Chapter 14: International Shipping

14.1 Purpose

This Policy specifies The University of Texas at El Paso’s (University) commitment to compliance with all export and import regulations, trade sanctions, and transportation laws as they apply to international shipments, and to outline processes and procedures for institutional review of international shipments prior to shipment. The University will comply with United States (U.S.) export regulations that may require an export license or license exceptions based on the item (including technical data), shipping destination(s), value, or end user. Failure to obtain an export license when required could result in fines and/or criminal prosecution.

14.2 Policy Statement and Applicability

This Policy shall apply to all individuals at the University who ship internationally under the auspices of conducting University business.

14.3 Policy Guidelines

The University will comply with all U.S. federal export control, trade sanctions and transportation regulations when shipping items, commodities, equipment, materials, substances, biologics, artifacts, software, and/or technical data (collectively, items) to an international destination or party. These laws govern:

Items that are exported (i.e., transferred) out of the U.S.:

Includes exporting to Canada and Mexico;
Includes passing through Canada or Mexico (e.g., in a vehicle) from a U.S. destination such as Alaska;

Shipments which require an export license, No License Required (NLR), License Exemption, License Exception, or other authorization;
Shipments which require customs declarations, filings, and other documentation; and
Shipments which require hazardous materials protocols.

Individuals shipping on behalf of the University must ensure all necessary institutional reviews and the submission of accurate documentation are completed prior to shipping. Institutional reviews may include, but are not limited to, reviews by the Division of Business Affairs, Office of Research Protections, Environmental Health & Safety Department, Office of Sponsored Projects, Office of Legal Affairs, or others with a legal interest in the items to be shipped.

Automated Export System (AES) filing for shipments valued over $2,500.00 (USD) or those that require an export license are required under the Federal Trade Regulations. The Export Control Officer can review and advise on available license exceptions.

14.3.1 Procedures: The International Shipping Review Process provides guidance for shipping items internationally. Shippers must follow this process prior to shipping any item internationally. Prior to initiating an international shipment, the shipper must complete and submit an International Shipment Review request form to exportcontrol@utep.edu. Research Protections will be reviewed, and the shipper may be contacted for additional information. The shipper will be notified when approval is granted.

14.3.2 Record Keeping: All shipping records including pro forma invoices, airway bills, export filings, and associated communications are required to be maintained for a period of five years from the date of the export, unless otherwise directed by a federal agency (such as the Office of Foreign Assets Control (OFAC)). Request a copy of relevant documents from the shipper or print them when using an online application. The shipping vendor (such as DHL, FedEx, or UPS) will not keep copies of shipping records for the shipper.

14.4 Sanctions for Non-Compliance

U.S. government agencies strictly enforce export control and trade sanctions regulations through substantial civil and criminal penalties, federal debarment, and revocation of export privileges. Agencies have full audit and oversight authority. The U.S. government maintains lists of restricted individuals and organizations, which are frequently updated. Shipping to a restricted party (Sanctions Programs and Country Information - Office of Foreign Assets Control) without federal approval is a violation of federal law.

14.5 Violations, Penalties, and Reporting

In addition to civil and criminal penalties that may apply under applicable laws to individual University personnel and to the University, violation of export controls and regulations may subject the violator to remedial or disciplinary action by the University and/or the U.T. System for misconduct including termination or dismissal, in accordance with applicable University and U.T. policies and procedures.

14.5.1 International Traffic in Arms Regulations (ITAR) penalties: Civil – up to $500,000 per violation, extra compliance measures, debarment, and loss of export privileges. Criminal – up to $1,000,000 per violation, and 10 years imprisonment.

14.5.2 Export Administration Regulations (EAR) penalties: Civil – up to $250,000 per violation or twice the amount of the transaction, and loss of export privileges. Criminal – up to $1,000,000 per violation, and 20 years imprisonment.

14.5.3 OFAC penalties: Civil – up to $250,000 per violation. Criminal – violations may be referred to appropriate law enforcement agencies for criminal investigation and/or prosecution. Actions could include license denial/revocation, subject person could be ordered to cease and desist.

Faculty and staff who believe a violation of this Policy has occurred should report it to the Compliance Helpline.

14.6 Definitions

Automated Export System (AES): An electronic system used by U.S. exporters to file export shipment data and comply with federal regulations. It serves as the central point for electronically filing Electronic Export Information (EEI), which is required for various export transactions.

Dangerous Goods: Substances that present an immediate hazard to people, property or the environment due to properties including flammability, explosiveness, acute toxicity and dangerous reactivity.

Deemed Export: The release of controlled technology or source code to a foreign national within the U.S., which is treated as an export to that person’s home country. This can include sharing technical information, such as through visual inspection, oral briefings, or electronic communication.

Export: The actual shipment or transmission out of the U.S., including the sending or taking of an item out of the U.S., in any manner is subject to federal regulations designed to protect national security and economic interests. Deemed exports are also subject to these regulations.

Export Control Officer (ECO): The person who is identified formally at the University for the purpose of institutional compliance with export control regulations.

Federal Trade Regulations (FTR): The federal regulations codified in 15 CFR Part 30 that govern the reporting of U.S. export transactions and establish the requirements for filing Electronic Export Information through the Automated Export System.

Individuals: All University employees, including full-time and part-time employees, student employees, consultants, visitors, and others using University resources.

License Exception: An authorization under the Export Administration Regulations (EAR) that permits an export, re-export, transfer without obtaining an individual license, provided all specified regulatory conditions are met. It applies when license would otherwise be required.

License Exemption: A provision under the International Traffic in Arms Regulations (ITAR) that permits the export, temporary import, or transfer of a defense article, technical data, or defense service without obtaining a specific export license, provided all regulatory conditions are satisfied. It does not eliminate ITAR compliance or recordkeeping requirements.

Resources: All resources owned or leased by the University, or otherwise used by University personnel, within the scope of their duties, at the University.

Shipper: An individual or entity shipping on behalf of the University.