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Which Export Control and/or Sanctions-Program Regulations Apply to Your Activities as a JHU Employee?

International Traffic in Arms Regulations (ITAR)

The ITAR regulate the handling of “defense articles.” Defense articles are items that have been specifically designed, developed, configured, adapted, or modified for military, intelligence or space applications. The United States Munitions List (USML) is a component of the ITAR that lists and describes defense articles. Defense articles may not be exported to other countries without a license from the Department of State’s Directorate of Defense Trade Controls. The ITAR also restrict the release of “technical data,” as well as the provision of certain services (“defense services”), associated with defense articles, even when the exchanges take place in the United States.

Work involving defense articles is relatively uncommon at JHU. Such work is much more common at our subsidiary, JHU/APL. Nevertheless, JHU must be prepared to identify and properly handle ITAR-controlled tangible goods, information and services. If your work has a connection to military-, intelligence-, or space-related agencies or applications, then we encourage you to work with your Export Control Office to screen for ITAR issues and requirements.

Export Administration Regulations (EAR)

The EAR regulate the handling of “dual-use” items. Dual-use items are commodities, software and technology that have the potential for both civilian and military applications. The Commerce Control List (CCL), which is a component of the EAR, lists and describes numerous dual-use items that the United States (either unilaterally, or in consultation with certain other countries) has determined should not be exported to certain other countries without a license from the Department of Commerce’s Bureau of Industry and Security (BIS). Such controls are considered necessary to promote U.S. national security and policy objectives.

It is not uncommon to find work taking place at JHU that involves dual-use items. Research Compliance Questions, which are part of the COEUS proposal-review system, and statements of work, help your Export Control Office (ECO) to look for the potential use of dual-use items. ECO will also work with you to implement any strategies that will be necessary to work with such items in ways that comply with the EAR.

U.S. Sanctions Regulations

U.S. sanctions regulations are similar to export control regulations (such as the ITAR and the EAR) in that they place limits upon the kinds of exchanges that we might wish to have with persons who are in or from other countries. They are different from export control regulations in that they do not focus upon the treatment of certain tangible goods and information that are of particular value to U.S. national security and foreign policy. Instead, presidential Executive Orders require that the Department of the Treasury’s Office of Foreign Assets Control (OFAC) use sanctions programs to place significant economic pressure upon certain individuals, entities, and governments, in order to change their behavior.

It is not uncommon to find JHU personnel who wish to work with individuals, entities, or governments that are in, or ordinarily resident in, countries to which sanctions apply. Some sanctions programs are quite comprehensive and forbid most kinds of business to take place with most citizens of certain countries (even collaboration on fundamental research). Other sanctions programs are more selective and forbid business to take place with only certain persons or entities associated with certain countries. If your work will involve sanctioned countries, ECO can determine if/how the work may proceed without violating sanctions regulations.



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Research Administration

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Baltimore, MD 21218

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