Export Control

The export of certain data, technologies, software and hardware is regulated and controlled by Federal law for reasons of national security, foreign policy, prevention of the spread of weapons of mass destruction, and for competitive trade reasons. The University and all its employees are required to comply with applicable export control laws and regulations.

Visit this site often for information about export control regulations and how they affect research on campus - such as employing foreign nationals on projects, international travel, and shipping or taking items (e.g. laptops, software, and data) outside the U.S.

Questions concerning export controls can be addressed to the University Export Controls Officer.

Regulations & Resources

Basics of Export Control

TitleDescriptionType
Export Control Regulations Overview Overview of U.S government export control regulationsPDF
Key TermsGlossary of export controlsPDF
Countries of ConcernExport control countries of concernPDF
Restrictions on Research Awards: Troublesome Clauses 2007/2008A report on restriction clauses and recommendations issued by the Council Governmental Regulations (COGR) and Association of American Universities (AAU)PDF
Stanford University Export Decision TreeA questionnaire to determine whether export controls are applicable to your projectWEB

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International Travel

TitleDescriptionType
Travel Related Export Control IssuesGovernment regulations on export control for travel outside the U.S.WEB
Department of State Travel AdvisoriesTravel alerts and warnings issued by the U.S. Department of StateWEB
Department of State Travel InformationResources for international travel hosted by the U.S Department of StateWEB

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UT Austin Guidance, Policy, and Forms

TitleDescriptionType
U.S. Export Laws and RegulationsMemo issued by the Office of Vice President for ResearchPDF
Export Controls Compliance Program ManualUT Austin export controls compliance programm manualPDF
Technology Control Plan (TCP) CertificationTechnology Control Plan (TCP) Certification formDOC
Technology Control Plan (TCP) Certification with DFARS 7000Technology Control Plan (TCP) Certification with DFARS 7000 clause addendumDOC
Technology Control Plan (TCP) Certification with DFARS 7012Technology Control Plan (TCP) Certification with DFARS 252.204-7012 provisionDOC
Cloud Computing Guidance Export guidance concerning
cloud computing and remote digital data storage
PDF
March 2012 Reminder Concerning Portable Computing and Data Storage DevicesMemo issued by OSP concerning portable computing and data storage devicesWEB
Common Misconceptions, Mistakes, and Myths about Export ControlsClarifications on export controlsWEB

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Federal Resources

TitleDescriptionType
Bureau of Industry and Security (BIS)BIS websiteWEB
Classification Information TableCommodity Classification information published by BISWEB
Export Administration Regulations TrainingTraining seminars provided by BIS for export control policies, regulations and proceduresWEB
Bureau of Industry and Security AdvisoryAdvisory on export controls issued by BISPDF
Export Administration Regulations (EAR) Electronic EAR files created by BISWEB
"Use" Technology Summary Index from the Bureau of Industry and SecurityExport control requirements for different categories of "use" software and technology.PDF
Fundamental Research/NSDD 189Memo issued by Department of Defense concerning scientific exchanges and dissemination of research resultsPDF
International Traffic in Arms Regulations (ITAR)Regulations published by the Department of State on export and import of defense articles and servicesWEB
Annotated ITARAnnotated version of International Traffic in Arms RegulationsPDF
Office of Foreign Assets Control (OFAC) OFAC administers and enforces economic and trade sanctionsWEB

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Concerns for Faculty, Staff & Students

The United States is committed to encourage technology exchanges that are consistent with U.S. national security and nuclear nonproliferation objectives. Although most of the research and technology development The University of Texas at Austin conducts is exempt from U.S. export control regulations, we must still comply with the regulations.

An export can occur though a variety of means, including

  • shipping,
  • oral communications,
  • written documentation (including e-mails), and
  • visual inspections of any technology, software or technical data to any non-U.S. citizen, whether here in the U.S. or abroad.

How do these regulations affect you as a faculty or staff member at UT? Export controls affect three main areas at UT: research, travel outside the U.S., and shipping.

Research

If you are doing fundamental research and the results of the research will be in the public domain (see definitions below), you probably will not have any export control issues unless you have a foreign national working with controlled (found on the Commerce Control List or the U.S. Munitions List) proprietary technology in conjunction with your research project (see Technology Control Plan (TCP) Certification). You may also be working on a project that has controlled proprietary technology or the government has placed access controls on the technology, but you do not have foreign nationals involved in your research. In this situation you must have a Technology Control Plan in place that limits access to only U.S. citizens and foreign nationals with a green card.

