Approved: January 21, 2014
Revised: March 11, 2019
Revised: May 22, 2020
Revised: October 5, 2023
Next Scheduled Review: October 5, 2028
Texas A&M Transportation Institute (TTI) must comply with United States (US) 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 Chief Executive Officer (CEO), in addition to other designees who may be appointed by the CEO, is the Empowered Official (EO) for all purposes relating to applicable federal export control laws and regulations at TTI. The Export Control Officer (ECO) 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 export control authorizations.
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. 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 4.6 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 EO or ECO. Violations can be reported directly to the EO or ECO or anonymously via the TAMUS Ethics Point portal. Employees should be aware of the export control restrictions to OFAC embargoed countries (https://ofac.treasury.gov/).
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. Export Control Compliance Program
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.
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.
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
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.
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.
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 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.
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.
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.
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.
5. Annual Risk Assessment
An export controls specific risk assessment will be conducted annually and submitted to the system RSO. The assessment will also be included as an attachment to the TTI Compliance Plan.
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
- National Security Presidential Memorandum 33 (NSPM-33)
- System Policy 15.02, Export Control Program Management
- System Policy 15.05.04, High Risk Global Engagements and High Risk International Collaborations
- TTI Rule 15.05.04.I1, High Risk Global Engagements and High Risk International Collaborations
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