The Harvard Chan School and University are fully committed to compliance with applicable U.S. laws and regulations pertaining to exports of items, services and technology by or on behalf of Harvard. The Harvard University Export Controls Policy Statement applies both to the export outside of the United States as well as to exports to foreign nationals within the United States. Compliance with this policy is the responsibility of all Harvard personnel, wherever located.
If you have any questions on whether your research, travel, collaborations or export of any goods and services are subject to export controls, please contact Jennifer Neira, our School's Export Control Administrator. Also, see OVPR's Export Controls Policies & Guidance.
Export Controls Defined
“Export” is defined very broadly to include any oral, written, electronic or visual disclosure, shipment, transfer or transmission of commodities, technology, information, technical data, assistance or software codes to
- Anyone outside of the U.S. (including US citizen)
- A non-US individual (wherever they are, including within the U.S.)
- A foreign embassy or affiliate
In some circumstances, the Univeristy may need to receive a license from the U.S. government to engage in such activities. Whether a license is required in any of these circumstances depends on three factors: (1) the nature of the item; (2) the country destination; and (3) the end user of the item.
What is Essential
Research collaboration often involves the sharing of research materials, including biological samples, chemicals, reagents, research prototypes, and research equipment, including laptops to lasers. The transport and exchange of research materials may be subject to strict regulatory requirements related to the health and safety of shipping carriers and the public, international sanctions, protection of intellectual property, and export controls.
Items, information, and technologies used for University research, including some readily available in the U.S., may be subject to U.S. export control regulations intended to prevent the proliferation of chemical or biological weapons, support national security policies, or protect U.S.- developed intellectual property. The entire research team will need to consider these regulations when transferring certain items, technology, or information to foreign nationals within the U.S. as well as outside the U.S.
Additionally, U.S. government sanctions restrict travel to, and financial transactions with, certain countries, individuals, and organizations, including certain foreign universities and research institutes. It is important to understand and comply with country-specific sanctions when travelling abroad and to comply with financial sanctions on individuals and organizations when entering into research collaborations with foreign individuals and entities.
Harvard is committed to complying with applicable U.S. laws and regulations pertaining to exports of items, services and technology by or on behalf of the University. The University’s Chief Compliance Officer oversees Harvard’s compliance with U.S. export-control laws and regulations and chairs the Harvard University Export Control Council that reviews and advises the OVPR on export control issues.
Common Areas Where Export Control Issues May Arise
Shipping/Carrying Materials Overseas
Any item that is sent from the United States to a foreign destination is an export. “Items” include biological materials, chemicals, research materials, software, technology, and information.
The export of controlled items, information or software may require approval from the U.S. government in the form of an export license. An export license permits controlled tangible items or software to be sent outside the U.S. or controlled information or software to be shared with foreign persons in the U.S. or abroad.
Before carrying, shipping, or otherwise sending materials outside of the United States, you should consult the International Shipping Guidance, the EH&S Research Materials Shipping and Transport Manual, and your School or Institute’s Export Control Administrator to determine whether an export license is required.
Deemed Exports
Technology, know how, and non-encryption source code that is released to foreign national within the U.S. is “deemed” to be an export to the country where the person is a resident or citizen and could be subject to export licensing requirements. This is what is commonly known as the “deemed export” rule. More information about Deemed Exports can be found in the FAQ at the Bureau of Industry and Security.
Visa Deemed Export Certification: The U.S. Citizenship and Immigration Services (USCIS) requires the University to certify whether visa petitions for certain classes of foreign person work visas will require a license or other government authorization for the release of export-controlled technology or technical data during their employment. Under the export control laws, the transfer of such information is “deemed” an export to the country of origin of the individual with whom you are communicating.
Harvard International Office Visa Intake Form: To meet the USCIS requirement, the University’s visa application includes a “Deemed Export Questionnaire and Certification.” This certification must be signed by the Principal Investigator or Department Chair and the School’s Compliance Officer, attesting to whether a deemed export license is required prior to the release of technology or technical data to the foreign person.
Foreign Travel Issues
Foreign travel raises a number of issues for researchers, as any trip outside the United States has the potential for the researcher to export both items and technical information that may be controlled. For these reasons, it is recommended that you review Harvard’s Global Support Services travel tools page, and keep in mind a few simple points while traveling abroad:
Shipped v. Carried Items: Export-control laws do not distinguish between an item that is shipped and an item that is carried. Thus, if it is unlawful to ship an item to a certain country without a license, it is also unlawful to hand-carry with you, in your luggage. Although laptops are ordinarily licensed by the manufacturers for export to most countries, you may not be permitted to bring the same equipment to an embargoed country without first securing a license.
