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Export Control

Federal scrutiny of export control is an increasing concern in U.S. colleges and universities, and Bates is developing resources for faculty and staff to promote compliance. The two areas of export control are ITAR, administered by the State Department and governing military technologies, and EAR, administered by the Commerce Department, overseeing “dual use” and economically sensitive technologies. These policies apply to both information and equipment/technology.

All on-campus research at Bates is covered by the Fundamental Research Exemption. The export control regulations exempt from licensing requirements technical information (but not controlled items) resulting from “fundamental research.” No license is required to disclose to foreign persons information that is “published and which is generally accessible or available to the public through fundamental research in science and engineering at universities where the resulting information is ordinarily published and shared broadly in the scientific community.”

“Fundamental research” means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.  (National Security Decision Directive 189)

There are others areas of risk, however, when it comes to export control, particularly as they relate to “controlled items”.  Faculty travel involving technical data, technical reports, equipment, or technology to sanctioned countries is prohibited.  We ask that faculty acquaint themselves with the countries that are subject to embargo.  Travel to these countries may require consulting with ILS and the Director of Research and Scholarship about restrictions and possible exemptions.  For example, taking a college laptop with standard software and no specialized data  to certain embargoed countries is prohibited; the countries currently subject to sanctions for reasons of anti-terrorism are Cuba, Iran, North Korea, Sudan and Syria, although this list is subject to change  The Office of Foreign Assets Control (OFAC) provides information on sanctions for each of the above countries, as well as other OFAC-administered sanctions programs.  The OFAC website is at http://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx. Broader lists of countries may be subject to export control regimes covering certain controlled items, such as technical data not intended for publication or manuals to controlled equipment items. To protect data on college-owned devices, or to comply with software or hardware restrictions when traveling, the College can provide faculty with a temporary laptop or mobile device or prepare an assigned laptop or mobile device so that U.S. export restrictions are respected. Click here to read more on the policies from ILS.

In order to promote understanding of and compliance with the relevant Federal laws, we require that faculty traveling with college laptops or other equipment, complete the Export Control modules of CITI training available at https://www.citiprogram.org.  In addition, we ask that faculty taking college-owned equipment overseas complete a Travel Disclosure Form, accepting the risks and personal responsibility for the decision to travel.  With sufficient prior notice of such travel, the College will assist faculty in securing any licenses required by law.


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