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Policy 7122 – Export Control Policy

Effective Date: 7/28/2011

Responsible Office: Office of Research and Innovation

Reference: University of Louisiana System Export Control Policy M-(16)

The University of Louisiana System has adopted a Policy on Export Controls which requires each system institution to develop and implement institution-specific export plans and procedures in compliance with all applicable federal guidelines. Louisiana Tech University’s Export Control Policy is found in its entirety below. Questions concerning the policy may be directed to the Chief Research and Innovation Officer. A copy of the University of Louisiana System Policy may be requested from the Office of Research & Innovation or requested from the University of Louisiana System Office.

Preamble

Louisiana Tech University is dedicated to maintaining an open research environment. However, for reasons related to national security and fair trade, “Export Control Regulations” may require the university to obtain permission from specific government agencies before allowing foreign nationals access to certain controlled technologies.

This policy is intended to assist faculty, staff, and students in complying with these federal export control laws. Violations of “Export Control Regulations” can result in the loss of sponsored research activity, monetary fines, or imprisonment.

Objectives

The basic objectives of the University’s Export Control Policy are to inform university employees about export control regulations which may impact their activities and to develop procedures to ensure that the university is in compliance with those regulations. 

Definitions

  1. “Export Control Regulations” means regulations promulgated under the authority of the International Trade in Arms Regulations, 22 C.F.R Section 120-125, and the Export Administration regulations, 15 C.F.R. Section 730-774.

  2. “Fundamental Research Exemption” means the exemption to “Export Control Regulations” which is recognized for basic or applied research in science and/or engineering performed at an accredited institution of higher learning in the U.S. where the resulting information either is ordinarily published and shared broadly in the scientific community or where the resulting information has been or is about to be published. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or restricted pursuant to specific U.S. government access and dissemination controls (ITAR).

  3. “Educational Exemption” means the exemption to “Export Control Regulations” which applies to general scientific, mathematical or engineering principles commonly taught in for-credit courses at Louisiana Tech or at other schools, colleges and universities.

  4. “Employment Exemption” means the exemption to “Export Control Regulations” which applies to disclosures of unclassified data in the USA by Louisiana Tech to foreign persons who are bona fide and full time regular employees. This exemption is available only if: a) the employee’s permanent abode throughout the period of employment is in the US, b) the employee is not a national of a country to which exports are prohibited by law, and c) Louisiana Tech has informed the individual in writing that the technical data may not be transferred to other foreign persons without the prior written approval of appropriate governmental bodies.

  5. (EAR): Export Administration Regulations, U.S. Department of Commerce; regulates “Dual-Use” technologies, or items designated for commercial purposes that can have military application.

  6. (ITAR): International Traffic in Arms Regulations, U.S. Department of State; regulates inherently military technologies.

REVIEW AND DUE DILIGENCE

With the assistance of Louisiana Tech’s Export Control Committee, the Empowered Export Control Officer will develop appropriate tools (e.g., export control decision tree) to allow Louisiana Tech employees to perform the necessary due diligence to determine if an export control license is applicable to a particular situation. If a research contract is involved, University Research and the Empowered Export Control Officer shall also perform a review of the contract and in conjunction with the results of the decision tree questionnaire reach a determination as to whether a sponsored research project qualifies for the “Fundamental Research Exemption.”

In cases where the activity (e.g., shipment of encryption software) falls under “Export Control Regulations” the individual will be referred to Louisiana Tech’s Empowered Export Control Officer for guidance.

Likewise, in cases where the contract does not qualify for “Fundamental Research Exemption” due to publication restriction, University Research will attempt to negotiate such changes in the contract as may be required to cause the project to fall under the exemption.

If such efforts are unsuccessful, Louisiana Tech’s Empowered Export Control Officer will determine whether the activity qualifies for exemption under the “Educational Exemption,” the “Employment Exemption,” or other applicable exemption as may be provided for in applicable law.

If it is determined that the sponsored activity does not qualify for any such exemption, the contract for such activity shall be approved upon written request of the principle investigator to the Chief Research & Innovation Officer, and upon certification by the Empowered Export Control Officer that all required licenses have been obtained and that the activity shall be conducted in compliance with “Export Control Regulations.”

