Federal Regulations Related to Export Controls
U.S. federal export controls laws regulate exports and imports of items (including commodities, technology, software, and services) from the U.S., or the release of certain technology and software to foreign persons within the U.S. The primary objective of export control regulations is to advance national security, foreign policy and trade and economic interests of the U.S., and to maintain its strategic technology leadership. There are three sets of export control regulations which are most relevant to Emory’s academic and research related activities: the International Traffic in Arms Regulations, the Export Administration Regulations and the Office of Foreign Assets Control’s sanction programs.
The International Traffic in Arms Regulations
The International Traffic in Arms Regulations ITAR governs the export and import of defense related articles and services. ITAR is administered by the U.S. Department of State’s Directorate of Defense Trade Controls (DDTC). The United States Munitions List (USML) is a list of articles, services, and related technology designated as defense and space-related by the United States federal government.
The Export Administration Regulations
The Export Administration Regulations (EAR)governs the export and reexport of commodities, software, and technology (collectively “items”) and administered by the U.S. Department of Commerce’s Bureau of Industry and Security (BIS). The Commerce Control List (CCL) identifies those items regulated by BIS. The list includes commercial and dual use items not subject to ITAR or other federal regulations. Dual use items are those with both commercial and military/security applications.
Office of Foreign Assets Control Sanction Programs
The Office for Foreign Assets Controls (OFAC), Department of Treasury, administers a number of different sanctions programs. The sanctions can be either comprehensive or selective, using the blocking of assets and trade restrictions to accomplish foreign policy and national security goals of the United States.
These regulations affect a wide range of research and academic activities at Emory including conducting restricted sponsored research, engaging in international collaborations, hosting international visitors or visiting scholars, international travel, employing foreign nationals (nonimmigrant employees), and shipping. Engaging in these activities can result in actual or deemed exports that may require Emory to obtain an export license or other authorization. Non-compliance with the federal regulations can result in severe penalties for both Emory and individuals including criminal and civil liability, loss of export privileges, and the potential loss of research funding.
Activities That Can Trigger Export Control Compliance Concerns
Activities that are impacted by export controls fall into four broad categories:
- Activities involving actual export or transmission from the U.S. to a foreign destination of information, technologies, and commodities.
- Release of export-controlled information or technology to Foreign Persons in the U.S. or abroad, commonly referred to as deemed exports.
- Activities involving entities or individuals listed on restricted or prohibited parties lists.
- Activities or transactions in countries or involving nationals of countries against whom the U.S. has placed economic and trade-related embargoes. Comprehensively embargoed destinations include Iran, Cuba, Syria, North Korea, and Crimea region of Ukraine.
In an academic and research setting such as Emory's, activities that can fall in one or more of these broad categories include activities related to:
- International collaborations,
- International shipping,
- International travel,
- Hosting international visitors,
- Employment of non-immigrant visa holders,
- Conducting research which has restrictions on publications or Foreign Persons' participation, and
- Conducting research which makes use of export-controlled inputs.