Export Control Classification
Overview
Export control classification helps determine how equipment, materials, software, technology, technical information, and other items are regulated under U.S. export control laws.
The review generally involves two related determinations:
- Applicable Regulations – Which U.S. export control regulations apply?
- Classification – How is the item, software, technology, or information classified under those regulations?
Classification is an important part of determining whether an export, transfer, release, or other activity may proceed without a license, qualifies for a license exception or other authorization, or requires additional review or U.S. Government authorization.
Classification alone does not determine whether an activity is permitted. Licensing and other requirements may also depend on the destination, recipient, end user, end use, sanctions or embargoes, restricted-party screening results, and other circumstances of the proposed activity.
Technical characteristics, design intent, composition, performance, functionality, origin, and intended use may affect export control jurisdiction and classification.
If an export control classification is unavailable or you are uncertain how equipment, materials, software, technology, or technical information are classified, contact the Office of Research Security (ORS).
REQUEST ASSISTANCE WITH CLASSIFICATION
What is Being Classified?
Before determining an export control classification, first identify what requires classification. The approach may differ depending on whether the item, software, technology, or information is commercially available, received from a third party, or developed at the University.
Select the category below that best describes your situation.
What is it? Certain information that is published, publicly available, in the public domain, or
otherwise excluded from applicable export control regulations may not be subject to
the same export control requirements as controlled technology or technical data. The specific exclusions and requirements differ under the applicable export control
regulations. Why does it matter? Determining whether information qualifies for an applicable exclusion may eliminate
the need for further export control classification of that information. What should I do? Review the Publicly Available Information guidance. Contact ORS if you are uncertain whether an exclusion applies. What is it? Technical information, software, technology, or other material received from a sponsor,
collaborator, vendor, consultant, or other third party may already have an export
control classification or associated handling restrictions. Why does it matter? The organization providing the information is generally the best source for an existing
export control classification and any applicable export control restrictions. What should I do? Request the export control classification and any applicable export control information
from the provider before using, sharing, transferring, or providing access to the
information. Contact ORS if a classification is unavailable or if you have questions about the
restrictions provided. What is it? Commercially available equipment, materials, software, and technology may already
have an export control classification assigned by the manufacturer or vendor. Why does it matter? An existing classification can help determine whether licensing, documentation, or
other requirements apply to international shipments, transfers, releases, or foreign-person
access. What should I do? Request the export control classification from the vendor or manufacturer during the
purchasing process whenever available. Retain the classification with the applicable purchasing or project documentation. Contact ORS if a classification is unavailable and an export control determination
is needed. What is it? Equipment, materials, technology, technical information, prototypes, or other items
developed at Stony Brook University may be subject to U.S. export control regulations. Why does it matter? Unlike many commercial products, University-developed items and technology generally
do not have an existing manufacturer or vendor classification. Depending on the proposed
activity, an institutional export control determination may therefore be necessary. What should I do? Contact ORS before shipping, hand-carrying, transferring, releasing, or otherwise
providing University-developed equipment, materials, or technology internationally
or to foreign persons when an export control determination is required. ORS will assist in determining the applicable regulations and classification. What is it? Software and encryption developed at Stony Brook University may be subject to U.S.
export control regulations depending on the software's functionality, availability,
technical characteristics, and proposed distribution or use. Why does it matter? Software and encryption are subject to specialized provisions of the Export Administration
Regulations and may require review before international release, transfer, publication,
or distribution. Certain publicly available or publicly released software may qualify for exclusions
or other regulatory treatment. What should I do? Review the Guidance for Stony Brook Developed Software (NetID and password required) and contact ORS when University-developed software
or encryption will be released, transferred, or shared internationally and you are
uncertain whether export control requirements apply.
How Export Control Classification Is Determined
Once you have identified what requires review, export control classification generally follows the process below.
Step 1 – Determine Whether a Classification Already Exists
Many commercially available items and third-party technologies already have an export control classification assigned by the manufacturer, vendor, sponsor, collaborator, or other provider.
