What do I need to consider before shipping equipment, biologics, chemicals or any other item off campus? Before you ship – you need to consider: What are you shipping? Where are you shipping to? Who are you shipping to? Why are you shipping? Why do they want the item? This purpose of this document is general guidance and does not encapsulate all details of the regulations and applicable steps, any final determinations should be reviewed with the Office of Research Compliance. REGULATIONS There are two sets of regulations to consider:  The International Traffic in Arms Regulations (ITAR) under the US Department of State, which contains the United States Munitions List (USML)  The Export Administration Regulations (EAR) under the US Department of Commerce, which contains the Commodity Control List (CCL) ‐ classification is called an Export Classification Control Number (ECCN) STEP 1: What are you shipping? Commercially Available Item/Technical Information Contact the vendor for the export classification designation. Research Item/Technical Information (not commercially available or a commercially modified product) The product should first be reviewed for control under the ITAR on the USML, then under the EAR on the CCL, if the item is not captured under either list then the item is classified as EAR99. When it is unclear whether an item and/or technology falls under jurisdiction of the US Department of State (ITAR) or the Department of Commerce (EAR), a Commodity Jurisdiction Request can be submitted through the Office of Research Compliance to the Office of Defense Trade Controls at the Department of State. (See 22 CFR 120.3 and 120.4). When it is unclear what an item/technology’s appropriate classification is under the EAR, a Classification Request can be submitted to the Bureau of Industry Standards through the Office of Research Compliance. If it is unclear whether or not a license is required for a particular transaction, a request for an advisory opinion can be submitted to the Bureau of Industry Standards through the Office of Research Compliance. STEP 2: Where are you shipping to? Item/Technical Information is controlled on the USML No item on the USML may shipped outside of the US without a license or license exemption. License exemptions are very narrow, must be documented, and supporting records must be maintained for a period of five years from the date of export. As such, any export of an item on the USML must go through the Office of Research Compliance. Item/Technical Information is controlled on the CCL Destination is one key factor when evaluating whether or not a license is required to ship outside of the US. Items captured on the CCL, are controlled for various reasons and destinations. License exemptions must be documented and supporting records must be maintained for a period of five years from the date of export. As such, any export of an item on the CCL must go through the Office of Research Compliance. Item/Technical Information is EAR99 EA99 can be shipped to any country besides Cuba, Iran, North Korea, North Sudan, and Syria. Examples: For demonstrations purposes – classification information is from the Department of State Website https://www.pmddtc.state.gov/commodity_jurisdiction/determination.html Amplifiers, depending on the strength and original design intent can be captured on the USML, CCL or be EAR99. USML XI(c) Three stage power amplifier capable of providing 16 watts of output power from 7.5 to 11.5 GHz License required to ship anywhere ECCN 3A001.b.2.a GaN MMIC power amplifier capable of providing 100 watts of output power from 3.1 to 3.5 GHz License required for most destinations Limited license exceptions are available EAR 99 Operational Amplifier, quad, low noise May be shipped to most destinations – except for Cuba, Iran, North Korea, North Sudan, and Syria STEP 3: Who are you shipping to? There are numerous lists that contain both entities and persons that exporting is either prohibited or limited. A recipient should be screened utilizing eCustoms Visual Compliance software through the Office of Research Compliance or an authorized delegate.  Who you are shipping to should include, the entity, the person, and the ultimate end‐user(s) if different than the person you are sending the item to.  Caution – EAR99 being sent to a destination other than Cuba, Iran, North Korea, North Sudan, and Syria and the entity, ship to person, or ultimate end‐user is on a list will require a license to be shipped. Export‐related Restricted, Denied, and Blocked Persons Lists 
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Department of Commerce Denied Persons [BIS] Department of Commerce Entity List [BIS] Department of Commerce "Unverified" List [BIS] Department of State Arms Export Control Act Debarred Parties [DDTC] 
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Department of State Nonproliferation Orders o Executive Order 13382 o Iran and Syria Nonproliferation Act o Executive Order 12938, as amended o Missile Sanctions Laws o Chemical and Biological Weapons Sanctions Laws o Sanctions for the Transfer of Lethal Military Equipment o Iran, North Korea, and Syria Nonproliferation Act Sanctions (INKSNA) Department of State Munitions Export Control Orders [DDTC] Weapons of Mass Destruction Trade Control Designations [OFAC] Department of State Designated Terrorist Organizations Department of State Terrorist Exclusion List U.S. Treasury Department Palestinian Legislative Council List [OFAC] U.S. Federal Register General Orders Sanction Programs‐related Blocked Persons Lists 
U.S. Treasury Department Specially Designated Nationals and Blocked Persons, including Cuba and Merchant Vessels, Iran, Iraq and Merchant Vessels, Sudan Blocked Vessels [OFAC] STEP 4: Why are you shipping? Why do they want they item? OBLIGATION under the regulations to know your end‐user which includes a due diligence to use best efforts to understand the ultimate end use. The Export Administration Regulations contain Ten General Prohibitions in part 736. General Prohibitions One through Three are product controls while General Prohibitions Four through Ten are activities that are expressly prohibited without a license. http://www.bis.doc.gov/index.php/regulations/export‐administration‐regulations‐ear