Roles & Responsibilities

Export regulations require universities to consider various activities that may trigger compliance oversight. Considerations and subsequent actions depend on management support, the types of activities the university engages in, evaluation of the recipient or destination, the involvement of controlled technology, and governmental jurisdiction. These factors help determine how the regulations apply and whether an export license is required. To ensure compliance, universities must have multiple levels of oversight in place for an effective export control compliance program. The OC composed of the Chief Research Officer (CRO), the Assistant Vice Chancellor for Research & Innovation (AVCRI), and the Director of Institutional Ethics & Compliance (DIEC); collaboratively they ensure compliance with export control laws and regulations at UMassD. The DIEC, as the Export Control Officer, leads the development and implementation of export control policies, conducts reviews of research proposals involving export controls, and oversees compliance efforts across the institution. The AVCRI supports these initiatives by ensuring the DIEC remains involved in proposal reviews prior to award acceptance and post approval award modification process. The CRO coordinates with institutional leadership, including Vice Chancellors, Deans, and Department Chairs, to communicate applicable export compliance concerns in research administration to investigators to promote institutional compliance. The CRO provides executive oversight and guidance on policies implantation. By maintaining open access to reviews conducted by the OIEC, the OC ensures a proactive approach to managing export control obligations.

The OIEC, led by the DIEC, develops and implements the export compliance program, collaborates with faculty to meet export control regulations, disseminates regulatory updates to relevant faculty, researchers, and staff, and maintains records for export control training and related activities. The DIEC serves as the Export Control Officer and assists researchers in development of Technology Control Plans (TCPs) to ensure compliance with export control regulations and conducts restricted party screenings of foreign entities to verify that foreign students, exchange visitors, visiting faculty, and international vendors are not on any prohibited persons lists. The OIEC also oversees export clearance for international travel, provides export control training, maintains long-term records for compliance determinations, and assists with license applications. The DIEC evaluates the applicability of export regulations, necessity of obtaining an export license, the recipient (end-user), the destination, the type of technology, materials, services, or data involved, and governmental jurisdiction. The DIEC is responsible for conducting periodic export control audits, coordinating consultations with the Office of General Counsel (OGC) when necessary, and annually reviewing the UMassD Export Compliance & International Trade Guidelines and Procedures. In collaboration with the Office of Research Administration (ORA), the OIEC screens research proposals for involvement of specific countries or restricted parties and reviews contract language for export compliance, use and control of restricted data, and participation of foreign employees and students. The OIEC works closely with the ORA and OTCV to ensure proper compliance measures are in place before grants or contracts involving export controls are accepted.

OIEC is Responsible for Record Keeping

UMassD complies with the various record keeping requirements of the EAR and ITAR and related laws and regulations. Record keeping meeting federal regulatory requirements is generally (and preferably) done by providing documents to the OIEC, but in some instances involves offices or departments keeping documents locally and providing copies to OIEC. For example, the ISSC maintains all international student and scholar records. Export control records retained by OIEC 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 OIEC for vetting including exclusion and exemption analyses, certificates, audit/review check sheets and reports, and any export control clearance form are also retained. Training records are also retained by OIEC 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 OIEC 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. Thereafter, the records should be discarded consistent with the UMassD record retention policy.

OIEC is Responsible for Audits & Review

Audits are designed to systematically review and monitor the effectiveness of the UMassD export control compliance program and ensure compliance with export control laws. Audits will be conducted by the OIEC 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 export control laws.
• Documenting and evaluating controls implemented to ensure compliance with policies.
• Through testing, determine the effectiveness of these Guidelines and the controls in place and, if necessary, recommend revisions to improve the effectiveness.
• Monitor compliance of research projects and departments with export license requirements, technology control plans and these compliance guidelines.
• Identify possible violations.

