An Introduction to Export
Controls at UNCP
Created by the Center for Sponsored
Research and Programs at UNC
Pembroke
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Getting Started
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What are exports?
What are examples of export methods?
What are export controls, and why are they needed?
What is an export license?
Which federal agencies regulate export controls?
How do I determine if I have an export issue?
I have an export…how do I know if I need an export
license?
What are the penalties for ignoring export controls?
Are there any exemptions for export controls?
Where do I go for additional information?
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What are exports?
► Exports
are any transfer* of commodities,
technology, information, technical data,
assistance, or software codes to anyone
outside the U.S., a non-U.S. individual
wherever s/he is, and/or a foreign embassy
or affiliate.
 *This includes any oral, written, electronic, or
visual disclosure of any of the aforementioned
items.
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What are examples of export
methods?
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To Overseas Recipients – Mail (shipping), e-mail, fax, face
to face transmissions.
“Deemed” Export – The transfer of an export to a foreign
national in the U.S.
 A foreign national is anyone who is not a citizen, a legal resident
alien, or a protected individual (refugee) of the United States
(including organizations not incorporated to do business in the
U.S.).
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U.S. travelers in foreign countries with laptop computers or
GPS devices can be considered an export.
 Allowing foreign nationals to access either technology is considered
an export.
 Laptops can be excluded from this if they contain only software
available through commercial or public sources.
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What are export controls, and why
are they needed?
► Export
controls are the laws and regulations set by
the U.S. government to prevent the export of
potentially sensitive or militarily adaptable items to
foreign nationals or foreign countries.
► Export controls are needed to restrict the export of
goods and technologies that could directly and
indirectly contribute to the military potential of
other countries.
► Controls can also prevent the creation of weapons
of mass destruction, as well as terrorism and other
similar activities.
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What is an export license?
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export license is a form of approval from
the U.S. government that allows exports to
be transmitted to approved overseas
destinations (individual, government,
organization, etc.).
 This license allows the U.S. government to
regulate the exportation of potentially sensitive
items and information for reasons of national
safety.
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Which federal agencies regulate
export controls?
► Export
Controls are regulated by three
federal agencies:
 U.S. Department of Commerce
 U.S. Department of State
 U.S. Department of Treasury
► Each
agency oversees a different aspect of
Export Controls.
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U.S. Department of Commerce
► The
Bureau of Industry and Security in the
Department of Commerce issues the Export
Administration Regulations (EAR).
► The EAR are used to control the export of
“dual-use technologies”, which are items
with possible applications in both a
commercial and military sense.
 http://www.bis.doc.gov/
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U.S. Department of State
The Department of State issues the
International Traffic in Arms Regulations (ITAR).
The ITAR are used to control the export of
inherently military technologies.
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http://pmddtc.state.gov/itar_index.htm
A list of the ITAR categories of military
technologies can be found at:
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http://www.fas.org/spp/starwars/offdocs/itar/p121.ht
m#ITAR
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U.S. Department of Treasury
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Department of Treasury oversees the
Office of Foreign Assets Control (OFAC).
► The OFAC is responsible for ensuring that
no exports reach organizations, countries,
or individuals subject to embargo, boycott,
or economic sanctions.
 http://www.treas.gov/offices/enforcement/ofac/
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How do I determine if I have an
export issue?
► Does
your research team include
members/collaborators from foreign countries
(including graduate students)?
Yes Contact CSRP for Instructions
No No Issue
► Will
the results be publicly available (e.g.,
presentations, publication, website, etc.)?
Yes No Issue
► Does
No Contact CSRP for Instructions
the project involve any regulated categories?
Yes Contact CSRP for Instructions
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No No Issue
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How do I determine if I have an
export issue? (cont.)
► Will
there be restrictions on publications, access,
dissemination, or proprietary information?
Yes Contact CSRP for Instructions
► Will
No No Issue
I be receiving any restricted information?
Yes Contact CSRP for Instructions
No No Issue
► Is
the research/equipment/data, etc, going
overseas to a foreign company, government, or
individual?
Yes Contact CSRP for Instructions
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No No Issue
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How do I determine if I have an
export issue? (cont.)
► Could
the end product of your project be
utilized in a manner that would require the
need for an export license (“dual-use”,
military, etc.)?
Yes Contact CSRP for Instructions
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No No Issue
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I have an export…how do I know if I
need an export license?
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there is a specific export in mind, a
few simple questions can determine if you
need an export license:
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What are you exporting?
What is the destination of your export?
Who will receive your export?
What will your export be used for?
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What are you exporting?
► Almost
all restricted exports can be found on the
Commerce Control List.
 CCL is broken into 10 broad categories.
► Exports
on the CCL have specific Export Control
Classification Numbers (ECCN), which indicate that
a license may be needed.
 All ECCN indicate the level of control placed on each
export (restricted export, allowed export, etc.).
