Research Integrity and Compliance (RIC) has developed a process to ensure that all research is conducted in compliance with export control regulations. This process involves:
- Conducting a thorough review of proposals, projects, and contract provisions to determine if and how a particular research project is subject to export control regulations
- Properly documenting the applicability of the fundamental research exclusion and/or public domain exemption.
- Managing export-controlled research to ensure that it is conducted in full compliance with the law.
- Providing information and training sessions to all Texas State investigators, employees, students and research administrators on the subject of export controls.
The PI has the best understanding on his or her research and therefore the best information as to whether the particular technology, data, or information involved in the research is or may be covered by export control regulations. The PI is responsible for doing the following:
- The PI should carefully review the information on export controls provided on this website. Additionally training on export controls is provided by RIC and is available to PIs, students, departments, and research coordinators.
- During the proposal and negotiation stage of their research project, the PI should determine whether any export control issues are relevant to their project.
- If any issues are identified, the PI should contact RIC for help with determining whether any export control restrictions may apply to the research
- After the project has begun, the PI should notify RIC prior to implementing any changes that may give rise to the application of export controls, such as a change in the scope of work or the addition of new staff to the project.
- If it is determine that export controls apply to the project, the PI must adhere strictly to any applicable restrictions and cooperate fully with RIC efforts to monitor compliance.
Sponsored Research and Technology Transfer and Contracts
The RIC Director, Sean Rubino, is the primary person at Texas State responsible for working with PIs and addressing their questions and concerns associated with export controls. In addition, Pre and Post Award Support Services and TTC is responsible for the following with respect to export controls:
- Work with PIs at the proposal stage to identify any export control issues presented by the proposed research and will assist the PI in determining whether export control regulations apply to the project.
- Will review research agreements for export control language and for terms or provisions that restrict access to or prohibit publication of research results, limit the participation of foreign nationals in the research, or void the fundamental research exclusion.
- If provisions that restrict the dissemination of information cannot be eliminated during negotiations, and if no exclusions or exemptions are applicable, RIC will consult with the PI and draft a Technology Control Plan (TCP) that will document how the project will comply with the conditions set in the agreement.
- When it has been determined that export control oversight is required, Pre and Post Award Support Services will not be authorized to execute the financial set-up of the award until all reviews have been authorized by RIC.
Technology Control Plan
A TCP is the formalization of the processes and procedures the University project personnel will use to ensure that any subject items and information are not disclosed to unauthorized personnel or otherwise exported without the necessary US government authorization. RIC has created a template TCP to serve as a starting point, with the intention that it be adapted to, first and foremost, comply with the specific regulatory requirements and secondly to accommodate the needs and structure of the related University project or program. RIC will provide step-by-step direction and oversight in the development and creation of the TCP.
It is the responsibility of the Principal Investigator or program leader to develop, manage and enforce compliance with the terms of the TCP. RIC will assist with development and determine whether or not it is sufficient to adequately protect the subject items and information from unauthorized access and export.
The TCP will include the following:
- a commitment to export controls compliance;
- identification of the relevant export control categories and controlled technologies;
- identification of the project’s sponsor(s);
- identification and nationality of each individual participating in the project;
- physical and information security measures appropriate to the subject items and information;
- personnel screening measures; and
- instructions pertaining to disposition of subject items and information (hard copy and electronic) at the end of the project or program.
RIC will also conduct post-approval compliance monitoring periodically, randomly or for cause (when a concern is raised regarding potential non-compliance).