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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 VII - Export Control Analysis

 

Evaluating SponsoredResearch Activities

In coordination with the Office of Sponsored Projects (OSP), the Office of Contracts & Agreements, the Office of Research Compliance and Regulatory Assurances (ORCRA), and the Principal Investigator (PI) should conduct a thorough review of the research project and contract provisions to determine whether, and if so, how a particular research project is impacted by the regulations. ORCRA will assist researchers in assessing the application of such regulations, but primary compliance responsibility rests with the principal investigator of the research.

ORCRA reviews all sponsored activities that could involve export control issues due to the following reasons:

  1. Research that does not qualify under the Fundamental Research Exclusion/Public Domain Exclusion due to restrictions on publication or access by non-U.S. persons;
  2. Explicit references to export control regulations or language;
  3. Research that involves military applications;
  4. International travel;
  5. Collaboration with foreign entities/individuals (foreign sponsors);
  6. Controlled technology, Technical Data, or Item (Subject to EAR/ITAR);
  7. Research abroad;
  8. Non-U.S. participation;
  9. International transactions;
  10. International Shipping; and
  11. Export Controlled Related Activity Assessments

Sponsored Research Contracts and Non-Disclosure, Confidentiality, and Material Transfer Agreement

  1. Research & Innovation reviews the terms of the contracts and/or agreements for provisions that may:
    1. Restrict access to or publication of research/technical data;
    2. Limit the participation of non-U.S. persons in the activities; or
    3. Otherwise render the exemptions from the export control regulations inapplicable (e.g., export control language, sending technology abroad, receiving controlled proprietary/confidential information, etc.).
  2. OSP negotiates language in the agreements with the sponsor and consults ORCRA only if the problematic terms cannot be removed.
  3. Research & Innovation refers researchers to the Office of Sponsored Projects for materials transfers that may involve a proposed transfer of biological agents, chemicals and other hazardous materials for approval and shipping instructions.
  4. ORCRA conducts a thorough review of the agreement provisions to determine if and how a particular research activity is subject to export control regulations and determine if any additional information is needed from the researcher. Researchers may be contacted by ORCRA to gather additional or supplemental information necessary to evaluate the export control issue and research activities.
  5. If ORCRA determines that the research activities are subject to export control regulations, they will inform the Office of Sponsored Projects and the PI/Researcher and work with them to make the final determination for appropriate controls (e.g., develop and implement a Technology Control Plan (TCP) or Data Management Plan (DMP); request for export license; prepare faculty agreement, etc.).

Pre-Award Proposal Processing Procedures

  1. The Office of Sponsored Projects conducts the initial review and has oversight and approval authority for all grants, solicitations, proposals, and awards.
  2. All proposals are submitted by the PI electronically, to the Office of Sponsored Projects. The Sponsored Research Export Control Checklist Form must be submitted with the proposal to help determine whether any aspect of the sponsored research project activities will be subject to export control regulations.
  3. The PI and the Office of Sponsored Projects may identify the following red flags which indicate the possible presence of export control issues:
    1. References to U.S. export control regulations (beyond a mere statement to comply with the law);
    2. Restricts access or participation based on country of origin;
    3. Restricts the use of proprietary or confidential information;
    4. Grants the sponsor pre-publication review and approval for matters other than the inclusion of patent or sponsor proprietary/confidential information;
    5. Allows the sponsor to claim the results or data generated in the agreement as proprietary or trade secret;
    6. Involves the acquisition of export-controlled items or technical data (if known);
    7. Includes foreign sponsors or collaborators;
    8. Travel, shipping, or work outside of the United States;
    9. Military applications of project results.
  4. Upon completion of the Sponsored Research Export Control Checklist Form by the PI, the Office of Sponsored Projects checks for affirmative answers that might be an indication of a potential export control issue.
  5. OSP sends an email notification to the ECO (email: exportcontrol@utep.edu) indicating that “ Someone marked “YES” to at least one of the Export Control questions in a newly created routing form”.
  6. ORCRA conducts a thorough review of proposals, projects, and contract provisions to determine if and how a particular research project is subject to export control regulations within 72 hours of the submission and determines if any additional information is needed from the researcher. The PI may be contacted by ORCRA to gather additional or supplemental information necessary to evaluate the export control issue and research activities.
  7. If applicable, the PI/OSP asks the vendor to provide the ECCN or USML category, if known, for equipment/technology purchases. This information is used to determine whether a Technology Control Plan or an export license is required prior to releasing the technology to a non-U.S. person at UTEP or before taking or sending the technology overseas.
  8. If ORCRA determines that the research activities are subject to export control regulations, they will inform the PI and OSP. ORCRA will work with the PI to make the final determination (e.g., develop and implement a Technology Control Plan or Data Management Plan, request export license, prepare faculty agreement, etc.).

