Export Controls FAQs

A restricted party is any entity (person, company, university, etc.) with which U.S. persons are prohibited by the U.S. Government from engaging in certain activities. The U.S. Government maintains a number of restricted parties lists, as well as a Consolidated Screening List. The Consolidated Screening List is a comprehensive list of parties for which the U.S. Government maintains restrictions on certain exports, reexports, or transfers of items.

Currently, the following countries have comprehensive OFAC sanctions: Cuba, Iran, North Korea, Russia, Syria and certain regions of Ukraine. This means that most exports/imports and financial transactions are prohibited with entities in these countries without a specific license. In certain cases, travel to or the provision of services in these countries is also prohibited.

Yes, if you have carried a UK-issued item outside the U.S., you have exported the item to any countries you have travelled to. Export control regulations and licensing requirements apply.

No, the FRE covers only research results in the form of technology or software (except for encryption object code or source code). Physical items are always subject to export controls and a license may be required, even if the physical item is related to, developed from, or used in fundamental research.

No. While the FRE exempts research results from export controls, any proprietary data sent to you from a foreign country or foreign nationals may be subject to export controls. 

Be mindful if information received contains markings such as “EAR-controlled,” “ITAR-controlled,” “subject to export controls” or “Distribution Statements B, C, D. E, F, or X”, as this suggests that the FRE is not applicable.  

No, export licenses are transaction-specific. Only the particular items, quantities, values, end-users and end-uses stated in the license are authorized.  Anything else will require a separate license.

Any non-U.S. person is a foreign national. Typically, this is any person who is not: (1) a U.S. citizen, (2) a U.S. permanent resident (i.e., a green card holder), or (3) offered protected status under 8 U.S.C. § 1324b(a)(3).  Employees of foreign entities (even if they are U.S. persons) are considered foreign nationals if acting on behalf of the foreign entity, no matter where they are located.

Maybe. While you generally do not need an export license merely because there is a foreign national in your lab, you might if there is a release of export-controlled technology or software to the foreign national. For example, a license may be required if:

• The foreign national may receive information or software that is not in the public domain;
• The foreign national requires or will have direct access to export-controlled items; or
• The foreign national takes items from the lab out of the country.

Yes, this is considered exporting.

Yes, but there are some restrictions. Most research or education-related travel is permissible.

There are restrictions to speaking at a conference in Iran — in person or via remote access, e.g., by phone, video conference, pre-recorded audio or video, etc. Travel to Iran is generally not restricted. However, you cannot provide services — which would include lectures or speeches — while in Iran. Iran is comprehensively sanctioned, and dealings with Iran are heavily restricted. Please consult OFAC’s Iran Sanctions resources and the Economic Sanctions and Embargoes page.

It is difficult to predict how long a license will take to obtain. However, licenses are generally issued within 60 to 90 days after an application is submitted. Licenses related to exports to sanctioned countries or restricted persons will likely take longer. Not all license applications are approved.

You may still need a license. Commercial availability does not exempt an item from export controls and licensing requirements.

A license exception or exemption is an authorization that allows you to export or re-export items subject to export controls that may otherwise require a license.

The Commerce Control List (CCL) is a list of items subject to the jurisdiction of the U.S. Department of Commerce. The CCL has an Export Control Classification Number (ECCN) for each item.  An ECCN describes the item and licensing requirements. 

Items subject to U.S. Department of Commerce jurisdiction that are not on the CCL are designated EAR99. These are generally low-technology consumer goods that do not require a license unless they are being exported to an embargoed country or restricted party, or for a prohibited end-use.

For information on how to apply for an export license, visit the websites maintained by:

• U.S. Department of Commerce (regarding an EAR license);
• Office of Foreign Assets Control (regarding an OFAC license).
• U.S. Department of State. Additional information is available here.

In order to obtain a license for an ITAR-classified item, exporters and distributors of defense articles and related technical data must first be registered with the Directorate of Defense Trade Controls (DDTC) to be in compliance with the ITAR. Information is available on the website of the Directorate of Defense Trade Controls, part of the U.S. Department of State.

You will need to get a separate license for any ITAR items and any EAR items. If an EAR item is incorporated into an ITAR item, the EAR items may lose their EAR identity and be classified under ITAR. ITAR items incorporated into EAR-controlled or non-licensable items will likely render the entire assembly ITAR-controlled.

The Bureau of Industry and Security has a brief summary on how to assess whether a license is required under the EAR.  In addition, Part 732 of the EAR provides steps for using the EAR.