Destination: Second, the destination determines what export controls or regulations apply. Check with your School or Institute’s Export Control Administrator before travelling to: Cuba, Iran, North Korea, the Crimea Region of the Ukraine, Syria, or China.
Money: If you are traveling to a comprehensively sanctioned country, you may need a license to expend funds in that country. For example, under the Iranian embargo, you are permitted to spend money on hotels, food, or transportation without a license, but you may need a license from the Treasury Department in order to contract with local individuals and purchase certain research supplies.
Sharing Data: Travel abroad always involves meeting new people; researchers are no exception. Export control issues can arise when a researcher interacts with people during scientific discussions or conferences in which controlled technical information may be exchanged. There is no export control issue if the researcher is presenting research results that have already been published. However, if the data have not been published, the researcher must ensure that there is no technical information included that may be controlled.
Restricted Individuals/Business Entities: Travel abroad may also involve engaging in transactions with individuals or business entities which may be restricted by U.S. sanctions.
Electronic Devices and Encryption Software: If you are traveling with your laptop or any other electronic devices these items along with the underlying technology, any data on your device, proprietary information, confidential records, and encryption software are all subject to export control regulations. Some foreign governments have regulations that permit the seizure of travelers’ computers and the review of their contents. U.S. Customs officials are also authorized to review the contents of travelers’ laptops without probable cause and can be held until your return.
International Collaborations/On-Line Education and SDNs
In addition to countries, foreign individuals and entities may also be the subject of U.S. sanctions. These individuals/entities are considered Specially Designated Nationals (“SDNs”).
Before traveling to countries that may be the subject of sanctions, collaborating with a foreign national outside of Harvard University or any person or entity outside of the United States, or presenting your research at an international conference, conduct an SDN screen.
SDN screens may also need to be conducted when enrolling foreign nationals in:
- Professional or continuing education courses,
- On-line courses or executive education programs, or
- Otherwise providing services or receiving funds from foreign nationals
The Export Control Guidance on SDN provides further information on how to conduct SDN screens, and how to proceed if a screen results in a positive match.
You should also reference the points to consider when travelling abroad in the Foreign Travel Issues section of the OVPR website.
Related Resource: On-Line Education Reminder Regarding Sanctioned Countries
Cloud Computing
Use of cloud computing may implicate export control related issues; to assist those planning to use outsourced IT Services an Export Control Guidance on Data Storage and Transmission has been prepared to provide you with more information.
Military Critical Technical Data
Process for Accessing Military Critical Technical Data: Harvard University’s Office of the Vice Provost for Research maintains an approved Military Critical Technical Agreement (Form DD2345) with the Joint Certification Program (“JCP”). The University Chief Research Compliance Officer serves as the University’s Data Custodian for the purposes of this approval. All DD2345 related questions and requests must be directed to OVPR. Always work with the OVPR to:
- Confirm your need for JCP certification
- Obtain Harvard’s JCP certification number for use on meeting/conference registration forms, etc.
- Establish a Technology Control Plan (TCP) for the receipt and management of any export controlled data or materials. An approved Technology Control Plan (TCP) is required for all JCP data, regardless of format, that will be accessed, developed, provided, used, or stored by or on behalf of the University or University personnel. A TCP is not required for meeting participation unless the participant will be retaining notes, conference proceedings, presentations, etc. from the meeting that require safeguarding.
Note: University faculty, staff, trainees, and students engaging in University supported activities are required to use our institutional certification rather than register as an individual.
Regulations & Definitions: Access to unclassified technical data may not be exported outside of the U.S. without an approval authorization or license under U.S. or Canadian export control laws. This also means that you cannot share any unclassified technical data to which you have access with any foreign nationals in the U.S.
U.S. Defense Directive 5230.25 defines unclassified technical data as any of the following:
- Technical data with military or space application
- Blueprints, drawings, plans, instructions, computer software or documentation
- Other technical information that can be used (or be adapted for use) to design, engineer, produce, manufacture, operate, repair, overhaul, or reproduce any military or space equipment or technology concerning such equipment
Resources
Fishbowl Presentations:
-
Introduction to Export Controls: 9.28.2021
- This presentation provides an introduction to export controls, including: what export controls are, how export controls impact Harvard research activities, what to flag for further review/consultation, and who to contact.
-
Export Controls, Trade Sanctions, International Collaborations and Activities: 10.6.2020
- This presentation provides a high level overview of export controls and trade sanctions; how they impact you/Harvard, how to navigate/resolve issues/questions, and the consequences of not abiding.
Recommended course:
Guidance: