Export controls are regulated by various federal agencies, the export control regulations most relevant to universities are
The International Traffic in Arms Regulations (ITAR), The Export Administration Regulations (EAR), and sanction programs under
the Office for Foreign Asset Controls (OFAC).
International Traffic in Arms Regulations (ITAR)
Controls the export of defense articles, defense services, technical data and software that are inherently military. ITAR
is administered Directorate of Defense Trade Controls within the Department of State.
- Articles should first be reviewed for ITAR designations; if the article does not appear on the United States
Munitions List (USML) then the article should be reviewed for EAR designations.
- If an USML article is incorporated into a larger article, then the larger article becomes controlled under
- ITAR is article based: NO article on the USML can be exported without a license or exemption.
- Arms Embargo: NO article on the USML may be exported under a license or license exemption to countries
proscribed in 22 CFR § 126.1.
- Additional restrictions apply to other countries, whenever an export would not otherwise be in furtherance of
world peace and the security and foreign policy of the United States – as proscribed further in 22 CFR § 126.1 .
- Complete versions of the ITAR and USML are available at: http://pmddtc.state.gov/regulations_laws/itar.html
Authority: 22 CFR §§ 120-130 are promulgated and implemented by the Department of State and regulate
defense articles (as defined in §120.6), significant military equipment (as defined in §120.7), major defense equipment (as
defined in §120.8), defense services (as defined in §120.9), and technical data and software (as defined in §120.10).
“Export” as defined in §120.17:
- Sending or taking a defense article out of the United States in any manner, except by mere travel outside of the
United States by a person whose personal knowledge includes technical data; or
- Transferring registration, control or ownership to a foreign person of any aircraft, vessel, or satellite covered by
the U.S. Munitions List, whether in the United States or abroad; or
- Disclosing (including oral or visual disclosure) or transferring in the United States any defense article to an
embassy, any agency or subdivision of a foreign government (e.g., diplomatic missions); or
- Disclosing (including oral or visual disclosure) or transferring technical data to a foreign person, whether in the
United States or abroad; or
- Performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the United States
- A launch vehicle or payload shall not, by reason of the launching of such vehicle, be considered an export for
purposes of this subchapter. However, for certain limited purposes (see § 126.1 of this subchapter), the controls of this
subchapter may apply to any sale, transfer or proposal to sell or transfer defense articles or defense services.
Regulated items are identified on the United States Munitions List (USML), 22 CFR § 121 in the following
- Category I-Firearms, Close Assault Weapons,
and Combat Shotguns
- Category II-Guns and Armament
- Category III-Ammunition/Ordnance
- Category IV-Launch Vehicles, Guided Missiles,
Ballistic Missiles, Rockets, Torpedoes, Bombs, and Mines
- Category V-Explosives and Energetic Materials,
Propellants, Incendiary Agents, and Their Constituents
- Category VI-Vessels of War and Special Naval
- Category VII-Tanks and Military Vehicles
- Category VIII-Aircraft and Associated Equipment
- Category IX-Military Training Equipment and
- Category X-Protective Personnel Equipment and
- Category XI-Military Electronics
- Category XII-Fire Control, Range Finder, Optical
and Guidance and Control Equipment
- Category XIII-Auxiliary Military Equipment
- Category XIV-Toxicological Agents, Including
Chemical Agents, Biological Agents, and Associated Equipment
- Category XV-Spacecraft Systems and Associated
- Category XVI-Nuclear Weapons Design and Testing
- Category XVII-Classified Articles, Technical
Data and Defense Services Not Otherwise Enumerated
- Category XVIII-Directed Energy Weapons
- Category XIX-[Reserved]
- Category XX-Submersible Vessels, Oceanographic
and Associated Equipment
- Category XXI-Miscellaneous Articles
Export Administration Regulations (EAR)
Controls products that have a “dual use” (commercial and military/security) application as well as items that are a
commercial application, technology for the development, production, or use of a product, and software. EAR is
administered by the Bureau of Industry and Security within the Department of Commerce.
- Items not designated on the USML or the Commodity Control List (CCL) are classified as EAR99 (see below
definition of EAR99).
- The CCL is destination based and export or re-export of both ECCN designated items and EAR99 items are
controlled based upon the country of destination.
- As of October 15, 2013, implementation of the 600 series, which are items that were developed for a military
application but also have a commercial application and have been moved from the USML to the CCL. A product/item
should be reviewed for designation under the 600 series before reviewing the rest of the CCL.
