Export Controls "Top Ten" List

Export Controls “Top Ten” List

Considerations for All University Employees


1.  Export control laws and regulations apply to all faculty, staff, and students.

2.  Three federal agencies have responsibility for over various aspects of export controls most applicable to universities:

  • Department of Commerce for civilian and “dual-use” technologies.
  • Department of State for military technologies.
  • Department of the Treasury for economic and political sanctions.

3.  There are two kinds of exports:

  • Physical shipments of technology and equipment to a foreign location.
  • Deemed exports, that is, the disclosing of technical data to a foreign national or the training of a foreign national in the U.S.  in the use of certain equipment.

4.  Most of what universities do is covered by one or more exclusions from the federal regulations such as the Fundamental Research, Public Domain, and Education Exclusions --- BUT:

  • Any restrictions on publication destroy the fundamental research exclusion.
  • Any restrictions on foreign nationals destroy the fundamental research exclusion.
  • Side agreements can destroy the fundamental research exclusion.

5. While the Departments of Commerce and State regulations contain exclusions, the Department of Treasury regulations do not have any exclusions.

6.  If an export license is required, it can take several months to obtain, depending on the agency and the complexity of the situation.

7.  Foreign travel can be a problem depending on which country is visited and what one takes on the trip.

8.  Foreign visitors, consultants, collaborators, and students must be screened. These are usually individual screens, but screening of equipment/technology to which the individuals will have access may also have to be performed. In some cases, it is also important to screen the foreign individual’s company/institution.

9.  Violations of export control laws and regulations carry very stiff criminal and civil penalties.

10.  If you have any questions or concerns about these considerations or the application of export controls to your activities or research please contact the Office of Research Compliance at (413)545-5283 or rescomp@research.umass.edu.



-Reprinted (with modification) courtesy of Boston College Office for Research Integrity and Compliance.