Post-Award Proposal Processing Procedures

  1. When OSP processes a Notice of Award (NOA), the routing system sends an email notification to the ECO and other Research Protections staff members to review the terms and conditions.
  2. ORCRA reviews the proposal and documentation related to the Award within 72 hours of the submission and determines if any additional information is needed from the PI based on the initial review at the Pre-Award Stage.
  3. If ORCRA determines that the research activities are subject to export control regulations, they will inform the PI and OSP and work with the PI to make the final determination for appropriate controls (e.g., develop and implement a Technology Control Plan or Data Management Plan, request for export license, prepare faculty agreement, etc.).
  4. In coordination with OSP and Contracts and Grants, ORCRA reviews final contracts and agreements to determine if potential export control issues were addressed prior to setting up the project account.
  5. If a determination is made that export controls apply to the project, the researcher must adhere strictly to any applicable restrictions and cooperate fully with ORCRA's efforts to implement the necessary mechanisms and procedures to safeguard the technology (EAR/ITAR) and to monitor compliance.
  6. If provisions that restrict the dissemination of information cannot be eliminated during negotiations, and if no exclusions or exemptions are applicable, ORCRA will consult with the PI to determine whether a Technology Control Plan or export license is required, based on the classification of the technology and participation of non-U.S. persons.
  7. ORCRA assists with the development and implementation of a Technology Control Plan and provides education and training for all personnel who will have access to export-controlled items.

Note: The requirement to determine whether an item meets the definition of a defense article/service (ITAR) may be triggered at numerous phases of the research process, beginning with the earliest concept design stages. Members of the UTEP community should notify ORCRA immediately of any changes.

Evaluating other Export-Controlled Related Activities

The Office of Research Compliance and Regulatory Assurances, in coordination with Purchasing, and the Office of Sponsored Projects, has developed the following processes and standard operating procedures to help College/Department Administrators, Researchers, and other persons engaged in any research/non-research activity identify whether the export control regulations affect a particular activity:

Acquisition and Management of Export-Controlled Items

  1. The Purchasing Department, Disbursement Services, and ORCRA require vendors, sponsors, collaborators, and others to notify UTEP if the items are export-controlled. This information is communicated to the PI or individual initiating the procurement for record-keeping and ensuring appropriate use and control of the purchased equipment.
  2. UTEP personnel shall also request a letter from the vendor stating that the items are (or are not) subject to export control regulations prior to placing any order and/or receiving the item.
  3. UTEP’s equipment/tangible items such as laboratory materials (agents), technology, software, hardware, and technical data will be classified prior to export to determine which, if any, control requirements apply to the item. In certain cases, access by certain non-U.S. persons for whom particular items are restricted, may also apply.
  4. When there is a question as to whether an item being procured is subject to export control, UTEP personnel shall request a letter from the vendor stating that the items are (or are not) subject to export control regulations prior to placing the order and/or receiving the item.
  5. The Office of Sponsored Projects is responsible for managing (in/out) Materials Transfer Agreements (MTAs) regarding biological materials on behalf of faculty. All materials transfer agreements with foreign persons/entities are referred to ORCRA for export control review.
  6. UTEP staff forwards requests for review/classification using the Export Control Related Activity Assessment Request Form to ORCRA.
  7. ORCRA assists with classifying the item through a commodity jurisdiction/classification to determine which governmental agency has jurisdictional control over the item.
  8. Once the commodity jurisdiction has been made, ORCRA informs all affected parties.
  9. ORCRA applies for export licenses and authorizations where required and advises appropriate individuals and license recipients on how to comply with license conditions. No export or deemed export can take place until a license is granted.
  10. ORCRA assists with the development and implementation of a Technology Control Plan and provides education and training for all personnel who will have access to export-controlled items.

International Shipping

  1. UTEP staff forwards requests for international shipping using the Export Control Related Activity Assessment Request Form to ORCRA.
  2. ORCRA works with the Exporter to get details as necessary and to determine the nature of the materials being shipped, the purpose of the shipment, and if any exceptions apply.
  3. If required, ORCRA will request a Commodity Classification/Jurisdiction from the U.S. Department of Commerce (BIS) or U.S. Department of State (DDTC) or apply for an export license where required. No export can take place until a determination has been made or a license is in place.
  4. ORCRA approves the Export Control Related Activity Assessment Request and provides classification and/or export validation letter.
  5. ORCRA applies for export licenses and authorizations where required and advises appropriate individuals and license recipients on how to comply with license conditions. No export can take place until a license is granted.
  6. Any licensed export, as well as exports with a dollar value greater than $2,500 must be entered into the Department of Census Automated Export System (AES) prior to the export of the item or information.

