Regulatory Framework

Commerce Department Bureau of Industry and Security—BIS

Agency: Commerce Department Bureau of Industry and Security—BIS
Laws: Export Administration Act
Regulations: EAR—Export Administration Regulations 15 CFR Parts 700–799
Lists to Look for:

The Export Administration Regulations (EAR) (15 CFR 700–799) are implemented by the Bureau of Industry and Security (BIS) within the Department of Commerce. 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, EAR, include a detailed list of items subject to the jurisdiction of BIS: the Commerce Control List (CCL). 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 Entity 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 10 categories:

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

State Department Directorate of Defense Trade Controls—DDTC

Agency: State Department Directorate of Defense Trade Controls—DDTC
Laws: Arms Export Control Act
Regulations: ITAR—International Traffic in Arms Regulations 22 CRF Parts 120–130
Lists to Look for:

The International Traffic in Arms Regulations (ITAR) (22 CFR 120–130) are implemented by the State Department’s Directorate of Defense Trade Controls (DDTC). The Department of State regulates the export of defense articles, technical data, and defense services. The ITAR include a list of regulated items, the Munitions List, 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:

Treasury Department Office of Foreign Assets Control—OFAC

Agency: Treasury Department Office of Foreign Assets Control—OFAC
Laws:

Regulations: OFAC–Office of Foreign Assets Control
Lists to Look for:

The Treasury Department’s Office of Foreign Assets Control (OFAC) implements the economic and trade sanctions and, based on US 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.

The economic and trade embargoes vary for each country. For example, some countries (e.g., Cuba, Iran) are subject to an almost total embargo whereas certain BU activities in Burma or Iraq probably would be permitted without a license. OFAC also maintains lists of Specially Designated Terrorists and Specially Designated Nationals & Blocked Persons, with whom US persons may not engage in any transactions due to US 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.