Regulatory Framework

Agency	Commerce Department Bureau of Industry and Security – BIS	State Department Directorate of Defense Trade Controls – DDTC	Treasury Department Office of Foreign Assets Control – OFAC
Laws	Export Administration Act	Arms Export Control Act	Trading with the Enemy Act; International Emergency Economic Powers Act; and others
Regulations	EAR – Export Administration Regulations 15 CFR Parts 700-799	ITAR – International Traffic in Arms Regulations 22 CRF Parts 120-130	OFAC – Office of Foreign Assets Control
Lists to look for	Commerce Control List; Denied Persons List; Unverified List; Entity List.	U.S. Munitions List Country Policies & Embargoes Debarred List; Nonproliferation Sanctions	Country-specific sanctions and regulations; List of Specially Designated Nationals and Blocked Persons

The Export Administration Regulations (EAR) (15 CFR 700-799) are implemented by the Bureau of Industry and Security (BIS) within the Department of Commerce (http://www.bis.doc.gov/policiesandregulations/index.htm). The BIS implements and enforces export control regulations relating to the export of goods and technologies that have solely civil applications as well as those having both civil and military applications (known as “dual use” commodities). The governing regulations, the Export Administration Regulations (EAR), include a detailed list of items subject to the jurisdiction of BIS, the Commerce Control List (CCL; http://www.gpo.gov/bis/ear/pdf/738.pdf). Whether a license is required to export an item on the CCL is determined by examining the precise classification of the item, the destination of the item, end-use, and the end-user. BIS also maintains the Denied Persons List and the Entities List, which identify specific persons and entities to which exports are not permitted without the prior approval of BIS. It also maintains the “Unverified List”, which identifies end-users subject to additional review prior to export. The CCL includes ten categories.

• Nuclear Materials, Facilities and Equipment
• Materials, Chemicals, Microorganisms
• Materials Processing
• Electronics
• Computers
• Telecommunications and Information Security
• Lasers and Sensors
• Navigation and Avionics
• Marine
• Propulsion Systems, Space Vehicles & Related Equipment

The International Traffic in Arms Regulations (ITAR) (22 CFR 120-130) are implemented by the State Department’s Directorate of Defense Trade Controls (DDTC) [http://www.pmddtc.state.gov/itar_index.htm]. The Department of State regulates the export of defense articles, technical data, and defense services. The International Traffic in Arms Regulations (ITAR), include a list of regulated items, the Munitions List (http://www.fas.org/spp/starwars/offdocs/itar/p121.htm), which contains items developed for a military application without a predominant civilian application. The Munitions List includes such things as toxicological agents and auxiliary military equipment (including cameras and military cryptographic devices, software and components). Unless an exemption applies, a defense article may not be exported to a foreign country or a foreign national before the government issues a license for the export. The Department of State maintains a list of debarred persons and entities whose exporting privileges have been revoked due to ITAR violations.

The Munitions List includes the following categories:

• Category I-Firearms
• Category II-Artillery Projectors
• Category III-Ammunition
• Category IV-Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs and Mines
• Category V-Explosives, Propellants, Incendiary Agents, and Their Constituents
• Category VI-Vessels of War and Special Naval Equipment
• Category VII-Tanks and Military Vehicles
• Category VIII-Aircraft, [Spacecraft] and Associated Equipment
• Category IX-Military Training Equipment
• Category X-Protective Personnel Equipment
• Category XI-Military [and Space] Electronics
• Category XII-Fire Control, Range Finder, Optical and Guidance and Control Equipment
• Category XIII-Auxiliary Military Equipment
• Category XIV-Toxicological Agents and Equipment and Radiological Equipment
• Category XV-Spacecraft Systems and Associated Equipment
• Category XVI-Nuclear Weapons Design and Test Equipment
• Category XVII-Classified Articles, Technical Data and Defense Services Not Otherwise Enumerated
• Category XVIII-[Reserved]
• Category XIX-[Reserved]
• Category XX-Submersible Vessels, Oceanographic and Associated Equipment
• Category XXI-Miscellaneous Articles

The Treasury Department’s Office of Foreign Assets Control (OFAC) implements the economic and trade sanctions and, based on U.S. foreign policy and national security goals, targets foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction. The University typically encounters issues arising under the OFAC regulations when researchers engage in collaborations with foreign nationals overseas or seek to teach classes or perform research in foreign countries. The list of sanctioned countries changes from time to time, and can be found at (http://www.ustreas.gov/offices/enforcement/ofac/programs/index.shtml).
The economic and trade embargos vary for each country. For example, some countries (e.g., Cuba, Iran) are subject to an almost total embargo whereas certain of BU’s activities in Myanmar or Iraq probably would be permitted without a license. OFAC also maintains lists of Specially Designated Terrorists and Specially Designated Nationals and Blocked Persons, with whom U.S. persons may not engage in any transactions due to U.S. foreign policy and national security concerns. Transfers of items and information to individuals or entities on these lists are prohibited without the prior approval of OFAC.