15.02.99.I1 Export Controls

1.1 The EO is TTI’s official with final responsibility for compliance with export control laws and regulations.

1.2 TTI employees with managerial or supervisory authority over Foreign Persons or projects involving Controlled Information or Controlled Physical Items are responsible for overseeing export control compliance in their areas of administrative responsibility and for supporting the ECO implementing the procedures set forth by the system.

2.1 The Principal Investigator (PI) for a research project has the best understanding of the research and should know whether particular technology, data or information involved is subject to export control laws or regulations.

2.2 The PI is responsible for learning about export controls by completing the export controls compliance training offered through TrainTraq, pursuant to Section 4.6 of this rule in addition to working with the Export Control Officer to ensure compliance with all export control laws and regulations.

3.1 All TTI employees who are responsible for the oversight, management or supervision of Foreign Persons or projects involving Controlled Information or Controlled Physical Items should view export control compliance as an important part of their day–to–day responsibilities.

3.2 TTI employees will comply with the provisions of any export license, governmental approval, certification, technology control plan, and procedures.

4.1 Management commitment

The export of certain items and information is regulated for the purpose of national security, foreign policy, prevention of the spread of weapons of mass destruction and competitive trade. As required in system policy 15.02, TTI is committed to developing, implementing and maintaining an export control compliance program.

4.2 Continuous risk assessment

TTI’s EO, ECO and Compliance Committee meet regularly to discuss program management and perform risk identification.

4.3 Export Authorizations, Classifications and Jurisdiction Requests

TTI’s Ethics and Compliance Office coordinates with the system Research Security Office (RSO) for items related to export authorizations, classifications and jurisdiction requests.

4.4 Formal written export control management and compliance program procedures

The ECO, in coordination with other appropriate TTI employees, will develop, maintain and update periodically an Export Control Manual as a guide for identification, administration and resolution of export control issues.

4.5 Recordkeeping

Records required by export control laws and regulations shall be maintained by the TTI ECO for the longer of requirements set by the applicable export control regulations or the system.

4.6 Training

All TTI employees are required to complete export control online training via TrainTraq at least once every two years. Depending on an individual employee’s job function, he or she may be required to complete other supplemental export control training as deemed appropriate by the individual’s supervisor and/or the ECO. New employees complete this training course as part of the onboarding process at TTI.

4.7 Internal compliance monitoring and periodic audits

TTI will conduct periodic reviews of export control processes in accordance with system policies and regulations.

4.8 Internal procedures for compliance issues, reporting violation and taking corrective actions

1. Research Contract Administration

   The TTI Compliance Committee will publish information via the intranet to guide in the identification, administration, and resolution of export control issues and, in conjunction with Texas A&M University (TAMU) Sponsored Research Services (SRS), develop and implement procedures to:

   • screen proposals and projects for compliance with export control laws and regulations;
   • ensure international activities conducted outside the US receive appropriate export control approvals; and
   • screen vendors as appropriate for compliance with export control laws.

2. Employment

   All new hires undergo applicable restricted party screening as a condition of their employment to TTI. Documents associated with visiting scholars and employment of Foreign Persons from countries of concern will be provided to the system RSO monthly.

3. International Visitors

   All international visitors undergo applicable restricted party screening as a condition of their visit to TTI.

4. Shipping

   It is the responsibility of TTI employees who are shipping items outside the US (including hand-carrying items such as research equipment, computers, materials and data) to comply with export control laws and regulations in coordination with the TTI export control procedures. Employees should contact the TTI ECO for assistance if needed prior to shipping, hand-carrying, or otherwise sending export controlled items or information outside the United States.

5. Technology Control Plans

   A technology control plan (TCP) will be developed for some items and information subject to the EAR or ITAR, based on TTI’s internal risk-based identification methodology. The TCP will include procedures to screen potential restricted end-users and end-uses as well as methods to identify, account for, and protect controlled items.

6. Purchasing and Financial Transactions

   The TTI Business Office is responsible, in coordination with the ECO, to develop and implement procedures to screen vendors as appropriate for compliance with export control laws and regulations related to financial transactions including acquisition of gifts, goods and services.

7. Violations

   Suspected violations should be reported to the EO, ECO, or anonymously via the system Ethics Point portal in writing. The EO or ECO is authorized to suspend or terminate an activity if he or she determines the activity is not in compliance, or will lead to noncompliance, with export control laws or regulations.

   In consultation with the system RSO and Office of General Counsel (OGC), violations will be reported to the appropriate federal agency and system officials.