Export controls and trade sanctions are the United States laws and regulations that regulate and restrict the release of dual use, critical, and emerging technologies, software, equipment, chemical, biological materials and other materials, and services to foreign nationals and foreign countries for reasons of foreign policy and national security. Trade sanctions are a type of economic sanction restricting trade activities with certain foreign targets, usually as part of a wider sanctions program in furtherance of national security, political, or diplomatic goals.

These laws apply to virtually all fields of science and engineering and restrict the shipment, transmission, or transfer of regulated-commodities, software, technology, and services from the U.S. to foreign countries. Deemed exports, i.e., the release of controlled information to foreign nationals, even if located in the U.S., are also restricted under these laws and regulations.

Export control laws apply to all activities — not just sponsored research projects.

An export is:

• Shipment of a controlled commodity, equipment, material, or software outside of the U.S.
• Disclosing, releasing, or transferring controlled technology or technical data to a foreign national, whether in the U.S. or abroad. (Such exports are a “deemed” export to the foreign national’s home country.)
• Performing defense services for or on behalf of a foreign national, whether in the U.S. or abroad

The following are considerations in determining the applicability of export regulations and trade sanctions:

1. Will research results be published and publicly available? (i.e., does the fundamental research exclusion apply?)
2. Is the activity limited to teaching or instructional activities?
3. Is there a physical export (shipment) of a good?
4. Are foreign nationals restricted from participating in the activity?
5. What is the Item’s Export Control Classification Number (ECCN) or U.S. Munitions List (USML) category?
6. Where is it going (country)?
7. Will the activity involve a sanctioned or embargoed country?
8. Who is the end-user (person or entity)? What is the intended end use?
9. Restricted party screening of all persons or entities. Is any person or entity identified on any list(s) of sanctioned or barred persons or entities?
10. Is a license required? If so, is enough time allowed to secure one?

These guidelines outline processes for members of the UMass Amherst community (faculty, researchers, employees, staff, and students) to follow to ensure that UMass Amherst complies with all export control laws and trade sanctions.

Compliance with export control and sanctions regulations is multifaceted. Faculty and researchers are experts in highly specialized, technical, research fields. Their understanding and comprehension of technology necessary for the design and production of export-controlled items is central to meeting compliance obligations.

It is the responsibility of the campus to identify an employee responsible for implementing an export control and sanctions compliance program to include campus training and awareness necessary for compliance. Furthermore, the University will assist any member of the University community in complying with export control laws and trade sanctions, including securing licenses from U.S. Government agencies, where appropriate. The University will assist any community member in complying with export control laws and trade sanctions, including securing licenses from U.S. Government agencies, where appropriate. The primary responsibility for compliance, however, rests with the faculty member or researcher as the individual most informed about the contemplated project and the technical nature and properties of the goods, software, and technology.

Faculty and other researchers are responsible for:

• Knowing the classification of and export compliance requirements for the equipment, software, chemicals, materials, and technology they handle, lease or procure.
• Knowing whether the proposed research project will be subject to export control restrictions due to publication or other dissemination restrictions, or personnel access restrictions.
• Knowing the classification of and export compliance requirements for company proprietary information they receive under a confidentiality obligation.
• Having an effective security plan to protect export-controlled information in their possession, taking into account foreign nationals under their supervision.
• Complying with all export control requirements that apply to physical shipments, including proper shipping permits and making AES filings.
• Making export control analysis (including screening for sanctioned or embargoed persons, entities and countries) prior to foreign travel, sponsoring foreign visitors at UMass Amherst, engaging in research with foreign collaborators, engaging in research sponsored by foreign persons, or conducting research in foreign countries.

More information, materials and forms are available at the Export Controls section of this website.

View the Chancellor's Memo on Export Control: Your Responsibilities Related to Compliance with Export Control Laws and Regulations

Three U.S. Government agencies have primary export control regulatory responsibilities: the Department of Commerce through the Export Control Reform Act and the Export Administration Regulations (EAR), the State Department through the Arms Export Control Act (AECA) and the International Traffic in Arms Regulations (ITAR), and the Department of Treasury through the Office of Foreign Assets Control (OFAC). While these are the three primary export control/trade sanctions entities, there are other U.S. government departments which also administer their own set of export controls (e.g., the Department of Energy).

The U.S. Government controls exports on a case-by-case basis, examining four factors: (1) the commodity, good, software, technology, or service (item); (2) the destination; (3) the end-user; and (4) the end-use. Transfer, disclosure, or release of controlled-items, to controlled destinations, for restricted-end-users, or for restricted end-uses may require prior US government permission (license).

EAR and ITAR apply to the transfer of commodities, information, and the provision of specific services to persons and entities outside the U.S. (exports), and to the disclosure or release of specific information and the provision of specific types of services to foreign nationals even inside the U.S. (deemed exports).

OFAC regulations broadly restrict transactions with embargoed and sanctioned countries, persons and organizations for national and economic security. Even when exclusions to the EAR or ITAR apply, OFAC may prohibit payment, travel, and the transfer of items, assets, and services of value to sanctioned nations (check the OFAC website for the latest trade and sanctions information).

Most exports do not require government licenses. Barring a prohibited end use or user, only certain commodities, software, and technologies require license for export. An export license is usually required for one of the following reasons:

• The export has actual or potential military applications or economic protection issues.
• Government concerns about the destination country, organization, or individual
• Government concerns about the declared or suspected end use or the end user of the export

Even if an item or technology appears on a list of controlled items, there may be exemptions, exclusions. or exceptions that apply, such as the EAR exclusion for “fundamental research” (which applies only to technology and software – it does not apply to the export of physical items). According to the EAR, fundamental research” is "technology” or “software” that arises during, or results from, basic and applied research in science, math & engineering which is intended to be published and is not subject to any personnel or participation restrictions. See EAR 734.8; but see ITAR 120.33 public domain exclusion.

The Departments of Commerce, State, and Treasury publish various lists of parties with various export control and trade sanction restrictions and prohibitions. The lists are notice to the public not to engage in any proscribed transaction(s) with listed entities. The campus uses restricted party screening software to conduct screening and due diligence on third-parties (e.g., suppliers, research sponsors, and international visitors, and collaborators).

Other Federal Laws

In addition to export control laws, select agents and toxins are also regulated by the Centers for Disease Control and Prevention and the Department of Agriculture. However, these materials are not exclusively regulated by the CDC and USDA. Release of these materials often requires an export license even where transfer exceptions may be available under select agents and toxins regulations.

Other activities are exclusively regulated by other laws and agencies. Examples include the Nuclear Regulatory Commission, the Department of Energy, the Food and Drug Administration, and the Drug Enforcement Administration, and those laws and regulations must be consulted and complied with.

There are other U.S. laws and regulations that may impact international activities, travel, and research. The Foreign Corrupt Practices Act (FCPA) is the primary U.S. anti-bribery law, and it prohibits, directly or through an agent or intermediary, the giving, offering, or promising anything of value to a foreign government official to obtain or retain business, to secure an improper business advantage, or to influence them to misuse their authority. In addition, UMass Amherst intends to compete fairly and honestly, not through unethical or illegal business practices, complying with antitrust laws, to promote exchange, trade and competition. UMass Amherst will not participate in any boycott that is contrary to U.S, laws and national security. Any suspected violations of, or solicitations to violate, any corruption or anti-trust laws should be immediately reported to the UMass Amherst Office of Research Integrity (ORI).

Penalties

There are severe civil and criminal penalties, including fines and imprisonment, for violating the export control laws and trade sanctions, and both the organization and the individuals involved are subject to these penalties. The University and the individual(s) involved may also lose their ability to export, and/or be suspended or debarred from government contracting. The criminal and civil penalties for unlawful export and disclosure of information in violation of U.S. export control laws and trade sanctions include the following, depending on the items involved and the jurisdiction:

EAR: Criminal violations by the university can incur penalties up to $1 million for each willful violation. For individuals, these penalties can reach $1 million and/or 20 years imprisonment per violation. Civil penalties for both the university and individuals can exceed $300,000 per violation, or two times the value of the export, whichever is greater. These violations can also result in a denial of export privileges as well as other potential collateral penalties.

ITAR: Criminal penalties can reach up to $1 million per violation and 20 years imprisonment for individual willful violations. Civil penalties can exceed $1,000,000 per violation. A person or university found to be in violation of the ITAR (under the Arms Export Control Act) can be debarred from contracting with the government and could lose their export privileges.

OFAC: Penalties will range depending upon the sanction regime in question. Criminal violations can reach up to $10 million per violation, and imprisonment of up to 30 years. Civil penalties can be imposed in excess of $1,500,000 per violation, or two times the transaction in question, whichever is greater.

Even common words have very specific meanings within the export control laws. For additional guidance, see EAR definitions or ITAR definitions. Following are some commonly used terms:

Commerce Control List (CCL): List of items under the export control jurisdiction of the U.S. Department of Commerce Bureau of Industry and Security. The CCL is found in Supplement 1 to Part 774 of the EAR.

The CCL is divided into ten categories: (0) Nuclear Materials, Facilities and Equipment, and Miscellaneous; (1) Special Materials and Related Equipment, Chemicals, "Microorganisms," and “Toxins”; (2) Materials Processing; (3) Electronics (4) Computers; (5) Telecommunications and “Information Security”; (6) Sensors and Lasers; (7) Navigation and Avionics; (8) Marine; (9) Aerospace and Propulsion.

