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Export Controls Overview

Export controls are federal laws and regulations that regulate and restrict the release of critical materials and services to foreign nationals and foreign countries for reasons of national security, foreign policy, anti-terrorism or non-proliferation. When faculty, staff, and students look to collaborate internationally or with foreign persons within the US or abroad, individuals are dealing with the Export Control Regulations of the United States. Export control regulations apply to all activities – not just sponsored research.

The US Government controls exports primarily by examining four factors and the related mechanisms. They are:

1. The destination – Treasury Department’s Office of Foreign Assets Control (OFAC)

2. The good or service – The Department of Commerce through its Export Administration Regulations (EAR), and the State Department through its International Traffic in Arms Regulations (ITAR).

3. The end user – OFAC, EAR

4. The end use – Part 744 of the EAR

It is important to remember goods or services can have “dual-use.” The “dual-use” may be a military application and should be screen against ITAR regulations.

Depending on the applicability of OFAC, EAR, and ITAR regulations, an export may not be permitted or a license may be required. It is possible a license may not be required if the Fundamental Research Exclusion is applicable. Fundamental research is basic or applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community. Restrictions on the publication of research results and personnel access restrictions can invalidate the fundamental research exclusion. The Fundamental Research Exclusion applies only to the dissemination of research data and information, not to the transmission of material goods.

UMass Chan is required to demonstrate its export control due diligence and to document its adherence to US export controls and trade sanctions laws. Criminal violations of Export Controls by the university can incur significant financial penalties for each willful violation. For individuals, penalties can include significant fines, imprisonment, or both, per violation.

Responsibilities of faculty, staff and students include:

1. Securing the research and technology, chemicals and biological materials handled, and proprietary and Government articles entrusted to individuals against unauthorized use or theft.

2. Screening any potential foreign research collaborator and foreign visitor against “Lists to Check” to ensure said person is not embargoed or sanctioned.

3. Ensuring any physical good or material being shipped or transferred to a foreign country is not on the Commerce Control List (CCL) of the Export Administration Regulations (EAR)

Faculty, staff, and students are required to fill out an Export Review Request Form to determine the need for additional review and further action for a particular project. OSP will review and advise whether an export license from the Department of State of Department of Commerce may be necessary. If the activity is not cleared, no expenditures will be allowed until full disclosure is obtained from the Director of OSP.