Ethics & Compliance: Export Controls | Administrative Services

The export of certain items and information is regulated for reasons of national security, foreign policy, prevention of the spread of weapons of mass destruction, and for competitive trade reasons, in accordance with United States laws and regulations, the Texas A&M University System (System) regulations, and agency rules and procedures. Texas A&M AgriLife is committed to operating in compliance with the United States (U.S.) Department of Commerce Bureau of Industry and Security (BIS) Export Administration Regulations (EAR), the U.S. Department of State Directorate of Defense Trade Control (DDTC) International Traffic in Arms Regulations (ITAR), as well as those imposed by the U.S. Department of Treasury Office of Foreign Assets Control (OFAC).

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The who, what, when, where, and why | Individual Responsibility
Laws, Regulations, Policies, Rules, and Procedures

The who, what, when, where, and why

The Who:
Who regulates export control laws? │ Export control laws regulate the conditions under which certain physical items and information can be transmitted to either foreign persons or foreign entities in the United States or abroad. The purpose of these associated laws and regulations are to protect national economic, security, and foreign policy interests. Export regulations derive from several branches of the U.S. Federal Government:

U.S. Department of Commerce Bureau of Industry and Security (BIS)
- Export Administration Regulations (EAR)
- Responsible for commercial and dual–use products and technology that could have military applications
U.S. Department of State Directorate of Defense Trade Control (DDTC)
- International Traffic in Arms Regulations (ITAR)
- Responsible for defense articles, defense services, and related technical data
U.S. Department of Treasury Office of Foreign Assets Control (OFAC)
- Administers and enforces economic sanctions programs primarily against countries and groups of individuals

Foreign Person—In accordance with System Policy 15.02, Export Controls, “foreign person” is defined as: 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.

Individual Responsibility— All employees and affiliates of Texas A&M AgriLife are ultimately individually responsible for ensuring compliance with U.S. export controls regulations, as well as System policies and regulations, and must conduct their affairs in accordance.

The What:
What are exports? │ Exports generally include: actual shipment of any covered goods or items; electronic or digital transmission of any covered goods, items, or related goods or items; any release or disclosure, including verbal disclosures and visual inspections, of any technology, software, or technological data to any foreign person or entity; and the actual use or application of a covered technology on behalf of or for the benefit of a foreign entity or person.

Exports occur when a controlled physical item or controlled information is transmitted outside the borders of the United States, or when a controlled physical item or controlled information is transmitted to a foreign person in the United States. Furthermore, the transfer of technology, software, or technical data to foreign nationals inside the United States is considered a deemed export.

The When:
When does it apply? │ There are several exclusions to export control laws and regulations. Most university activities will fall under exclusions to export control regulations (not all exclusions apply outside the U.S.):

Fundamental Research Exclusion (FRE)
- Applies to controlled information, but not to controlled physical items
- Does not apply outside the U.S.
Public Domain/Public Information Exclusion
Educational Information Exclusion

Although the exclusions may apply to Texas A&M AgriLife activities, it is important to remember that because of the complexity of the U.S. export control regulations, potential export–controlled activities should be evaluated on a case–by–case basis.

The Where:
Where could export control regulations be violated? │ It is imperative that Texas A&M AgriLife employees recognize that export control regulations apply broadly—not just to sponsored research. Some functions that could potentially be subject to export controls include (but not limited to): travel, visiting scientists, equipment and material surplus and disposal, international collaboration, sponsored research, nondisclosure, material transfers, licenses for intellectual property, and distance education.

The Why:
The purpose of export control laws and regulations is to protect national economic, security, and foreign policy interests. Texas A&M AgriLife is committed to promoting a culture of compliance in regards to all U.S., System, and agency export control regulations, policies, and rules.

Individual Responsibility

Texas A&M AgriLife is committed to promoting a culture of compliance in regards to all U.S., System, and agency export control laws, regulations, policies, procedures, and rules. All employees of Texas A&M AgriLife are ultimately individually responsible for ensuring compliance with U.S. export controls regulations, as well as System policies and regulations, and must conduct their affairs in accordance. While complying with all applicable regulations, policies, and rules, it is important to foster and maintain open research and educational environments welcoming participation of researchers and visitors from around the world. It is also imperative that Texas A&M AgriLife employees recognize that export control regulations apply broadly—not just to sponsored research.