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UTEP SOP Handbook

Section I - Purpose
Section II - Export Controls in Research Policy Statement
Section III – UTEP Export Control Program
Section IV – Overview of United States Export Control Laws and Regulations
Section V - Key Areas of Concern
Section VI – Export Control Procedures
Section VII – Export Control Analysis
Section VIII – Training
Section IX – Recordkeeping and External Reporting
Section X – Terms and Definitions

Section IX – Recordkeeping and External Reporting

 

The ITAR, EAR and OFAC regulations all stipulate record-keeping requirements for regulated export activities. Under each of these sets of regulations, records must be retained for five years after the completion of the activity and made available to the regulating authority upon request. Records that should be retained include all memoranda, notes, correspondence (including email), financial records, shipping documentation, as well as any other information related to the export activities. Additionally, when a license exception (EAR) or license exemption (ITAR) is used, additional records documenting the applicability of the exception/exemption may be required and, in some cases, there may be additional reporting requirements.

ORCRA will audit export-related records on a periodic and project basis. Unless otherwise provided for, all records indicated herein shall be maintained consistently with the UTEP record retention policy and shall be retained no less than five years after the project’s TCP termination date or license termination date, whichever is later.

If ITAR-controlled technical data must be kept even beyond the five-year retention period, those records must include:

  1. a description of the unclassified technical data;
  2. the name of the recipient/end-user;
  3. the date/time of export;
  4. the method of transmission (e.g., e-mail, fax, telephone, FedEx); and
  5. the exemption under which the export took place.

Note that information which meets the criteria of being in the public domain, being educational information, or resulting from Fundamental Research, is not subject to export controls under ITAR. Therefore, the special requirement for recordkeeping when using an exclusion, exception, or exemption may not apply. However, it is good practice to provide such a description for each project to establish a record of compliance.

BIS has specific record-keeping requirements. Generally, records required to be kept by EAR must be kept for a period of five years from the project’s termination date. However, if BIS or any other government agency makes a request for such records following a voluntary self-disclosure, the records must be maintained until the agency concerned provides written authorization otherwise.

Last Revision May 16, 2025