Every CCL category is subdivided into the same five groups, designated by the letters A through E, as follows: (A) Systems, Equipment and Components; (B) Test, inspection and production equipment; (C) Material; (D) Software; and (E) Technology. ECCNs are designated for specific items or materials, and Commodities not enumerated are designated “EAR-99.”

Deemed Export: Releasing or otherwise transferring “technology” or source code (but not object code) to a foreign person in the United States (or abroad). See EAR 15 CFR 734.13(b). Deemed exports do not include the mere transfer or access to controlled articles or materials without any associated information (See EAR 15 CFR 772.1 Definition of “Use”). It is “deemed” to be an export to the home country of the foreign entity or individual. Deemed exports may occur through such means as a demonstration, oral briefing, or plant visit, as well as the electronic transmission of non-public information or software. More information about “deemed exports” under the EAR is available on BIS’s website. Related ITAR definitions are 1) Disclosing (including oral or visual disclosure) or transferring technical data to a foreign person, whether in the United States or abroad; and 2) Performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the United States or abroad. The ITAR citations are 22 CFR 120.17(4) & (5).

Deemed Re-export: The release of controlled technology by a foreign national who was authorized to receive it to a foreign national who was not authorized to receive it. For example, ECCN 5E001 technology may be exported to a university in Ireland under the license exception for technology and software, but it might require a deemed re-export license authorization before being released to a Russian foreign national student or employee of that university in Ireland. See 15 CFR 734.14(a)(2).

Defense Article: Any item or technical data designated in the U.S. Munitions List. (22 CFR 120.6)

Defense Service: Providing of assistance (including training) anywhere (inside the United States or abroad) to foreign persons in connection with the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of a defense article, the furnishing of any related technical data, or military training or advice. (22 CFR 120.32) The Bona Fide Employee Exemption does not apply in a situation where the employee will be provided with a Defense Service.

Dual-Use: Items that have both commercial and military or proliferation applications. While this term is used informally to describe items that are subject to the EAR, purely commercial items are also “subject to the EAR”, as are certain “low level” military items (see 15 CFR 734.2(a) of the EAR).

Educational Information: Under the EAR, information taught in catalog courses and teaching laboratories associated with these catalog courses is not export controlled. (Certain encryption software and technology does not automatically meet this exclusion. UMass Amherst personnel working with such software or technology should consult with ORC to help determine the scope of applicable export controls.) (15 CFR 734.2 & 734.3) Under the ITAR, information or software concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain are not subject to export controls. 22 CFR 120.10 –11.

Export: Can include any of the following: 1) actual shipment of any covered goods or items; 2) the electronic or digital transmission of any covered goods, items or related goods or items; 3) any release or disclosure, including verbal disclosures or visual inspections, of any controlled technology, source code, or technical data to any foreign national in the United States (a “deemed export”); 4) transferring registration, control, or ownership of a controlled spacecraft, vessel, satellite, or aircraft to a foreign person; or 4) Performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the United States or abroad. 15 CFR 734.13; 22 CFR 120.50

Export Administration Regulations (EAR): Regulations promulgated and implemented by the Department of Commerce that regulate the export of commercial, “dual use”, and “low level” military items, software and related technology. This includes items identified on the Commodity Control List (CCL), Title 15 CFR 774, Supplement 1, as well as restrictions on exports to specified persons, entities, countries, and end-uses.

Export Control Classification Number (ECCN): Five-character alpha-numeric designation used by the Commerce Control List to identify and list related export requirements of commodities, software, and technology subject to the export licensing authority of the Department of Commerce, Bureau of Industry and Security. All commodities, software, and technology subject to the EAR but not specifically identified on the CCL are classified as “EAR99.”

Foreign Corrupt Practices Act (FCPA): The primary U.S. anti- bribery law which prohibits, directly or through an agent or intermediary, the giving, offering, or promising anything of value to a foreign government official in order to obtain or retain business, to secure an improper business advantage, or to influence them to misuse their authority. See 15 USC § 78dd-1.

Foreign Person: A natural person who is not a lawful permanent resident of the United States, citizen of the United States, or any other protected individual (i.e., refugee or asylee) as defined by 8 U.S.C. 1324b(a)(3).

Fundamental Research: Fundamental research means research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons. (EAR definition). Under the ITAR, the definition only applies to such research conducted at accredited institutions of higher learning in the U.S.  

Fundamental Research Exclusions: EAR provides that university research normally will be considered as fundamental research, unless the university or its researchers accept personnel access restrictions or restrictions on publication of scientific and technical information resulting from the project or activity. The EAR specifically permits limited prepublication reviews by research sponsors to prevent inadvertent divulging of proprietary information provided to the researcher by the sponsor to ensure that publication will not compromise any patent rights. The EAR citation is 15 CFR § 734.8.

The ITAR states that university research will not be deemed to qualify as fundamental research if: (1) the university or its researchers accept any restrictions on publication of scientific and technical information resulting from the project or activity; or (2) the research is federally funded and specific access and dissemination controls protecting information resulting from the research have been accepted by the university or the researcher. The ITAR citation is 22 CFR § 120.11(a)(8).

Note: Under the EAR and ITAR, even if no publication restriction exists, the fundamental research exclusion does not apply to the physical export of goods. Also, fundamental research does not include research inputs – it applies only to information or data arising from or during research.

International Traffic in Arms Regulations (ITAR): 22 CFR §120-130, Department of State regulations of defense articles and defense services and related technical data listed on the U.S. Munitions List (USML), 22 CFR §121. The ITAR are available here.

OCECC: The UMass Amherst Oversight Committee for Export Control Compliance is the executive management committee charged with oversight of the campus’ export control compliance program. The OCECC convenes annually to oversee the Implementation Committee of key stakeholders and responsible departments for the development, monitoring and deployment of Standard Operating Procedures (SOPs) implementing these guidelines.

ORC: The Office of Research Compliance (ORC) is the lead administrative office for export control compliance and relies upon cooperation of other implementing departments such as the OGA, Procurement, and Human Resources to ensure compliance with these guidelines and for the development of Standard Operating Procedures (SOPs) to implement them.

Public Domain: Under the ITAR, information that is published and that is generally accessible or available to the public is not export controlled. Examples include: (a) sales at newsstands and bookstores; (b) subscriptions that are available without restriction to any individual who desires to obtain or purchase the published information; (c) second class mailing privileges granted by the U.S. government; (d) libraries open to the public or from which the public can obtain documents; (e) published patent applications and issued patents; (f) unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally accessible to the public, in the United States; (g) any public release after approval by the cognizant U.S. government agency; and (h) fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community. (22 CFR 120.34)

Publicly Available: The EAR uses the term “publicly available” rather than “public domain.” Under the EAR, information is publicly available when it becomes generally accessible to the public. Technology or software is considered “published,” and is thus not “technology” or “software” subject to the EAR, when it has been made available to the public without restrictions upon its further dissemination.

Re-export: An actual shipment or transmission of items subject to export regulations from one foreign country to another foreign country. For the purposes of the EAR, the export or re-export of items subject to the EAR that will transit through a country or countries to a new country, or are intended for re-export to the new country, are deemed to be exports to the new country. 15 CFR 734.14

Sanctioned Country: Even when exclusions to EAR or ITAR apply, U.S. Treasury Department, Office of Foreign Assets Control may prohibit payment, travel, and the transfer of items, assets, and services of value to sanctioned nations (see the OFAC website for the latest information about countries subject to OFAC sanctions).

Specially Designated Nationals List (SDN): A list of persons and entities maintained by the Office of Foreign Assets Controls subject to US targeted sanctions and asset blocking. U.S. persons are generally prohibited from any transactions with the persons or entities listed in the Specially Designated Nationals List.

Technical Assistance: Technical assistance may take forms such as instruction, skills training, working knowledge, consulting services, and may also involve the transfer of technical data.

Technical Data: Information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of controlled articles. These may take the form of blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, photographs, documentation, instructions, or manuals and instructions written or recorded on other media or devices such as disk, tape, or read-only memories. See 15 CFR 120.33. The ITAR definition does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain, general system descriptions, or basic marketing information on function or purpose. (See 15 CFR 120.34).

Technology (EAR): Information necessary for the “development,” “production,” “use,” i.e., operation, installation, maintenance, repair, overhaul, and refurbishing (or other terms specified in ECCNs on the CCL that control “technology”) of an item. See definition of “use” under the EAR below.

Use (EAR): Operation, installation (including on-site installation), maintenance (checking), repair, overhaul, and refurbishing of a good. (Depending on the item, a single element might be controlled, or all six elements might be required to meet the definition.) 22 CFR 772.1

VCRE: The Vice Chancellor for Research & Engagement is the lead executive for coordination of export compliance. The Office of Research Compliance (ORC) is the VCRE office charged with export control compliance administration and oversight. The Vice Chancellor for Research & Engagement chairs the OCECC and the Director of Research Compliance leads the Implementation Committee.

Training is a critical component of maintaining compliance with export control and economic sanction laws. The primary goals of training are to increase awareness of and maintain compliance with export control laws and trade sanctions. The program educates the UMass Amherst community about its responsibilities under these laws and the UMass Amherst procedures for ensuring compliance. It is especially critical that faculty, administrative staff, and students who direct or participate in research projects involving export-controlled goods, technology or software participate in training provided through ORC. Further, federal agencies sponsoring research require export control training as part of their commitment to research security. The scope of training will depend on the nature of an individual’s or group’s exposure to export-controlled items and/or information, as well as any applicable federal agency requirements.

