Export Control General Information

U.S. Export Controls and Responsible Agencies 

Agencies

GOVERNING DEPARTMENT

COVERS

ITAR

State

Military items; space-related technology & research

EAR

Commerce

Dual-use goods, technology & software

OFAC

Treasury

Trade prohibitions with sanctioned countries/entities, travel, transport of equipment, and shipping

State Department – International Traffic in Arms Regulations (ITAR ) – Military items (munitions and defense articles) and services as identified on the US Munitions List (USML) and designated in the Directorate of Defense Trade Controls Embargoed Countries Chart.

Commerce Department – Export Administration Regulations (EAR) – Duel-use Technologies-Commodity Control List (CCL) establishes Export Classification Control Number (ECCN) on categories of different technologies covering equipment, test, materials, software, and technology (including information, technical data and technical assistance); Country List (country vs category reason for control); Denied Persons List; Entities List; and the Unverified List.

Treasury Department – Office of Foreign Asset Control (OFAC) – Prohibits transactions with countries subject to boycotts, trade sanctions, embargos such as Libya, North Korea, Syria (this list updated daily). Administers embargos; travel restrictions; and prohibits payments or providing “vale” to nationals of sanctioned country or specified entities/person. Embargoed countries are designated by OFAC in addition to Specially Designated Nationals listing.

Export Control Violation Penalties*

 

AGENCY

 

         ENTITIES

  INDIVIDUALS

ADDITIONAL PENALITIES

ITAR

Criminal

 

 

Civil

Up to $1 M

 

 

Up to $500K

Up to $1M and/or 10 years in prison

 

Up to $500K

Denial of export privileges and/or seizure/forfeiture of goods; SUSPENSION AND/OR DEBARMENT FROM GOVERNMENT CONTRACTING**

EAR

Criminal

 

 

 

Civil

Up to $1M or five times the value of the export

 

From $10K to $120K

Up to $250K and/or 10 years in prison

 

From $10K to $100K

Denial of export privileges and/or seizure/forfeiture of goods and/or exclusion from practice; SUSPENSION AND/OR DEBARMENT FROM GOVERNMENT CONTRACTING**

OFAC

Criminal

 

 

Civil

Up to $1M

 

 

Up to $55K

Up to $1M and/or 20 years in prison

 

Up to $55K

Seizure/forfeiture of goods and/or denial of export privileges.**

  *Penalties are per EACH violation

** For additional information on Violation Penalties and the items subject to penalties click here 

Implications of Export Control Laws

  • Vast majority of university research is not affected
    • But potential impact on:
    • Ability of foreign students to participate in research involving a controlled technology (mostly under ITAR
    • Ability to provide services (including training in the use of controlled equipment) to foreign nationals (ITAR, EAR, and OFAC)

Export Control Exclusions

Fundamental Research (ITAR, EAR) – Information must be results of basic and applied research conducted at an accredited institution of higher education located in the U.S. and published and generally available or accessible to the public (publications restrictions eliminate this exemption).

Employment (ITAR) – Bona Fide Employee Exemption – Full-time regular university employees who has a permanent address in the U.S., is not a national from an ITAR embargoed country, and has been advised in writing not to share controlled information to other foreign persons (exemption does not include graduate students).

Education (ITAR, EAR) – must be information concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain.