Introduction

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