- Complete versions of the EAR and CCL are available at: http://www.bis.doc.gov/policiesandregulations/index.htm
Authority: 15 CFR Parts 730-774 are promulgated and implemented by the Department of Commerce,
Bureau of Industry and Security (BIS), and regulate the export control, the export and re-export of commercial and dual use
(commercial and military/security applications) items, including encrypted software, identified on the Commodity Control List
Export as defined in 15 CFR 734.2
- “Export” means an actual shipment or transmission of items subject to the EAR out of the United States, or release of
technology or software subject to the EAR to a foreign national in the United States.
- “Re-export” means an actual shipment or transmission of items subject to the EAR from one foreign country to another
foreign country; or release of technology or software subject to the EAR to a foreign national outside of the United
- “Deemed Export”: any release of technology or source code subject to the EAR to a foreign national. Such release
is deemed to be an export to the home country or countries of the foreign national.
- “Deemed Re-export”: any transfer of a controlled U.S. technology (deemed export) to a third-country national
*Note: for purposes of the EAR transfer of technology or source code to a foreign national in the United States is
the same as a transfer to the foreign national’s home country.
Regulated items are identified on the Commodity Control List (CCL) 15 CFR 774 Supplement 1 in the following ten broad
- 0-Nuclear Materials, Facilities and Equipment and Miscellaneous Items
- 1-Materials, Chemicals, "Microorganisms," and Toxins
- 2-Materials Processing
- 3-Electronics Design, Development, and Production
- 5 Part I-Telecommunications
- 5 Part 2-Information Security
- 6-Sensors and Lasers
- 7-Navigation and Avionics
- 9-Propulsion Systems, Space Vehicles and Related Equipment
Within each category, items are arranged by group:
- A-Equipment, Assemblies, and Components
- B-Test, Inspection, and Production Equipment
“Export Control Classification Number” (ECCN) is the alpha-numeric designation proscribed to a particular item on the CCL
according to category and group.
“EAR99” If an item falls under U.S. Department of Commerce jurisdiction and is not listed on the CCL, it is designated as
EAR99. EAR99 items generally consist of low-technology consumer goods and do not require a license in many situations.
However, if the proposed export of an EAR99 item is to an embargoed country, to an end-user of concern or in support of a
prohibited end-use, you may be required to obtain a license.
Office of Financial Assets Controls (OFAC)
Enforces economic and trade sanctions based on U.S. foreign policy and national security goals against foreign targeted
countries or entities, terrorists, international narcotics traffickers and those engaged in activities related to the
proliferation of weapons of mass destruction.
- Sanction programs and the Specially Designated Nations and Blocked Persons list are subject to change and are
- OFAC sanction programs are available at: http://www.ustreas.gov/offices/enforcement/ofac/programs/
- Complete version of OFAC is available at: http://www.access.gpo.gov/nara/cfr/waisidx_03/31cfr500_03.html
Authority: 31 CFR Parts 500-597 are promulgated and implemented by the US Treasury Department and regulate
economic trade with foreign countries. OFAC administers and enforces economic and trade sanctions based on US foreign
policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics
traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the
national security, foreign policy or economy of the United States[i].
The Trading with the Enemy Act (TEWA), 50 U.S.C. §§ 1-44, which gives the President the power to restrict and
oversee all trade between the United States and its enemies during the time of war; and
International Emergency Economic Powers Act (IEEPA), 50 U.S.C. §§ 1701-1706, which allows the President to
identify any unusual extraordinary threat that originates outside the United States and to confiscate property and prohibit
transactions in response.
Specially Designated Nationals and Blocked Persons List, 15 C.F.R. Part 764, Supplement 3, comprised of
individuals and organizations deemed to represent restricted countries or known to be involved in terrorism and narcotics
trafficking. At present, OFAC administers seventeen sanctions programs, including Cuba, Syria, Sudan, Iran, and North
Korea, and the Specially Designated Nations and Blocked Persons list.
Commodity Jurisdiction Requests and Classification of Items/Technology Requests.
The Office for Research Compliance can assist you with requests to have items determined for jurisdiction and/or
classification by the appropriate federal agencies.
Commodity Jurisdiction Requests:
When it is unclear whether an item and/or technology falls under jurisdiction of the US Department of State (ITAR) or the
Department of Commerce (EAR), a Commodity Jurisdiction Request can be submitted through the Office of Research Compliance to
the Office of Defense Trade Controls. (See 22 CFR 120.3 and 120.4).
Classification of Items/Technology Requests:
When it is unclear what an item/technology’s appropriate classification is under the EAR, a Classification Request can be
submitted to the Bureau of Industry Standards through the Office of Research Compliance. If it is unclear whether or not
a license is required for a particular transaction, a request for an advisory opinion can be submitted to the Bureau of
Industry Standards through the Office of Research Compliance.