Training Topics

Training can include an overview of the purpose of export controls, how export regulations apply to different activities, review of definitions and regulations, the importance of compliance, description of the high-risk disciplines, and the types of exclusions, exemptions and exceptions that commonly apply. In addition, training can cover security measures that should be followed, steps to follow for physical exports, instruction on how to determine the CCL or USML designation of items, information about applying for a license, identification and reporting export control violations and red flags, internal review procedures, the importance of training, and the importance of utilizing the ORC as a resource.

The following introductory topics are among those that can be covered in faculty, staff, and student training:

• Purpose of U.S. export control laws and UMass Amherst Export Control Guidelines
• Regulatory agencies and statutes governing exports
• What is an export and what regulations might apply
• Deemed Exports and Foreign Nationals defined
• U.S. Munitions List and Commerce Control List
• General Prohibitions on End Use and End Users
• Physical exports
• Restricted-party screening of individuals and entities
• How to detect suspicious and inconsistent behavior (red flags)
• Protection of intellectual property / elicitation techniques
• Office of Foreign Asset Control Sanctions & Embargoes
• Fundamental research and educational information exclusions
• International visitors
• Examples of common license exceptions
• Identifying, documenting and reporting red flags
• Enforcement of violations and the severe sanctions and penalties which can apply
• Contacts for further assistance
• Questions and Answers

Advanced Training Topics for Faculty, Administrative Staff and Students can include:

• Contract language that restricts publication and personnel access
• Foreign sponsorship of research
• Nondisclosure agreements
• Materials transfer agreements with foreign entities or persons
• Teaching or training activities that use or implement licensed technology
• Foreign Corrupt Practices Act (for faculty assigned to teach oversees)
• Technology Control Plans

Department Training

Special efforts will be taken to ensure that all departments in high-risk disciplines (such as sciences and engineering) receive training. For example, training may be scheduled during department meetings or other times which are convenient for those departments.

Technology Control Plan Training and Briefings

One-on-one training will be provided by ORC to researchers who are involved in projects confirmed to involve export-controlled technology. The type of training, date, and who was trained is recorded and kept on file with the ORC.

Other Materials

While most training will be classroom style with opportunity for questions and discussion, additional information may be provided in the form of email notifications, institutional compliance newsletters and announcements, online training and information, and invited speakers. Useful materials and forms are available on the ORC website.

Training Options

Training can be scheduled by contacting ORC for one-on-one training at any time throughout the year. Online training about export controls in general is also available anytime via the CITI program.

Training Records

All records of training sessions will be maintained by the ORC for a period of at least five years. The records shall include date and place of training, sign-in sheets signed by persons attending (if applicable), list of speakers, and the subjects covered.

Department of State, Directorate of Defense Trade Controls - ITAR Controlled Items:

The Department of State Directorate of Defense Trade Controls (DDTC) administers export control of defense items under the International Traffic in Arms Regulations (ITAR), 22 CFR 120- 130, pursuant to the Arms Export Control Act (AECA). Three terms are used to designate export-controlled ITAR items: “defense articles,” “technical data,” and “defense services.” Almost any item that contains any ITAR controlled components then is also controlled under the ITAR.

Defense Article means any piece of equipment (or component or part thereof), or technical data (as defined below), that is listed on the USML. (22 CFR 120.31)

Technical Data means any information which is required for the design, development, assembly, production, operation, repair, testing, maintenance, or modification of a defense article. Technical data may include drawings or assembly instructions, operations and maintenance manuals, and email or telephone exchanges where such information is discussed. However, technical data does not include general scientific, mathematical, or engineering principles commonly taught in universities, information in the public domain, general system descriptions, or basic marketing information on function or purpose. (22 CFR 120.33)

Defense Services are:

1. The furnishing of assistance (including training) to foreign persons, whether in the United States or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles;
2. The furnishing to foreign persons of any technical data controlled under the ITAR, whether in the United States or abroad; or
3. Military training of foreign units and forces, regular and irregular, including formal or informal instruction of foreign persons in the United States or abroad or by correspondence courses, technical, educational, or information publications and media of all kinds, training aid, orientation, training exercise, and military advice. (22 CFR 120.32)

For the International Traffic in Arms Regulations, go here.

Identification, Receipt, and Tracking of ITAR Controlled Items and Controlled Technology

A Technology Control Plan (TCP) is required as a means for tracking and monitoring compliance when projects involving ITAR-controlled items or export controlled technical data are identified. ORC is responsible for oversight and licensing, including technical assistance agreements, of all projects in which defense articles are manufactured. This would include projects involving chemical or biological agents covered under USML Category XIV. Absent a DDTC license, any ACP/TCP for ITAR controlled items MUST prevent access by all foreign persons (unless an exception is available).

Definition of Export Under the ITAR (22 CFR 120.50)

The ITAR defines the term “export” broadly. The term applies not only to exports of tangible items from the U.S. but also to transfers of intangibles, such as technology or information. The ITAR includes the release of controlled technical data to foreign nationals, even in the U.S.

Authorization to Export

Any U.S. person or entity that manufactures, brokers, or exports defense articles or defense services must register with the DDTC and secure a license or Technical Assistance Agreement (TAA), as appropriate, prior to any export. The Office of General Counsel annually registers the University with DDTC. Excluded from these regulations are activities limited to the creation of unclassified technical data, or the fabrication of defense articles for experimental or scientific purposes, including research and development.

Department of Commerce Bureau of Industry and Security – EAR Controlled Items:

The Department of Commerce’s Bureau of Industry and Security (BIS) regulates the export of most products, software and technology under the Export Administration Regulations (EAR), 15 CFR §§ 730-774. The EAR covers a wide range of commodities and technology, the commodity classification process is highly technical, and most importantly, the need for a license requires consideration of: (1) the commodity or technology, (2) its end use, (3) its end user, (4) its final destination. The fundamental difference in the EAR and ITAR is that the ITAR apply to articles and services that are inherently military in nature, while the EAR is concerned with “dual use” items (items that have civil as well as military applications).

Generally, most items of U.S. origin, or physically located in the U.S., are subject to the EAR. U.S. items overseas, and items produced overseas using U.S.-origin components or made using U.S. technology, may still be subject the Export Administration Regulations. Additionally, certain activities of U.S. persons' overseas may also be subject to these regulations. Foreign manufactured goods are generally exempt from the EAR re-export requirements if they contain less than a de minimus level of U.S. content by value.

The EAR requires a license for the export of a wide range of items with potential “dual” commercial and military uses, or which are otherwise of strategic value to the U.S. Generally, only items listed on the Commerce Control List (CCL) likely require a license prior to export, but the final determination will depend upon where, for what purpose, and to whom the technology or item is being sent. The items on the CCL are designated by “ECCNs” (Export Control Classification Numbers).  Items that do not fall within an ECCN category are designated as “EAR99” and can generally be exported without a license, unless the export is to an embargoed country, or to a prohibited person or prohibited end-use.

ECCNs are five-character alpha-numeric designations (example: 3A001). An ECCN categorizes items based on the nature of the product, i.e. type of commodity, software, or technology and its respective technical parameters. The first character of the ECCN represents the Commerce Control List’s Category designation (0-9). The second character of the ECCN represents the item’s product group. The CCL has 5 product groups as follows:

1. Systems, Equipment and Components mean finished or unfinished goods ranging from high-end microprocessors, to airplanes, to ball bearings.
2. Test, Inspection and Production Equipment includes equipment specifically for manufacturing or testing controlled commodities, as well as certain generic machines, such as computer numerically controlled manufacturing and test equipment.
3. Material includes certain alloys and chemical compounds.
4. Software includes software specifically associated with particular commodities or manufacturing equipment, as well as any software containing encryption and the applicable source code.
5. Technology means information required for the development, production, or use of a good, and takes the form of technical data and technical assistance.

For some ECCNs, there may be distinctions between the types and levels of technology controlled.

For step-by-step instructions on how to determine the ECCN of any good, software, or technology, follow the instructions on the Department of Commerce website. In addition, the Department of Commerce offers a number of free online trainings.

For details about the CCL, go here.

For the complete Export Administration Regulations, go here.

Using the CCL - Export Control Classification Number (ECCN) and Licensing Determinations

Because classifications under the CCL, ECCNs and licensing determinations are highly technical and complicated, OIR strongly recommends that researchers request their assistance in this undertaking. In order to know whether you may export an EAR controlled item, first you have to know how it is classified under the Commerce Control List (CCL) and check for license exceptions. Second, you have to check the Country Chart for controls applicable to the country of export. Third and fourth, you have to assess the proposed end-use and the proposed end-user.

In determining the classification of an entire system, you generally consider the nature of the entire assembled system rather than the classification of individual components (with the exception of included information technology or encryption software). By comparison, under the ITAR, a component that contains one single ITAR-controlled item would normally make the entire assembled system controlled.

To determine the ECCN of any commodity, software or technology, start by reviewing the Commerce Control List and please inquire with ORC for assistance.

Department of the Treasury Office of Foreign Asset Controls – Sanctions and Embargoes:

US Department of the Treasury administers and enforces economic and trade sanctions based on US foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States. OFAC administers a number of different sanctions programs. The sanctions can be either comprehensive or selective, using the blocking of assets and trade restrictions to accomplish foreign policy and national security goals. Restricted Party Screening is necessary for compliance. Treasury regulations are broad and limit or prohibit the provision of service(s) to those impacted individuals, entities and/or countries.

