Multiple sets of federal regulations govern the export control of goods, technology, and services across a range of scenarios relevant to the University community. These may pertain to the following:
- Technology: The export of certain technologies, information, and software from the United States, as well as the export of technology and software to non-U.S. persons in the United States
- Shipping data or goods: United States export controls apply to the export of items, software, and technology from the United States, as well as the re-export from country A to country B.
- Sanctions: The Department of Treasury (through its Office of Foreign Assets Control) maintains targeted economic sanctions involving designated countries, entities, and individuals. These restrict or prohibit a wide range of exports and other transactions, including educational services.
Classify Your Export
ITAR-controlled items are found on the the United States Munitions List (USML), and EAR-controlled items are found on the Commerce Control List. (See below.) However, even if an item is not listed, it may be export controlled to certain countries or individuals. The Export Controls team can help you classify equipment, software, or technical data. Contact us early in the process to ensure that the timeline for procuring a potential export license aligns with your schedule. We will work with you to determine which regulations are in play and whether a license is required.
Key Regulations
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International Traffic in Arms Regulations (ITAR)
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The ITAR regulates articles, services, and related technical data that are designated as defense articles or services, pursuant to the Arms Export Control Act. Found on the United States Munitions List (USML): 22 CFR Part 121, these may include items developed, designed, or modified for military or space applications.
You must obtain approval from the Directorate of Defense Trade Controls in the United States Department of State prior to exporting a defense article or service, or to providing technical data on defense articles to a non-U.S. person.
Furnishing assistance (including training) to non-U.S. persons, whether in the United States or abroad, in the design, modification, operation, or use of defense articles is a defense service. A defense service can include providing assistance through the use of public domain information. For example, providing the German Air Force with assistance on improving the fuel efficiency of their cargo aircraft would be a defense service, even if the assistance was provided exclusively through the use of public domain information.
ITAR-Controlled Items
In addition to firearms, ammunition, missiles, and other items with obvious military / space applications, the USML also includes articles not commonly considered to be military in nature, such as infrared imaging systems, accelerometers, or certain toxicological agents.
Department of State Restrictions
The United States Department of State prohibits the export of military / space equipment or technical data to the following countries, and to nationals of these countries:
- Afghanistan
- Belarus
- Burma
- Central African Republic
- China
- Congo, Dem. Rep. of
- Côte d'Ivoire (Ivory Coast)
- Cuba
- Cyprus
- Eritrea
- Haiti
- Iraq
- Iran
- Lebanon
- Liberia
- Libya
- North Korea
- Somalia
- Sri Lanka
- Sudan
- Syria
- Venezuela
- Vietnam
- Zimbabwe
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Export Administration Regulations (EAR)
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Export Administration Regulations (EAR) control items and technologies that may have commercial or military applications. Such items are known as “dual-use” items. If a good or service is not ITAR-controlled, then it is controlled under the EAR, unless it is excluded from the regulations.
These items may be found in Supplement 1 to part 774 of the Export Administration Regulations (EAR).
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Office of Foreign Asset Control (OFAC) Regulations
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OFAC, which is part of the U.S. Treasury Department, manages the United States government's sanctions and embargo programs. In addition, they manage the list of Specially Designated Nationals (SDNs): entities or individuals owned or controlled by, or acting for or on behalf of, the governments of target countries. SDNs may be associated with international narcotics trafficking or terrorism. To determine whether an entity with which your are working is listed on the SDN and Blocked Persons lists, request a Restricted Party Screening.
Individuals in the United States may be prohibited from conducting specified activities in or with sanctioned countries or restricted parties.
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Foreign Corrupt Practices Act
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If you are responsible for negotiating contracts with foreign sponsors, you should be aware of the requirements of the Foreign Corrupt Practices Act.
The Foreign Corrupt Practices Act of 1977, as amended, 15 U.S.C §§ 78dd-1, et seq. (FCPA), was enacted to make it unlawful to provide anything of value to foreign government officials in order to obtain an unfair business advantage. In short, the FCPA prohibits one from making (or promising to make) bribes to foreign government officials. It is also illegal to provide anything of value to a third party with the knowledge that the benefit will be provided to a foreign official, party, or candidate.
WHO does it cover?
Under the FCPA, "government officials” include the following:
- Employees of state-owned or affiliated entities, such as professors in public universities
- Doctors in state-owned hospitals
- Foreign government employees and politicians
- Employees of public international organizations, such as the World Bank
- Family members of these individuals
WHAT does it cover?
- "Anything of value" is broadly defined in the regulations and may include cash, gifts, payment of travel expenses, loans, charitable contributions, financial aid or scholarships, titles of honor, and more.
- An "unfair advantage" might include influencing an official act or decision, obtaining or retaining business or funding, ensuring the lack of prosecution for illegal activity, securing special tax or customs treatment, and more.
For additional information, please see the Office of General Counsel's FAQ.