Approved: January 21, 2014
Revised: March 11, 2019
Revised: May 22, 2020
Next Scheduled Review: May 22, 2025
Texas A&M Transportation Institute (TTI) must comply with United States export control laws and regulations as promulgated by the U.S. Department of State through its International Traffic in Arms Regulations (ITAR), the U.S. Department of Commerce through its Export Administration Regulations (EAR), and those imposed by the U.S. Treasury Department through its Office of Foreign Assets Control (OFAC). This rule applies to all TTI employees.
Reason for Rule
This rule is required pursuant to The Texas A&M University System (System) policy 15.02, Export Controls Program Management. TTI has an obligation to implement an export control compliance program to reduce the risk of export control violations. All employees and students must be aware of and are responsible for the export control implications of their work and must ensure that their activities conform to export control laws and regulations. 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.
Procedures and Responsibilities
1. Empowered Official and Export Control Officer
The Assistant Agency Director and CFO, in addition to other designees who may be appointed by the CEO, is the Empowered Official for all purposes relating to applicable federal export control laws and regulations at TTI. The Export Control Officer is responsible for license applications and other approvals required for compliance with export control laws and regulations, and serves as the representative and point of contact for export control matters involving TTI. The Export Control Officer is authorized to sign license applications and other authorizations binding TTI in any proceedings before government agencies with export control responsibilities.
1.1 The Empowered Official 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 non-US 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 Export Control Officer implementing the procedures set forth by the Texas A&M University System.
2. Principal Investigator
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 4.5 of this rule in addition to working with the Export Control Officer to ensure compliance with all export control laws and regulations.
All TTI employees must act in accordance with all applicable U.S. export control laws, regulations and rules, and report any suspected violation to the Export Control Officer. Violations can be reported directly to the Export Control Officer or anonymously via the TAMUS Ethics Point portal. Employees should be aware of the export control restrictions to OFAC embargoed countries (http://www.treasury.gov/resource-center/sanctions/Pages/default.aspx).
3.1 All TTI employees who are responsible for the oversight, management or supervision of non-US 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. Export Control Compliance Program
4.1 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 System Sponsored Research Services, develop and implement procedures to:
- screen proposals and projects for compliance with export control laws and regulations;
- ensure international activities conducted outside the United States receive appropriate export control approvals; and
- screen vendors as appropriate for compliance with export control laws.
All new hires undergo applicable restricted party screening as a condition of their employment to TTI. Documents associated with visiting scholars and employment of non-U.S. persons from countries of concern will be provided to the System Research Security Office (RSO) monthly.
4.3 International Visitors
All international visitors undergo applicable restricted party screening as a condition of their visit to TTI.
It is the responsibility of TTI employees who are shipping items outside the United States (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 Controls procedures. Employees should contact the TTI Export Control Officer for assistance if needed prior to shipping, hand-carrying, or otherwise sending Controlled Physical Items or Controlled Information outside the United States.
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 Export Control Officer. New employees complete this training course as part of the onboarding process at TTI.
4.6 Purchasing and Financial Transactions
The TTI Business Office is responsible, in coordination with the Export Control Officer, to develop and implement procedures to screen vendors as appropriate for compliance with export control laws and regulations.
4.7 Export Control Compliance
The Export Control Officer in coordination with other appropriate TTI employees, will develop, maintain and update periodically, an Export Control Compliance Program Guidelines for TTI as a guide for identification, administration and resolution of export control issues.
4.8 Risk Assessment
An export controls specific risk assessment will be conducted annually and submitted to RSO for review. The assessment will also be included as an attachment to the TTI Compliance Plan.
Suspected violations should be reported to the Export Control Officer or anonymously via the TAMUS Ethics Point portal in writing. The Export Control Officer is authorized to suspend or terminate an export activity if he or she determines the activity is not in compliance, or will lead to noncompliance, with export control laws or regulations.
6. Record Keeping
Records required by export control laws and regulations shall be maintained by the TTI Export Control Officer or other designee for the longer of requirements set by the applicable export control regulations or The Texas A&M University System.
Related Statutes, Policies, or Requirements
- International Traffic in Arms Regulations (ITAR) 22 CFR §§120-130
- Export Administration Regulations (EAR) 15 CFR §§730-774
- Office of Foreign Assets Control (FAC) 31 CFR §§500-598
- National Security Decision Directive 189
- Atomic Energy Act of 1954 and Nuclear Regulatory Commission Regulations to 10 CFR Part 110
- System Policy 15.02, Export Controls
Controlled Information – Controlled information is information about controlled physical items. This includes information 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. (See 15 CFR 730-774 and 22 CFR 120-130 for further details.)
Controlled Physical Items – Controlled physical items are dual use technologies listed under EAR and defense articles listed on ITAR’s USML. (See 15 CFR 730-774 and 22 CFR 120-130 for further details.)
Export – An export occurs when a controlled physical item or controlled information is transmitted outside the United States borders or when a controlled physical item or controlled information is transmitted to a non-US person in the United States. When a controlled physical item or controlled information is transmitted to a non-US person in the United States, it is known as a deemed export. 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 non- US entity or person anywhere. Complete definitions of the term “export” are contained in the federal regulations.
Non-US Person – For export control purposes, a non-US 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 non-US person is also any branch of a non-US government or any non-US corporation or group that is not incorporated or organized to do business in the United States. For export control purposes, a non-US 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.
TTI Compliance Office