Program Guidelines

The University of Massachusetts Dartmouth (UMassD) complies with all applicable U.S. laws, including any and all relevant applicable laws, regulations, and guidelines governing the export of goods, information, or services. University faculty, staff, administrators, and students are responsible for compliance with export control laws and regulations that apply to their activities. In general, export control laws are implicated when, among other circumstances:

The university will partner with a non-U.S. company or institution;
Host international visiting scholars for the purpose of research involving, use, or development of technology which is subject to export controls, or where a non-U.S. person will be participating in the activity;
Research involving military or defense-related applications;
Shipping or hand carrying tangible items, material, biologicals, or scientific equipment for research abroad. Some restrictions may also apply to laptops, GPS equipment, or devices with encrypted software;
Travel to, or remote work/classes with certain sanctioned or embargoed countries to teach or perform research; or
Foreign collaboration or transactions associated with any embargoed country or restricted party/person.
In any of these circumstances, or under other circumstances where there is a question whether export control laws might apply, the faculty, staff, student, or other member of the university community engaged in research or other activity that is potentially subject to export control regulations, is responsible for consulting with the appropriate university office, such as the Export Control Officer or General Counsel, to determine the appropriate actions.

The university requires that:

A faculty or staff member, student, or other member of the university community who anticipates their research or activity involving export controls activities with a country, entity, or person subject to restrictions under the EAR, ITAR, or OFAC regulations, shall comply with the applicability of such restrictions of export control laws and regulations, including the applicability of any exclusion or exemption, prior to the export or license requirements before traveling or entering into any negotiations or agreements with such country, entity, or person.
A Technology Control Plan (TCP) must be implemented for export-controlled goods, with the Principal Investigator (PI) and approved personnel adhering to the TCP requirements, completing export control training, and obtaining final approval before beginning research; routine reviews may be required to ensure the TCP’s accuracy.

Failure to comply with export control laws and regulations may result in severe criminal and civil penalties, including incarceration and fines, enforced by U.S. government agencies such as the Department of Commerce, State Department, or OFAC. Additionally, administrative sanctions, including fines, loss of research funding, and/or export privileges, may be imposed on the university.

United States foreign policy and national security require the control of exports. United States laws and regulations on export controls and trade sanctions 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, technical data, software codes, and services from the U.S. to foreign countries. In addition, these laws restrict “deemed exports,” i.e., the release of controlled materials, information, data, or services to a foreign nationals located within the U.S. are also restricted under these laws and regulations. Finally, they restrict “re-export,” shipment or transmission of items subject to export regulations from one foreign country to another foreign country.

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. (“Deemed Export” to the foreign national’s home country.)
Performing technical assistance or defense services for or on behalf of a foreign national, whether in the U.S. or abroad.

The following are factors to consider in determining the applicability of export regulations:

Will research results be published and publicly available? (i.e., does the fundamental research exclusion apply?)
Is the activity limited to teaching or instructional activities?
Is there a physical export (shipment) of a good?
Are foreign nationals restricted from participating in the activity?
What is the Item’s Export Control Classification Number (ECCN) or U.S. Munitions List (USML) category?
Where is it going (country)?
Will the activity involve a sanctioned or embargoed country?
Who is the end-user (person or entity)? What is the intended end use?
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?
Is a license required? If so, is enough time allowed to secure one?

These guidelines outline processes for members of the University of Massachusetts Dartmouth (UMassD) community (faculty, researchers, employees, staff, and students) to follow and ensure UMassD complies with export control laws and trade sanctions. At UMassD, the Office of Institutional Ethics & Compliance (OIEC) oversees export controls. UMassD values open research and education and aims to allow the publication and dissemination of research. Activities involving restricted persons or technologies may require a U.S. government license. It is the responsibility of UMassD researchers to comply with these laws. Violation of export laws, including those related to sanctioned countries or embargos, is a criminal offense. UMass Dartmouth does not have the facilities, resources, or approval to conduct ITAR-restricted research. Any project involving ITAR-controlled technology will not be allowed on the UMass Dartmouth campus. UMassD requires all new employees to receive and acknowledge receipt of the UMassD Export Control & International Trade Guidelines during new employee orientation by Human Resources.

Please direct questions and concerns regarding export controls to the Export Control Officer: Stephanie Pena, (508)910-9867, export.control@UMassD.edu.

• The university will partner with a non-U.S. company or institution;

• Host international visiting scholars for the purpose of research involving, use, or development of technology which is subject to export controls, or where a non-U.S. person will be participating in the activity;

• Research involving military or defense-related applications;

• Shipping or hand carrying tangible items, material, biologicals, or scientific equipment for research abroad. Some restrictions may also apply to laptops, GPS equipment, or devices with encrypted software;

• Travel to, or remote work/classes with certain sanctioned or embargoed countries to teach or perform research; or

• Foreign collaboration or transactions associated with any embargoed country or restricted party/person.

• In any of these circumstances, or under other circumstances where there is a question whether export control laws might apply, the faculty, staff, student, or other member of the university community engaged in research or other activity that is potentially subject to export control regulations, is responsible for consulting with the appropriate university office, such as the Export Control Officer or General Counsel, to determine the appropriate actions.

The university requires that:

• A faculty or staff member, student, or other member of the university community who anticipates their research or activity involving export controls activities with a country, entity, or person subject to restrictions under the EAR, ITAR, or OFAC regulations, shall comply with the applicability of such restrictions of export control laws and regulations, including the applicability of any exclusion or exemption, prior to the export or license requirements before traveling or entering into any negotiations or agreements with such country, entity, or person.

• A Technology Control Plan (TCP) must be implemented for export-controlled goods, with the Principal Investigator (PI) and approved personnel adhering to the TCP requirements, completing export control training, and obtaining final approval before beginning research; routine reviews may be required to ensure the TCP’s accuracy.