Export Controls

Handbook of Operating Procedures 7-1410

Export Controls

University of Texas SealEffective June 19, 2015
Executive Sponsor: Vice President for ResearchPolicy Owner: Associate Vice President for Research and Director of Office of Sponsored Projects
I. Policy Statement 

The University of Texas at Austin (“University”) will conduct its teaching, research, and service activities in compliance with United States export control laws and regulations, including those promulgated by the Department of Commerce, through its Export Administration Regulations ("EAR"), the Department of State, through its International Traffic in Arms Regulations ("ITAR"), and the Department of Treasury, through the Office of Foreign Assets Control ("OFAC").

 

University employees are responsible for complying with U.S. export control laws and regulations as well as this policy, including any associated procedures implemented by the University to assure compliance.

II. Reason for Policy 

To support compliance with The University of Texas System policy UTS173 and those federal export control laws and regulations affecting the export, or deemed export, of certain items, technologies, software, and services, and which were  issued for reasons of national security, foreign policy, and competitive trade. 

III. Scope & Audience 

This policy applies to all University employees, students, affiliates, and consultants whose research, scholarship, and/or job responsibilities involve use of University resources.

Refer to the University’s export control guidance for further information.  

IV. Definitions (specific to this policy) 
Deemed Export:

Any release of controlled technology or source code, subject to the Export Administration Regulations ("EAR"), to a foreign person in the U.S. is "deemed" to be an export to the person’s country or countries of nationality. This deemed export rule does not apply to persons lawfully admitted for permanent residence in the U.S. and does not apply to persons who are protected individuals under the Immigration and Naturalization Act. Refer to section 734.2(b) of the EAR. A “deemed” export situation can occur by access/use in research or training, visual inspection, or an oral exchange of information.

Export Administration Regulations ("EAR"):

Regulations implemented by the U.S. Department of Commerce which control the export of dual-use technologies (i.e., items used, or have the potential to be used for both military and commercial purposes that could adversely affect national security if exported). 

Empowered Official ("EO"):

A U.S. citizen who is legally empowered in writing by the University to sign export license applications or other requests for approval on the University’s behalf. The EO must understand the provisions and requirements of the various export control statutes and regulations and the criminal liability, civil liability, and administrative penalties for violating the regulations. The EO has the independent authority to inquire into any aspect of a proposed export, verify legality of the transaction and accuracy of the information to be submitted, and refuse to sign a license application or other request for approval without prejudice or other adverse recourse. 

Export Controls:

Federal regulations, such as EAR and International Traffic in Arms Regulations ("ITAR"), controlling the export and re-export of goods, services, and technology, including in some circumstances releasing technology, technical data, or software or providing services to foreign persons wherever located. Other U.S. agencies, including but not limited to the Nuclear Regulatory Commission, the Department of Energy, and the Patent and Trademark Office also administer regulations controlling the export and re-export of commodities and technology within their jurisdictions.

Fundamental Research:

Basic or applied research in science and engineering performed or conducted at an accredited institution of higher learning in the U.S. in which the resulting information is ordinarily published and shared broadly in the scientific community. 

  • ITAR indicates fundamental research is distinguished from research that results in information restricted for proprietary or national security reasons or pursuant to specific U.S. government access and dissemination controls. 
  • EAR indicates fundamental research is distinguished from research that results in information restricted for proprietary reasons or specific national security controls.
International Traffic in Arms Regulations (ITAR):

Regulations implemented by the U.S. Department of State to regulate military or defense-related articles, technologies, and services.

Office of Foreign Asset Control (OFAC) Sanctions:

A department of the U.S. Treasury that enforces economic and trade sanctions against countries and groups of individuals involved in terrorism, narcotics, and other disreputable activities enforced by the Office of Foreign Asset Control of the U.S. Department of Treasury.

Public Doman as defined by EAR:

Covers published information and software. Information is “published” when it becomes generally accessible to the interested public in any form, including but not limited to:

  • publication in periodicals, books, print, electronic, or other media available for general distribution, either free or at a price that does not exceed the cost of reproduction and distribution
  • available at libraries open to the public or university libraries
  • issued patents or open patent applications published and available at any governmental patent office
  • released or publicly discussed at an open conference, meeting, seminar, trade show, or other open gathering
Public Doman as defined by ITAR:

Covers published information generally accessible or available to the public through:

  • sales at newsstands and bookstores
  • subscriptions available without restriction
  • second class mailing privileges granted by the U.S. government
  • libraries open to the public or from which the public can obtain documents
  • patents available at any patent office
  • through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the U.S.
  • public release (i.e., unlimited distribution) in any form
  • fundamental research in science and engineering at accredited institutions of higher learning in the U.S., where the resulting information is ordinarily published and shared broadly in the scientific community
Resources:

Resources owned or leased by the University, or otherwise utilized by University employees, students, affiliates, and contractors within the scope of research conducted at the University.

