Restricted Party Screening

What is restricted party screening?

Restricted Party Screening is the process of checking individuals, companies, and organizations against government and international watchlists to determine whether they are restricted, blocked, or denied from participating in certain activities.

Texas Tech University uses Visual Compliance, a third-party screening tool, to help ensure that visitors, collaborators, vendors, donors, and other external parties comply with export control laws and federal regulations.

When is screening required?

Restricted party screening should be conducted before engaging with:

• Research visitors
• Other hosted international visitors, regardless of the length of their visit
• Vendors
• Sponsored research collaborators
• Donors and gifts
• Corporate or industry partners
• International research collaborators
• International shipments not otherwise screened through the MailTech process

Submit a screening request through the Restricted Party Screening Request Form.

When Do Export Controls Apply?

Most university research and instructional activities are not subject to export control licensing requirements because they qualify for common regulatory exclusions, including:

• The Fundamental Research Exclusion for research intended to be published and broadly shared
• The Public Domain or Publicly Available Information Exclusion
• The Educational Information Exclusion for instruction offered through catalog-listed courses and associated laboratories

Export controls may apply when an activity:

• Involves items, materials, software, technology, or technical data controlled under ITAR, EAR, or OFAC regulations
• Includes collaborators or participants from sanctioned or embargoed countries
• Restricts publication, access, or participation based on citizenship or nationality
• Requires shipping or transferring equipment, materials, software, or data internationally
• Involves international travel with Texas Tech-owned devices, software, or non-public data
• Includes military, defense, intelligence, encryption, or other controlled applications

Contact ESC before:

• Signing an agreement or NDA that limits publication, participation, or access
• Hiring or hosting a foreign national
• Collaborating or entering into an agreement with a foreign individual or organization
• Traveling to a sanctioned or embargoed destination
• Sharing non-public technical data, software, or encryption
• Working with a foreign vendor or requesting restricted party screening

Early consultation allows ESC to identify potential requirements, prevent delays, and determine whether a license, authorization, screening, or Technology Control Plan is needed.

Research Security Responsibilities

In addition to export control compliance, ESC supports Texas Tech faculty and staff in meeting federal and state research security requirements.

ESC helps the university:

• Identify and mitigate risks associated with undue foreign influence
• Ensure accurate disclosure of foreign relationships, affiliations, and support
• Protect sensitive research data and intellectual property from cyber and physical threats
• Implement required security measures for federally funded research
• Maintain the integrity and transparency of university research activities

Researchers are responsible for providing complete and accurate disclosures, following applicable security requirements, and contacting ESC when an activity may involve foreign relationships, controlled information, or other research security concerns.

How ESC Can Help

ESC works with faculty, staff, administrators, and leadership across Texas Tech University and the Texas Tech University System to support compliance while enabling responsible research and international collaboration.

Services provided by ESC include:

• Evaluating research activities and institutional operations for export control and research security implications
• Assessing and mitigating regulatory and security risks
• Developing Technology Control Plans, policies, procedures, and compliance frameworks
• Obtaining required federal licenses and authorizations for controlled research and international shipments
• Conducting restricted party screenings
• Providing training and awareness programs for faculty, staff, and students
• Advising researchers on international travel, collaborations, agreements, and data transfers

Faculty and staff are encouraged to contact ESC early in the planning process to protect research integrity, avoid delays, and reduce legal or regulatory risk.

Policy and Regulations

Texas Tech University complies with Operating Policy 74.10, which establishes institutional procedures for complying with federal export control laws governing the transfer of information, technologies, software, and tangible items.

Export control compliance at Texas Tech is primarily guided by regulations administered by three federal agencies:

• International Traffic in Arms Regulations (ITAR) – Administered by the U.S. Department of State, Directorate of Defense Trade Controls, ITAR governs defense articles, defense services, and related technical data.
• Export Administration Regulations (EAR) – Administered by the U.S. Department of Commerce, Bureau of Industry and Security, EAR regulates commercial and dual-use items, software, and technology that may have both civilian and military applications.
• Office of Foreign Assets Control Regulations – Administered by the U.S. Department of the Treasury, OFAC enforces economic and trade sanctions involving certain countries, entities, and individuals.

Exclusions & Exemptions

U.S. export control regulations include exclusions and exemptions that may apply to academic research and instructional activities. For universities, the most significant is the Fundamental Research Exclusion (FRE), established under National Security Decision Directive 189.

Fundamental research generally includes basic or applied research in science and engineering conducted at an accredited U.S. institution of higher education when the results are intended to be published and broadly shared with the scientific community.

Fundamental Research Exclusion Criteria

Research conducted at Texas Tech generally qualifies for the FRE when:

• The work involves basic or applied research in science or engineering
• The research is performed at an accredited U.S. institution of higher education
• The results are intended for publication or public dissemination
• There are no restrictions on publication beyond limited review to protect proprietary or patentable information
• There are no restrictions on participation based on citizenship or nationality

Important Considerations

• The FRE may be lost when an agreement restricts access, limits publication, or excludes participation by foreign nationals.
• A limited prepublication review or temporary publication delay intended to protect proprietary information or patent rights may be permitted when clearly defined and limited in scope.
• The FRE applies to research results but does not automatically exempt controlled equipment, software, technology, or proprietary information used during the research.

Faculty should consult ESC when reviewing research agreements to preserve FRE eligibility and identify any export control requirements.

Fines & Sanctions

Violations of U.S. export control laws—including EAR, ITAR, and sanctions enforced under the International Emergency Economic Powers Act—can result in serious civil, criminal, and administrative penalties for both individuals and institutions.

Criminal Penalties

• Willful violations:
  • Institutions may be fined up to $1,000,000 or five times the value of the export, whichever is greater.
• Knowing violations:
  • Institutions may be fined up to $50,000 or five times the value of the export, whichever is greater.
  • Individuals may face fines, imprisonment for up to five years, or both, for each violation.

Civil Penalties

• Fines for each violation
• Suspension or debarment from federal contracts and grants
• Revocation of export privileges
• Seizure or forfeiture of exported items

Administrative Sanctions

Additional consequences may include:

• Denial of export privileges
• Exclusion from participation in export activities
• Termination of federal funding
• Disciplinary action
• Reputational harm to the institution and individual researcher

Maintaining compliance protects Texas Tech University’s research enterprise, preserves access to federal funding, supports national security, and safeguards the professional integrity of its faculty, staff, and students.