U.S. Export Controls and Responsible Agencies
| Agencies | Governing Departments | 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 U.S. Munitions List (USML) and designated in the Directorate of Defense Trade Controls
Commerce Department — Export Administration Regulations (EAR)
Duel-use Technologies- Commerce Control List (CCL) (doc.gov) 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; Entity List (doc.gov); and the Unverified List (doc.gov)
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 Penalties | |
|---|---|---|---|---|
| ITAR (Department of State) | ||||
| Criminal | Up to $1M | Up to $1M and/or 10 years in prison | Denial of export privileges and/or siezure/forfeiture of goods; SUSPENSION AND/OR DEBARMENT FROM GOVERNMENT CONTRACTING | |
| Civil | Up to $500K | Up to $500K | ||
| EAR (Department of Commerce) | ||||
| Criminal | Up to $1M | Up to $250K and/or 10 years in prison | Denial of export privileges and/or siezure/forfeiture of goods and/or exclusion from practice; SUSPENSION AND/OR DEBARMENT FROM GOVERNMENT CONTRACTING | |
| Civil | From $10K to $100K | From $10K to $100K | ||
| OFAC (Department of State) | ||||
| Criminal | Up to $1M | Up to $1M and/or 20 years in prison | Siezure/forfeiture of goods and/or denial of export privileges | |
| Civil | Up to $55K | Up to $55K |
*Penalties are per EACH violation
Implications of Export Control Laws
The majority of university research is not affected but there is 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 result 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 employee 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.