Export Control Laws and Regulations

 

There are a many federal laws and regulations that control the provision of certain services and the export of controlled items (e.g. material samples, equipment, software/source code and prototypes) and information. Normal university activities can constitute regulated services and items and information used in or produced by university activities can be subject to export controls. The Office of Export Controls is responsible for providing support for University activities subject to the three primary export control regulations listed below.

International Traffic in Arms Regulations (ITAR)

  • Citation: 22 CFR 120-130
  • Agency: Directorate of Defense Trade Controls (DDTC), US Department of State
  • Statutory Authority: Arms Export Control Act (AECA)
  • Scope: Primarily military technology, technical data and services.
  • Examples of Items Controlled: satellite technology, some unmanned aerial vehicles, global positioning systems, chemicals, night vision technology, navigation systems, sonar and radar systems, military electronics and software.

Export Administration Regulations (EAR)

  • Citation: 15 CFR chapter VII, subchapter C
  • Agency: Bureau of Industry & Security (BIS), US Department of Commerce
  • Statutory Authority: Export Administration Act (EAA) and the International Emergency Economic Powers Act (IEEPA)
  • Regulations: Export Administration Regulations (EAR)
  • Scope: Items in US commerce that are not controlled by another agency. Controls are predominantly related to dual-use (ones with military and commercial utility) technology listed on the Commerce Control List.
  • Examples of Items Controlled: lasers, infectious agents, computers, encryption technology, sensors, navigation and avionics, propulsion systems, toxins, chemicals, certain materials for the manufacture of controlled goods, and telecommunications equipment.

Embargoes and Trade Sanctions or Foreign Assets Control Regulations (FACR)

  • Citation: 31 CFR 500-598
  • Agency: Office of Foreign Assets Control, US Department of the Treasury
  • Statutory Authority: Presidential National Emergency Powers and various legislation impacting international trade
  • Regulations: International Trade Regulations
  • Scope: Varies among the different sanction programs. Sanctions may be comprehensive or limited.
  • Examples of Controls
    • Country-Based: Iran, Cuba, Sudan, Syria, and North Korea.
    • List-Based: Counter Terrorism, Non-proliferation and Counter Narcotics Trafficking.

Other Federal Agencies with Export Control Authority

Although DDTC, BIS and OFAC are the primary agencies with export control authority for technology, associated non-public information, and services of value there are others agencies that have authority over other types of goods and materials. The agencies identified below are examples, not a comprehensive list:

Office of Diversion Control, Drug Enforcement Agency, Department of Justice

  • Statutory Authority: Controlled Substances Act (21 USC)
  • Regulations: Controlled Substances Regulations (21 CFR Part 1300-1399)
  • Scope: Drugs with the potential for abuse (schedules I-V) and regulated chemicals (List I and II) exceeding allowable limits
  • Examples of Items Controlled: drugs such ketamine, pentobarbital, amphetamines, and opioids; as well as regulated chemicals such as acetic anhydride, ephedrine, toluene and ethyl ether.
  • Diversion Control Import/Export Quick Reference Guide and website

Food and Drug Administration

  • Statutory Authority: Federal Food and Drugs Act (Public Law 59-384, Section 2), Federal Food, Drug and Cosmetic Act of 1938 (Public Law 75-717, Section 801(d)), Drug Export Amendments Act of 1986 (Public Law 99-660), and the FDA Export Reform and Enhancement Act of 1996 (Public Law 104-134, and amended by Public Law 104-180)
  • Scope: Commercial and investigational drugs, biological products, and certain medical devices
  • FDA Import/Export Guidance website

US Fish & Wildlife Service, Department of the Interior

  • Statutory Authority: Various, including the Endangered Species Act (ESA), Lacey Act, Convention on Internation Trade in Endagered Species of Wild Fauna and Flora (CITES), Migratory Bird Treaty Act (MBTA), and Marine Mammal Protection Act (MMPA).
  • Regulations: Fish and Wildlife Regulations (50 CFR Part 17, Sec. 21, 22, 31 & 32; 50 CFR Part 23)
  • Scope: Endangered plants and animals (live organisms and parts or samples)
  • Examples of Items Controlled: broad-nosed bat, Cooper's hawk, American alligator, beluga whale, snow drops, hoodias, and many species of cacti
  • USFWS Import/Export Permit website

Nuclear Regulatory Commission

  • Statutory Authority: Energy Reorganization Act of 1974; Atomic Energy Act 1954, as amended; and the Nuclear Non-Proliferation Act
  • Regulations: NRC Regulations (10 CFR 110.8 and 110.9)
  • Scope: nuclear materials and equipment
  • Examples of Items Controlled: natural, enriched and depleted uranium, thorium, plutonium, uranium-233, technology associated with the design, maintenance, operation or use of nuclear plants, enrichment facilitites, deuterium processing plants, nuclear grade graphite, and nuclear waste
  • NRC Export-Import website

Department of Energy

  • Statutory Authority: Atomic Energy Act 1954, as amended; Energy Reorganization Act of 1974; and the Department of Energy Organization Act of 1977
  • Regulations: 10 CFR 810
  • Scope: nuclear technology, technical data for nuclear weapons and special nuclear materials.
  • Examples of Items Controlled: activities involving nuclear reactors and other nuclear fuel cycle facilities for specific activites; production of heavy water, zirconium, nuclear-grade graphite or reactor-grade beryllium; production of reactor-grade uranium from yellowcake; and certain uranium milling activities.
  • Examples of Activities Requiring Specific Authorization: providing sensitive nuclear technology for an activity in any foreign country; engaging in or providing assistance or training in specified activities to a foreign contry, for example, designing, constructing, fabricating, operating or maintaining production reactors, accelerator-driven subcritical assembly systems; components especially designed, modified or adapted for use in for production reactors or accelerator-driven subcritical assembly systems; major critical components for use in such reactors or production-scale facilities; or research reactors, test reactors or subcritical assemblies capable of continuous operation above five megawatts thermal.
  • National Nuclear Security Administration website; Office of Nuclear Energy website

Animal and Plant Health Inspection Service, Department of Agriculture

  • Statutory Authority: Plant Protection Act (P.L. 106-224; 7 USC Ch. 104), Animal Health Protection Act (P.L. 107-171, Title X, Sec. 10401; 7 USC, Ch. 109)
  • Regulations: USDA Regulations (7 CFR, Subtitle B, Part 353)
  • Scope: Import and export of live animals, animal products, live plants, plant products and soils.
  • Examples of Items Controlled: agricultural animals and plants, plant pests, soils from quarrantined areas, blood or serum samples, milk, meat and plant food items
  • APHIS Import/Export website

This is not a comprehensive list of all US export control regulations; additional laws and regulations exist, but typically university activities will not involve data, goods or services under their jurisdiction. Although OEC has no formal responsibility associated with regulations other than the EAR, ITAR and trade sanction regulations, we will try to put researcher in touch with the office or person at UVa or the cognizant agency that will be best able to assist.