Government Regulations

Export Administration Regulations

Export Administration Regulations (EAR) The EAR regulate exports  of commercial and “dual-use” goods, software and technology. By dual use, we are referring to items with both a commercial non-military application that nonetheless may also be useful for military purposes. These regulations are administered by the Commerce Department’s Bureau of Industry and Security (“BIS”).

The specific items subject to the export control restrictions under the EAR are identified on the Commerce Control List (“CCL”), which is divided into the following 10 categories:

  • Category 0 Nuclear Materials, Facilities & Equipment and Miscellaneous
  • Category 1 Materials, Chemicals, “Microorganisms” and Toxins
  • Category 2 Materials Processing
  • Category 3 Electronics
  • Category 4 Computers
  • Category 5 Telecommunications and Information Security
  • Category 6 Sensors and Lasers
  • Category 7 Navigation and Avionics
  • Category 8 Marine
  • Category 9 Propulsion Systems, Space Vehicles and Related Equipment

Items on the CCL will be characterized by an ECCN.  “ECCN” stands for Export Control Classification Number and is an alpha-numeric code used to categorize items that are subject to the EAR into one of the ten categories and five product groups within the Commerce Control List (CCL).

Exports of items identified on the CCL may require a specific license from the Commerce Department, depending upon the reasons for control applicable to the particular items, the country of destination and the purposes for which the items will be used.

EAR99 is the general “catch-all” classification number assigned to any item that is subject to the EAR but that does not have a specific export control classification number listed in the Commerce Control list. By far, the vast majority of U.S. origin goods are classified as EAR99, and under most circumstances, do not require a license for export.

Additional information and guidance regarding the EAR (15 C.F.R. Parts 730 to 774):

International Traffic in Arms Regulations (ITAR) International Traffic in Arms Regulations (ITAR) administered by the Office of Defense Trade Controls of the U.S. Department of State controls the export of “defense articles” and “defense services”. “Defense articles” include any item or technical data on the United States Munitions List (USML), and “defense services” include the furnishing of assistance to foreign persons, whether or not in the United States, with respect to defense articles, and the furnishing of any technical data associated with a defense article.

Office of Foreign Assets Control (OFAC) The United States maintains sanctions and embargoes on certain countries; some of these sanctions can affect international research collaborations. The sanctions are subject to change (even frequent or sudden). Sanctions range from narrow restrictions prompted by a particularized foreign-policy considerations  to very broad, long-standing sanction programs and embargoes, such as those involving Cuba and Iran.  Sanctions invariably include a financial component; accordingly, the U.S. sanctions regime is under  the jurisdiction of the U.S. Treasury Department’s Office of Foreign Assets Controls (OFAC).   Generally it is advisable for Yale researchers and/or their staff to check the OFAC web site to confirm whether an activity involving a foreign collaboration might be subject to OFAC restrictions.

OFAC also maintains lists of individuals and organizations that are known to support of terrorism (the “Specially Designated Nationals” list, or “SDN”).  Financial dealings or providing services with these individuals/entities or providing support or services to them is barred. As a best practice, Yale faculty and staff researchers should know the foreign entities and individuals with whom they are interacting.