Guidelines on Export Controls

The Department of Commerce's Export Administration Regulations (EAR) and the Department of State's International Traffic in Arms Regulations (ITAR) restrict the export of certain technology or technical data, such as military applications (regulated by ITAR) or commercial applications that may also have value in a military context (regulated by EAR), overseas and to foreign nationals working in or visiting the United States. In some circumstances, the University may be required to obtain prior approval from the appropriate agency before allowing foreign nationals to participate in research, collaborate with a foreign company, or share research results with foreign nationals. The Treasury Department's Office of Foreign Assets Control (OFAC) regulates trade embargoes, sanctions, and travel restrictions and restricts exportation of information and research articles to embargoed entities and persons.

These regulations, which have been in place for over twenty years, carry a range of potential penalties, including imprisonment, for individuals who violate them. This page provides guidance to Yale faculty, students, and staff so that they may recognize when the regulations may apply and when an export or OFAC license may be required in connection with research. In case of questions, please contact the Office of Grant and Contract Administration @ 432-2460.

YALE-RELATED MATERIALS:

Yale Guidance on U.S. Export Control Regulations includes examples
This memo, issued by Dorothy K. Robinson, Vice President and General Counsel, provides an overview on the University's compliance with federal laws and regulations on export control, as they may pertain to University research activities.

Researcher's Export Control Checklist
This checklist is a tool to assist researchers in recognizing situations that should be carefully reviewed to determine whether export controls apply.

GOVERNMENT MATERIALS:

Substantive Information

Export Administration Regulations

• U.S. Department of Commerce Export Policies
• EAR Database

Maintained by the Bureau of Industry and Security, Department of Commerce, this database is a complete collection of regulations relating to EAR. CFR Section 774, categories 0 thru 9, contain detailed specifics about technologies.

• Commerce Control List Index (Alphabetical)

International Traffic in Arms Regulations (ITAR)

• Defense Trade Controls - Reference Library

Regulations (ITAR-22 CRF Parts 120-130 from the U.S. Government Printing Office, ITAR Amendments, Arms Export Control Act (AECA), Defense Trade Security Initiatives (DTSI); Licensing (Country Related, COMSAT, Notices/Initiatives/Statements, Guidelines/Instructions, Licensing Forms); Miscellaneous (Notifications and Reports to Congress, Remarks by the Assistant Secretary)
• 22 CFR Section 121.1

Title 22 of the Code of Federal Regulations, Foreign Relations; Chapter I, Department of State; Section 121.1, The U.S. Munitions List (General).

Office of Foreign Assets Control (OFAC)

• OFAC Sanctions Program and Country Summaries
• OFAC List of Specially Designated Nationals and Blocked Persons

Regulatory Offices

• U.S. Department of Commerce
• U.S. Department of State ~ Directorate of Defense Controls
• U.S. Department of Treasury ~ Office of Foreign Assets Control

OTHER RESOURCES:

Council on Governmental Relations (COGR)
Export Controls & Universities: Information & Case Studies


Massachusetts Institute of Technology (MIT)
Export Control Researcher's Guide