department of the Treasury, OFAC regulations implement economic and trade sanctions against targeted foreign countries and persons.

Although most of the research and technology development conducted at Tennessee Tech is exempt from U.S. export control laws and regulations, they do apply in some situations and can impact university activities such as:

• research involving controlled technologies
• international travel
• collaborations with foreign persons or entities
• sharing of information through international conferences, consulting, or teaching
• international shipping
• interactions with students and other research personnel on campus from foreign countries (deemed exports)

In situations where export control laws apply, an export license must be obtained in advance before allowing the participation of foreign national faculty, staff, or students in the affected research. In some cases, a license may not be available at all, based on the country involved.

The federal government has been placing heavy emphasis on the matter of foreign travel security, especially for institutions of higher education. Tennessee Tech employees who plan to travel abroad for work-related purposes are strongly advised to read our Foreign Travel Security guidance prior to departure.

The scope of export control regulations is very broad, and failure to comply can have serious consequences, both for the university and the individual researcher. Potential penalties include fines (for both the institution and the researcher) and possibly imprisonment. 

The Office of Sponsored Programs can help you navigate this complex topic. If you have any questions about whether your research or activity is subject to export control regulations, contact us at ResearchCompliance@tntech.edu. 

 

Deemed Exports

Deemed exports refer to the release or transmission of controlled technology, technical data, or source code to a foreign national within the United States. Although the export doesn't physically cross borders, it's "deemed" to be an export to the individual's home country or country of nationality under U.S. export control regulations.

The U.S. government regulates deemed exports through the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR). 

Common scenarios where a deemed export may take place include:

• Providing, transferring, or disclosing technology or information to foreign persons via e-mails, telephone conversations, virtual meetings (e.g. Zoom, Teams, etc.), or face-to-face discussions
• Giving laboratory tours to foreign persons
• Involving foreign persons in research
• Providing foreign persons with computer access to export-controlled information or technology
• Demonstrating controlled technologies in research labs or facilities
• Hosting foreign researchers or scholars

In some circumstances, a deemed export license is required for individuals from certain countries to access controlled technology. The Office of Sponsored Programs will work with the researcher to obtain any required approval.

 

Fundamental Research Exclusion

Most university research is considered “fundamental research,” which is generally excluded from export control regulations. Fundamental research refers to information resulting from basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community. 

The fundamental research exclusion only applies to research data and information and does not apply to resulting physical or tangible items, encryption software, or research that is conducted outside of the United States. In addition, an export control license may be required for fundamental research that involves the use of export-controlled equipment or technology.

Here are more examples of instances where university research is not protected by the fundamental research exclusion:

• Research that is subject to publication or access restrictions
• Research that involves controlled technologies or data
• The research takes place wholly or partly outside the U.S.
• The research involves participation by foreign nationals from sanctioned countries

Given these limitations, it is important to understand that an export license may be required if, during the conduct of fundamental research, export-controlled technology will be released to a foreign person both in the U.S. and abroad. An export license or technology control plan may also be necessary if export-controlled items or technology will be used during the conduct of fundamental research.

For more information on whether the fundamental research exclusion applies to your research, contact the Office of Research at ResearchCompliance@tntech.edu. 

• » Is your research project in compliance with export controls? (Full text)

  Review the following questions and consider your contract or project. If you answer yes to any of these questions, further review for compliance with export controls is necessary; please contact ResearchCompliance@tntech.edu.

  If you answer no to all of these questions, your research is likely covered under the fundamental research exclusion and does not require further review.

  › Are there restrictions on the publication of the research results?

  › Did you agree to any “side deals or agreements” outside of the negotiated terms and conditions of the research award or agreement?

  › Will any part of your research be conducted outside the United States?

  › Are foreign nationals restricted or prohibited from participating in the research or accessing research results?

  › Are any countries or persons prohibited from obtaining the results or deliverables of the research?

  › Will any information used in the research by obtained from a third party subject to nondisclosure obligations?

  › Will equipment or encryption software be delivered as part of the research?

  › Does your research involve any equipment or software listed on an export control list?

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  NOTE: The flowchart and questions are provided for general informational purposes only and should not be construed as advice for your specific project or situation. Inquiries about export control or trade sanctions should be directed to the Office of Sponsored Programs at ResearchCompliance@tntech.edu. 

Export Control Training

Tennessee Tech University subscribes to the export control training modules in the Collaborative Institutional Training Initiative (CITI) Program. In accordance with the institutional research security policy, Tennessee Tech faculty, staff, and students who work on research that is funded by federal or state grants are required to complete the CITI Export Control training course. This course is available to anyone within the Tennessee Tech community who wishes to learn more about this important topic.

To access the course, go to www.CITIprogram.org and register for an account by affiliating with Tennessee Tech University.

Tennessee Tech’s institutional policy on export controls can be found here »

 

Export Control Committee

In furtherance of Tennessee Tech’s commitment to comply with all U.S. export control laws and institutional policies, an Export Control Committee has been established for the following main functions:

• To review and approve protocols for projects that involve matters related to export control items (e.g., commodities, software, and technology) under EAR, ITAR, and the restrictions on exports based on U.S. sanctions administered by the Office of Foreign Assets (OFAC) within the Department of the Treasury, among other laws and regulations as required.
• To advise Tennessee Tech on areas of risk or potential threats to compliance with U.S. export control requirements; and,
• To develop mechanisms and actions to manage, mitigate, or eliminate export control compliance risks.

Current board membership roster of the Export Control Committee »

 

Trade Sanctions

Trade sanctions are restrictions imposed by the U.S. government on activities involving specific countries, entities, or individuals. These sanctions are administered by the Office of Foreign Assets Control (OFAC) within the U.S. Department of the Treasury. 

Trade sanctions can directly affect university operations, especially in areas such as:

• Collaborations with Foreign Institutions: Engaging in research or partnerships with individuals or institutions in sanctioned countries may require special licenses or may be entirely prohibited.
• International Travel and Field Research: Traveling to certain sanctioned countries with university-owned equipment, software, or data may require OFAC authorization.
• Export or Sharing of Data, Software, or Equipment: Even when no physical shipment occurs, sharing controlled research data, proprietary software code, or technical equipment with foreign persons – including via email, cloud storage, or remote access – can be considered an “export” under U.S. law. This includes providing access to such materials while abroad or on campus. Certain exports may require prior authorization from the federal government, especially if the materials are sensitive or related to sanctioned countries or entities. 
• Financial Transactions and Payments: Sending or receiving funds, offering stipends, or paying vendors in sanctioned regions can be restricted.
• Online Teaching and Training: Providing educational services or access to online coursework to individuals in sanctioned countries may trigger compliance requirements.

OFAC administers a number of different “sanctions programs.” The sanctions can be either comprehensive or selective, using the blocking of assets and trade restrictions to accomplish foreign policy and national security goals. The countries and the types of prohibited activities change frequently due to changes in U.S. foreign policy, national security, and human rights objectives. As such, OFAC does not maintain a specific list of countries with which U.S. persons are prohibited from doing business, but does provide a Sanctions List search tool at https://sanctionssearch.ofac.treas.gov/. 

Up to date information on the various economic and trade sanctions administered by OFAC can be obtained from their website at https://ofac.treasury.gov/. 

Violations of trade sanctions can result in significant civil and criminal penalties, including fines and imprisonment. To ensure compliance, university researchers should seek assistance from the Office of Sponsored Programs in advance to evaluate any potential export control or sanctions issues by contacting us at ResearchCompliance@tntech.edu.