“Export controls” apply to multiple US government agencies in the implementation of different laws and regulations as listed below.
US Government Agencies
| Law | Agency | Regulations | Goals |
| Arms Export Control Act | State Department |
ITAR regulations - pmddtc.state.gov
22CFR120-130 |
Avoid enabling military capability which could be used against us |
| Export Administration Act | Commerce Department |
https://www.bis.doc.gov/
EAR 15CFR730-774 |
National security, foreign policy, military capability and economic objectives |
|
Trading With the Enemy Act et al |
Treasury Department |
Terrorism and Financial Intelligence (TFI) (OFAC)
31CFR500-599 |
National security, foreign policy |
| Energy Reorganization Act | Nuclear Regulatory Commission |
https://www.nrc.gov/reading-rm/doc-collections/cfr/part110/
10 CFR 110 |
Nuclear reactor and materials safety |
| Atomic Energy Act | Energy Department |
https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/
10 CFR 810 |
Control assistance to foreign nuclear activities |
|
Executive Order 12829 National Industrial Security Program |
Department of Defense |
National Industrial Security Program Operating Manual
NIST 800-53 NIST 800-171 DFAR 252.204-7000 DFAR 252.204-7012 |
°Safeguard classified information released to contractors, licensees, and grantees of the US Government.
°Safeguard Controlled Unclassified Information. °Establish program to assure cybersecurity. |
Export Administration Regulations - EAR
The U.S. Department of Commerce administers the Export Administration Regulations (15 CFR §§730-774), or “EAR,” which regulate the export of “dual-use” items. These items include goods and related "technology," including "technical data" and "technical assistance," which are designed for commercial purposes, but which could have military applications, such as computers, aircraft, and pathogens.
The list of EAR-controlled items (the "Commerce Control list", or “CCL”) is published at 15 CFR §774, Supplement 1. An alphabetical list of CCL "items" is accessible at: http://www.access.gpo.gov/bis/ear/pdf/indexccl.pdf. EAR "technical data" can include blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals, and instructions written or recorded on other media or devices such as disk, tape, and read-only memories. EAR "technical assistance" can include instruction, skills training, working knowledge, and consulting services.
The CCL covers ten (10) broad categories of commodities, technology, and software subject to the export licensing authority of BIS:
- Nuclear Materials, Facilities and Equipment, and Miscellaneous
- Materials, Chemicals, Microorganisms, and Toxins
- Materials Processing
- Electronics
- Computers
- Telecommunications and Information Security
- Lasers and Sensors
- Navigation and Avionics
- Marine
- Propulsion Systems, Space Vehicles, and Related Equipment
For goods and technology listed on the CCL, a license may be required for exporting, depending on the destination country, receiving party, end-user, and end use, unless an exclusion or exemption applies. Where embargoed countries are involved (refer to “OFAC Sanctions Program”), a license will be denied.
In addition, the regulations include an additional “catch-all” category, the "EAR99," which covers any good or technology that is subject to the EAR as defined in 15 CFR §734.3(a), but that is not on the CCL. Items in the EAR99 category do not require a license for “list-based” controls, but may require a license based on embargoes, sanctions, receiving party or end use.
The following five types of facts determine your obligations under the ten general prohibitions set forth in EAR 15CFR Part 736:
- Classification. The classification of the item on the Commerce Control List (15CFR Part 774 of the EAR);
- Destination. The country of ultimate destination for an export or reexport (15CFR Parts 738 and 774 which addresses the Country Chart and the Commerce Control List);
- End-user. The ultimate end user (see General Prohibition Four (paragraph (b)(4) of this section) and Supplement No. 1 to part 764 of the EAR for references to persons with whom your transaction may not be permitted; see General Prohibition Five (Paragraph (b)(5) of this section) and part 744 for references to end-users for whom you may need an export or reexport license);
- End-use. The ultimate end user, General Prohibition Four (15CFR736(b)(4)) and Supplement No. 1 to part 764 for references to persons with whom your transaction may not be permitted; General Prohibition Five (15CFR736(b)(5)) and Part 744 for references to end-users for whom you may need an export or reexport license; and
- Conduct. Conduct such as contracting, financing, and freight forwarding in support of a proliferation project as described in 15CFR Part 744 of the EAR.
EAR Broad Based Controls
Comprehensive controls
§ 746.2 CUBA
§ 746.7 IRAN
§ 746.9 SYRIA
Sanctions on selected categories of items to specific destinations
Sanctions on selected categories of items to specific destinations.
- BIS controls the export and reexport of selected categories of items to countries under United Nations Security Council arms embargoes. See the Commerce Control List in Supplement No. 1 to Part 774. See also §§ 746.3 (Iraq) and 746.4 (North Korea).