Fundamental Research, as used in the export control regulations, includes basic or applied research in science and/or engineering at an accredited institution of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is distinguished from research which results in information which is restricted for proprietary reasons or pursuant to specific U.S. Government access and dissemination controls. University research will not be deemed to qualify as Fundamental Research if: (1) the University or research accepts any restrictions on the publication of the information resulting from the research, other than limited prepublication reviews by research sponsors to prevent inadvertent divulging of proprietary information provided to the researcher by sponsor or to insure that publication will not compromise patent rights of the sponsor; or (2) the research is federally funded and specific access and dissemination controls regarding the resulting information have been accepted by University or the researcher. The citation for the official definition of Fundamental Research under the EAR is 15 CFR § 734.8. The ITAR citation is 22 CFR § 120.11.

Public Domain (22 CFR 120.11) means information that is published and that is generally accessible or available to the public: (1) through sales at newsstands and bookstores; (2) through subscriptions which are available without restriction to any individual who desires to obtain or purchase the published information; (3) through second class mailing privileges granted by the U.S. Government; (4) at libraries open to the public or from which the public can obtain documents; (5) through patents available at any patent office; (6) through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the United States; (7) through public release (i.e., unlimited distribution) in any form (e.g., not necessarily in published form) after approval by the cognizant U.S. government department or agency; and (8) through fundamental research.

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Travel

Travel outside the U.S. can present export control issues for UT employees. There are government regulations that affect:

  • Taking items with you on a trip in support of your work or conference such as
    • Laptops
    • Encryption products
    • Data/technology
    • Blueprints, drawings, schematics
  • Supplying certain technologies/data at a "closed" conference or meeting (not open to all technically qualified members of the public, and attendees are not permitted to take notes)
  • Money transactions and the exchange of goods and services in certain countries
  • Travel to sanctioned/embargoed countries
  • Doing business with certain people or entities

What this means is that a license could be required from the Departments of Commerce, State, or Treasury, depending on what you are taking and the country you are traveling to. Another aspect to consider is that a license could also be required if you are providing a defense service*to a foreign person.

Fortunately, travel to most countries does not usually constitute an export control problem. In some cases, an exception or exemption to the license requirements is available; however, regulations require the exception/exemption to be documented, and records must be kept for five years. The documentation forms and a detailed explanation of the exception and exemption can be found here.

Contact David Ivey, Associate Director, University Export Controls Officer, in the Office of Sponsored Projects if you have any questions regarding export control issues related to your projects or travel outside the U.S. He can be reached at 512-475-7963, or via email at ivey@austin.utexas.edu.

*A defense service means the furnishing of assistance (including training) to foreign persons in the design, development, engineering, manufacture, production, assembly testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of a defense article. A defense service also includes furnishing to foreign persons any technical data which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense articles.

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Shipping

Shipping items outside the U.S. could require a license from OFAC, the Department of State, or the BIS. Check with David Ivey to determine if a license is needed. An OFAC license takes six months to receive, a license from the Department of State takes two months, and a license from the BIS takes approximately two weeks, so allow plenty of time before you need to ship. Do not ship an item outside the United States without the proper licensing. If customs audits the shipment, and a license was required and not in place, you and UT would be fined.

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Contact Information

Contact David Ivey, Associate Director, University Export Controls Officer, in The Office of Sponsored Projects, if you have any questions regarding export control issues related to your projects or travel outside the U.S. His phone number is 512-475-7963, and e-mail address is ivey@austin.utexas.edu.

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License Exceptions

Export License Exception (TMP) for Temporary Exports/Reexports

This exception (TMP) can be used for travel outside the U.S. when you are taking items or technology that would normally require a license from the Department of Commerce.

What the exception covers

The export of items, technology, commercial software, and encryption code is subject to export control regulations (this includes laptops, PDAs and digital storage devices). The Department of Commerce's Export Administration Regulations (EAR) makes an exception to licensing requirements for the temporary export or reexport of certain items, technology, or software for professional use as long as the criteria in the Export License Exception (TMP) Certification (Word) are met.

