Federal Agencies and Their Export Control Regulations

Although the following list does present all federal agencies and their associated regulations as they pertain to Export Control circumstances; the Departments of State, Commerce and Treasury have been invested with the preponderance of responsibility by the federal government.  These agencies and their export control regulations most commonly associated with research activity at academic institutions in the U.S. are the following: 

• U.S. Department of State (Directorate of Defense Trade Controls)
  • International Traffic in Arms Regulations (ITAR) – governs ‘defense articles and services’ (items and information specifically designed or adapted for military use and includes satellites and spacecraft)
• U.S. Department of Commerce (Bureau of Industry and Security)
  • Export Administration Regulations (EAR) – governs dual use items and information predominately civilian in character by having military applications
• U.S. Department of the Treasury (Office of Foreign Assets Control)
  • Office of Foreign Assets Control Regulations (OFAC) – administers and enforces trade embargos and economic sanctions
• An additional source of information is the “Military Critical Technologies List.”  Although carefully qualified with a disclaimer that it is NOT an export control list but rather “…DoD’s recommendation for what should be controlled…;” it is quite helpful in determining if an item MIGHT be considered on either the ITAR or EAR lists of controlled items

Other Federal Links to Important Export Control Information

• “Deemed Exports”– What are they?  When do they apply?  Does it matter?  An export of technology or source code (except encryption source code) is “deemed” to take place when it is released to a foreign national within the United States.  Technology is “released” for export when it is available to foreign nationals for visual inspection (such as reading technical specifications, plans, blueprints etc); when technology is exchanged orally; or when technology is made available by practice or application under the guidance of persons with knowledge of the technology.

• “Denied Persons List”– list of names to whom export privileges are denied by written order of the Department of Commerce<

• “Entity List”– list of names of certain foreign persons (including businesses, research institutions, government and private organizations, individuals and other types of legal persons) that are subject to specific license requirements for the export, re-export and/or transfer of specified items<

• “Unverified List”– names and countries of foreign persons who in the past were parties to a transaction with respect to which BIS could not conduct a pre-license checks or post-shipment verification<