University researchers working with export controlled technical data shall have controls in place to protect data, technology, and/or materials and the systems/devices that store, transmit and process this data BEFORE any such work may be initiated. Technical data is defined under the ITAR at 22 CFR § 120.33, and CCL controlled technology is defined under the relevant ECCNs. For projects that require the use of technical data, Technology Control Plans (TCPs) outline various security controls for personnel, computer systems, technology, materials, data, and data transmission. Before researchers are authorized to begin such a project, the TCP must be approved by ORC, be operational, and all personnel working on the project must complete export compliance training. All personnel assigned to work on the project must be briefed on the controls under the TCP, and they must sign the TCP to signify their agreement before any work is initiated or controlled materials are accepted. TCPs are customized for each activity and are based on the risks particular to the data, technology, and/or materials that require protection.

Physical Controls

Physical controls are required for all export-controlled activities or materials controlled by the ITAR, EAR, or other regulations to protect the item/technology from unauthorized access. Controls are implemented via the development of a TCP, which may condition approval on implementing specific requirements. This may include such things as specific hardware to secure areas, electronic key card access, signage to limit access, security badges, locked cabinets, etc. In addition, systems that store and process technical data must be located in a physically secure location (e.g., managed data center, locked office space). Specific terms for transmission of data are included in the TCP. Physical access to any rooms where export controlled activities take place are subject to monitoring and periodic review of access logs to ensure only authorized persons are entering the area.

Technical Data Controls

The technical data for the export-controlled project shall be protected during storage, processing, and transmission. These controls apply to:

• the original technical data received from governmental agencies or other research sponsors or collaborators,
• copies made of the technical data,
• new technical data derived from the original technical data, and
• any new technical data generated for the project.

Controlled technical data should only be transmitted and stored using approved encryption/security. If there are contract clauses which dictate IT security standards (such as DFARs clause 252.204-7012), UMass Amherst IT Security staff should be involved in the establishment of the TCP to ensure these standards are met. No controlled information should ever be transmitted via unencrypted e-mail.

The following guidance shall be followed for all Technical Data usage and transmission:

• Servers and devices storing technical data shall be under the administrative control of the University and reside on the University network.
• Technical data stored on servers shall be encrypted using industry standard file and folder encryption when appropriate.
• Full-disk encryption shall be used for technical data stored on any electronic devices - laptops, desktops, portable/removable storage.
• Principal Investigators (PIs) are advised that technical data is not permitted on mobile devices (e.g., tablets, smart phones).
• PIs are also advised that the use of unencrypted email is prohibited for transmission of any export-controlled data.
• Electronic and physical media storing technical data shall be disposed of securely when no longer needed (e.g., cross-cut shredding paper documents, degaussing, securely wiping, or physically destroying magnetic and flash media) or returned to the sponsor in a secure manner.
• When data security controls are required by a specific contract clause (e.g., DFARs 252.204-7012), the controls specified under such a clause must be followed.

Information Security Controls

Computer systems storing, processing and transmitting the technical data shall be compliant with the University Information Security Policy (BoT Doc. T10-089), as well as any other controls imposed by contract clauses or other requirements. Controls are evaluated and implemented on a case-by-case basis by ORC and UMass Amherst IT Security personnel (as appropriate). The controls shall include, but are not limited to the following:

Identification of Systems

• An inventory of computer systems that store, access, and/or process controlled technical data must be maintained.
• Systems not identified for the export-controlled project are prohibited from accessing the export-controlled systems and data. These include mobile devices (smartphones, tablets), personal laptops, unsecured servers, and other unmanaged computer systems.

Network Security Controls

Separate from any controls mandated by contract clauses or other requirements, any systems connected to the network and possibly handling controlled data shall have some or all of the following network security controls implemented, dependent upon the nature of the project:

• Connect only to the University wired or secure wireless network (i.e., eduroam [and at UMass Amherst only]). If connecting to a wireless network, 802.1.x protocol must be used.
• A host-based firewall shall be configured to block all connections to the system other than the specific connections needed to perform the approved research.
• Periodic network-based vulnerability scans and network penetration tests shall be performed at least annually by UMass Amherst IT Security.
• Authorized users, as identified in the TCP, must be on the campus central authentication systems using campus-issued user IDs to log in to the secure systems. (See Office of Information Technology (OIT) Acceptable Use of Information Resources Policy.)
• Each user shall have an individual login ID. Shared login IDs are prohibited.
• Default system and user/guest accounts shall be disabled on the systems.
• Passwords must meet the documented University password complexity criteria.
• Administrative access shall only be granted to U.S. citizens and permanent residents with a business need for elevated privileges.
• Users shall log in with restricted rights. Administrative rights will be revised as necessary on a case-by-case basis when certain restrictions apply.
• Systems shall be configured with a login inactivity timeout (e.g., 10 minutes) and with an account lockout mechanism that locks the account after more than 5 failed login attempts in a 15-minute period.
• Administrative access and functions on the servers or applications that access confidential information must be logged. The logs should include the identity of the user, the date/time, and the operations performed.
• Systems and application logs shall be retained for 90 days.
• Anti-virus software with centralized management shall be installed on all systems (Windows and Macintosh).
• The anti-virus software shall be configured to update daily, scan files “On Access” and, when removable media is installed, scheduled to scan fixed disks at least weekly.
• Systems shall be running a supported version of their respective operating system.
• Operating system and application patches must be installed in a timely manner, with critical patches installed within 48 hours of their release.
• Discovered vulnerabilities shall be remediated in a timely manner, with critical vulnerabilities fixed within 48 hours of notification.
• System backup media shall be stored in physically secure and locked facilities.
• Login accounts shall be removed or disabled once they are no longer needed (e.g., when a user leaves the project).
• System time shall be synced with accurate Network Time Protocol clock sources.
• Network and system services and processes that are not required for the specific research shall be shut down and disabled.
• Administrative access to the systems shall only be granted to administrators who are not foreign persons under the ITAR at 22 CFR 120.16

Monitoring

System log and access shall be routinely monitored for unauthorized users or unauthorized access to technical data by UMass Amherst IT Security or the Systems Administrator. In certain situations, computers involved in export-controlled projects may be disconnected from the network. This is determined on a case-by-case basis and outlined in the TCP. Systems not on the network will not be monitored, but will be evaluated by ORC and UMass Amherst IT personnel during the required periodic audit of the TCP.

Citizenship Verification

Status as a “U.S. person” under the export regulations is one of many qualifications that must be met by persons proposing to participate in export-controlled projects, because foreign persons are prohibited from accessing materials, systems, and/or technical data (unless expressly authorized under a lawful exemption or valid license). All persons who may be assigned to work on an export-controlled project must provide proof of status as an authorized “U.S. person”, as defined under the applicable export regulations, or authorized under another category, and be screened by ORC and listed in the TCP. All persons assigned to a controlled project are required to sign a non-disclosure agreement confirming they will not export any controlled data, technology, materials, or information to any unauthorized person.

Reporting Concerns and Possible Nonfeasance

The Principal Investigator (PI) is the person with primary responsibility for the lawful conduct of an export-controlled project. Any violations of these controls, and/or unauthorized access to technical data, must be reported immediately to the Principal Investigator and ORC.

Roles and Responsibilities

Office of Information Technology Information Security Office

• Provide applicable security software, including, but not limited to anti-virus software and others.
• Perform routine network-based vulnerability scans and network penetration tests as may be necessary.
• Provide assistance with research and evaluation of encryption solutions.
• Assure the project controls adhere to any application IT security-related contract clauses or other sponsor-imposed controls.
• Assist with response to any data security incidents involving systems storing export-controlled technology and/or data.

Researchers & IT Support Staff

Researchers (including technicians and administrators) working with export controlled technologies and technical data, as well as the IT professionals supporting these projects, are responsible for complying with export regulations, terms of the TCP, and the security controls outlined above.

Office of Research Compliance (ORC)

ORC personnel oversee implementation of the TCP and evaluate and audit the TCP periodically (at a minimum, annually). Any reports of security incidents or other problems should be reported to ORC immediately for evaluation and assessment.

Export regulations require universities to consider various activities that require compliance oversight. Considerations and subsequent actions depend on key management support, types of activities the university engages in, evaluation of the recipient/destination, involvement of controlled technology, and governmental jurisdiction, in order to determine how the regulations apply, and whether a license must be obtained. There are multiple levels of oversight necessary for an effective export control compliance program. Most activities conducted at UMass Amherst are likely to qualify for license exclusions for information that is Publicly Available or in the Public Domain, such as the Educational Information Exclusion and the Fundamental Research Exclusion. Otherwise, an export license may be required to allow for participation by non-U.S. persons or for foreign research collaborations.

Fundamental Research Exclusion (FRE)

The term “fundamental research” means basic or applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community. Fundamental research is distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons. Both the ITAR and EAR provide that information resulting from fundamental research is not subject to export controls. This is referred to as the Fundamental Research Exclusion (FRE).

Specifically, the EAR provides that the fundamental research exclusion applies as long as the university and its researchers do not accept restrictions on publication of scientific and technical information resulting from the project or activity, or personnel access restrictions. The EAR specifically permits customary prepublication reviews by research sponsors to prevent inadvertent divulging of proprietary information provided to the researcher by the sponsor or to ensure that publication will not compromise any patent rights. The EAR citation is 15 CFR § 734.8.