What the exception does not cover

The exception does not apply to any EAR satellite or space-related equipment, components, or software, or to any technology associated with high-level encryption products and cannot be used for travel to Iran, Syria, Cuba, North Korea, or Sudan (in limited circumstances TMP can be used for Sudan). This exception does not apply to items, technology, data, or software regulated by the Department of State's International Traffic in Arms Regulations (ITAR) - see ITAR exemption below.

Record-keeping requirements and procedures

The regulations require the use of this license exception be documented, and records must be kept for five years. Fill out the exception form prior to travel (keep a copy for your files) and return to David Ivey, Export Controls Officer in the Office of Sponsored Projects, via e-mail at ivey@austin.utexas.edu. Contact him at 512-475-7963 if you have questions regarding the exception and procedures.

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Export License Exception (BAG) for Temporary Exports/Reexports

License Exception (BAG) Certification (Word) can be used for travel outside the U.S. when you are taking PERSONAL items or technology that would normally require a license from the Department of Commerce (see TMP exception above). For example, if you plan to take your personal laptop rather than a UT laptop when attending a conference or conducting research abroad, and you are taking controlled technology, software, or other information that would require a license, the BAG license exception is available. In addition, only the BAG exception is available for travel to Cuba, Syria, and North Korea - taking a UT owned laptop would require a license from Commerce.

Record-keeping requirements and procedures

The regulations require the use of this license exception be documented, and records must be kept for five years. Fill out the exception form prior to travel (keep a copy for your files) and return to David Ivey, Export Controls Officer in the Office of Sponsored Projects, via e-mail at ivey@austin.utexas.edu. Contact him at 512-475-7963 if you have questions regarding the exception and procedures.

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In the News

ZTE Corporation Agrees to Plead Guilty and Pay Over $430.4 Million for Violating U.S. Sanctions by Sending U.S.-Origin Items to Iran

Combined Penalty of $1.19 Billion with Department of Commerce and Department of Treasury Actions Shows All of Government Approach to Sanctions Enforcement

ZTE Corporation has agreed to enter a guilty plea and to pay a $430,488,798 penalty to the U.S. for conspiring to violate the International Emergency Economic Powers Act (IEEPA) by illegally shipping U.S.-origin items to Iran, obstructing justice and making a material false statement. ZTE simultaneously reached settlement agreements with the U.S. Department of Commerce’s Bureau of Industry and Security (BIS) and the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC). In total ZTE has agreed to pay the U.S. Government $892,360,064. The BIS has suspended an additional $300,000,000, which ZTE will pay if it violates its settlement agreement with the BIS.

Attorney General of the United States Jeff Sessions, Acting Assistant Attorney General for National Security Mary B. McCord, U.S. Attorney John R. Parker for the Northern District of Texas and FBI Assistant Director Bill Priestap for the Counterintelligence Division made the announcement today (Tuesday March 7, 2017).

To read the entire article, visit Department of Justice.

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Russian Industry Sector Sanctions

In a rule, signed August 1, 2014 Under Secretary of Commerce for Industry and Security Eric L. Hirschhorn, the Bureau of Industry and Security (BIS) amends the Export Administration Regulations (EAR) to impose additional sanctions implementing U.S. policy toward Russia to address that country's continuing policy of destabilization in Ukraine and continuing occupation of Crimea and Sevastopol. Refer to Guidance on Due Diligence to Prevent Unauthorized Transshipment/Reexport of Controlled Items to Russia issued by the BIS for more details.

To read the entire article, visit the Russian Industry Sector Sanctions page.

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University Medical Researcher Prosecuted for Sending Medical Device to Iran

March 18, 2014 - According to this article in the San Diego Union Tribune, Mohamad Nazemzadeh, who was a Research Fellow in the Neurology Department of the University of Michigan at the time of his arrest, is being prosecuted for sending a medical device to Iran. At issue is a coil for a magnetic resonance imaging (MRI) machine. The coil is the assembly of wires that generates the necessary radio signals when electricity flows through them to permit imaging the part of the body within the coil.

To read the entire article, visit  ExportLawBlog.

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Universities Face a Rising Barrage of Cyberattacks

July 16, 2013 - America’s research universities, among the most open and robust centers of information exchange in the world, are increasingly coming under cyberattack, most of it thought to be from China, with millions of hacking attempts weekly. Campuses are being forced to tighten security, constrict their culture of openness and try to determine what has been stolen.

To read the entire article, visit The New York Times.

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