Administration of Education of Export Control

Together with the Empowered Export Control Officer, the Chief Research & Innovation Officer shall develop “Export Control Regulation” educational materials and conduct periodic training of faculty and employees.

Export Control Committee

Export control activities shall be under the general cognizance of Louisiana Tech University. The Export Control Committee shall function as an advisory committee in the University and shall have the following responsibilities:

  1. Advise the President, the Chief Research & Innovation Officer, and Louisiana Tech University on institutional export control policies, the implementation of policies, and the status and conduct of the institution’s export control efforts.

  2. Advocate to the University’s personnel for the Institution’s export control efforts.

  3. Assist Louisiana Tech University in the conduct of the export control program by performing the following duties:

    Assess the risk and exposure presented by export control regulations with regard to (as outlined in the ULS Export Control Policy #: M-(16)):

    1. sponsored and unsponsored research and technology development,

    2. travel outside the U.S. by university employees,

    3. shipping items outside the U.S.,

    4. vendor payments, and

    5. sharing of information about controlled technology and information with foreign nationals both in and outside the U.S.

The Committee shall be appointed by the President. Committee appointments will be for three (3) years, provided, however, that, of the original members of the Committee, three shall be appointed for a term of one (1) year, three shall be appointed for a term of two (2) years, and the remainder shall be appointed for a term of three (3) years; the student representative shall be appointed for a term of three (3) years or until he/she graduates, whichever comes first. Members of the Committee may be appointed to serve successive terms. In the event any seat on the Committee is vacated prior to expiration of the normal term, the Chair may recommend that the President appoint a successor to fill the unexpired term of the seat vacated.

During the summer sessions and extended University holiday periods, the Chair and such members as are available will have the authority to make recommendations to the University administration to expedite the review of export control activities that are time critical and cannot be delayed for handling at a regular or specially called meeting of the Committee.

Export Control Map

Export Control Checklist

Policy 7122 – Export Control Policy

Effective Date: 7/28/2011

Responsible Office: Office of Research and Innovation

Reference: University of Louisiana System Export Control Policy M-(16)

The University of Louisiana System has adopted a Policy on Export Controls which requires each system institution to develop and implement institution-specific export plans and procedures in compliance with all applicable federal guidelines. Louisiana Tech University’s Export Control Policy is found in its entirety below. Questions concerning the policy may be directed to the Chief Research and Innovation Officer. A copy of the University of Louisiana System Policy may be requested from the Office of Research & Innovation or requested from the University of Louisiana System Office.

Preamble

Louisiana Tech University is dedicated to maintaining an open research environment. However, for reasons related to national security and fair trade, “Export Control Regulations” may require the university to obtain permission from specific government agencies before allowing foreign nationals access to certain controlled technologies.

This policy is intended to assist faculty, staff, and students in complying with these federal export control laws. Violations of “Export Control Regulations” can result in the loss of sponsored research activity, monetary fines, or imprisonment.

Objectives

The basic objectives of the University’s Export Control Policy are to inform university employees about export control regulations which may impact their activities and to develop procedures to ensure that the university is in compliance with those regulations. 

Definitions

  1. “Export Control Regulations” means regulations promulgated under the authority of the International Trade in Arms Regulations, 22 C.F.R Section 120-125, and the Export Administration regulations, 15 C.F.R. Section 730-774.

  2. “Fundamental Research Exemption” means the exemption to “Export Control Regulations” which is recognized for basic or applied research in science and/or engineering performed at an accredited institution of higher learning in the U.S. where the resulting information either is ordinarily published and shared broadly in the scientific community or where the resulting information has been or is about to be published. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or restricted pursuant to specific U.S. government access and dissemination controls (ITAR).

  3. “Educational Exemption” means the exemption to “Export Control Regulations” which applies to general scientific, mathematical or engineering principles commonly taught in for-credit courses at Louisiana Tech or at other schools, colleges and universities.

