Over the past few years the Federal government has become increasingly concerned with protecting information and technology from disclosure by universities, the release of which could compromise our economic vitality or contribute to the military potential of U.S. international adversaries. Export laws and regulations promulgated by the U.S. Department of Commerce, the U.S. Department of State and the Treasury Department’s Office of Foreign Assets Control are the bases for restricting use and access to this information and technology. Because these laws may conflict with our tradition of academic freedom and openness in research and impose severe criminal and civil fines for noncompliance, it is important that all persons involved in sponsored research understand the regulations and implementation requirements.
The Office of Research Administration will be contacting each college to ask for time at college administrative council meetings and department meetings to present information and guidance on these matters to faculty and staff. Further, any individual who may be concerned about export control issues should contact the Export Compliance Officer, at firstname.lastname@example.org
cc: Denise Clark, Assistant Vice President for Research Administration
David Dunbar, Export Compliance Officer
Terry Roach, Chief Counsel
Patrick O’Shea, Patrick O'Shea, Chair, University Export Controls Committee
View the full memo in
• This document provides a broad overview of export control concepts, definitions and principles
• Guidance on classification under Commerce Control List (CCL) of Export Administration Regulations (EAR) is provided in Export Control Classification Numbers (ECCN), available at:
• Guidance on how to determine whether an export license is required based on CCL classification and other factors is provided in Introduction to Commerce Department Export Controls, available at:
• This paper provides an overview of key concepts and definitions under the International Traffic in Arms Regulations (ITAR).
Includes links to control lists maintained by Commerce and State.
The following countries are subject to embargoes under regulations administered by the Office of Foreign Assets Control (“OFAC”) of the U.S. Treasury Department, the Bureau of Industry and Security (“BIS”) of the U.S. Commerce Department and the Directorate of Defense Trade Controls (“DDTC”) of the U.S. State Department:
• North Korea
The OFAC website provides information on Sanctions Programs involving each of the above countries, as well as other OFAC-administered sanctions programs.
Part 746 of the Export Administration Regulations (“EAR”) administered by BIS includes embargo provisions and/or other special controls related to Cuba, Iran, Iraq, North Korea and Rwanda. General Order No. 2 to Supplement No. 1 to EAR Part 736 prohibits most exports and reexports of items subject to the EAR to Syria. BIS also provides Syria Web Guidance .
Under the International Traffic in Arms Regulations (“ITAR”) administered by DDTC, the export of any “defense article” , “defense service” or “technical data” is prohibited with respect to numerous countries in addition to Cuba, Iran , North Korea, Sudan and Syria, due to foreign policy, national security and antiterrorism considerations, as well as United Nations arms embargoes. Venezuela and China, for example, are not embargoed under the EAR or OFAC regulations, but applications for licenses to export or import defense articles or defense services destined for or originating in Venezuela, China and several other countries are subject to a policy of denial under ITAR section 126.1 . Moreover, proposals to sell or transfer defense articles, defense services or technical data subject to the ITAR to countries referred to in ITAR section 126.1 cannot be made without first obtaining a license or other approval from DDTC. Additional information on ITAR Country Policies and Embargoes is available on the DDTC webpage.
Certification on the Handling of Export-Controlled Information:
By signing this certification, the researcher agrees not to disclose technology, technical data software or source code identified as export controlled to foreign persons without first obtaining or confirming an appropriate governmental or regulatory authorization.
• Bureau of Industry and Security (BIS) Website:
Full text of Export Administration Regulations (EAR) and Commerce Control List (CCL):
BIS Deemed Export Resources (includes guidance on I-129 export certification requirements)
• Directorate of Defense Trade Controls (DDTC) Website
2010 Text of ITAR, Including USML (ITAR Part 121) and Amendments:
DDTC FAQs on Licensing Foreign Persons Employed by a U.S. Person:
DDTC Guidance re Licensing of Foreign Persons Employed by U.S. Person:
Defense Trade Controls Overview (2006)
• Office of Foreign Assets Control (OFAC) Website
• February 21, 2011 – BIS posts guidance re new I-129 certification requirement, mandatory as of February 20, 2011 for certain visa petitions, on release of controlled technology or technical data to foreign persons in the United States. The guidance can be found at:
• January 5, 2011 – Roth Conviction Upheld: The U.S. Court of Appeals for the Sixth Circuit upheld the September 2008 conviction of former University of Tennessee professor John Reece Roth for conspiracy to violate the Arms Export Control Act, exporting defense articles and services without a license, and wire fraud. The court’s opinion is available here . The DOJ press release on the court’s ruling can be found here .