UR 15.02.99.Hl Export Controls

Approved: January 2014

Revised: April 22, 2020

Next Scheduled Review April 22, 2025

Rule Statement

Texas A&M University-Texarkana (A&M-Texarkana) employees and students must comply with all United States export control laws and regulations-including, but not limited to-those implemented by the Department of Commerce through the Export Administration Regulations (EAR), the Department of State through the International Traffic in Arms Regulations (ITAR), and the Department of Treasury through the Office of Foreign Assets Control (OF AC).

Reason for Rule

A&M-Texarkana adopts this rule to comply with United States export control laws and regulations and The Texas A&M University System (system) export control policy.

Procedures and Responsibilities

Encouraging research and intellectual inquiry is a vital goal of A&M-Texarkana. The university supports open research and the free interchange of information among scholars. The university is

also aware that the United States has enacted laws and regulations restricting the transmission of Controlled Information and Controlled Physical Items for the purpose of protecting national and economic security, and foreign policy interests. These federal export control laws and regulations establish the conditions under which Controlled Information and Controlled Physical Items can be transmitted to anyone outside the United States and to Foreign Persons in the United States. In addition, the export control laws and regulations restrict or prohibit the transaction of business with certain countries, persons, and entities that have been sanctioned by the federal government.

Several federal agencies implement export control rules and regulations-including but not limited to-the Department of Commerce, the Department of State, and the Department of Treasury. Within these federal regulatory bodies, each possesses jurisdiction over specific types of technology, restricted trade activities, and/or controlled physical items.

There are severe institutional and individual sanctions for violations of export control laws including the loss of research funding, loss of export privileges, as well as civil and criminal penalties including imprisonment. Although many university activities could be excluded from export control laws, some activities may be restricted.

1. INDIVIDUAL RESPONSIBILITY

1.1 All university employees and students, visiting professors/scientists, and other persons retained by or working at A&M-Texarkana must ensure their work and

UR 15.02.99.Hl Export Controls Page I of 10

9.1 The ORC shall be responsible for maintaining a campus-wide export control training program.

9.2 All employees shall, at a minimum, complete the basic System export control online training course at least once every two years.

9.3 Additional training will be assigned to individuals traveling internationally on behalf of University business.

9 .4 Depending on the nature of an individual's activities and/or job functions, an A&M-Texarkana employee may be required to take supplemental export control training as deemed appropriate by the individual's supervisor and/or the Empowered Official.

Related Statutes, Policies, or Requirements

Texas A&M University System Policy 15.02, Export Controls Program Management

International Traffic in Arms Regulations OTAR) 22 C.F.R. §§ 120-130 Export Administration Regulations (EAR) 15 C.F.R. §§ 700-799

Office of Foreign Assets Control (OF AC) 31 C.F.R. §§ 500-599 National Security Decision Directive 189 Atomic Energy Act of 1954 and Nuclear Regulatory Commission Regulations to 10 CFR Part 110

Definitions

Controlled Information - Controlled infonnation is information about controlled physical items. This includes infonnation which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of controlled physical items and may be released through visual inspection, oral exchanges, or the application of personal knowledge or technical experience with controlled physical items. This includes information in the form of blueprints, drawings, photographs, plans instructions and documentation. Also included in this definition are non-physical items (software and algorithms, for example) listed under EAR and ITAR.

Controlled Physical Items - Controlled physical items are dual use technologies listed under EAR and defense articles listed on ITAR's USML.

Deemed Export - When a controlled physical item or controlled information is transmitted to a Foreign Person in the United States, it is known as a deemed export.

Export - An export occurs when a controlled physical item or controlled infonnation is transmitted outside the United States borders. The term 'export' is broadly defined. It generally includes (1) actual shipment of any controlled physical items; (2) the electronic or digital transmission of any controlled information; (3) any release or disclosure, including verbal disclosures and visual inspections, of any controlled information; or ( 4) actual use or application of controlled physical items or controlled information on behalf of or for the benefit of a foreign entity or person anywhere. Complete definitions of the term 'export' are contained in the federal regulations.

UR 15.02.99.Hl Export Controls Page 8 of 10

Empowered Official - The Empowered Official is defined in 22 C.F.R § 120.25. The Empowered Official has independent authority to: (i) inquire into any aspect of a proposed export or temporary import by the University, (ii) verify the legality of the transaction and the accuracy of the information to be submitted; and (iii) refuse to sign any license application or other request for approval without prejudice or other adverse recourse.

Foreign Person - For export control purposes, a foreign person includes any individual in the United States in nonimmigrant status (i.e., H-1B, H-3, L-1, J-1, F-1, B-1, Practical Training), and individuals unlawfully in the United States.

A foreign person is also any branch of a foreign government or any foreign corporation or group that is not incorporated or organized to do business in the United States.

For export control purposes, a foreign person is not an individual who is a United States citizen, lawful permanent resident of the United States, a refugee, protected political asylee or someone granted temporary residency under amnesty or Special Agricultural Worker provisions.

International Visitors - Foreign Persons having a residence in a foreign country, who are not

employees or affiliates of A&M-Texarkana and are coming to A&M-Texarkana on a temporary basis as a result of a verbal or written invitation made to the Foreign Person by an A&M­Texarkana faculty member, researcher, or administrator.

Restricted Party Screening- The U.S. Department of Commerce, the U.S. Department of State, and the U.S. Department of Treasury-along with various other government agencies-maintain lists of prohibited and restricted end-users (Restricted Party Lists). If not wholly prohibited, licenses are required for exportation to these end-users, or for carrying out a transaction in which a prohibited or restricted end-user is involved. A&M-Texarkana must screen individuals and entities in order to ensure that A&M-Texarkana is not doing business with individuals or entities that have been debarred, denied export privileges, or are otherwise on one of the numerous government restricted party lists.

Technology Control Plan - A Technology Control Plan (TCP) lays out the requirements for

protecting export-controlled information and equipment for projects conducted by the university. A&M-Texarkana has developed a TCP template for use on such projects.

Appendix

Export Controls Compliance Program Manual Technology Control Plan Template International Travel Export Screening Restricted Party Screening Request International Visitor Request Approval of Reimbursement/Honoraria Visiting Scholar Agreement

Contact Office

Office of Research Compliance 903 .223 .3003

UR 15.02.99.Hl Export Controls Page9ofl0