Export controls and trade sanctions are the United States laws and regulations that control and restrict the release of critical 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.
These laws apply to virtually all fields of science and engineering. They restrict the shipment, transmission, or transfer of certain commodities, software, technology, and services from the U.S. to foreign countries. Deemed exports, i.e. the release of controlled information to foreign nationals 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.
For projects that include the use of export-controlled information, the projects fall under the Commerce Department's Export Administration Regulations (EAR), the State Department's International Traffic in Arms Regulations (ITAR), and The Office of Foreign Assets Control.
The Principal Investigator has the Following Responsibilities Related to Export Controls
Prior to commencing any research, the PI (Principal Investigator) must review and cooperate with ORSP to determine whether any technical information or technology involved in the research is subject to the export control law or regulations and, if so, whether any exclusion is available under the export control regulations.
The PI must in cooperation with the ORSP re-evaluate that determination before changing the scope or adding new staff to the project to determine if such changes alter the initial determination. The PI must ensure that export determinations are made far enough in advance to obtain an export license from appropriate agencies when required and if available. The PI must ensure that foreign nationals are excluded from access to restricted data or technology until the availability of an exclusion has been determined, or an export license has been obtained.
The University will assist the PI in assessing the application of such regulations, but primary compliance responsibility rests with the PI of the research. A project subject to export controls must have a Technology Control Plan (TPC) in place that outlines the procedures to be taken to handle and safeguard the Export-Controlled Information. It is the responsibility of the PI to develop a written TCP, which then must be approved and signed by the UMass Boston Vice Provost for Research.
Education and Training
One of the primary elements of an Effective Export Control Compliance Program is Education and Training. At UMass Boston we provide different methods of delivering Export Control basic and more advanced training to our community members who work in roles impacted by export control regulations. The Assistant Director of Research of Research Compliance & Integrity is available to conduct live and virtual customized training sessions for your department or unit upon request or as otherwise needed. Please contact us to coordinate programs that satisfy your particular information and training needs.
CITI Export Control Basic Training Modules - UMass Boston University subscribes to CITI Export Control Compliance as an educational offering to our community. These educational sessions help to assist faculty, staff and students understand the concepts of export controls for varying business activities. CITI Export Control modules-based instruction ranges from the basic modules (Introductory course and general overview) to multiple subject-specific modules.
- US Department of Commerce Bureau of Industry and Security Training Room - A series of short videos (2 - 10 minutes), training modules (6 - 22 minutes), and webinars (15+ minutes) on topics relevant to export control.
All international University Travel is subject to and must be in compliance with export control reviews, rules, and requirements.
Prior to travel, all employees must register domestic overnight and international travel in the University Travel Registry and should document their itinerary. Fully documented travel plans allow the University to provide insurance and other coverage as appropriate. International travel requires prior review and approval for compliance with Export Control Sanctions & Embargoes.
If an employee is planning on traveling internationally with a University-issued cell phone or device, the employee must request that an international service plan be added to their University-issued cell phone/device. Such requests must be made at least three weeks prior to travel. In addition, Traveler must comply with Export Control requirements and campus and UITS guidelines.
Questions - Contact Tracey Poston, PhD, Associate Director of Research Compliance & Integrity