The Department of Commerce enforces the Export Administration Regulations (EAR) which include the Commerce Control List, a list classifying technologies that have civil uses but which may also have potential to impact national security.
Every controlled item has an Export Control Classification Number (ECCN). Typically, the manufacturer of the item will know the ECCN. Many items are not manufactured, such as viruses, and therefore the ECCN must be determined. If the ECCN is unknown, the CCL can be found at http://www.access.gpo.gov/bis/ear/ear_data.html under part 774. (The alphabetical listing is often easier to use http://w3.access.gpo.gov/bis/ear/pdf/indexccl.pdf)
This is the list of categories that are controlled.
Category 0 - Nuclear Materials, Facilities & Equipment (and Miscellaneous Items)
Category 1 - Materials, Chemicals, Microorganisms, and Toxins
Category 2 - Materials Processing
Category 3 - Electronics Design, Development and Production
Category 4 - Computers
Category 5 (Part 1) - Telecommunications
Category 5 (Part 2) - Information Security
Category 6 - Sensors and Lasers
Category 7 - Navigation and Avionics
Category 8 - Marine
Category 9 - Propulsion Systems, Space Vehicles and Related Equipment
EAR Pertinent Controls List - This is an excerpt from the CCL which lists the controlled items that are most likely to be the subject of research at JHSPH. You may want to start your attempt to classify your potentially controlled item here.
Tools to help classify controlled items - EAR Decision Tree#1 and EAR Decision Tree #2
If an item falls into any of the categories on the CCL, the need for a license is determined by taking the category, types of control imposed on the item, and destination of the item into account. If an item that you want to export is possibly controlled by the EAR, please contact the Office of Graduate Education and Research.
Often, who will receive your item or what it will be used for can determine whether an item is contolled.
Who will receive your item?
Certain individuals and organizations are prohibited from receiving U.S. exports and others may only receive goods if they have been licensed, even items that do not normally require a license based on the ECCN and Commerce Country Chart or based on an EAR99 designation. The controls are in the following lists:
1. Entity List - EAR Part 744, Supplement 4 - A list of organizations identified by the Bureau of Industry and Security (BIS) as engaging in activities related to the proliferation of weapons of mass destruction. Depending on your item, you may be required to obtain a license to export to an organization on the Entity List even if one is not otherwise required. This is a group of organizations in China, India, Pakistan and Russia. Mostly, but not exclusively, physics-related
2. Treasury Department Specially Designated Nationals and Blocked Persons List - EAR Part 764, Supplement 3 - A list maintained by the Department of Treasury’s Office of Foreign Assets Control comprising individuals and organizations deemed to represent restricted countries or known to be involved in terrorism and narcotics trafficking.
3. The Unverified List is composed of firms for which BIS was unable to complete an end-use check. Firms on the unverified list present a “red flag” that exporters have a duty to inquire about before making an export to them. Similar to the entity list, but also including groups from Hong Kong, Singapore, Malaysia and UAE.
4. Denied Persons - You may not participate in an export or reexport transaction subject to the EAR with a person whose export privileges have been denied by the BIS. A list of those firms and individuals whose export privileges have been denied is available on this Web site. Note that some denied persons are located within the United States. If you believe a person whose export privileges have been denied wants to buy your product in order to export it, you must not make the sale and should report the situation to BIS’s Office of Export Enforcement. If you have questions about Denied Persons, you may contact BIS’s Office of Enforcement Analysis at (202) 482-4255.
What will your item be used for?
Some end-uses are prohibited while others may require a license. For example, you may not export to certain entities involved in the proliferation of weapons of mass destruction (e.g., nuclear, biological, chemical) and the missiles to deliver them, without specific authorization, no matter what your item is. Part 744 of the EAR specifies the prohibitions.