By comparison, the ITAR states that university research will not be deemed to qualify as fundamental research if: (1) the university or its researchers accept any restrictions on publication of scientific and technical information resulting from the project or activity; or (2) the research is federally funded and specific access and dissemination controls protecting information resulting from the research have been accepted by the university or the researcher. The ITAR citation is 22 CFR § 120.34(a)(8).

The Office of Post-Award Management (OPAM) carefully reviews proposed research projects to ensure the scope of the work qualifies for the fundamental research exclusion. Furthermore, OPAM reviews contractual and grant language to ensure the University is not agreeing to terms that negate the fundamental research exclusion. If further reviews are needed, ORC works to complete the export control analysis, with the technical assistance of the PI.

FRE Limitations:

Verbal or written “side deals” between a PI and sponsor to forego publication will invalidate the FRE and violate university policies that require that research shall be conducted openly and without prohibitions on the publication and dissemination of the results.

Under the EAR and ITAR, even if no publication restrictions or personnel restrictions apply, the fundamental research exclusion does not apply to the physical shipment of goods.

Sponsor or third-party trade secrets or other proprietary information used in a research project which are subject to a confidentiality obligation will continue to be subject to export controls, even though the research and the research results are covered by FRE.

A deemed export may occur if information, which is not otherwise publicly available, about the development, production or use of controlled articles is released to a foreign national. (“Use” in this context can have different meanings, dependent upon the classification of the item or technology involved. When instruction on use is based on a publicly available manual, the instruction is considered publicly available and not subject to the EAR.)

Educational Information Exclusion

One of the most important exclusions from the EAR and ITAR that applies to universities is the exclusion for educational information. Under the EAR, information and software taught in course catalog courses and teaching laboratories associated with these course catalog courses are not export controlled. (Certain encryption does not meet this exclusion.) See 15 CFR 734.3(b)(3).

Under the ITAR, information or software concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain are not subject to export controls. See 22 CFR 120.33(b) and 120.34.

Published / Publicly Available Information / Public Domain

All information that is publicly known is also not subject to export controls (again with the exception of certain encryption software). Under the ITAR, information that is published and that is generally accessible or available to the public is said to be in the “public domain” and not export controlled. Examples include: (a) sales at newsstands and bookstores; (b) subscriptions that are available without restriction to any individual who desires to obtain or purchase the published information; (c) second class mailing privileges granted by the U.S. government; (d) libraries open to the public or from which the public can obtain documents; (e) published patent applications and issued patents; (f) unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally accessible to the public, in the United States; (g) any public release after approval by the cognizant U.S. government agency; and (h) fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community. See 22 CFR 120.34.

The EAR uses the term “publicly available” rather than “public domain.” Under the EAR, information is publicly available when it is published and thus, becomes generally accessible to the public. See 15 CFR 734.7.

Physical Exports

If a physical export is necessary, a sequential analysis should begin with jurisdiction determination and then the classification process. The researcher is typically the best person to assist with the determination of the classification of the item, such as the USML Category or the CCL ECCN.

If an item is determined to be ITAR-controlled, an export license is likely needed to any destination. If an item is determined to be EAR controlled, it must be determined whether an export license is required, depending upon the destination, end use, and end user. The exporter is required to know the customer and evaluate how the export will be used. The vetting process must include a restricted-party screen to assess for the potential inclusion of the recipient on lists of prohibited/restricted countries, persons, and. For shipment of items subject to the EAR, you must check whether General Prohibitions 4- 10 apply (15 CFR 736). If any “red flags” are present, the concerns must be addressed satisfactorily or the shipment should be aborted. In some instances, license exceptions may apply. Contact ORC to evaluate whether any license exceptions may apply. All exports from UMass Amherst require the review and approval of ORC prior to shipment. ORC review and approval is built into the eShip Global system as well as Mail Services processes. Certain exports may also require submitting an End User Certification Form to ORC, as well as engaging a freight forwarder to facilitate the shipment and file required documentation. For all physical exports reviewed by ORC, end users must be identified and screened to evaluate whether a license is required or any exceptions may apply.

For exports that require a license, have a value greater than $2,500, are destined to an entity on the Unverified List, or consist of items enumerated on the CCL and destined to China, Russia, or Venezuela, an AES filing with the U.S. Census Bureau may be required. Contact the ORC for assistance with this process and allow adequate time (several days to a week, if possible) for the filing to be made.

Deemed Exports

While exports are commonly associated with the physical shipment of materials across a U.S. border, export controls are much broader. They also include the transfer of technology, software, technical data, or the performance of defense services to foreign nationals, even when the transfer takes place within the U.S. This transfer is "deemed" to be an export. The issue of deemed exports is particularly relevant for university environments where students and faculty from every corner of the globe engage in teaching and research activities together. In many instances, the requirements of the export control laws can be appropriately satisfied through reliance on available exclusions from export controls, such as exclusions for educational information, public domain information, and the fundamental research exclusion. UMass Amherst is committed to ensuring these exclusions are relied upon and satisfied whenever possible.

A deemed export under the EAR involves the export to a foreign national of technology or software required for the development, production, or use of a good. Deemed exports can occur through such means as a demonstration, oral briefing, or lab visit, as well as the electronic transmission of non-public information or software. Specific reference must be made to the relevant ECCN, because what constitutes “technology” can vary. For example, in the case of select agents, “technology” includes information about disposal of the materials under ECCN 1E351. Technology and software that are not subject to the EAR would be excluded from these export regulations, such as publicly available technology. While the ITAR doesn’t use the term “deemed export” itself, disclosing controlled technical data to a foreign person, even in the U.S., is considered to be an export, as is performing a defense service on behalf of or for the benefit of a foreign person (22 CFR 120.32 and 120.56).

Supercomputers

A common deemed export question relates to access by persons in the UMass Amherst community to supercomputers (designated by their adjusted peak performance or APP under Category 4 of the CCL). This is an example where mere access to or operation of a supercomputer does not constitute a deemed export. Faculty and technicians involved in the procurement, development, or operation of such supercomputers are responsible for their proper management and supervision and are responsible for being aware of applicable restrictions.

Encryption Software and Technology

Faculty and students who work with encryption software and technology have a particularly complex compliance framework to maneuver within. As referenced above, certain encryption software does not satisfy the exclusions on which universities ordinarily rely, including the educational information exclusion or the publicly available or public domain exclusion. However, there are recognized Department of Commerce clarifications and specific license exceptions that do apply.

As part of the federal government policy efforts to promote data security through encryption protections imbedded in mass market software products, it is permissible, while in the U.S., for non-U.S. persons to use any publicly available (in other words, sold on the retail market) software containing encryption source code or object code. The Department of Commerce makes this clear in its policy statements. See, for example, the Department of Commerce's BIS encryption export policy and the encryption deemed export FAQ.

Special exemptions apply to teaching encryption techniques. Encryption technology that is publicly available (in other words, published in books or sold on the retail market), including technology covered by ECCNs 5E002 and 5E992, is not subject to the EAR. Therefore, publicly known encryption techniques and schemes may be shared and taught to non-U.S. persons within the U.S. (sharing of encryption software is a separate analysis). However, providing encryption technology controlled under 5E002 to students may require a license if it is provided with the specific intent to aid in the development of commodities or software controlled under 5A002 or 5D002. See License Requirement Note to ECCN 5E002.

Restricted Party Screening Lists

Various U.S. government agencies maintain lists of individuals or entities barred or otherwise restricted from entering into certain types of export, trade, and financial transactions with U.S. persons. All activities must be screened using these lists to ensure that UMass Amherst does not engage in a transaction with a barred entity or person. ORC personnel and other campus users, as appropriate, use a software from a third-party vendor to conduct restricted-party screens. This software is available at no additional charge; please contact ORC for further information.

• BIS Denied Persons List: A list of persons who have been issued a denial order from the Commerce Department’s Bureau of Industry and Security (BIS). U.S. exporters and third parties in general are prohibited from dealing with these persons in transactions involving U.S. items.
• BIS Entity List: The Entity List identifies foreign parties that are prohibited from receiving some or all items subject to the EAR unless the exporter secures a license. These are often entities identified as being involved in proliferation of missile technology, weapons of mass destruction, terrorism, or other activities contrary to U.S. national security or foreign policy interests.
• OFAC Specially Designated Nationals and Blocked Persons List (SDN List): Maintained by OFAC, this is a list of barred terrorists, drug traffickers, and persons and entities associated with embargoed regimes. Generally, all transactions with such persons are barred.
• Arms Export Control Act (AECA) List of Debarred Parties: Issued and maintained by the Department of State, this is a list of individuals who are denied export or re-export privileges of items subject to the USML.
• BIS Unverified List: These are foreign persons and entities for which the Department of Commerce has been unable to verify the nature of their operations. While transactions with these entities are not barred, special due diligence is required, as there are additional licensing, documentation, and reporting requirements.
• BIS Military End User List: Identifies entities and foreign parties that are prohibited from receiving items described in Supplement No. 2 of Part 744 of the EAR unless the exporter secures a license. These parties have been determined by the U.S. Government to be “military end users”.
• Nonproliferation Sanctions: Are maintained by the Department of State.
• OFAC Sanctions Evaders List: Foreign individuals and entities determined to have violated, attempted to violate, conspired to violate, or caused a violation of U.S. sanctions on Syria or Iran, as well as foreign persons who have facilitated deceptive transactions for or on behalf of persons subject to U.S. Sanctions. Transactions by U.S. persons or within the United States involving Foreign Sanctions Evaders (FSEs) are prohibited.
• OFAC Sectoral Sanctions Identifications (SSI) List: Individuals operating in sectors of the Russian economy with whom U.S. persons are prohibited from transacting in, providing financing for, or dealing in debt with a certain maturity.
• Non-SDN Palestinian Legislative Council (PLC) List: Individuals of the PLC who were elected on the party slate of Hamas, or any other Foreign Terrorist Organization (FTO), Specially Designed Terrorist (SDT), or Specially Designated Global Terrorist (SDGT).

