Compliance

Potential Violations

US export regulations are designed for "self-compliance." For the academic community specifically, it is the university's responsibility to conduct due diligence to determine whether their research activities are subject to export laws, and to identify whether an export license is required. Some examples of potential violations are listed below.

Export control falls, for the most part, under three government departments:

  • Department of State, International Traffic Arms (ITAR)
    (Items that are inherently military in character)
  • Department of Commerce, Export Administration Regulations (EAR)
    (Items that are Dual Use with both military and civil applications)
  • Department of Treasury, Office of Foreign Asset Control (OFAC)
    (Financial transactions with or travel to embargoed or sanctioned countries)

Universities can violate export laws under ITAR and EAR regulations by:

  • Transferring export controlled equipment, materials, technology/technical data, software, or by providing defense services to an unauthorized Foreign National or Foreign Person without a government approved license or other government approval.
  • Allowing a Foreign National to "use" export EAR controlled equipment, materials, items (deemed export) or by having access to defense articles and technical data about the defense article (deemed export).

Universities can violate export laws under OFAC regulations in:

  • Transactions involving designated foreign countries or their nationals;
  • Transactions with respect to securities registered or inscribed in the name of a designated national;
  • Importations of and dealings in certain merchandise and holding certain types of blocked property in interest-bearing accounts;
  • Transactions with specific entities or individuals found on the Specially Designated Nationals List (SDNL)

Prohibited activities under export control regulations include:

  • Proliferation of weapons of mass destruction (there are no license exceptions)
    • Chemical and biological weapons
    • Nuclear weapons
    • Missile technology
  • Providing technical assistance to a foreign entity
  • Encryption items