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

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

• International Traffic in Arms Regulations (ITAR) – Administered by the U.S. Department of State, Directorate of Defense Trade Controls (DDTC), ITAR governs the export of defense articles, defense services, and related technical data, including items related to military applications, spacecraft, and satellites.
• Export Administration Regulations (EAR) – Administered by the U.S. Department of Commerce, Bureau of Industry and Security (BIS), EAR regulates the export of "dual-use" items—those with both civilian and military applications—as well as associated software and technology
• Office of Foreign Assets Control (OFAC) from the U.S. Department of the Treasury, which covers restrictions due to foreign trade embargoes and economic sanctions.
• Office of Foreign Assets Control (OFAC) Regulations – Administered by the U.S. Department of the Treasury, OFAC enforces economic and trade sanctions, including restrictions on activities involving embargoed countries, entities, and individuals.

Most campus activities are not subject to export control licensing requirements due to common regulatory exclusions, including:

• The Fundamental Research Exclusion (FRE) for research intended to be published and shared broadly;
• The Public Domain/Publicly Available Exclusion for information already in the public sphere; and
• A research agreement limits publication of results or participation in the design, conduct, or reporting of the research based on citizenship.
• The Educational Information Exclusion for instruction in catalog-listed courses and associated labs.

However, your activity may be subject to export controls if:

• Your research involves items, software, technology, or technical data listed on the U.S. Munitions List (USML), Commerce Control List (CCL), or subject to OFAC sanctions;
• Your project includes collaborators or participants who are foreign nationals from sanctioned or embargoed countries;
• Traveling outside the U.S. with Texas Tech-owned property (e.g. laptop, cell phone, PDA, flash drive)
• Your research agreement restricts publication, access, or participation based on nationality or citizenship; or
• You plan to travel, ship, or transmit controlled items, data, or software internationally.

Please contact the Office of Export and Security Compliance (OESC) if any of the following scenarios apply to you:

• The research includes publication or participation restrictions or involves foreign nationals, and may require a Technology Control Plan (TCP)
• You are shipping or transferring items, equipment, or materials internationally
• You plan to travel internationally with Texas Tech-owned devices or data (e.g., laptop, flash drive, mobile phone)
• Your destination includes a country under U.S. sanctions or embargoes
• You intend to share or transmit non-public technical data, software, or encryption
• Your activity involves military training, defense articles, or intelligence applications
• You are signing a Non-Disclosure Agreement (NDA) that may limit information sharing or access
• You are collaborating, hosting, or entering into agreements with foreign nationals or entities, including purchase orders, MOUs, or research partnerships
• You are hiring or hosting a foreign national at Texas Tech
• You are working with a foreign vendor or person and need to initiate a Restricted Party Screening (RPS)

For any such activities, request assistance or screening through the [Restricted Party Screening Request Form (insert link)] or contact our office directly.

U.S. export control regulations include specific 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 (NSDD) 189.

NSDD 189 defines fundamental research as basic or applied research in science and engineering conducted at accredited institutions of higher education in the United States, where the resulting information is intended to be published and broadly shared in the scientific community. According to NSDD 189, the products of fundamental research are not subject to export controls unless national security restrictions are formally applied.

Criteria for the Fundamental Research Exclusion

Research conducted at Texas Tech generally qualifies for the FRE if all of the following conditions are met:

• 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, and:
  • There are no restrictions on publication of the results (beyond limited prepublication review to protect proprietary or patentable information);
  • There are no restrictions on participation in the research based on citizenship or nationality.

Important Notes

• FRE does not apply if a research agreement includes clauses that restrict access, limit publication, or exclude participation by foreign nationals.
• A sponsor’s request for prepublication review or temporary publication delay to protect proprietary data or patent rights does not compromise the FRE, provided these conditions are clearly defined and limited in scope.

Faculty should consult the Office of Export and Security Compliance (OESC) when reviewing research agreements to ensure FRE eligibility is preserved and to identify whether any export control obligations may apply.

Violations of U.S. export control laws—including the Export Administration Regulations (EAR), International Traffic in Arms Regulations (ITAR), and sanctions enforced under the International Emergency Economic Powers Act (IEEPA)—carry serious civil and criminal 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 similar fines and imprisonment up to five years, or both, per violation.

Civil Penalties

• Fines of up to $12,000 per violation for general infractions
• Fines of up to $120,000 per violation for national security-related items
• Fines of up to $311,562 per violation for sanctioned activities under IEEPA
• Additional consequences may include:
  • Suspension or debarment from federal contracts and grants
  • Revocation of export privileges
  • Seizure or forfeiture of exported items

Administrative Sanctions

For each violation, one or more of the following may be imposed:

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

Maintaining compliance with export control laws is not only a legal obligation—it protects Texas Tech University’s research enterprise, upholds national security, preserves access to federal funding, and safeguards the professional integrity of our faculty, staff, and students.