- The countries subject to United Nations Security Council arms embargoes are: Central African Republic, Democratic Republic of the Congo, Eritrea, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, and Sudan.
Sanctions
- § 746.3 IRAQ
- § 746.4 NORTH KOREA
- § 746.5 RUSSIAN INDUSTRY SECTOR SANCTIONS
- § 746.6 CRIMEA REGION OF UKRAINE
- § 746.7 IRAN
- § 746.9 SYRIA
International Traffic in Arms Regulations – ITAR
The U.S. Department of State, through the Directorate of Defense Trade Controls (DDTC), administers the International Traffic in Arms Regulations (22 CFR §§120-130), or “ITAR,” which regulate defense articles and information (§120.3) inherently military in design, purpose, or use.
ITAR defines “defense articles,” 22CFR120.6, to mean articles found on the U.S. Munitions List (USML) (22CFR§121.1). A “defense article” refers any item or technical data designated in §121.1.
ITAR defines “technical data”, §120.10, as information that is required, in any physical form, for the designs, development , production, manufacture, assembly, operation, repair, testing, maintenance, or modification of a defense article. Any information that reveal technical data directly relating to items designated in §121.1. It also includes forgings, castings, and other unfinished products, such as extrusions and machined bodies, that have reached a stage in manufacturing where they are clearly identifiable by mechanical properties, material composition, geometry, or function as defense articles.
ITAR defines “defense services”, 15CFRPart120.9, to mean: (1) the furnishing of assistance (including training) to foreign persons, whether in the United States or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles; (2) the furnishing to foreign persons of any technical data controlled under this subchapter (§120.10), whether in the United States or abroad; or (3) military training of foreign units and forces, regular and irregular, including formal or informal instruction of foreign persons in the United States or abroad or by correspondence courses, technical, educational, or information publications and media of all kinds, training aid, orientation, training exercise, and military advice. Note; Prior to entering in an agreement to provide defenses services requires the approval of the Directorate of Defense Trade Controls before the defense services may be furnished.
| Category | Description |
| I | Firearms, Close Assault Weapons, and Combat Shotguns |
| II | Guns and Armament. |
| III | Ammunition/Ordinance |
| IV | Launch Vehicles, Guided Missiles, Ballistic Missiles, Rockets, Torpedoes, Bombs, and Mines |
| V | Explosives and Energetic Materials, Propellants, Incendiary Agents, and Their Constituents |
| VI | Surface Vessels of War and Special Naval Equipment |
| VII | Ground Vehicles |
| VIII | Aircraft and Related Equipment |
| IX | Military Training Equipment and Training |
| X | Protective Personnel Equipment |
| XI | Military Electronics |
| XII | Fire Control, Range Finder, Optical and Guidance and Control Equipment |
| XIII | Material and Miscellaneous Articles |
| XIV | Toxicological Agents, Including Chemical Agents, Biological Agents, and Associated Equipment |
| XV | Spacecraft and Related Articles |
| XVI | Nuclear Weapons and Related Articles |
| XVII | Classified Articles, Technical Data, and Defense Services Not Otherwise Enumerated |
| XVIII | Directed Energy Weapons |
| XIX | Gas Turbine Engines and Associated Equipment |
| XX | Submersible Vessels and Related Articles |
| XXI | Articles, Technical Data, and Defense Services Not Otherwise Enumerated |
Technology Control Regimes Annex
ITAR Country Policies and Embargoes
The ITAR regulation, 22CFR Part 126, includes policies toward foreign countries for the export of defense articles and defense services. It includes certain policies published in the Federal Register, an official U.S. Government publication that should be consulted regularly to ensure up-to-date awareness of published country policies.
ITAR countries subject to certain prohibitions:
(1) For defense articles and defense services, the following countries have a policy of denial:
- Belarus
- Burma
- China
- Cuba
- Iran
- North Korea
- Syria
- Venezuela
(2) For defense articles and defense services, a policy of denial applies to the following countries except as specified in the respective Part 126.1 paragraph specific to each country:
| Country | Country-specific paragraph location |
| Afghanistan | Part 126.1 (g) |
| Central African Republic | Part 126.1 (u) |
| Cyprus | Part 126.1 (r) |
| Democratic Republic of Congo | Part 126.1 (i) |
| Eritrea | Part 126.1 (h) |
| Haiti | Part 126.1 (j) |
| Iraq | Part 126.1 (f) |
| Lebanon | Part 126.1 (t) |
| Libya | Part 126.1 (k) |
| Somalia | Part 126.1 (m) |
| Sudan | Part 126.1 (v) |
| Zimbabwe | Part 126.1 (s) |
Treasury’s Office of Foreign Assets Controls (OFAC)
The Department of the Treasury’s Office of Foreign Assets Controls (OFAC) administers economic sanctions programs with regard to a number of countries, using asset blocking and trade restrictions to accomplish US foreign policy and national security goals.