Supplier Classification of Items

When, in the course of research activities, UMass Amherst receives materials from a sponsor and the PI cannot determine whether export controls apply, the ORC may contact the sponsor for export jurisdiction and classification information. Export classification information may be available on vendor websites; it may also be obtained by contacting sales representatives.

Antiboycott Violations

U.S. persons are prohibited by the antiboycott laws of the United States from participating in unsanctioned foreign boycotts. While infrequent, this problem can arise in the process of contracting with foreign entities or countries. Examples include agreements to discriminate based on national origin or nationality and agreements to refuse to do business with Israel or Israeli blacklisted companies. Please contact ORC regarding any concern regarding restrictive or discriminatory contract or agreement language.

Immigration Sponsorship

ORC must screen and approve all requests for UMass-sponsored temporary (J) and employment (H1-B, O) visas before OGA can proceed with issuing visa-related documentation to the applicant. The letter of invitation should include a full description of the activities to be performed by the person while at UMass Amherst.

International Travel

When traveling abroad, UMass Amherst faculty, staff, and students should be familiar with export control regulations. UMass Amherst personnel need to make sure that any information discussed, or items taken out of the U.S., are either not controlled, or, if controlled, the proper licenses are in place or the use of license exceptions is appropriate and documented. UMass Amherst personnel, as individuals, and UMass Amherst as an institution, can be held liable for improperly transferring controlled technology or exporting controlled items. Thus, it is important to review and understand the federal requirements. Prior to discussing technology or making a presentation when traveling, verify that the technology, information, and/or commodity qualifies for an exclusion or exception. Please note: the fundamental research exclusion does not apply when controlled equipment, material, or biological samples are hand-carried or shipped abroad. Further, items such as biological samples should never be transferred without prior authorization from ORC.

Be aware that more than one license may be required for some travel. For example, travel to an OFAC embargoed country could require a license issued by the Treasury Department, and a BIS license may also be required if an export of controlled technology (information) is anticipated.

Typical exclusions that are relevant for personnel when traveling include:

• Published Information and Software – information that is generally accessible to the public through publication in books or periodicals, or information presented in the United States at a conference, meeting, seminar, trade show or other open gathering (where members of the general public are eligible to attend and attendees are permitted to take notes) is considered to be in the public domain. Software available from a web site and accessible to the public for free and without restriction is also considered to be publicly available. (Again, certain encryption software does not meet this exclusion.)
• Educational Information – Course material taught in U.S. universities in catalog courses and information that is in the public domain fall within the educational information exception. (Again, certain encryption software does not meet this exclusion.)

All travel for UMass Amherst-related business or activities must be conducted in accordance with the Board of Trustees’ University of Massachusetts Travel Policy. This includes the submission and approval of the travel authorization, via Concur, prior to travel. Travel authorizations must be approved by the traveler’s supervisor and ORC, as well as OGA and IT depending on the risk levels of the destination. Travel authorization requests should be submitted at least ten business days before travel begins to allow sufficient time for reviews and approval. Travelers who submit authorization requests less than ten days before departure risk losing their eligibility for reimbursement. The UMass President’s Office maintains resources about international travel policies and procedures that are applicable system-wide, and OGA maintains resources and guidance that are specific to the UMass Amherst campus.

Special care should be taken in the case of travel with specialized research equipment or computers that contain non-commercial, special purpose, or certain encryption software. These items could be subject to seizure or customs duties. If you need to travel with such items, an export review should be performed, and, if necessary, a license obtained prior to travel. Such a review should be completed well ahead of expected travel dates. Before initiating travel, the following questions should be considered to evaluate whether export regulations apply:

1. Do you plan to take any information or technology that is controlled?
2. Do you plan to travel to an embargoed destination?
3. Are you taking any equipment or other materials, including material samples, with you?

If the answer to any of these questions is “yes”, contact the ORC for assistance.

Gift Acceptance Policy

The University of Massachusetts Amherst accepts contributions of cash and property from donors globally. Regardless of the donor’s country of residence, acceptance of a gift of any kind must comply with all U.S. laws and regulations, the laws of the country of origin, the policies and procedures established by the Trustees of the University of Massachusetts, and the UMass Amherst Foundation. (These policies and procedures are outlined in the UMass Amherst Gift Acceptance Policy.) In addition, Presidential Standards detail export control procedures and screening requirements for gifts and donations. ORC must review donations of equipment, technology, or materials that may be export controlled.

Technology Control Plans

The purpose of a Technology Control Plan (TCP) is to outline procedures used by UMass Amherst for the protection of information and material identified under applicable federal directives governing the export of critical technology that may be received or developed in the performance of activities that are subject to export controls. Technology Control Plans must be developed and submitted for review and approval for any research that involves export-controlled technology or data. The purpose is to identify authorized personnel and develop a physical and IT security plan to protect and control research information from access by unauthorized persons. Once the TCP is in effect, no personnel can be added to that project or facility without the prior approval of the ORC. The development of the TCP is also a mandatory precursor to an application for a deemed export license or technical assistance agreement.  

Screening the Customer and Restricted/Prohibited Exports and Transfers

As an educational and research institution, there are numerous types of customers that may require screening. Vendors and sponsors are screened by the UMass President’s Office when they are established in the system.

International Students, Faculty, and Visitors

International students, faculty and visitors whose visas are sponsored by UMass Amherst must report to the Office of Global Affairs (OGA) upon arrival at UMass Amherst. OGA requires that the student present original visa and passport documents and makes copies for the student's record, and then processes the visitor through the Department of Homeland Security’s SEVIS database. UMass Amherst assumes that students holding valid U.S. visas have been cleared by the U.S. Citizenship and Immigration Services.

International visitors may come to campus for a variety of other reasons, including to tour various research laboratories or other public areas, and they may not be on a UMass Amherst-sponsored visa. These visits should be requested through OGA’s VIP system to ensure they are properly screened and documented. ORC screens all such requests, similar to screens of requests for UMass-sponsored visas.

There are a number of countries subject to OFAC sanctions programs. The most widely known include Cuba, Iran, North Korea, and certain regions of Ukraine, and a complete list may be found on OFAC’s website. Note: Comprehensive sanctions on Syria were rescinded in 2025, but it is still subject to other country-based restrictions. Researchers should contact ORC before traveling to or interacting with individuals located in Syria.

Interactions with persons and organizations located in OFAC-sanctioned countries come with a great degree of risk and require careful analysis. Some of the sanctions apply to the import of goods and services from OFAC countries as well. While there may be similarities among the various country-based sanctions regulations, the regulations are unique to each country, such that restrictions on one country may not apply to same way to another comprehensively-sanctioned country.

The analysis of whether a proposed activity would be allowed must be made at the outset because, in the absence of an exception or exclusion, an OFAC license MUST be secured from the Treasury Department before initiating any transactions or dealings with those persons (including negotiations for a proposed activity). Only a handful of license exceptions and general licenses are available. Specific licenses can be applied for on an individual basis, but these licenses take many months (8-12 months, or longer) to receive.

Cuba and Iran

Comprehensive sanctions are in place against Cuba and Iran. Certain exceptions are available to researchers, though. First, certain activities which are incident to publishing research articles are permitted with persons in Cuba and Iran, and the academic and research institutions which employ them (but no other segment of the Government or other entities). See 31 CFR § 515.577 (Cuba), 31 CFR § 560.538 (Iran).

Second, the export of information available in the mass market and which is fully created and in existence as of the date of the transaction, such as published research articles, may also be exported. See 31 CFR § 515.206(a)(2) (Cuba), 31 CFR § 560.210(c)(2) (Iran), 31 CFR § 538.212(c)(2).

Third, some exceptions apply to travel. Travel to Iran is generally permitted, including payments for expenses ordinarily incident to such travel, including living expenses and buying goods or services for personal use. Because of the broad restrictions on services performed within Iran, though, the proposed work within Iran may require a license.

Travel to Cuba is highly regulated (other than the rules for travel to visit family in Cuba, which were modified in 2009), but several general licenses are available. ORC can provide up-to-date information on allowable travel to Cuba. ORC can also provide documentation of such allowability to travelers, as well as recommendations for ensuring compliance during travel and for recordkeeping. Guidelines and FAQs for travel to Cuba are available on OFAC’s website.

North Korea, and certain regions of Ukraine

Comprehensive sanctions are also in place against North Korea, and certain regions of Ukraine. Because travel to these areas are highly regulated and the regulations are evolving, researchers should contact ORC if they wish to plan travel to these countries.

Other OFAC-sanctioned Countries

Other countries subject to lesser OFAC trade sanctions include, for example, Belarus, Burundi, and Zimbabwe. These and other sanction programs are described on OFAC’s website.

Travel with Personal Electronics and GPS Devices

A Department of Commerce license may be needed in order to travel with a personal electronic (e.g., laptop, phone, tablet) or any GPS device to an OFAC-sanctioned country.

