Export Control & ITAR Compliance

Assessment for EAR/ITAR compliance, deemed export controls, and research security for organizations with foreign national access or international collaborations

ResearchBiotechMedtechUniversity minutes18 questions

1. Export Classification

Are all research materials, data, and technology classified per ECCN (Export Control Classification Number)?*

EAR requires classification of items under Commerce Control List; determine if EAR99 (no license required) or controlled ECCN

Have you screened research projects for ITAR-controlled defense articles and technical data?*

ITAR: U.S. Munitions List items require State Department authorization; includes some biological agents, toxins

2. Deemed Export Controls

Are deemed export controls applied to foreign national employees and students?*

Deemed export: Release of controlled technology to foreign nationals in U.S. is an export to their country of citizenship

Are Technology Control Plans (TCP) in place for projects with controlled technology?*

TCP: Procedures to restrict foreign national access to controlled areas, data, equipment

Is fundamental research exception properly documented and maintained?*

Fundamental research: Publicly available basic research exempt from EAR; document publication intent, no proprietary restrictions

3. Technology Transfer

Are international collaborations screened for export control requirements?*

Material transfer, data sharing, joint research with foreign institutions require export compliance review

Are cloud storage and remote access solutions evaluated for export compliance?*

Storing controlled data on foreign servers or allowing foreign national remote access may constitute export

Do Material Transfer Agreements (MTA) include export control provisions?*

MTAs should state: jurisdiction, export control status, re-export restrictions, certification of recipient eligibility

4. Foreign National Access

Are foreign nationals screened against OFAC SDN list and Entity List?*

OFAC: Specially Designated Nationals list; BIS Entity List: Organizations restricted from receiving U.S. exports

Is country of citizenship verified and documented for all foreign nationals?*

Dual nationals: Most restrictive citizenship applies; document with passport copy, visa status

Are physical and electronic access controls enforced for controlled technology areas?*

Badge access, encryption, password protection, separate networks for controlled research

5. Licensing & Authorizations

Are export licenses obtained when required (e.g., BIS export license, State Dept ITAR license)?*

License types: EAR license (BIS Form BIS-748P), ITAR DSP-5 (permanent export), DSP-73 (temporary import)

Are License Exceptions properly utilized and documented (e.g., TSU for university research)?*

EAR License Exceptions: TSU (Technology and Software Unrestricted), GOV (government end users); document eligibility

Are Commodity Jurisdiction (CJ) requests filed when ITAR vs EAR jurisdiction is unclear?*

CJ request to State Dept DDTC: Determination of whether item is USML (ITAR) or CCL (EAR)

6. Compliance Program

Is an Empowered Official (EO) designated with export control authority?*

EO: Senior management designee responsible for export compliance program, reporting violations

Is export control training provided to all personnel handling controlled technology?*

Annual training: EAR/ITAR basics, deemed export, classification, licensing, red flags, penalties

Are export control violations reported within 5 days to BIS or State Department?*

Voluntary self-disclosure: BIS Office of Export Enforcement or DDTC; mitigating factor in penalties

Are export control audits conducted at least annually?*

Internal audits: Review classification, licenses, foreign national access, training records, recordkeeping

Please answer all required questions to see your results