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Export Control Compliance

Applying Export Control

Export controls should apply when you are involved in activities such as:

  • International collaborations
  • Foreign travel
  • Advising and/or teaching a student residing outside of the U.S. in sanctioned countries
  • Purchasing International Traffic in Arms regulated items
  • Performing research intended for military use
  • Hosting international visitors
  • Conducting research involving biologic or select agents
  • Taking and/or shipping export controlled items out of the U.S. 
  • Purchases from foreign vendors
  • Performing dual-use research (for commercial purposes and military applications)
  • Providing a defense service

Export Compliance Matters

The U.S. government mandates compliance through a complex set of laws and regulations that restrict the export (physical or deemed) of export controlled items and limit access of some foreign persons to certain biologic agents, technology, technical data, software or service without first obtaining a license or determining if an exception may apply. These regulations include:

  • Export Administration Regulations (EAR)
  • Office of Foreign Asset Control (OFAC)
  • International Traffic in Arms Regulations (ITAR)

In addition to these regulations: 

  • Export controls apply regardless of the activity being funded.
  • You are responsible for any item in question.
  • Universities are expected to develop processes in order to comply. 

The price of non-compliance can include penalties, fines of up to $500,000 and possible incarceration for up to 5 years.

Exceptions to Export Control

There are generally two exceptions to export controls available to the university:

  1. Educational, where courses are published in a course catalog that is available to all students and does not include ETAR items.
  2. Fundamental research, or research that is not restricted. 

Restrictions to these may include, but are not limited to:

  • Limitation on participation by foreign nationals, which can include international collaborators, students, or faculty members.
  • Publication and/or personnel restrictions.
  • Material, technology, etc. classification by the EAR or ITAR.
  • Non-disclosure and/or proprietary agreement.
  • End use of prohibitions, e.g. space.

Questions and Risk Assessments

For any questions or concerns regarding export controls, take the Export Control Self-Assessment, or contact the Risk Management and Compiance Department (RMC). The RMC performs risk assessments for grants and/or contracts processed through the department and other individual requests. Assessment includes, but is not limited to:

  • Determining if the educational or fundamental research exception is applicable.
  • Reviewing the material and/or technology EAR or ITAR classifications.
  • Country interaction - sanctions vary by country and change often. Current heavily sanctioned countries include Cuba, Iran, North Korea, Syria, and Sudan.
  • Individual screenings to ensure persons and/or entities have not been identified as a restricted party.

If it is determined the project and/or person(s) is/are restricted, A Technology Control Plan and Export Licensing may be require.

Assistance with Export Control Compliance

The Risk Management and Compliance Department (RMC) can assist with the following Export Control issues:

  • Restricted party screenings with visitors, researchers, and/or collaborators.
  • Assisting PIs in resolving Export Control issues.
  • Licensing to allow foreign nationals access and shipment outside the U.S. if possible. Please note that only the RMC staff can apply for an export control license on behalf of Tarleton State University.
  • Contract negotiation to allow for open access, i.e. no publication or personnel restrictions.
  • Assisting PIs with the development of Technology Control Plans.

Export Control Training

The basic course for export controls (course number 2111212) is available through TrainTraq. Depending on the nature of an individual's activities and/or job functions, a university employee may be required to complete supplemental export control training as deemed appropriate by their supervisor and/or the empowered official. View the following documents for more information:

ORI Export Control Partners

There are many departments and individuals that are partners with the Risk Management and Compliance Department in ensuring export control compliance at Tarleton. These include:

  • Faculty, Researchers, Staff, and Students
  • Support Service
  • Shipping
  • Procurement
  • Facilities Service
  • Employee Services
  • The Office of International Programs
  • IT Security
  • Office of Research and Innovation

For any questions regarding export control or how to become a partner, contact Export Control Regulations.

Spectrum of Research & Export Controls

Fundamental Research
  • Typically, not subject to regulations open participation. Excluding ITAR research involving controlled equipment.
Dual Use (EAR)
  • Restricted Research
  • Participation of U.S. citizen and permanent residents is permitted.
  • Participation of foreign persons may require a license or exception.
Military (ITAR)
  • Restricted Research
  • Participation of U.S. citizens and permanent residents is permitted.
  • Participation of foreign persons may require a license or exception.