About Export Controls
The export of certain items and information is regulated for reasons of national security, foreign policy, prevention of the spread of weapons of mass destruction, and for competitive trade reasons, in accordance with United States laws and regulations, the Texas A&M University System (System) regulations, and the university rules and procedures.
Texas A&M University-Kingsville (TAMUK) is committed to operating in compliance with the United States (U.S.) Department of Commerce Bureau of Industry and Security (BIS) Export Administration Regulations (EAR), the U.S. Department of State Directorate of Defense Trade Control (DDTC) International Traffic in Arms Regulations (ITAR), as well as those imposed by the U.S. Department of Treasury Office of Foreign Assets Control (OFAC).
Texas A&M University—Kingsville Export Controls Empowered Official:
- Dr. James Palmer, Provost and Senior Vice President of Academic Affairs
- Designation of Export Controls Empowered Official Memo
- exportcontrols@tamuk.edu
- Risk, Fraud & Misconduct Hotline
Export Controls: WHO, WHAT, WHEN, WHERE, & WHY
WHO?
Who regulates export control laws?
Export control laws regulate the conditions under which certain physical items and information can be transmitted to either foreign persons or foreign entities in the United States or abroad. The purpose of these associated laws and regulations are to protect national economic, security, and foreign policy interests. Export regulations derive from several branches of the U.S. Federal Government:
- U.S. Department of Commerce Bureau of Industry and Security (BIS)
- Export Administration Regulations (EAR)
- Responsible for commercial and dual–use products and technology that could have military applications
- U.S. Department of State Directorate of Defense Trade Control (DDTC)
- International Traffic in Arms Regulations (ITAR)
- Responsible for defense articles, defense services, and related technical data
- U.S. Department of Treasury Office of Foreign Assets Control (OFAC)
- Administers and enforces economic sanctions programs primarily against countries and groups of individuals
WHAT?
What are exports?
Exports generally include: actual shipment of any covered goods, items, chemicals and/or biological materials; electronic or digital transmission of any covered goods, items, or related goods or items; any release or disclosure, including verbal disclosures and visual inspections, of any technology, software, or technological data to any foreign person or entity; and the actual use or application of a covered technology on behalf of or for the benefit of a foreign entity or person.
Exports occur when a controlled physical item or controlled information is transmitted outside the borders of the United States, or when a controlled physical item or controlled information is transmitted to a foreign person in the United States. Furthermore, the transfer of technology, software, or technical data to foreign nationals inside the United States is considered a deemed export.
WHEN?
When does it apply?
There are several exclusions to export control laws and regulations. Most university activities will fall under exclusions to export control regulations (not all exclusions apply outside the U.S.):
- Fundamental Research Exclusion (FRE)
- Applies to controlled information, but not to controlled physical items
- Does not apply outside the U.S.
- Public Domain/Public Information Exclusion
- Educational Information Exclusion
Although the exclusions may apply to TAMUK activities, it is important to remember that because of the complexity of the U.S. export control regulations, potential export–controlled activities should be evaluated on a case–by–case basis.
WHERE?
Where could export control regulations be violated?
It is imperative that TAMUK employees recognize that export control regulations apply broadly. Some functions that could potentially be subject to export controls include (but are not limited to): travel, visiting scientists, equipment and material surplus and disposal, international collaboration, sponsored research, nondisclosure, material transfers, licenses for intellectual property, and distance education.
WHY?
Why do we have export controls?
The purpose of export control laws and regulations is to protect national economic, security, and foreign policy interests. TAMUK is committed to promoting a culture of compliance with all U.S., System, and University export control regulations, policies, and rules.
Roles and Responsibilities
Export control laws regulate the conditions under which certain information, technologies, and commodities can be transmitted to foreign persons or entities in the United States or abroad. In addition, export control laws and regulations restrict or prohibit the transaction of business with certain countries, persons, and entities that have been sanctioned by federal agencies as a threat to important U.S. interests. Most exports do not require specific approval from the federal government. Certain exports, however, require a license. Others are prohibited.
Texas A&M University—Kingsville, the Institution
It is the policy of TAMUK to comply with United States export control laws and regulations while maintaining an open research environment that welcomes the participation of researchers from around the world.
Individual Responsibility
All university employees and students, visiting scientists, postdoctoral fellows, and other persons retained by or working at or for the university must conduct their affairs in accordance with United States export control laws and regulations. While compliance with applicable legal requirements is important, it is equally important to maintain an open research environment that welcomes the participation of researchers from around the world as part of the university’s mission. To maintain this balance, university personnel must be familiar with United States export control laws and regulations, including important exclusions and exemptions, as they relate to their responsibilities and research. Depending upon the nature of job activities and functions, university personnel may be required to participate in formal training as determined by the university’s empowered official(s) and/or an employee’s supervisor. There are severe institutional and individual sanctions for violations of export control laws and regulations, including the loss of research funding, loss of export privileges, as well as criminal and civil penalties.
University Administrators
All university employees with managerial or supervisory authority over 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. Because of the complexity and far-reaching impact of export control issues, all university employees are required to take the basic export control online training course (TrainTraq Course No. 2111212) at least once every two years.
Empowered Official
The Provost and Senior Vice President of Academic Affairs is the university’s “Empowered Official (EO)” for all purposes relating to applicable federal export control laws and regulations. The EO is responsible for license applications and other approvals required for compliance with export control laws and regulations and serves as the university’s representative and point of contact with such agencies. The EO is the university official authorized to sign license applications and other authorizations required by export control laws and regulations on behalf of the university and to bind the university in any proceedings before government agencies with export control responsibilities. The EO is the university official with final responsibility for compliance with export control laws and regulations.
Export Control Delegates
Departments with the responsibility for administering components of TAMUK’s export control compliance program should designate an individual, who has been appropriately trained, to perform routine internal monitoring of export control procedures and practices. Designated assigned delegates from relevant administrative departments and academic colleges are tasked with conducting Restricted Party Screenings (RPS) for their department.
The Office of Research and Innovation (ORI), in cooperation with other appropriate offices, is responsible for directing and monitoring the university’s export control compliance program, record keeping, and implementing procedures and/or guidelines to comply with federal export control laws and regulations, including developing, implementing, and updating an export control compliance program manual. When requested, the CO will assist employees in export control assessments to determine export control compliance obligations with respect to university activities involving foreign persons or entities or international activities and to determine the applicability of any exclusions provided by law.
Sponsored Research
The Office of Research & Innovation (ORI) works with delegates and other appropriate offices to promote export control compliance in sponsored research. The ultimate responsibility regarding the identification of potential export control violations for sponsored research agreements is that of the principal investigator and associated key personnel. If a potential export control issue arises or is identified, ORI and the primary investigator (PI) will work closely to resolve and determine the plan of action.