Procurement and Disposition of Controlled Items

While most of the items that are purchased or received by UTSA are not export controlled, some items may fall under the control of the Department of State or the Department of Commerce. When there is a question as to whether an item being procured is subject to export control, UTSA 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.

Examples of Export Controlled Items

International Traffic in Arms Regulations (ITAR)

Export Administration Regulation (EAR)

• Specified Lasers
• Encryption Technology
• Sensors
• Propulsion Systems
• Infectious Agents, Toxins and Chemicals
• Certain Materials for the Manufacture of Controlled Goods

If the supplier of the item does not know the export control status of an item (e.g. when the supplier is not the manufacturer) or refuses to provide export control information to the University, the Office of Research Integrity(ORI) may perform a self-determination based on the available information.

If the jurisdiction of the item(s) is unknown, the Office of Research Integrity may request a commodity jurisdiction from the State or Commerce Department. In addition, UTSA personnel responsible for the procurement shall work with ORI to ensure that upon receipt it is properly marked with an appropriate notice and properly handled (e.g. stored in a secure area, etc.). University employees can submit the Export Control Related Activity Assessment Request (PDF) form in order to initiate this process.

Controlled items may be used to conduct fundamental research without affecting the ability to freely disseminate the results of the research. However, the fundamental research exclusion only applies to the scientific and technical information resulting from the research and does not cover the use of a controlled item. Therefore, the export controls applicable to the item must be evaluated separately:

• ITAR-controlled items: Items must be secured according to a technology control plan (TCP) developed by the responsible researcher in conjunction with ORI, the researcher’s department, and any other affected party, regardless of whether Non-U.S. persons will have access to the controlled items or whether the controlled items will otherwise be exported. Additionally, technology controls plans and disposition of ITAR-controlled items require the approval of the Empowered Official (VPR).
• EAR-controlled items: ORI may determine if a TCP is necessary to secure the controlled item. Items must be secured according to a technology control plan developed by the responsible researcher in conjunction with ORI, the researcher’s department, and any other affected party, regardless of whether Non-U.S. persons will have access to the controlled items or whether the controlled items will otherwise be exported. Additionally, technology controls plans and disposition of EAR-controlled items also require the approval of the Empowered Official (VPR).

Please remember that the consequences for violations of Export Control Regulations are severe and can result in civil and criminal charges against the individual researcher and the University.