University Export Controls Officer (UECO):

The person responsible for institutional compliance with export control regulations, as designated by the University.

V. Website (for policy) 
https://policies.utexas.edu/policies/hop/7-1410
VI. Contacts 
Contact Details Web
Office of Sponsored ProjectsPhone:(512) 471-6424Website:
Export Controls Officer and Empowered Officials for Export ControlPhone:(512) 471-6424 Website:Email:osp@austin.utexas.edu
VII. Responsibilities & Procedures 
  1. General
  1. The University is committed to conducting its education, research, scholarship, and service activities in an open manner, consistent with export control laws and regulations. When feasible, it will make reasonable efforts to share these activities in the public domain or under fundamental research exemptions to export control regulations.
  1. The University will provide export control training to employees whose job responsibilities are affected by export control regulations.
  1. The Export Compliance Program serves as the University’s guiding framework to assure University compliance with federal export control laws and regulations, including the International Traffic in Arms Regulations ("ITAR"), Export Administration Regulations ("EAR"), and Office of Foreign Asset Control ("OFAC"). This program lays out the necessary responsibilities, procedures, and controls for properly managing export control compliance for the University and its members.
  1. Authority

The president, or designee, delegates authority to both the associate vice president for research/director of the Office of Sponsored Research and the University’s export control officer as the University’s empowered officials for export control matters.

 

  1. Responsibilities
  1. Empowered Official ("EO")

The EO has authority and power to: 1) represent the University before the export control regulators in matters related to registration, licensing, commodity jurisdiction requests, or voluntary disclosures; 2) sign paperwork and bind the University in any proceeding before DDTC, BIS, OFAC, or government agency with export control responsibilities; 3) sign export license applications or other requests for approval on the University’s behalf; and 4) independently inquire into any aspect of a proposed export and verify the legality of the transaction and accuracy of the information to be submitted.  

 

  1. University Export Controls Officer ("UECO")

The UECO has the authority and the responsibility for the implementation of the procedures set forth in the Export Compliance Program. The UECO works closely with the AVPD:OSP and the Office of Sponsored Projects in performing his or her responsibilities.

 

  1. University Export Controls Council ("Council")

The vice president for research appoints membership on the Council. This Council includes liaisons to the academic units from the Provost’s Office and to related business operations from the division of financial affairs. The UECO serves as chair of the Council.    

The Council is charged with addressing and resolving issues related to export controls that may arise from time to time. It serves to advise the vice president for research on policies, procedures, and necessary institutional actions to strengthen institutional compliance with export control regulations.

 

  1. Principal Investigator ("PI")

A PI must ensure that their activities conform to export control rules and regulations and that they do not disclose controlled information or transfer controlled articles or services to a foreign national without prior authorization as required.

 

  1. Faculty, Staff, Students, and University Affiliates

All faculty, staff, students, and University affiliates must be aware of export control implications of their work and must ensure their activities conform to export control rules and regulations. Any required license and/or approval must be obtained before exporting anything deemed controlled. Refer to the Office of Sponsored Research informational webpage for export control implications.

 

  1. University Managers

Academic deans, directors, and department heads have responsibility for overseeing export control compliance in their respective schools, departments, centers, or institutes and supporting the UECO in implementing procedures as deemed necessary by the UECO for export control compliance.

In addition, the directors of other offices or units on campus have responsibility for overseeing export control compliance in their units and supporting the UECO in implementing procedures, as deemed necessary for export control compliance. These other offices include, but are not limited to Accounting, Environmental Health and Safety, Human Resources, International Programs, Technology Commercialization, and Travel.

 

  1. Penalties for Non-Compliance

Failure to comply with applicable export control regulations may result in severe civil and criminal penalties to the University and to individual University employees, students, affiliates, and contractors. An individual who violates export control laws and regulations or does not comply with this policy may also be subject to University disciplinary action up to and including termination, dismissal, or expulsion in accordance with University policies and procedures.

XI. History 

Last review date:  June 19, 2015

Next scheduled review date:  June 2017