Compliance with U.S. Export Regulations
In order to engage in research activities which include the collaboration of foreign colleagues and graduate students, investigators must comply with certain restrictive Federal regulations called, collectively, “export control regulations.” These are the Export Administration Regulations (EAR, 15 CFR 730, U.S. Department of Commerce) and the International Traffic in Arms Regulations (ITAR, 22 CFR 120-130, U.S. Department of State). The purpose of these regulations is to control the dissemination of information and/or materials which may have bearing on our national security. While export control regulations provide exemptions for "educational information" and “fundamental research," both externally and internally funded research may be subject to export control regulations. Investigators should not assume that unsponsored research is exempt from export control regulations.
NOTE: If you are unable to determine whether your technical data, equipment, or technology is under the jurisdiction of the U.S. Department of State, Directorate for Defense Trade Controls (DDTC) or the U.S. Department of Commerce, Bureau of Industry and Security (BIS) , contact the Office of Research Compliance. The staff will assist you with the determination or request a free determination from the Department of Commerce.
All research personnel must complete basic training in federal export regulations prior to engaging in controlled activities.
- "Basic Training in Export Compliance For Faculty and Staff"
- Request a DVD of the live presentation
- Export Control Conference (held at: 26 September 2011)
- "Export Controls 101: The Basics", Rosemary Ruff, Director of Research Compliance, University of Arkansas
- "Export Controls: The Researchers’ Friend or Foe?", Shannon G. Davis, Ph.D., Assistant Dean for Research, College of Engineering, University of Arkansas
- "That OTHER Government Agency: Immigration Procedures When Inviting International Researchers", Audra Johnston, Office of International Students & Scholars, University of Arkansas
- "Technology Commercialization & Export Control", Jeff Amerine, PMP, Technology Licensing Officer, Adjunct Instructor, Entrepreneurship, University of Arkansas, Advisor, Innovate Arkansas
Technology (Export) Control Plan
A Technology Control Plan (TCP) is required for research which deals with technical items, data, and/or software controlled by U.S. Export Administration Regulations (EAR) or the International Traffic in Arms Regulations (ITAR). This requirement applies to all research activities whether or not they are externally sponsored. This plan must be submitted and approved prior to undertaking controlled activities. For assistance with control plans, contact Research Compliance. Completed plans may be delivered to the Research Compliance Office, ATTN: Compliance Officer, or submitted electronically to email@example.com. If emailing the plan, put Technology Control Plan in the Subject Header.
Regulatory Agencies and Regulations
BIS is responsible for implementing and enforcing the EAR which regulate the export and re-export of most commercial items. Those items which have both military and commercial applications are referred to as "dual-use" items. Purely commercial items, i.e., those without an obvious military use, are also regulated. All items which may require an export license are identified in the Commerce Control List (CCL), EAR Part 744, and have been assigned an Export Control Classification Number (ECCN). If an item is not on the CCL, it is designated EAR99. No license is required for EAR99 items.
- Export Administration Regulations
- Frequently Asked Questions
SUPPLEMENT NO. 1 TO PART 734—QUESTIONS AND ANSWERS—TECHNOLOGY AND SOFTWARE SUBJECT TO THE EAR: This supplement is divided into nine (9) sections and is intended to provide general guidance to the BIS interpretation of EAR. Differences in facts or circumstances may alter a given interpretation. Further, this information does not apply to some controlled encryption software (ECCN 5D002 for ‘‘EI’’ reasons) or to mass market encryption software with symmetric key length exceeding 64-bits classified under ECCN 5D992.
- Section A: Publication of technology and exports and reexports of technology that has been or will be published.
- Section B: Release of technology at conferences.
- Section C: Educational instruction.
- Section D: Research, correspondence, and informal scientific exchanges.
- Section E: Federal contract controls.
- Section F: Commercial consulting.
- Section G: Software.
- Section H: Availability in a public library.
- Section I: Miscellaneous.
- Export Control Basics - definitions, steps to determine the ECCN and license requirements
- Classification Basics - BIS will provide ECCN determinations upon request. All requests must be submitted electronically through SNAP-R. The director of RSCP is the designated SNAP-R administrator for the university. If you are unable to self-classify an item, contact RSCP for assistance. Individuals should not submit a request for classification directly to SNAP-R.
- Deemed Exports - export of controlled technology to a Foreign National within the United States
Key Regulatory Areas
- High Performance Computers
- Flow Chart to Determine Control Status of Encrypted Items or Items that include Encryption
- Antiboycott Requests - requests to engage in activities that further or support the boycott of Israel. Do not report directly. Request assistance from Research Compliance
- BIS/DOC Commodity Classification - Classification Information Table - information received from companies that have requested the Commodity Classification information available on their companies' websites, and/or their companies' export control points of contact, be accessible via the BIS website.
Frequently Required ECCNs
- Corporate Export Control Classification Database, a complimentary service of BSG Consulting providing direct access to export control classification numbers made available by manufacturers
- Adobe http://www.adobe.com/legal/compliance/export.html
- Apple Computer http://www.apple.com/legal/export.html
- CISCO http://tools.cisco.com/legal/export/pepd/Search.do
- IBM https://www-112.ibm.com/products/exporting/swclass
- Microsoft http://www.microsoft.com/exporting/default.htm
- Sun Microsystems http://www.sun.com/sales/its/software/software.html
The sale, export, and re-transfer of defense articles and defense services are regulated by the ITAR. DDTC is responsible for controlling the export and temporary import of defense articles and defense services covered by the United States Munitions List (U.S.ML).
- Getting Started
- Do Defense Export Controls Apply to Me? A Quick Action Checklist
- Rationale for Regulating Defense Exports
- DDTC – The Offices that Administer the Defense Export Regulations
- Authority for Control of Arms Exports
- U.S. Government Regulatory Measures
- End-Use/End-User Monitoring
- Other Compliance Mechanisms
- Arms Export Control Act
- International Traffic in Arms Regulations
- U.S. Munitions List – Articles, services and related technical data designated as defense articles and services in accordance with the Arms Export Control Act
- Militarily Critical Technologies List – Existing technologies which would permit significant advances in the development, production and use of military capabilities of potential U.S. adversaries
- Developing Science and Technologies List – Scientific and technological capabilities with the potential to significantly enhance or degrade U.S. military capabilities — including basic and applied research and advanced technology development
U.S. Treasury Department
The U.S. Treasury Department is charged with enforcing economic and trade sanctions against targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction. Commerce with several countries, organizations, and individuals is restricted based on sanctions issued by the Office of Foreign Asset Controls.
OFAC implements and oversees economic and trade sanctions against targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction.
- Terrorism Sanctions
- Non-proliferation Sanctions
- List of Sanctioned Countries
- Specially Designated Nationals List
The Wassenaar Arrangement was made for the purpose of protecting regional and international security and stability. It does this through the increased transparency and responsibility of the Participating States when transferring conventional arms and dual-use goods. Participating States have agreed to use their own national policies to ensure that transfers of these items do not contribute to and/or are not diverted for the purpose of developing or increasing military capabilities which are contrary to these goals. Each State bears sole responsibility for the decision to transfer or withhold transfer of any given item. US exports are, therefore, controlled by US regulation and policies.