The ORA is responsible for extramural proposal submissions, administration of grant awards, and negotiation of contracts and research-related agreements on behalf of UMassD, ensuring all contracts comply with export control laws and fundamental research exclusions, whenever possible. The ORA reviews research contracts for language invalidating the fundamental research exclusions (e.g., terms restricting access to or publication of research or technical data, prohibiting results from becoming publicly available, or limiting personnel involvement). The ORA limits export control liability through the fundamental research and public domain exclusions by reviewing all 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, ORA 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. Contractual restrictions on the dissemination of research results (such as sponsor approval before publication or personnel restrictions) generally eliminate the applicability of the fundamental research exclusions. Therefore, ORA must exercise particular care in the negotiation and acceptance of research agreements subject to restrictions on the dissemination of data and information. When language invalidating exclusions cannot be removed, ORA refers the proposal to the CRO and DIEC for review and requests the PI complete an end-user certification form. Once the DIEC has implemented a TCP, and the CRO is authorized to accept the Board of Trustees (BOT) agreement, then ORA can proceed to finalize the grant or contract. The DIEC maintains a database of projects involving export control restrictions and coordinates with the ORA before authorizing personnel changes, modification of scopes of work, provide expenses for visiting scientists, or permit any other actions that may be export controlled. ORA also refers all proposed research projects with foreign sponsors, or which otherwise require physical exports to OIEC for analysis, review, and approval. Proposed contracts between UMassD and any foreign country or foreign nationals are reviewed for unsanctioned foreign boycott provisions. In addition, projects with required deliverables that are foreign funded are also reviewed and analyzed by OIEC to ensure no license is required.

These leaders provide oversight of their respective departments and research centers and assist the OC in implementing the export compliance program. 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.

PIs play a critical role in ensuring compliance with export control regulations due to their detailed knowledge of their research. PIs are responsible for completing the Export Control Checklist for projects that may involve export controls, submitting TCPs to the DIEC for review when required, and ensuring compliance with all applicable restrictions and policies. PIs must identify potential export control issues early, communicate with OIEC and ORA regarding potential issues, and oversee their team’s adherence to export control regulations. PIs must also notify the OIEC of any changes to export-controlled projects, such as adjustments to the scope of work, technology, or the addition of new personnel. Additionally, PIs must ensure that their research team participates in required training and are compliant with any applicable restrictions.

The PI is responsible for:

• Identifying export control issues before preparing a proposal or beginning any research and communicating with the OIEC regarding known or potential export control concerns.
• Understanding the export compliance requirements for equipment, software, chemicals, materials, technology, and company proprietary information handled, leased, or procured, including those under confidentiality obligations.
• Determining whether the proposed research is subject to export control restrictions, including those related to publication, dissemination, personnel access, or foreign travel.
• Collaborating with the OIEC to develop TCPs, implementing effective security plans to protect export-controlled information, and ensuring appropriate measures for foreign nationals under their supervision.
• Participating in training, identifying personnel requiring training, and ensuring compliance with export control regulations, including shipping permits and the proper handling of physical shipments.
• Report to OIEC prior to foreign travel, sponsoring foreign visitors, collaborating with foreign entities, or conducting research abroad, including screening for sanctioned or embargoed persons, entities, and countries.
• Disclosing any foreign talent recruitment efforts and the involvement of foreign nationals in the research program, particularly if the recruitment is linked to potential malign programs or entities that may pose a national security risk.
• Disclosing any gift, foreign financial support, or reimbursements for travel, public speaking engagements, or other professional activities that may involve export-controlled information or connections to foreign entities, especially those associated with malign programs or national security concerns.
• Notifying the OIEC of any changes to an export-controlled project, including adjustments to the scope of work or the addition of new personnel, particularly when these changes involve foreign nationals or foreign-sponsored research.

Administrative Assistants aid many departments and faculty. Training, appropriate to their level of responsibilities, of Administrative Assistants is of critical importance because of their role in assisting faculty to meet compliance procedures. For example, they are typically involved with activities such as international travel authorization submissions, shipments, purchasing, hiring documentation, and maintaining ProCard logs.

The ISSC is responsible for compliance with F-1 and J-1 immigration regulations for students, exchange visitors, and visiting faculty. Their responsibilities include:

• Immigration Compliance Review: Reviewing documentation received from HR (after RPS clearance) to ensure it meets all applicable F-1 and J-1 visa requirements.
• Issuance of Immigration Documents: Processing and issuing DS-2019 forms and other necessary immigration documents required for F-1 and J-1 cases.
• Verification and Coordination: Coordinating with federal agencies and internal departments to address any discrepancies or additional requirements related to immigration compliance.
• Record Maintenance: Keeping accurate records of all processed cases, ensuring each file is updated with the latest immigration status and documentation.
• Guidance and Support: Providing guidance to individuals and relevant UMassD departments on immigration procedures, policies, and necessary follow-up actions.

Once ISSC processes the forwarded documentation, it confirms that all immigration compliance measures have been met before finalizing the issuance of DS-2019 or other pertinent documents.

HR is responsible for gathering all necessary documentation for the following individuals:

• Visiting Scholars
• Researchers
• Residents
• Exchange Students
• Honorific Appointments
• H-1B Appointees

HR collects documentation from the individual, faculty, and appropriate department heads. This documentation typically includes:

• Identification with the individual’s legal name and physical address (no post boxes).
• Comprehensive curriculum vitae.
• A memo outlining the purpose of the visit and a complete description of activities to be conducted at UMassD.
• Relevant agreements or guidelines (e.g., Visiting Scholar Agreement, Visiting Scholar Review Guidelines).
• An Acknowledgement of Intellectual Property Agreement.

Once HR has gathered and reviewed the documentation, it sends the complete package to the Office of Institutional Ethics and Compliance (OIEC) for restricted party screening (RPS). If the documentation is incomplete, OIEC will collaborate with HR to gather the necessary documentation and information to capture proper RPS.

• For cases involving international visitors (F-1 and J-1): After RPS clearance, HR forwards the materials to the International Student and Scholar Center (ISSC) for further processing.
• For all other cases, including H-1B appointees: HR continues with the onboarding process once RPS clearance is obtained.

In addition, HR conducts new employee orientation, which includes export control awareness training and the distribution of the University Export Control & International Trade Guidelines, while maintaining records of employees’ acknowledgments.

CITS oversees data security, electronic mail, and computer and information technology policies at UMassD. CITS plays a critical role in ensuring compliance with export control regulations related to travel and computing. It collaborates with OIEC to manage the use of restricted data and technology, particularly during international travel. CITS discourages the travel of sensitive or restricted data and works to ensure that faculty and staff traveling to countries with encryption restrictions do so with loaner devices that are unencrypted. Additionally, CITS educates travelers about export control restrictions, cybersecurity concerns, and travel-related risks regarding computing devices. CITS is also responsible for reviewing and approving travel requests to high-risk countries, ensuring compliance with encryption and data security requirements. In the event of any incidents involving export-controlled data or violations of related policies, faculty and staff are instructed to promptly report these incidents to CITS for investigation and resolution. CITS works closely with OIEC and other relevant departments to ensure the integrity of data security during international travel.

Under the direction of the Chief Research Officer (CRO), the Office of Technology Commercialization and Ventures (OTCV) is responsible for reviewing invention disclosures, negotiating licensing/option agreements and other research contracts, and processing other relevant documents to assist faculty in moving their innovations beyond the research bench in collaboration with commercial parties. When OTCV: (1) receives a request involving a Material Transfer Agreement (MTA) for the transfer of materials from the university or the receipt of materials into the university that involve foreign persons; (2) negotiates confidentiality/nondisclosure agreements (NDAs) with non-standard export control provisions, foreign entities or nationals; or (3) is involved in other situations that present potential “red flags,” the requests are referred to the Division of International Export Compliance (DIEC) for export control review and approval. The OTCV reviews and negotiates agreement language to ensure compliance with applicable regulations and removes unnecessary terms when needed. Other OTCV activities that can involve export review include vetting new business venture development partners. Faculty involved in industry activities covered under an NDA acknowledge the restrictions imposed by the NDA, agree to comply with its requirements, and must notify any students who may also be subject to the NDA's terms.

The EHS has a comprehensive laboratory safety and compliance program. EHS maintains a database of faculty and staff that work with biological agents, chemicals, and other hazardous materials. EHS 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 UMassD ProCards to purchase chemicals, and all chemical purchases and disposal are subject to EHS 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, EHS training on shipping and other training sessions include discussion of export controls. EHS is available to assist  members of the UMassD community to comply with these laws and regulations.

The IBC is a faculty committee that oversees activities involving laboratory use of potentially hazardous biological materials and agents. UMassD is committed to ensuring the safe handling, storage, and disposal of potentially harmful biohazardous materials for research or instructional projects. The DIEC is responsible for oversight of various compliance committees, including the IBC.