- Balkans-related
- Belarus
- Burundi
- Central African Republic
- China
- Counter Narcotics Trafficking
- Counter Terrorism
- Cuba
- Cyber Related
- Democratic Republic of the Congo
- Iran
- Iraq-related
- Lebanon-related
- Libya
- Magnitsky
- Non-Proliferation
- North Korea
- Rough Diamond Trade Controls
- Somalia
- Sudan
- Syria
- Transnational Criminal Organizations
- Ukraine-related
- Venezuela
- Yemen
- Zimbabwe
Some of these programs severely restrict transactions — for instance, the transfer of anything of value, other than small gifts or humanitarian aid, with Iran or anyone in Iran is prohibited, although transactions with citizens of Iran who are not members of the Iran government when they are outside Iran are permitted. Other programs are less likely to restrict activities the RPI community would engage in.
OFAC also maintains the Specially Designated Nationals and Blocked Persons List (the SDN list) of individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries, as well as individuals, groups, and entities, such as terrorists and narcotics traffickers designated under programs that are not country-specific. Their assets are blocked and U.S. persons are generally prohibited from dealing with them.
The government maintains a current list of 35 various restrictions. You can check most of these using the National Export Initiative’s consolidated list, or consult RPI’s Export Control Officer.
IT IS REQUIRED THAT THE OFAC LIST BE CHECKED FREQUENTLY, AS THE LIST IS CHANGED WITHOUT NOTICE, AND NOT COMPLYING WITH THE MOST CURRENT RESTRICTION IS A VIOALTION PUNISHABLE BY LAW.
Program Tag Definitions for OFAC Sanctions Lists
Note, visiting the OFAC website, that the codes or "tags" following each sanctions list entry indicate the sanctions program pursuant to which the person has been blocked, designated, or identified. Each sanctions list entry may have multiple program tags. Examples of the list appear below.
|
Program Tag |
Definition |
Sanctions List |
|
[561LIST] |
The List of Foreign Financial Institutions Subject to Part 561 (the "Part 561 List"), 31 C.F.R. part 561 |
|
|
[BALKANS] |
Western Balkans Stabilization Regulations, 31 C.F.R. part 588; Executive Order 13304 |
|
|
[BELARUS] |
Belarus Sanctions Regulations, 31 C.F.R. part 548; Executive Order 13405 |
|
|
[BPI-PA] |
Blocked Pending Investigation, Patriot Act |
|
|
[BPI-SDNTK] |
Blocked Pending Investigation, Foreign Narcotics Kingpin Sanctions Regulations, 31 C.F.R. part 598 |
|
|
[BURMA] |
Burmese Sanctions Regulations, 31 C.F.R. part 537; Executive Order 13448; Executive Order 13464 |
|
|
[BURUNDI] |
||
|
[CAR] |
Central African Republic Sanctions, 31 C.F.R. part 553 |
|
|
[COTED] |
Cote d'Ivoire Sanctions Regulations, 31 C.F.R. part 543 |
|
|
[CUBA] |
Cuban Assets Control Regulations, 31 C.F.R. part 515 |
|
|
[CYBER] |
||
|
[CYBER2] |
||
|
[DARFUR] |
Darfur Sanctions Regulations, 31 C.F.R. part 546 |
|
|
[DPRK] |
North Korea Sanctions Regulations, 31 C.F.R. part 510; Executive Order 13551 |
|
|
[DPRK2] |
||
|
[DPRK3] |
||
|
[DPRK4] |
SDN |
|
|
[DRCONGO] |
Democratic Republic of the Congo Sanctions Regulations, 31 C.F.R. 547 |
|
|
[EO13622] |
||
|
[EO13645] |
||
|
[FSE-SY] |
Foreign Sanctions Evaders Executive Order 13608 - Syria |
|
|
[FSE-IR] |
Foreign Sanctions Evaders Executive Order 13608 - Iran |
|
|
[FSE-WMD] |
Foreign Sanctions Evaders Executive Order 13608 - Non Proliferation |
|
|
[FSE-SDGT] |
Foreign Sanctions Evaders Executive Order 13608 - Anti-terrorism |
|
|
[FTO] |
Foreign Terrorist Organizations Sanctions Regulations, 31 C.F.R. part 597 |
