University of Arkansas

Research Support and Sponsored Programs

Export Control

Compliance with U.S. Export Regulations

In order to engage in research activities which include the collaboration of foreign colleagues and graduate students, investigators must comply with certain restrictive Federal regulations called, collectively, “export control regulations.” These are the Export Administration Regulations (EAR, 15 CFR 730, U.S. Department of Commerce) and the International Traffic in Arms Regulations (ITAR, 22 CFR 120-130, U.S. Department of State). The purpose of these regulations is to control the dissemination of information and/or materials which may have bearing on our national security. While export control regulations provide exemptions for "educational information" and “fundamental research," both externally and internally funded research may be subject to export control regulations. Investigators should not assume that unsponsored research is exempt from export control regulations.

NOTE: If you are unable to determine whether your technical data, equipment, or technology is under the jurisdiction of either the U.S. Department of State, Directorate for Defense Trade Controls (DDTC) or the U.S. Department of Commerce, Bureau of Industry and Security (BIS) , you may place, free of charge, a Commodity Jurisdiction Request determination.

The U.S. Treasury Department is charged with enforcing economic and trade sanctions against targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction.

Basic Training and Information on Export Regulations and Restrictions

Technology (Export) Control Plan Requirement

Technology Control Plan Form

A Technology Control Plan (TCP) is required for research which deals with technical items, data, and/or software controlled by U.S. Export Administration Regulations (EAR) or the International Traffic in Arms Regulations (ITAR). This requirement applies to all research activities whether or not they are externally sponsored. This plan must be submitted and If the control status of a project changes, the TCP must be submitted and approved prior to undertaking controlled activities. For assistance with control plans, contact RSSP. Completed plans may be delivered to the RSSP office, 120 Ozark Hall, ATTN: Compliance Officer, or submitted electronically to rruff@uark.edu. If emailing the plan, the Subject header of the email should be Technology Control Plan.

U.S. Department of Agriculture - Animal and Plant Health Inspection Service (APHIS)

U.S. Department of Commerce - Bureau of Industry and Security (BIS)

BIS is responsible for implementing and enforcing the EAR which regulate the export and re-export of most commercial items. Those items which have both military and commercial applications are referred to as "dual-use" items. Purely commercial items, i.e., those without an obvious military use, are also regulated. All items which may require an export license are identified in the Commerce Control List (CCL), EAR Part 744, and have been assigned an Export Control Classification Number (ECCN). If an item is not on the CCL, it is designated EAR99. No license is required for EAR99 items.

U.S. Department of State - Directorate of Defense Trade Controls (DDTC)

The sale, export, and re-transfer of defense articles and defense services are regulated by the ITAR. DDTC is responsible for controlling the export and temporary import of defense articles and defense services covered by the United States Munitions List (U.S.ML).

  • Getting Started
    • Do Defense Export Controls Apply to Me? A Quick Action Checklist
    • Rationale for Regulating Defense Exports
    • DDTC – The Offices that Administer the Defense Export Regulations
    • Authority for Control of Arms Exports
    • U.S. Government Regulatory Measures
    • End-Use/End-User Monitoring
    • Other Compliance Mechanisms
  • Arms Export Control Act
  • International Traffic in Arms Regulations
    • U.S. Munitions List – articles, services and related technical data designated as defense articles and services in accordance with the Arms Export Control Act
    • Militarily Critical Technologies List – existing technologies which would permit significant advances in the development, production and use of military capabilities of potential U.S. adversaries
    • Developing Science and Technologies List – scientific and technological capabilities with the potential to significantly enhance or degrade U.S. military capabilities — including basic and applied research and advanced technology development

U.S. Department of Treasury - Office of Foreign Assets Control (OFAC)

OFAC implements and oversees economic and trade sanctions against targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction

Other Agencies Involved in Export Controls

Many federal agencies are charged with the control of exports other than those listed above. Examples are, chemicals, drugs, endangered species, medical devices, gas and electric power, nuclear materials, freight shipments, vessels, etc.

For more information, please feel free to contact:

Research Support and Sponsored Programs
University of Arkansas
120 Ozark Hall
Fayetteville, AR 72701
Phone (479) 575-3845
Fax (479) 575-7983

Research Support & Sponsored Programs, 120 Ozark Hall, 1 University of Arkansas, Fayetteville, AR 72701, (479) 575-3845