Students and Researchers in the United States

Different rules apply to participation of students and researchers from OFAC-sanctioned countries in educational or research activities in the United States. Universities may enroll or employ persons who are citizens of Cuba or Iran if they are permanent residents (green card holders) or are present in the U.S. under a valid visa. Some country-specific restrictions on payments, however, may still apply. These matters are addressed by OGA, which is charged with monitoring the activities of these persons while in the United States and reporting their activities to the Department of Homeland Security. Careful supervision of these persons is required to avoid a “deemed export” under the Department of Commerce regulations (EAR) or Department of State regulations (ITAR). Ordinary license exceptions and exclusions, however, apply to their activities within the United States, such as the fundamental research exclusion.

Export Control Laws and Activities with Persons in Embargoed Countries

Under the EAR, effectively all items that have a potential dual-use (commercial and military) are covered at the very least under a catch-all classification referred to as “EAR99.” Unless a license exception is available, EAR99 items may require a license for export to a person or entity in a Department of Commerce/EAR-embargoed country. In other words, the working assumption should be that all shipments or travel with goods to an EAR-embargoed country require a license (although a handful of country-specific license exceptions apply).

Compliance with State Department’s ITAR is more straightforward. ITAR regulations apply only to items (and related technical data) that are specifically designed, developed, configured, adapted, or modified for military applications—defense articles or services. This kind of technical data would most likely arise from a contract or subcontract with a United States national security/defense agency. The State Department has its own separate list of embargoed countries set out at 22 CFR § 126.1. More information is available on the State Department’s website.

In summary, undertaking activities with persons in an OFAC, EAR, or ITAR-embargoed countries (e.g., Cuba, Iran, North Korea, etc.) comes with additional compliance risks and requires extreme care and planning. 

For export purposes, a license is the relevant U.S. government department grant of permission for the transfer, release, transmission, or export. The U.S. government departments of Commerce, State, and Treasury grant licenses to applicants for specific transactions (commodities/technologies/data/services) to specified end-users, for specified end-uses, to specific countries. 

No matter how “benign” an item may appear, it still may require a license to export or release it to foreign nationals. In addition, some destinations and persons (including individuals or groups) are subject to comprehensive export controls, including controls on all manner of consumer products. This is especially true of exports to OFAC comprehensively-sanctioned countries and regions (Cuba, Iran, North Korea, and certain regions of Ukraine).

A license may also be needed to "re-export" an item that was produced or originated in the United States. A "re-export" is the shipment or transmission of an item from one foreign country to another foreign country. A re-export also occurs when there is "release" of technology or software (source code) in one foreign country to a national of another foreign country.

The Commerce Department is responsible for licensing dual use items and “low-level” military items. The regulations on the export of goods and related technology are identified on the Commodity Control List (CCL) (15 CFR 774, Supplement 1). The State Department is responsible for licensing most items with military applications. The Treasury Department licenses services and financial transactions. In some situations, licenses from multiple departments may be required.

The following general questions can be used to help determine whether an activity may require a license:

1. Is the person a U.S. citizen or permanent resident (holder of a “green card”), or a protected individual as defined by 8 U.S.C § 1324b(a)(3) (e.g., foreign persons such as refugees and asylees who are protected persons and considered U.S. persons for export control purposes)?
2. Is the information already published?
3. Is it educational information covered in a course catalog course?
4. Is the technology disclosed in a published patent application or an issued patent?
5. Is the research considered fundamental research that will be published?
6. What is the jurisdiction and classification of the product – is it EAR99, or something else?
7. Do the results of restricted-party screening raise any “flags”?
8. Is the destination country subject to comprehensive sanctions or embargoes?
9. Does a license exclusion or exemption apply?
10. If none of the above apply, a license may be required.

If an activity is controlled under the export regulations, then a license or other approval is needed from the respective oversight agency unless an exemption or exception applies. Examples of situations where a license may be required include:

• Research that involves defense, military, weapons, or space technologies.
• Export of a commodity or good outside of the U.S.
• Attending a conference outside of the U.S.
• Activities where export control exceptions do not apply.
• Transfer of technical data about a controlled technology to a foreign national within or outside of the U.S.
• Providing anything of value to someone from a sanctioned country, or on one of the of restricted-party lists.

When exclusions or exceptions do not apply (or if the transaction involves dealings with a sanctioned entity or country), then a license must be obtained for any export, deemed export, or re-export prior to the transfer of any commodity, data, or, in the case of sanctions, the provision of any service or financial value.

The following information is then needed to determine whether the U.S. origin product requires a license:

1. Classification. Items controlled on the U.S. Munitions List, and their related technology, will require an export license for almost all destinations. Certain items, notably those controlled by multilateral export control regimes, are on the Commerce Control List (CCL) (part 774 of the EAR) and are described under a specific Export Control Classification Number (ECCN). The ECCN in the CCL will also tell you the reason(s) for control, which can then be used to determine to which destinations an export license would be required (see below). Classifications can be obtained from the item manufacturer, or they can be “self-classified” based on their technical specifications. Alternatively, classifications can be requested from BIS. The ORC should be contacted for assistance with any classifications. Items not listed on the CCL or controlled by another agency are designated as EAR99, and generally can be exported without a license, unless the export is to an embargoed country, to a prohibited person, or for a prohibited end-use.
2. The ultimate destination of the item. The reason(s) for control listed in ECCNs on the CCL needs to be matched with the country of ultimate destination in the Country Chart (part 738 of the EAR). The reason(s) for control, when used in conjunction with the Country Chart, will help to determine if a license is required to the ultimate destination. If it is determined that your export transaction requires a license, review the EAR to determine if any License Exceptions are available (part 740 of the EAR).
3. The end-user and end-use for the item. Even if determined that a license is not required based on the ultimate destination (or a license would be required but a License Exception would generally apply), a license might be required because of the specific end-use or end-user. These are referred to under the regulations as the “General Prohibitions,” and are found at Part 736 of the EAR. There are certain special restrictions that apply to persons (or entities) identified in the EAR, as well as to persons who are involved in certain activities (e.g., nuclear weapons proliferation or chemical or biological weapons activities).  

In a university setting, it is necessary to coordinate export control compliance between and among departments, as well as between the academic and administrative sides of the institution, so that the export control program may be fully integrated across all levels of the institution. The processes are clearly outlined so that each department understands their responsibilities, information is forwarded to the appropriate party, and the necessary checks are completed and supporting documentation is on file. It should be noted that export controls affect almost every department on campus.

Institutional Commitment to Compliance Oversight

Compliance is a matter for management attention and needs adequate resources for full implementation. The export control compliance program is supported by the senior administration at UMass Amherst. The purpose of endorsement by the senior administration is to ensure that UMass Amherst has the resources in place to comply with export control laws and regulations. These senior leaders are knowledgeable about export controls and how they impact UMass Amherst operations.

An Ad Hoc Compliance Oversight Committee is charged with evaluation of any relevant issue(s) or suspected violation; such committee is convened as necessary for a briefing on the relevant matter, and to provide guidance to ORC on addressing the matter. Appointees are assigned based on the nature of the issue and the Colleges, Departments, or personnel involved.

The Vice Chancellor for Research and Engagement (VCRE) provides oversight to ORC. This management support helps ensure compliance. Announcements are issued periodically to the university community to inform them of changes to relevant laws and policies, and to provide opportunities for training.

The Office of Research Compliance (ORC) is the central office with primary responsibility for compliance functions, including export control compliance, and is responsible for assisting with development and implementation of the export compliance program. ORC personnel work with the faculty, staff, and students to help them comply with export control regulations via education, training, and consultation. They also communicate changes in regulations, maintain relevant records for all export control training and export activities, and provide support for license applications. ORC personnel are also responsible for overseeing the review and update of the UMass Amherst Export Control Guidelines, conducting periodic audits, identifying new activities that require export compliance oversight, and assisting with determination of ECCNs and license determinations.

ORC assists OPAM with the review of proposed projects, including sponsored research agreements and research services agreements, in consultation with the PI and proposed sponsors as needed. ORC is responsible for screening proposed activities with potentially proscribed countries or ineligible parties, monitoring compliance with TCPs, and screening international travel and visits by foreign nationals. ORC maintains copies of export control documents, including license applications, policies, forms and guidelines, memoranda, notes, screens, correspondence, contracts, invoices and other financial records related to export controls, shipping documents, and records submitted to ORC for vetting and approval.

The Office of Post-Award Management (OPAM) is responsible for accepting and administering grant awards, as well as negotiating contracts and other research-related agreements on behalf of the University. OPAM staff limit export control liability through the fundamental research and public domain exclusions by reviewing research grants and contracts and negotiating out any terms or provisions that might restrict access to or publication of research and technical data, set limits on personnel, or otherwise render inapplicable the exclusions. For the same reason, OPAM also examines the nature of the work to determine whether it relies on use of third-party trade secrets or proprietary information that would prevent publication of the research results. Further, the Board of Trustees’ policy on the free dissemination of research results prohibits the acceptance of contracts or grants with publication or dissemination restrictions without approval of the VCRE.

Any proposed contract, grant, or award found to contain the restrictions described above, and which OPMA cannot negotiate out, is referred to ORC for analysis. ORC will work with the PI, and possibly the sponsor, to determine how best to proceed, including whether to accept the award and implement a technology control plan.

