Export Administration Regulations (EAR)
Overview
The Export Administration Regulations (EAR), 15 CFR Parts 730–774, are administered by the U.S. Department of Commerce, Bureau of Industry and Security (BIS). The EAR regulate exports, reexports, transfers, and certain other activities involving commodities, software, and technology subject to the EAR.
The EAR apply to many commercial and dual-use items, as well as certain military, security, and other items within the regulatory jurisdiction of the Department of Commerce.
University activities that may involve the EAR include international shipments, international travel with research equipment, international transfers of software or technology, research collaborations, and releases of controlled technology or source code to foreign persons in the United States.
Many University research activities proceed without an export license. However, requirements depend on the item or technology involved, its export control classification, destination, recipient, end user, intended end use, and other applicable regulatory requirements.
The Office of Research Security (ORS) assists faculty, staff, and students in determining whether the EAR apply and identifying applicable export control requirements before activities begin.
REQUEST AN EXPORT CONTROL REVIEW
EAR at a Glance
| Topic | Information |
|---|---|
| Administered By | U.S. Department of Commerce, Bureau of Industry and Security (BIS) |
| Regulations | 15 CFR Parts 730–774 |
| Primary Focus | Commercial, dual-use, and less-sensitive military items, software, and technology |
| May Apply To | Exports, reexports, transfers, deemed exports, software, technology, and technical information |
| Common University Activities | International shipments, research collaborations, international travel, software, technical information, foreign national access, research equipment |
Common Considerations
The EAR regulate items subject to the EAR, including commodities, equipment, materials, software, and technology. Examples that may be relevant to University research include: Whether an item is subject to the EAR depends on its origin, technical characteristics,
applicable regulatory jurisdiction, and other factors. Not everything used in University research is subject to the EAR. Certain items and
information may fall under the jurisdiction of another federal agency or may be excluded
from the EAR under applicable regulatory provisions.
The EAR may apply to University activities such as:
- Shipping research equipment or materials internationally.
- Hand-carrying research equipment during international travel.
- Transferring software or source code internationally.
- Providing foreign persons access to controlled technology or source code.
- Purchasing or receiving export-controlled research equipment or technology.
- Sending research samples internationally.
- Conducting research subject to export control restrictions.
- Electronically providing controlled technology or source code outside the United States.
Whether an activity requires an export license or other authorization depends on the specific circumstances.
Items subject to the EAR may be classified using an Export Control Classification Number (ECCN) on the Commerce Control List (CCL).
Items that are subject to the EAR but are not described by an ECCN are generally designated EAR99.
Export control classification is an important part of determining applicable requirements, including:
- Destination-based licensing requirements.
- End-user and end-use restrictions.
- Availability of license exceptions.
- Other regulatory requirements.
Classification alone does not determine whether an activity may proceed. The proposed transaction or activity must also be evaluated based on the destination, recipient, end user, intended end use, and other applicable requirements.
See Export Control Classification for additional guidance.
Many exports, reexports, and transfers subject to the EAR do not require an export license.
Whether authorization is required depends on factors that may include:
- Export control classification.
- Destination country.
- Recipient or end user.
- Intended end use.
- Applicable end-user or end-use controls.
- Restricted Entity Screening results.
- Applicable sanctions or embargoes.
- Availability and conditions of a license exception or other authorization.
EAR99 does not automatically mean that an item may be exported without restriction. EAR99 items may still require a license or be prohibited depending on the destination, end user, end use, or other applicable restrictions.
ORS evaluates the proposed activity to determine whether a license, license exception, or other authorization is required.
Many University research activities involve information that is not subject to the EAR because it qualifies under provisions applicable to fundamental research, published information, or other publicly available information.
However, these provisions do not automatically remove export control requirements from all aspects of a research project.
The EAR may still apply to:
- Research equipment.
- Proprietary software or source code.
- Third-party controlled technology.
- Sponsor-provided technology.
- International shipments.
- International transfers of software or technology.
- Deemed exports involving controlled technology or source code.
- Other items or activities subject to the EAR.
Researchers should not assume that because a project constitutes fundamental research, all equipment, software, technology, or activities associated with that research are excluded from export control requirements.
The EAR also regulate certain releases of controlled technology or source code to foreign persons within the United States.
A release of controlled technology or source code to a foreign person in the United States may constitute a deemed export. No physical shipment outside the United States is necessary for a deemed export to occur.
Whether authorization is required depends on the classification of the technology or source code, the foreign person involved, and other applicable regulatory requirements.
See Deemed Exports for additional guidance.
How ORS Can Help
ORS assists researchers with:
- Determining whether equipment, materials, software, or technology are subject to the EAR.
- Performing export control classifications.
- Evaluating export license and other authorization requirements.
- Reviewing international shipments and transfers.
- Reviewing international travel involving research equipment or technology.
- Evaluating foreign-person access to controlled technology.
- Conducting Restricted Entity Screening.
- Identifying applicable license exceptions.
- Developing Technology Control Plans when required.
- Providing export control consultations and training.
Frequently Asked Questions
Do the EAR apply to all University research?
No. Many University research activities do not require export licensing. Whether the EAR apply depends on the equipment, software, technology, research activity, destination, recipient, end user, intended end use, and other applicable requirements.
What is an Export Control Classification Number (ECCN)?
An ECCN is an alphanumeric classification used for items described on the Commerce Control List. An ECCN identifies the item's applicable controls and is used as part of determining whether an export license is required.
What is EAR99?
EAR99 is the designation generally used for items that are subject to the EAR but are not described by an ECCN on the Commerce Control List.
Although EAR99 items may be exported without a license in many circumstances, restrictions may still apply based on the destination, recipient, end user, or intended end use.
Do the EAR apply only when something is physically shipped internationally?
No. The EAR regulate exports, reexports, and transfers of commodities, software, and technology and also regulate certain releases of controlled technology or source code to foreign persons.
Do the EAR apply to software and source code?
They may. Software and source code may be subject to the EAR depending on their characteristics, functionality, availability, and applicable regulatory provisions.
Does fundamental research mean export controls never apply?
No. Information resulting from qualifying fundamental research may not be subject to the EAR, but equipment, software, proprietary or third-party technology, international shipments, and other activities associated with the research may remain subject to export control requirements.
When Should I Contact ORS?
Contact ORS before:
- Shipping research equipment or materials internationally.
- Traveling internationally with research equipment or controlled technology.
- Transferring controlled software, source code, or technology internationally.
- Providing foreign persons access to controlled technology or source code.
- Beginning an international collaboration involving controlled technology.
- Purchasing or receiving export-controlled equipment, software, or technology.
- Engaging in an activity involving a restricted destination, end user, or end use.
- Proceeding whenever you are uncertain whether the EAR apply.
Federal Resources
For current Export Administration Regulations, Commerce Control List classifications, country-based licensing information, licensing guidance, and other federal export control resources, visit the U.S. Department of Commerce, Bureau of Industry and Security – Export Administration Regulations (EAR) website.
Need Assistance?
If you are planning an activity involving equipment, materials, software, technology, international transfers, foreign-person access, or other circumstances that may be subject to the EAR, contact the Office of Research Security before proceeding.