  4. “Employment Exemption” means the exemption to “Export Control Regulations” which applies to disclosures of unclassified data in the USA by Louisiana Tech to foreign persons who are bona fide and full time regular employees. This exemption is available only if: a) the employee’s permanent abode throughout the period of employment is in the US, b) the employee is not a national of a country to which exports are prohibited by law, and c) Louisiana Tech has informed the individual in writing that the technical data may not be transferred to other foreign persons without the prior written approval of appropriate governmental bodies.

  5. (EAR): Export Administration Regulations, U.S. Department of Commerce; regulates “Dual-Use” technologies, or items designated for commercial purposes that can have military application.

  6. (ITAR): International Traffic in Arms Regulations, U.S. Department of State; regulates inherently military technologies.

REVIEW AND DUE DILIGENCE

With the assistance of Louisiana Tech’s Export Control Committee, the Empowered Export Control Officer will develop appropriate tools (e.g., export control decision tree) to allow Louisiana Tech employees to perform the necessary due diligence to determine if an export control license is applicable to a particular situation. If a research contract is involved, University Research and the Empowered Export Control Officer shall also perform a review of the contract and in conjunction with the results of the decision tree questionnaire reach a determination as to whether a sponsored research project qualifies for the “Fundamental Research Exemption.”

In cases where the activity (e.g., shipment of encryption software) falls under “Export Control Regulations” the individual will be referred to Louisiana Tech’s Empowered Export Control Officer for guidance.

Likewise, in cases where the contract does not qualify for “Fundamental Research Exemption” due to publication restriction, University Research will attempt to negotiate such changes in the contract as may be required to cause the project to fall under the exemption.

If such efforts are unsuccessful, Louisiana Tech’s Empowered Export Control Officer will determine whether the activity qualifies for exemption under the “Educational Exemption,” the “Employment Exemption,” or other applicable exemption as may be provided for in applicable law.

If it is determined that the sponsored activity does not qualify for any such exemption, the contract for such activity shall be approved upon written request of the principle investigator to the Chief Research & Innovation Officer, and upon certification by the Empowered Export Control Officer that all required licenses have been obtained and that the activity shall be conducted in compliance with “Export Control Regulations.”

Administration of Education of Export Control

Together with the Empowered Export Control Officer, the Chief Research & Innovation Officer shall develop “Export Control Regulation” educational materials and conduct periodic training of faculty and employees.

Export Control Committee

Export control activities shall be under the general cognizance of Louisiana Tech University. The Export Control Committee shall function as an advisory committee in the University and shall have the following responsibilities:

  1. Advise the President, the Chief Research & Innovation Officer, and Louisiana Tech University on institutional export control policies, the implementation of policies, and the status and conduct of the institution’s export control efforts.

  2. Advocate to the University’s personnel for the Institution’s export control efforts.

  3. Assist Louisiana Tech University in the conduct of the export control program by performing the following duties:

    Assess the risk and exposure presented by export control regulations with regard to (as outlined in the ULS Export Control Policy #: M-(16)):

    1. sponsored and unsponsored research and technology development,

    2. travel outside the U.S. by university employees,

    3. shipping items outside the U.S.,

    4. vendor payments, and

    5. sharing of information about controlled technology and information with foreign nationals both in and outside the U.S.

The Committee shall be appointed by the President. Committee appointments will be for three (3) years, provided, however, that, of the original members of the Committee, three shall be appointed for a term of one (1) year, three shall be appointed for a term of two (2) years, and the remainder shall be appointed for a term of three (3) years; the student representative shall be appointed for a term of three (3) years or until he/she graduates, whichever comes first. Members of the Committee may be appointed to serve successive terms. In the event any seat on the Committee is vacated prior to expiration of the normal term, the Chair may recommend that the President appoint a successor to fill the unexpired term of the seat vacated.

During the summer sessions and extended University holiday periods, the Chair and such members as are available will have the authority to make recommendations to the University administration to expedite the review of export control activities that are time critical and cannot be delayed for handling at a regular or specially called meeting of the Committee.

Export Control Map

Export Control Checklist