International Travel

  1. International Travel to a region falling under the U.S. Department of State’s designated “restricted region list” is monitored by the International Oversight Committee (IOC). The IOC is responsible for reviewing and making approval decisions on all University-sponsored, UTEP-administered, UTEP-organized foreign travel, or foreign travel conducted within one's capacity as a UTEP representative to high-risk regions . All UTEP-related foreign travel activities require online registration through On Call International (UT Group ID 100143CPPD21). More information on services provided by On Call International can be found here: International Emergency Assistance Program
  2. Travelers that intend to take computers, equipment, software, or any other UTEP inventory out of the U.S. should submit the Certification of Temporary Export of UTEP Property and Review of U.S. Export Control Regulations and Authorization to Remove Equipment Off Campus forms to ORCRA. This is in addition to the requirements of the Information Security Office (ISO) and the Office of Institutional Property Management.
  3. ORCRA reviews the information provided by the traveler in the form and determines if the equipment listed on the form is subject to EAR/ITAR.
  4. If applicable, ORCRA screens the individuals and entities listed on the form against the list of U.S. government's Denied/Restricted Parties (Visual Compliance Software).
  5. ORCRA validates and sends the form via email to the traveler with the restricted party screening results, if applicable.
  6. If further review is required, the researcher or responsible party provides all required information regarding the activity.
  7. Travel to an OFAC-embargoed country requires a travel license issued by the Treasury Department, if no general license applies.
  8. On November 19, 2024, Governor Greg Abbott signed Executive Order No. GA-48. As a result, all University employees are required to complete a Personal Foreign travel Notification prior to travelling to a foreign-adversary nation and submit a Post Foreign Travel Questionnaire upon their return.

Exclusions that are relevant for researchers when traveling include:

  • Published Information and Software – information that is generally accessible to the public through publication in books or periodicals, or information presented in the United States at a conference, meeting, seminar, trade show or other open gathering (members of the general public are eligible to attend and attendees are permitted to take notes) is considered to be in the public domain. Software available from a web site and accessible to the public is also considered to be publicly available. (Encryption software with symmetric key length exceeding 64 bits does not meet this exclusion.)
  • Educational Information – Course material taught in U.S. universities, course catalog classes, and information that is in the public domain all fall within the educational information exception. (Encryption software with symmetric key length exceeding 64 bits does not meet this exclusion.)

International Transactions (Financial, Collaboration, Exchanges, etc.)

  1. UTEP employees must submit a request for a restricted party screening to the Office of Research Compliance and Regulatory Assurances prior to doing business with an entity or individual overseas.
  2. Office of Research Compliance and Regulatory Assurances reviews the information/activity, screens collaborators/vendors, and sends the restricted party screening results to the requester.

Visiting Foreign Scholars/Researchers

  1. UTEP staff submits a request for a restricted party screening to ORCRA of all other non-U.S. visitors and potential new non-U.S. employees prior to conducting any transaction or sending an invitation.
  2. Departments, centers, faculty, researchers, and administrators at UTEP who intend to invite or host visitors on a temporary basis should follow the guidelines and processes provided under their programs.
  3. The host must certify that the non-U.S. visitor will not have access (whether verbal, written, electronic, and/or visual) to export-controlled information or physical items during the visit.
  4. UTEP staff forwards the service agreement and Visiting Scholar/Researcher Approval and Screening Form to ORCRA for approval.
  5. ORCRA reviews the information and the description of the scope of the visit on the visiting scholar/researcher approval form.
  6. ORCRA approves and forwards either the service agreement to OSP if the agreement is related to sponsored research; or the Visiting Scholar/Researcher Approval and Screening Form to the applicable department.

Technology Control Plans (TCP)

A Technology Control Plan is a protocol that outlines the procedure to secure certain export-controlled items (technical data, materials, software, or hardware) in order to protect them from unauthorized use, access, and observation by non-U.S. persons who do not have a license to use the technology. TCPs will include:

  1. A commitment to export control compliance;
  2. Identification of the applicable export controls, and items or technologies subject to the controls;
  3. A description of the agreed upon security measures to control the item/technology including, as appropriate:
    • laboratory compartmentalization
    • time blocking
    • marking
    • personnel identification
    • locked storage
    • electronic security
    • confidential communications
  4. Identification and nationality of each individual who will have access to the controlled item or technology.
  5. Personnel screening measures for granting access to the controlled item/technology.
  6. Appropriate security measures for disposal of the item/technology when use is complete.
  7. TCP renewal (required every year after the initial certification)

Monitoring and Auditing

The Office of Research Compliance and Regulatory Assurances will conduct periodic self-assessments/internal reviews of TCPs and other university activities, to assure the compliance and effectiveness of the UTEP Export Controls program. These reviews may include any or all of the following:

  1. Monitoring all executed Technology Control Plans (TCPs), which will be audited on at least an annual basis and/or as needed to ensure compliance.
  2. Examination of UTEP Export Controls procedures.
  3. Periodic review and tracking of documentation and processes, including review of internal recordkeeping, communications, document transfer, maintenance, and retention.

Last Revision May 16, 2025