Potential sources include:
- Manufacturers
- Vendors
- Sponsors
- Collaborators
- Consultants
- U.S. Government agencies
If a classification is available, retain it as part of the applicable project or transaction documentation.
If the classification is unavailable, ORS can assist in determining whether an institutional classification is needed.
Step 2 – Determine the Applicable Export Control Regulations
Determine which U.S. export control regulations govern the equipment, material, software, technology, or information.
The principal regulatory frameworks affecting University research include:
- Export Administration Regulations (EAR) – Administered by the U.S. Department of Commerce and applicable to many commercial, dual-use, and certain less-sensitive military items, software, and technology.
- International Traffic in Arms Regulations (ITAR) – Administered by the U.S. Department of State and applicable to defense articles, defense services, and related technical data.
- Nuclear Export Control Regulations – Administered by the U.S. Department of Energy and U.S. Nuclear Regulatory Commission for certain nuclear materials, equipment, technology, software, and assistance.
Determining which regulatory framework applies is sometimes referred to as determining export control jurisdiction.
Step 3 – Determine the Export Control Classification
Once the applicable regulatory framework has been identified, determine the appropriate classification.
Depending on the regulations, classifications may include:
- Export Control Classification Number (ECCN) under the EAR
- EAR99 for items subject to the EAR that are not specifically described on the Commerce Control List
- United States Munitions List (USML) Category under the ITAR
- Applicable classifications or determinations under U.S. nuclear export control regulations
Classification may depend on technical characteristics, functionality, design intent, composition, performance, origin, and intended use.
ORS can assist when an existing classification is unavailable or the appropriate classification is uncertain.
Step 4 – Determine Whether Additional Requirements Apply
Export control classification does not by itself determine whether an export, transfer, release, or other activity is authorized.
Once classification is established, the proposed activity must be evaluated based on factors that may include:
- Destination country
- Recipient or end user
- Intended end use
- Restricted Entity Screening results
- Sanctions and embargoes
- Foreign-person access
- Sponsor or contractual requirements
- Availability and conditions of any license exception or other authorization
Depending on these factors, an activity may proceed without a license, qualify for a license exception or other authorization, require a U.S. Government license, or be prohibited.
When to Contact ORS
Contact ORS when:
- A manufacturer, vendor, sponsor, collaborator, or other provider cannot provide an export control classification.
- University-developed equipment, materials, software, technology, or technical information require an export control determination.
- You are uncertain whether the EAR, ITAR, or nuclear export control regulations apply.
- You are uncertain whether information qualifies as publicly available, published, or otherwise excluded from applicable export control controls.
- An existing classification appears inconsistent with the technical characteristics or intended use of the item.
- An item, software, technology, or technical information will be shipped, transferred, released, or otherwise provided internationally and you are uncertain whether authorization is required.
ORS can assist with jurisdiction and classification determinations and evaluate whether additional export control requirements apply to the proposed activity.
Need Assistance?
If an export control classification is unavailable or you are uncertain about the applicable regulations, classification, or requirements for a proposed activity, contact the Office of Research Security before proceeding.
REQUEST ASSISTANCE WITH CLASSIFICATION
Examples
Example 1 – Commercial Laboratory Equipment
A faculty member purchases a microscope from a commercial vendor.
Step 1: Ask the vendor whether an export control classification is available.
Step 2: If the vendor provides an ECCN or EAR99 classification, retain that information for future shipments or exports.
Step 3: If no classification is available and the equipment will be exported or shared internationally, contact ORS for assistance.
Example 2 – University-Developed Technology
A research group develops a new prototype sensor in its laboratory.
Because the technology was developed at the University, no commercial classification may exist.
Contact ORS before shipping, sharing, licensing, or transferring the technology internationally.
Example 3 – Software Received from a Sponsor
A sponsor provides proprietary software for use on a research project.
Before sharing the software or allowing access by collaborators, obtain the export control classification from the sponsor or contact ORS if the classification is unavailable.
Example 4 – Research Data
A researcher plans to send unpublished research data to an international collaborator.
Before sharing the information, determine whether the data are publicly available, subject to sponsor restrictions, or otherwise require export control review.