OPAM refers all proposed research projects with foreign sponsors, or which otherwise require physical exports, to ORC for analysis, review, and approval. ORC also conducts, as necessary, end user screens and applies for licenses. Proposed contracts between UMass Amherst and any foreign country or foreign nationals are reviewed for unsanctioned foreign boycott provisions. Contracts (including any oral requests) having those provisions are not accepted by OPAM and are referred to ORC for review and any required reporting under Part 760 of the EAR. In addition, projects with required deliverables that are foreign funded are also reviewed and analyzed by ORC to ensure no license is required.

Research service agreements, in many instances, do not meet the fundamental research exclusion because they are typically specific projects conducted for companies with no intent to publish the results. Many of these projects, however, rely on the use of publicly available techniques and processes that are not export controlled. Research service agreements submitted to ORC with a statement of work and a purchase order are reviewed as outlined above. As necessary, OPAM sends the project to ORC for review when there is a question about the nature, scope of the work, end use, foreign sponsor, or necessity for a technology control plan.

The UMass Amherst Environmental Health and Safety (EH&S) Office is under the direction of the Vice Chancellor for Finance and Operations. EH&S has a comprehensive laboratory safety and compliance program. EH&S maintains a database of faculty and staff that work with biological agents, chemicals, and other hazardous materials. EH&S also conducts periodic training of persons with access to laboratories about the proper handling, disposal, security, and shipping of these materials, including export control awareness training. As part of the controls in place to oversee purchases, no persons are allowed to use UMass Amherst OneCards to purchase chemicals, and all chemical purchases and disposal are subject to EH&S review and approval. Chemicals and biological agents are subject to many legal requirements that involve additional compliance oversight. In fact, some of these materials are classified as dual use under the CCL. As a result, EH&S training on shipping and other training sessions include discussion of export controls. EH&S is available to assist members of the UMass Amherst community to comply with these laws and regulations.

The Institutional Biosafety Committee (IBC) is a faculty committee that oversees activities involving laboratory use of potentially hazardous biological agents. UMass Amherst is committed to ensuring the safe handling, storage, and disposal of potentially harmful biohazardous materials for research or instructional projects.  

Human Resources and Equal Opportunity & Outreach (HR) is under the direction of the Senior Associate Vice Chancellor for Human Resources. HR provides ORC with personnel records to assist in the vetting of employees to work on export-controlled projects and similar issues.

The Office of Global Affairs (OGA) is responsible for issues related to international travel safety and security, as well as advising on compliance with immigration regulations. OGA is also responsible for processing visa requests for all foreign persons (including students) for UMass Amherst. ORC is embedded in the process of reviewing and approving visa applications for international faculty, staff, and research scholars.

Shipping & Receiving is under the direction of the Vice Chancellor for Finance and Operations. All international shipments from UMass Amherst must be reviewed and approved by ORC prior to leaving campus. Review and approval can be obtained by shipping through eShip Global or Mail Services.

UMass Information Technology (IT) is under the direction of the Vice Chancellor for Finance and Operations, and provides information services, technology support, and network security for all UMass Amherst employees and students. ORC consults with Information Security as needed to develop and implement the data security components of Technology Control Plans.

Campus Police are consulted by the Compliance Oversight Committee and are engaged on an as-needed basis in any investigation the Compliance Oversight Committee may undertake regarding a possible violation or suspected security breach or theft.

Technology Transfer Office (TTO) is under the direction of the VCRE, and is responsible for assisting in review of invention disclosures and determining the applicability of its transfer to commercial applications, as well as reviewing, under protection of non-disclosure agreements, third party proprietary technologies. To prevent deemed exports, no foreign persons or foreign nationals shall be employed or work as students or interns in TTO. TTO handles requests for materials transfer agreements (MTA) and Confidential Disclosure Agreements (CDA), and ORC conducts export controls review of these agreements.

Deans, Center Directors, and Department Heads provide leadership and oversight of their respective departments, research centers, and faculty PIs to ensure compliance. They assist the ORC and the VCRE in implementing the UMass Amherst export compliance program. They support, facilitate, and coordinate faculty and staff training. They assess the appropriateness of sponsoring a foreign visiting scholar or other foreign visitor in their departments and centers, and review and approve foreign travel requests.

Principal Investigators (PIs) have the best understanding of their research—they are the subject matter experts understanding, within their respective field, the current state-of-the-art technologies and developments. They develop and direct their research projects to further scientific understanding and disseminate their results broadly within the scientific community through their publications. They interface with program managers and other sponsor’s points of contact. Therefore, PIs have the best information as to whether the technology, data, or information involved in their research is or may be covered by export control regulations. PIs also make decisions regarding equipment or technology and to whom it is transferred. Because there is a high penalty for non-compliance with export control regulations, it is critical for PIs to understand these regulations and work with the administrative staff in the ORC and ORA to evaluate technical aspects of export-controlled items, technology, or data.

The PI is responsible for the following:

• Reviewing UMass Amherst information on export regulations provided on the ORC webpages.
• Participating in training and identifying staff and students to attend training.
• Determining whether there may be any export control issues to address before preparing a proposal or beginning any research.
• Communicating with ORC and OPAM if any export control issues are identified or if any questions arise about export regulations.
• Cooperating with ORC in developing Technology Control Plans (TCPs) and applying for licenses, and following the TCP to ensure compliance with all applicable restrictions.
• Adhering strictly to any applicable restrictions and cooperating fully with ORC 's efforts to monitor compliance when export control regulations apply.
• Notifying ORC as soon as any change is necessary for work on a controlled project, such as a change in the scope of work or the addition of new staff.
• When conducting outside consulting activities, export control compliance is the responsibility of the PI.
• Acknowledging terms of CDAs that they may do work under, as well as notifying their students who are involved in the activity of the requirements of the CDA.
• Adhering to all university and sponsor requirements for compliance with foreign collaboration requirements, including, but not limited to, conflicts of interest and commitment.

Administrative Assistants provide assistance to many departments and faculty throughout UMass Amherst. The training of Administrative Assistants to a level appropriate to their responsibilities is of critical importance due to their role in assisting faculty to meet compliance obligations. For example, they are typically involved with activities such as international travel authorization submissions, shipments, purchasing, hiring documentation, and maintaining OneCard logs.

UMass Amherst must comply with the various record keeping requirements of the EAR and ITAR and related laws and regulations. Record keeping to meet federal regulatory requirements is generally (and preferably) done by providing documents to the ORC, but in some instances involves offices or departments keeping documents locally and providing copies to ORC. For example, OGA maintains all international student and scholar records. Export control records that are retained and secured by ORC include any licenses, license applications, policies, manuals, forms and guidelines, memoranda, notes, correspondence, screens, contracts, invoices and other financial records, shipping documents including bills of lading and Automated Export System (AES) records, records submitted to ORC for vetting including exclusion and exemption analyses, certificates, audit/review check sheets and reports, and any export control clearance form. The software used for restricted-party screening, Visual Compliance, maintains a record of every search unless the search is specifically deleted. Training records are also retained by ORC and include sign-in sheets signed by persons attending, date and location of training, speakers, and the subjects covered. Records from other departments are requested periodically by ORC for audit/control purposes and to help evaluate the export control compliance program’s effectiveness. Records are maintained for a period of five years from the expiration date of the authorization or date an exemption is claimed. OFAC requires records be retained for ten years. Thereafter, the records should be discarded consistent with the UMass Amherst record retention policy.

Audits are designed to systematically review and monitor the effectiveness of the UMass Amherst export control compliance program and ensure compliance with export control laws. Audits will be conducted by ORC as necessary, or otherwise on a periodic basis.

Audit objectives related to export controls include but are not limited to the following:

• Understanding and assessing the adequacy of management policies designed to comply with all U.S. export control laws and regulations.
• Documenting and evaluating controls implemented to ensure compliance with policies.
• Evaluating the effectiveness of these Guidelines and the controls in place and, if necessary, recommend revisions to improve the effectiveness.
• Monitoring compliance of research projects and departments with export license requirements, technology control plans, and these compliance guidelines.
• Identifying possible violations.

Commitment to Reporting

An integral part of export compliance is that employees report suspected violations of export laws and these suspected violations are thoroughly investigated. It is the policy of UMass Amherst to voluntarily self-disclose violations as required. Members of the UMass Amherst community are expected to contact the ORC should they have any questions about the application of the export control laws to their research or other activities. UMass Amherst faculty, administrators, staff, and students should report any potential violations to the ORC. No employee shall be punished on the basis that he or she reported what was reasonably believed to be an act of wrongdoing or a violation of the export control laws.

Investigation

Once an alleged violation has been reported, an investigation will be initiated to determine the validity of the allegation and an appropriate response. If the allegation merits further fact finding and investigation, ORC will work with the appropriate parties to conduct a thorough investigation. The results of its investigation are then made known to senior management to consider further action, including notification of the appropriate government agency, and taking corrective action. All documents and records relating to any suspected violation must be immediately secured and maintained in accordance with all applicable record keeping requirements. Information Technology and Campus Police support these investigations as needed.

Government Subpoenas

In the event any subpoena or other request for documents is received from any Federal agency, immediately contact the UMass Office of the General Counsel. Likewise, if a federal agency representative arrives on campus for a non-routine activity, immediately contact the Campus Police and the Office of Research Integrity for assistance. You shall not interfere with or obstruct any federal agent or law enforcement officer in the performance of his/her duties.

UMass Amherst Office of Research Compliance (ORC)

Training Information

• Contact the Office of Research Compliance for training specific to a project or work area.
• Login to the CITI Program and complete the Export Control training.
• BIS online training video on export control basics