Export Controls

HMS is committed to promoting  unfettered access to and dissemination of research findings  to advance science while ensuring adherence to U.S. laws and regulations pertaining to the export of items, services, and technology.  HMS investigators engage in a broad range of innovative research in the U.S. and abroad, including the sharing and development of products, goods, hardware, software, or materials, as well as research involving technology that may be subject to U.S. export control laws and regulations.

Several U.S. federal departments and agencies are involved with overseeing and enforcing export controls.   These agencies require the University to secure an export license under certain circumstances before items are exported to another country, or information is shared with a foreign national.  These agencies have oversight of the following areas:

Department of Commerce

Items and information with civil applications

Department of State

Items with military applications

Department of the Treasury

Enforces country-specific embargoes and financial sanctions on individuals, organizations and countries

U.S.Citizenship and Immigration Services

Deemed Exports (e.g. access to technology and/or technical information) to foreign individuals

 

Given the complexity of the applicable laws, HMS encourages faculty and staff to contact us at ari@hms.harvard.edu assist with determining if any HMS research, travel, collaborations or export of any goods and services are subject to export controls, and to review the work of foreign persons to ensure compliance with the U.S.Citizenship and Immigration Services visa requirements or questions about the Harvard Export Control Compliance Policy Statement.  The Export Control Policy and Procedures  provides guidance regarding compliance with applicable export control laws.

In addition, the T.H. Chan School of Public Health has established a comprehensive and user-friendly website dedicated to export control education.

Deemed Export Attestation

When the University hires a foreign person as faculty or staff, the U.S. Citizenship and Immigration Services (USCIS) requires the University to complete form I-129.  The form includes a “Deemed Export Attestation,” which requires the petitioner (i.e. 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 to the foreign person in the United States during his/her 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.

To meet this requirement, the University’s visa application now includes a “Deemed Export Certification.”   This certification must be signed by the Principal Investigator or Department Chair and the HMS Assistant Director of Research Compliance, attesting whether or not a deemed export license is required prior to the release of technology or technical data to the foreign person.

Foreign Corrupt Practices Act
The Foreign Corrupt Practices Act (FCPA) of 1977 makes it unlawful to provide payments or other inducements to foreign officials for the purpose of assistance with obtaining or retaining business. HMS faculty and staff collaborating or traveling abroad or even hosting foreign dignitaries here at HMS should be aware of the requirements of the FCPA. A guidance document is available to view or download here.