|
|
[HRIT-SY] |
Executive Order 13606 - Syria |
|
|
[HRIT-IR] |
Executive Order 13606 - Iran |
|
|
[IFCA] |
Iran Freedom and Counter-Proliferation Act of 2012 (IFCA) (PL 112-239) |
|
|
[IFSR] |
Iranian Financial Sanctions Regulations, 31 CFR part 561 |
|
|
[IRAN] |
Iranian Transactions and Sanctions Regulations, 31 CFR part 560 |
|
|
[IRAN-HR] |
||
|
[IRAN-TRA] |
||
|
[IRAQ2] |
||
|
[IRAQ3] |
||
|
[IRGC] |
Iranian Financial Sanctions Regulations, 31 CFR Part 561 |
|
|
[ISA] |
Iran Sanctions Act, Executive Order 13574 |
|
|
[JADE] |
||
|
[LEBANON] |
Lebanon Sanctions Regulations, 31 C.F.R. part 549; Executive Order 13441 |
|
|
[LIBERIA] |
Former Liberian Regime of Charles Taylor Sanctions Regulations, 31 C.F.R. part 593 |
|
|
[LIBYA2] |
Libyan Sanctions, 31 C.F.R. part 570 |
|
|
[LIBYA3] |
||
|
[MAGNIT] |
||
|
[NPWMD] |
Weapons of Mass Destruction Proliferators Sanctions Regulations, 31 C.F.R. part 544 |
|
|
[NS-ISA] |
Non-SDN Iranian Sanctions Act, Executive Order 13574 |
|
|
[NS-PLC] |
Non-SDN, Palestinian Legislative Council List, General License 4 issued pursuant to the Global Terrorism Sanctions Regulations (31 C.F.R. Part 594), |
|
|
[SDGT] |
Global Terrorism Sanctions Regulations, 31 C.F.R. part 594 |
|
|
[SDNT] |
Narcotics Trafficking Sanctions Regulations, 31 C.F.R. part 536 |
|
|
[SDNTK]: |
Foreign Narcotics Kingpin Sanctions Regulations, 31 C.F.R. part 598 |
|
|
[SDT] |
Terrorism Sanctions Regulations, 31 C.F.R. part 595 |
|
|
[SOMALIA] |
Somalia Sanctions Regulations, 31 C.F.R. part 551 |
|
|
[SUDAN] |
Sudanese Sanctions Regulations, 31 C.F.R. part 538 |
|
|
[SOUTH SUDAN] |
South Sudan Sanctions Regulations, 31 C.F.R. part 558; Executive Order 13664 |
|
|
[SYRIA] |
Syrian Sanctions Regulations, 31 C.F.R. part 542; |
|
|
[TCO] |
Transnational Criminal Organizations Sanctions Regulations, 31 C.F.R. part 590; Executive Order 13581 |
|
|
[UKRAINE-EO13660] |
||
|
[UKRAINE-EO13661] |
||
|
[UKRAINE-EO13662] |
Executive Order 13662 (See Directive 1 As Amended, Directive 2 as Amended, Directive 3, Directive 4) |
|
|
[UKRAINE-EO13685] |
||
|
[VENEZUELA] |
||
|
[YEMEN] |
Yemen Sanctions Regulations, 31 C.F.R. part 552 |
|
|
[ZIMBABWE] |
Zimbabwe Sanctions Regulations, 31 C.F.R. part 541; Executive Order 13391; Executive Order 13469 |
ITAR Country Policies and Embargoes
This chart does not include all policies toward foreign countries for the export of defense articles and defense services. It includes certain policies published in the Federal Register, an official U.S. Government publication that should be consulted regularly to ensure up-to-date awareness of published country policies. All submissions to DDTC are reviewed on a case-by-case basis. There is no resumption of approval for submissions, and DDTC may disapprove applications that are not in furtherance of the national security or foreign policy of the United States, or for any other reason listed in ITAR §126.7.
Country Date Federal Regulation Comments
Afghanistan
June 27, 1996 61 FR 33313 (PDF, 12KB) Amendment to ITAR §126.1
May 8, 2001 66 FR 23310 (PDF, 34KB) Denial Policy to territory of Afghanistan under
Taliban control and all of Afghanistan
July 2, 2002 67 FR 44352 (PDF, 32KB) Denial Policy to Afghanistan except for Government
of Afghanistan and ISAF
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126. Denial policy except for
Government of Afghanistan and coalition forces.
December 31, 2012 77 FR 76864 (PDF, 203KB) Amendment to ITAR §120.32 to identify Afghanistan
as a Major Non-NATO Ally.
Belarus
July 22, 1993 58 FR 39280 (PDF, 7.1MB) Amendment to ITAR §126.1
Burma
June 16, 1993 58 FR 33293 (PDF, 99KB) Department of State Suspension Notice
July 22, 1993 58 FR 39280 (PDF, 7.1MB) Amendment to ITAR §126.1
Central African Republic
April 17th, 2014 79 FR 21616 (PDF, 34KB) Amendment to ITAR §126.1
China (PR)
June 7, 1989 54 FR 24539 (PDF, 64KB) Department of State Suspension Notice
July 22, 1993 58 FR 39280 (PDF, 7.1MB) Amendment to ITAR §126.1
Cuba
December 6, 1984 49 FR 47682 (PDF, 5MB) Amendment to ITAR §126.1
Cyprus
December 18, 1992 57 FR 60265 (PDF, 46KB) Department of State Denial Notice; does not affect export for the UN forces in Cyprus (UNFICYP) or for civilian end-users
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126.1. Denial policy, except for exports for UNFICYP and civilian end-users.
Democratic Republic of the Congo
April 29, 1993 58 FR 26024 (PDF, 109KB) Department of State Suspension Notice
July 22, 1993 58 FR 39280 (PDF, 7.1MB) Amendment to ITAR §126.1
February 17, 2004 69 FR 7349 (PDF, 38KB) Modified Denial policy to DROC
August 30, 2005 70 FR 50966 (PDF, 50KB) Further modification of Denial Policy to the DROC.
December 18, 2007 72 FR 71575 (PDF, 53KB) Amendment to ITAR §126.1
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126.1. Denial policy, with certain exceptions.
September 29, 2016 81 FR 66804 (PDF, 230KB) Amendment to ITAR §126.1. Further modification of the denial policy with certain exceptions.
Eritrea
March 6, 2006 71 FR 11281 (PDF, 46KB) Department of State Suspension Notice
October 6, 2008 73 FR 58041 (PDF, 47KB) Amendment to ITAR §126.1
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126.1. Added to list of countries subject to a UN Security Council arms embargo.
September 29, 2016 81 FR 66804 (PDF, 230KB) Amendment to ITAR §126.1. Denial policy with certain exceptions.
Haiti
October 9, 1991 56 FR 50968 (PDF, 73KB) Department of State Suspension Notice
April 4, 1994 59 FR 15624 (PDF, 265KB) Amendment to ITAR §126.1
October 4, 2006 71 FR 58496 (PDF, 58KB) Partial Lifting of Arms Embargo
February 29, 2012 77 FR 12201 (PDF, 143KB) Amendment to ITAR §126.1
Iran January 23, 1984 49 FR 2836 (PDF, 122KB) Department of State Notice designating Iran as a
terrorist country
October 29,1991 56 FR 55630 (PDF, 178KB) Amendment to ITAR §126.1
December 18, 2007 72 FR 71575 (PDF, 53KB) Amendment to ITAR §126.1
Iraq August 3, 1990 55 FR 31808 (PDF, 75KB) Department of State Revocation Notice
September 13, 1990 55 FR 37793 (PDF, 26KB) Department of State Notice designating Iraq as a terrorist country
October 29, 1991 56 FR 55630 (PDF, 178KB) Amendment to ITAR §126.1
November 21, 2003 68 FR 65633 (PDF, 35KB) Denial policy to Iraq except for Iraqi military or police
force required by Coalition Provisional Authority.
April 9, 2004 69 FR 18810 (PDF, 57KB) Denial policy to Iraq except for nonlethal military equipment, lethal military equipment for use by reconstituted (or interim) Iraqi military or police force, and small arms for use for private security purposes.
December 18, 2007 72 FR 71575 (PDF, KB) Amendment to ITAR §126.1
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126.1. Denial policy except for
non-lethal military equipment, and lethal military equipment for the Government of Iraq and coalition
forces.
Kyrgyzstan
April 9, 2010 Notice (PDF, 244KB) Notice on Exports to the Kyrgyz Republic
Lebanon
December 15, 2006 71 FR 75609 (PDF, KB) Department of State Suspension Notice
December 18, 2007 72 FR 71575 (PDF, 53KB) Amendment to ITAR §126.1
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126.1. Denial policy except for exports for UNIFIL and as authorized by the Government of Lebanon.
Libya
October 29, 1991 56 FR 55630 (PDF, 178KB) Amendment to ITAR §126.1
February 7, 2007 72 FR 05614 (PDF, 59KB) Amendment to ITAR §126.1
May 24, 2011 76 FR 30001 (PDF, 181KB) Amendment to ITAR §126.1. Denial policy, with certain exceptions.
September 23, 2011 Notice (PDF, 54KB) Notice to Exporters
November 4, 2011 76 FR 68313 (PDF, 142KB) Amendment to ITAR §126.1.
March 4, 2013 Notice (PDF, 36KB) Direct Commercial Sales Exports to Libya
March 14, 2013 Notice (MHT, 89KB) Security Council Extends Mandate of United Nations
Support Mission in Libya for Twelve Months, Unanimously Adopting Resolution 2095 (2013)
May 10, 2013 Notice (PDF, 41KB) Direct Commercial Sales of Defense Articles and Services to Libya
North Korea
December 6, 1984 49 FR 47682 (PDF, 5MB) Amendment to ITAR §126.1
December 18, 2007 72 FR 71575 (PDF, 53KB) Amendment to ITAR §126.1
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126.1. Removed from “Terrorism” section; denial policy continues.
Russia
April 28, 2014 Press Release United States Expands Export Restrictions on Russia
Somalia
December 16, 1992 57 FR 59851 (PDF, 101KB) Department of State Suspension Notice
July 22, 1993 58 FR 39280 (PDF, 7.1MB) Amendment to ITAR §126.1
May 22, 2007 72 FR 28602 (PDF, 50KB) Amendment to ITAR §126.1
December 18, 2007 72 FR 71575 (PDF, 53KB) Amendment to ITAR §126.1
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126.1. Denial policy, with certain exceptions.
September 29, 2016 81 FR 66804 (PDF, 230KB) Amendment to ITAR §126.1. Further modification of
the denial policy with certain exceptions.
Sudan
November 3, 1993 58 FR 49741 (PDF, 108KB) Department of State Suspension Notice
October 8, 1993 58 FR 52523 (PDF, 9KB) Department of State Notice designating Sudan as a country supporting terrorism
April 4, 1994 59 FR 15624 (PDF, 265KB) Amendment to ITAR §126.1
January 18, 2007 72 FR 02326 (PDF, 51KB) Determination to provide non-lethal assistance to the Gov. of Southern Sudan
May 9, 2007 72 FR 26281 (PDF, 33KB) Presidential Determination
December 18, 2007 72 FR 71575 (PDF, 53KB) Amendment to ITAR §126.1
May 16, 2008 73 FR 28545 (PDF, 51KB) Determination to provide non-lethal assistance under ITAR jurisdiction to the Gov. of Southern Sudan
November 9, 2011 76 FR 69612 (PDF, 143KB) Amendment to ITAR §126.1 to include the Republic of the Sudan as a proscribed destination, and to clarify that this policy does not apply to the Republic of South Sudan.
Syria
October 29, 1991 56 FR 55630 (PDF, 178KB) Amendment to ITAR §126.1
Venezuela
August 17, 2006 71 FR 47554 (PDF, 45KB) Department of State Notice on Revocation and Denial of Defense Export Licenses
February 7, 2007 72 FR 5614 (PDF, 59KB) Amendment to ITAR §126.1
Zimbabwe
April 17, 2002 67 FR 18978 (PDF, 34KB) Department of State Suspension Notice
July 23, 2002 67 FR 48242 (PDF, 39KB) Use of Exemption at §123.7
August 8, 2011 76 FR 47990 (PDF, 188KB) Amendment to ITAR §126.1. Denial policy, with one
exception (temporary export of firearms for individual use).
ITAR Countries subject to certain prohibitions:
(1) For defense articles and defense services, the following countries have a policy of denial:
|
Country |
|
Belarus. |
|
Burma. |
|
China. |
|
Cuba. |
|
Iran. |
|
North Korea. |
|
Syria. |
|
Venezuela. |
(2) For defense articles and defense services, a policy of denial applies to the following countries except as specified in the associated paragraphs below:
|
Country |
Country specific paragraph location |
|
Afghanistan |
See also paragraph (g) of this section. |
|
Central African Republic |
See also paragraph (u) of this section. |
|
Cyprus |
See also paragraph (r) of this section. |
|
Democratic Republic of Congo |
See also paragraph (i) of this section. |
|
Eritrea |
See also paragraph (h) of this section. |
|
Haiti |
See also paragraph (j) of this section. |
|
Iraq |
See also paragraph (f) of this section. |
|
Lebanon |
See also paragraph (t) of this section. |
|
Libya |
See also paragraph (k) of this section. |
|
Somalia |
See also paragraph (m) of this section. |
|
Sudan |
See also paragraph (v) of this section. |
|
Zimbabwe |
See also paragraph (s) of this section. |
EAR Broad Based Controls
Comprehensive controls:
§ 746.2 CUBA
§ 746.7 IRAN
§ 746.9 SYRIA
Sanctions on selected categories of items to specific destinations.
(1) BIS controls the export and reexport of selected categories of items to countries under United Nations Security Council arms embargoes. See the Commerce Control List in Supplement No. 1 to Part 774. See also §§ 746.3 (Iraq) and 746.4 (North Korea).
(2) The countries subject to United Nations Security Council arms embargoes are: Central African Republic, Democratic Republic of the Congo, Eritrea, Iran, Iraq, Lebanon, Libya, North Korea, Somalia, and Sudan.
Sanctions:
§ 746.3 IRAQ
§ 746.4 NORTH KOREA
§ 746.5 RUSSIAN INDUSTRY SECTOR SANCTIONS
§ 746.6 CRIMEA REGION OF UKRAINE
§ 746.7 IRAN
§ 746.9 SYRIA
Department of Energy (DOE) Controls Under the Atomic Energy Act
The Department of Energy’s 10 CFR §810 regulations are analogous to the EAR’s controls on technology and the ITAR’s controls on technical data and defense services.
The February 12, 2019 Federal Register article announcing the revised Part 810 says that “Part 810 controls the export of unclassified nuclear technology and assistance. It enables peaceful nuclear trade by helping to assure that nuclear technologies exported from the United States will not be used for non-peaceful purposes.”
The regulations themselves enable the Secretary of Energy to “authorize persons to directly or indirectly engage in the development or production of Special Nuclear Material outside the United States.” [“Special Nuclear Material” means plutonium, uranium-233, or uranium enriched above 0.711 percent-by-weight in the isotope uranium-235.] The Department of Energy interprets the inclusion of civilian nuclear reactors, because “Special Nuclear Material” is produced in the nuclear reaction.
The revised Part 810 regulations are more specific about activities, as noted below:
- Chemical conversion and purification of uranium, thorium, plutonium or neptunium
- Nuclear fuel fabrication
- Uranium or plutonium isotope separation (enrichment)
- Nuclear reactor development, production or use of reactor components
- Development, production or use of production accelerator-driven subcritical assembly systems
- Heavy water production
- Reprocessing of irradiated nuclear fuel or targets containing special nuclear material
- The transfer of technology for the development, production, or use of equipment or material especially designed or prepared for any of the above listed activities
Activities listed in 10 CFR 810 (above) will fall in one of the following three categories:
Category I. Activities NOT in the scope of 10 CFR 810
- Exports authorized under NRC, EAR, or ITAR
- Transfer of publicly available information, publicly available technology or the results of fundamental research
- Uranium and thorium mining and milling
- Nuclear fusion reactors
- Radiopharmaceutical isotopes not involving special nuclear material
- Transfer of technology to lawful permanent US residents
Category II. Generally authorized activities, requiring no other authorization, but which do require reporting their use to DoE
- Activities listed in 10 CFR 810 involving a “generally authorized destination” country listed in Appendix A (about 50 countries)
- Transfer of technology to an employee of an NRC-licensed facility, under specified conditions
- Dealing with a radiological emergency, under specified conditions
- Furnishing operational safety information or assistance to existing civilian reactors outside the US, under specified conditions
- Furnishing operational safety information or assistance to new, proposed or existing civilian reactors in the US, under specified conditions
- Exchange programs approved by the Department pf State in consultation with DoE
- Implementing the 1980 US-IAEA agreement for application of safeguards in the US
- IAEA employee activities
- Extraction of molybdenum-99 from irradiated enriched uranium for medical use, under specified conditions
Category III. Activities requiring specific authorization from DoE
- Activities listed in 10 CFR 810 involving a country not listed in Appendix A as a “generally authorized destination”.
- Transferring sensitive nuclear technology, such as information important to the design, construction, fabrication, operation, or maintenance of a uranium enrichment or nuclear reprocessing facility or a facility for producing heavy water to any non-US country or entity.
- Providing technology or assistance to non-US countries or nationals related to uranium or plutonium isotope separation (enrichment), fabrication of nuclear fuel containing plutonium, heavy water production, an accelerator-driven subcritical assembly system, a production reactor or reprocessing of irradiated nuclear fuels or targets containing special nuclear material.
It is strongly advised to refer to the complete regulations before acting, to be assured whether an activity is outside the scope of Part 810 categories II (generally authorized) or III (specifically authorized). It is important to address the activity level with respect to requiring specific authorization, as the risk in acting first and then determining that specific authorization was required, it will be too late to fix.
Part 810.5 describes a mechanism through which you can request advice from the Office of Nonproliferation and Arms Control in DoE’s National Nuclear Security Administration (NNSA) on the interpretation of Part 810 as it applies to the facts in your specific case.
Export Classification
Determining whether an item is subject to ITAR or EAR is critical, and determining the correct ITAR category and the ECCN for EAR items are very important. Mistakes here can have serious consequences to RPI and to individual authorizing the shipment/export of the item. It is also very important to note that the ITAR takes precedence the control and classification process.
The best source of export classification for a purchased item is the vendor or manufacturer. If it cannot be obtained from the vendor or manufacturer, then it will be necessary in all but the most obvious cases to consult the Export Control Officer. Determining the correct classification can be challenging, requiring technical knowledge about the item as well as understanding of the export control regulations.
Note: Most, but not all, items are controlled under the Department of State (DOS) Directorate of Defense Trade Control (DDTC) ITAR or the Department of Commerce (DOC) Bureau of Industry and Security (BIS) EAR.
The methodology for jurisdiction determination and categorization/classification is described in the steps below.
If an item is listed on the US Munitions List, it's subject to the State Department's ITAR.
If the item is "specially designed" for one of the US Munition List (USML) items for which "specially designed" applies, it is “caught” and subject to the ITAR, even though it might seem to be an EAR item. About half the USML categories include "specially designed" items. Otherwise, it's subject to the BIS’ EAR.
An item is "caught" by the "specially designed" criteria if its development resulted in properties peculiarly responsible for an item on the USML's achieving the performance, characteristics, or functions that make it ITAR-controlled, or if it is a part, component, accessory, attachment, of software for use with a USML item. However, it can be "released" from the "specially designed" criteria if it is a fastener, is equivalent to a non-USML item already in production, was developed for USML and non-USML items, was developed as a general purpose item, or if determined by the DDTC to be subject to the EAR. Important note: this is a summary of the ITAR order of review, and is completely described in §121.1(b)(1). The DDTC has designed a decision tool to help determine whether an item is "specially designed".
Review the general characteristics of the item, which should lead to the appropriate USML category, then match the particular characteristics and functions of the item to determine the specific entry within that category. All ITAR-controlled exports require a license from the DDTC, unless they qualify for one of several exemptions. An asterisk is used to classify some ITAR items as Significant Military Equipment, which require stricter controls.
All ITAR-controlled items require a license for export or for transfer to a non-US person anywhere, unless an exemption applies.
- Review the general characteristics of the item, which should lead to the appropriate Commerce Control list (CCL) category and Export Control Classification Number (ECCN).
- Determine the applicable product group: A (end items, equipment, accessories, attachments, parts, components, and systems), B (test, inspection, and production equipment), C (materials), D (software), or E (technology).
- ECCNs 9x515 (satellites, spacecraft, and related items previously controlled under the ITAR) and "600 series" (nx6nn) ECCNs (other items previously controlled under the ITAR) take precedence over other ECCNs. If the item is described by an entry in 9x515 or nx6xx, other than a "specially designed" paragraph (usually 9x515.x or nx6xx.x), that will be its CCL classification.
Otherwise, if the item is described by a "specially designed" paragraph in ECCN 9x515 or nx6nn (usually 9x515.x or nx6nn.x): An item is "caught" by the "specially designed" criteria if its development resulted in properties peculiarly responsible for the 9x515 or nx6nn item achieving the performance, characteristics, or functions described in the relevant ECCN or USML paragraph, or if it's a part, component, accessory, attachment, of software for use with a CCL or USML item. However, it can be "released" from the "specially designed" criteria if:
- it's in an ECCN paragraph that doesn't include "specially designed"; or
- it's been determined through Commodity Jurisdiction (State Department) or Commodity Classification (CCATS, Commerce Department) to be EAR 99; or
- it's a fastener; or
- it's equivalent to an item already in production, not on the USML and if on the CCL controlled only for anti-terrorism (AT) purposes; or
- it was developed for use with items on the CCL and with items not on the USML and, if on the CCL, controlled only for anti-terrorism (AT) purposes; or
- it was developed as a general purpose item, not for use in a particular item or type of item; or
- it was developed for use with items controlled by EAR99, or with items controlled by EAR99 and items controlled by an anti-terrorism (AT) ECCN
If the item was "caught" and not "released", then its ECCN is that of the "specially designed" paragraph that "caught" it.
If none of the criteria in the above-mentioned steps apply, the next aspect of the EAR classification starts at the beginning of the applicable CCL category and respective product group (A, B, C, D or E)which requires review of each ECCN to determine whether it describes the item — the first (most controlled) match and in the CCL manifest is the item's ECCN.
EAR-controlled items may need a license for export, release or transfer to a non-US person anywhere. The control procedures depend on the ECCN manifest reasons for control, the destination country, the end-user, and end-use.
If no ECCN describes the item, its classification is EAR99, meaning that it's not on the Commerce Control List, but remains as an EAR-controlled item that is subject to controls for restricted end-user, end-use, or destination.
Note the complete description of the EAR’s order of review is described in Supplement No. 4 to 15CFR§774 and in the "specially designed" definition in 15CFR§772. The BIS has designed an order of review tool, as well as a decision tool, to help determine whether an item is "specially designed."