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Commerce Control List Categories
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Nuclear Materials, Facilities and Equipment
Materials, Chemicals, Microorganisms and Toxins
Materials Processing
Electronics
Computers
Telecommunications and Information Security
Sensors and Lasers
Navigation and Avionics
Marine
Propulsion Systems, Space Vehicles, and Related
Equipment
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Unclassified Exports
► All
exports that do not fit into the categories
previously listed are classified as EAR99.
► EAR99 exports typically do not require that
licenses be obtained, but exporting these
items to questionable countries or
individuals, or for questionable means, may
warrant the need for a license.
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What is the destination
of your export?
► Exports
can be restricted by country of
destination (embargoed countries).
 Countries associated with supporting terrorist
activities are almost always denied.
► Some
exports are restricted worldwide.
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Embargoed Countries
► Current
embargoed countries are the Balkans,
Belarus, Burma, Cote d’Ivoire (formerly known as
the Ivory Coast), Cuba, Democratic Republic of the
Congo, Iran, Iraq, Liberia, North Korea, Sudan,
Syria, and Zimbabwe.
► An up to date list can be obtained from the
Department of the Treasury’s website.
 http://www.treas.gov/offices/enforcement/ofac/program
s/
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Who will receive your export?
► Some
organizations and individuals are prohibited
from receiving U.S. exports by several federal
agencies (including embargoed countries).
► All entities prohibited can be found on the
following lists:
 Entity List
 Treasury Department Specially Designated Nationals
and Blocked Persons List
 The Unverified List
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Entity List
► List
of all organizations prohibited from
receiving U.S. exports due to activities with
weapons of mass destruction.
 Administered by the Bureau of Industry and
Security, Department of Commerce.
 http://www.bis.doc.gov/complianceandenforce
ment/liststocheck.htm
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Treasury Department Specially Designated
Nationals and Blocked Persons List
► List
composed of individuals and
organizations suspected of either
representing restricted countries or known
to be involved in terrorism and narcotics
trafficking.
 http://www.treas.gov/offices/enforcement/ofac/
sdn/
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The Unverified List
► List
composed of groups that are suspected
of having a connection with a restricted
country/individual, but not completely
investigated with an end-check by the
Bureau of Industry and Security,
Department of Commerce.
 http://www.bis.doc.gov/Enforcement/Unverified
List/unverified_parties.html
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What will your export be used for?
► Exports
to organizations, countries, or
individuals known to be involved with the
production or distribution of weapons of
mass destruction are restricted, since the
export in question could be utilized in a
harmful or destructive manner.
 Ensure your export is not going to any
restricted individual, group, organization, or
country.
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What are the penalties for ignoring
export controls?
► The
penalties for non-compliance are severe. Fines
can reach up to $1 million (for Universities and
Individuals) for each civil violation of an EAR,
ITAR, or OFAC regulation.
► Criminal penalties for willful misconduct can also
result in up to 10 years of imprisonment or $1
million fine for each violation of an EAR, ITAR, or
OFAC regulation for researchers and
administrators.
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Are there any exemptions from
export controls?
► No
export license is needed if the information
being exported is freely obtainable to the public.
 Fundamental Research Exemption
 Educational Material Exemption
 Public Domain Exemption
► No
export license may be needed for foreign
nationals working in U.S. institutions of higher
education (with special conditions).
► Government sponsored research is not subject to
Export Controls because it has its own security
controls.
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Fundamental Research Exemption
► No
export license is necessary for basic and
applied research performed in the areas of
science and engineering performed in U.S.
institutions of higher education.
 Results of research are published and shared
broadly within and beyond the scientific
community.
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Educational Exemption
► No
export license is needed for information
concerning general science, mathematic,
and engineering principles freely taught in
U.S. institutions of higher education or
information in the public domain.
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Public Domain Exemption
► No
export license is needed for the sharing
of technical data or information with a
foreign national inside the U.S. as part of a
class, laboratory, or conference or seminar,
if the same technical data or information
has already been widely published or is
available to the public.
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Employment Exemption
► No
license is required if a foreign national is
employed full time in the U.S. by a university*,
provided that:
 The individual has a permanent U.S. residence.
 S/he is not a national of an export-prohibited country.
 The individual has been advised, in writing, not to share
information with other foreign nationals.
*This exemption does not apply to graduate students.
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Where do I go for more information?
► If
you are unsure if an Export License is
necessary, contact the Center for Sponsored
Research and Programs at 521-6494 or 5225781.
► Additional information on Export Controls
can be found at the Department of
Commerce, Bureau of Industry and Security
website (EAR):
 http://www.bis.doc.gov
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Additional Links
► Commerce
Control List
 http://www.access.gpo.gov/bis/ear/pdf/indexccl.pdf
► Export
Administration Regulations Website
 http://www.access.gpo.gov/bis/index.html
 http://www.access.gpo.gov/bis/ear/pdf/734.pdf
► ITAR
Embargoed Countries
 https://www.pmddtc.state.gov/country.htm
► License
Exemption
 http://www.access.gpo.gov/bis/ear/pdf/740.pdf
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