Screening Tool for Federal Regulation of Research Related Export

	Export Administration Regulations (EAR) – Dual Use Items	International Traffic in Arms Regulations (ITAR) - Defense Items/Services	Foreign Assets Control
Item exported1 - is item or service regulated (technology, information, equipment)2	Commodities Control List (Commerce) – items on CCL (EAR regulations database) and related services/training	United States Munitions List (USML) – items on USML (includes toxicological agents and associated equipment) and related services/training	Services - services to sanctioned countries (e.g. surveys, editing, marketing)
			Equipsment - shipping equipment to sanctioned countries
Destination – is item being exported to a restricted (1) foreign country or (2) foreign national in U.S.	Commerce Country Chart – restriction based on reason for control and destination	Embargoed Countries List (State) – includes Belarus, Cuba, Iran, Libya, North Korea, Syria, Vietnam, Burma, China, Haiti, Liberia, Somalia, Sudan	Sanctioned Countries List (Treasury) - Balkans, Burma, Cuba, Iran, Iraq, Liberia, Libya, North Korea, Sudan, Syria, Zimbabwe
	Sanctioned Countries List (Treasury)	Sanctioned Countries List (Treasury)
End user – are there sanctions / restrictions for end user	Denied Persons List (Commerce)	Debarred Parties List (State)
	Denied Entity List (Commerce)	Specially Designated Nationals (Treasury)
	Unverified End Users (Commerce)	Proliferators List (Treasury)
	Specially Designated Nationals (Treasury)
	Proliferators List (Treasury)
End use - is end use of item, services, or data prohibited	Prohibited uses - include weapons of mass destruction, maritime nuclear propulsion
License exemptions – is export exempted from export regulations	Fundamental research exclusion3 Public domain exclusion4 Educational exclusion5s	Fundamental research exclusion3 Public domain exclusion4 Educational exclusion5 Employment exclusion6
Obtaining export license	Bureau of Industry and Security	State Department	Office of Foreign Assets Control
Records retention	Five year retention period from date of export or license expiration	Five year retention period from date of export or license expiration	Five year retention period

¹ Export – any oral, written, electronic or visual disclosure, shipment, transfer or transmission of any commodity, technology (information, technical data, assistance) or software/codes (1) outside the U.S. to anyone, including a U.S. citizen, (2) to a non-U.S. entity or individual, or (3) a foreign embassy or affiliate.

² Australia Group Common Control Lists – Biological agents, Plant pathogens, Animal pathogens, Chemical weapons precursors, Dual use chemical manufacturing facilities/equipment, Dual use biologic equipment

³ Fundamental research exclusion – applies to “deemed exports” that involve basic or applied research in science and/or engineering at an accredited institution of higher learning in the U.S. where resulting information is ordinarily published and shared broadly in scientific community. For ITAR, information must already be published. (15CFR 734.8, 22CFR 120.11)

⁴ Public domain exclusion – information published and generally accessible/available to public (1) through sales at newsstands and bookstores; (2) through subscriptions available without restriction to any individual who desires to obtain/purchase published information; (3) through second class mailing privileges granted by U.S. government; (4) at libraries open to public or from which public can obtain documents; (5) through patents available at patent offices; (6) through unlimited distribution at conference, meeting, seminar, trade show or exhibition generally accessible to public in U.S.; (7) through public release (i.e. unlimited distribution) in any form after approval by cognizant U.S. government department or agency; and through (8) fundamental research.

⁵ Education exclusion – applies to deemed exports under EAR and ITAR, and exempts information in formal courses.

⁶ Employment exclusion - applies to deemed exports under ITAR and exempts sharing information w ith UTHSC-H employees if they are full-time, have a permanent U.S. address while employed, and are not from excluded countries.