Miami University myMiamiSearch MiamiOARS HomeEthics Concern Reporting Utility

 Research Compliance Home >

  Miami Export Control Program



Contact Information and Needs Determiniation

Reference: Restricted Nations and Persons

Export-controlled information does not include basic marketing information on function or purpose, general system descriptions, or information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities, or information in the public domain.


If you work inside the U.S. with foreign persons, if you work outside of the U.S., or if you are sending materials or information to persons outside of the U.S., you may be subject to the International Traffic in Arms Regulations (ITAR) and the Export Administration Regulations (EAR).

It is unlawful to disclose, orally or visually, or transfer Export-Controlled Materials and Information to a foreign person inside or outside the U.S., or to send or take Export-Controlled Materials and Information out of the United States. A foreign person is a person who is not a United States citizen or permanent resident alien of the United States. The law makes no exceptions for foreign graduate students.

In general, "Export-Controlled Materials and Information" means activities, items and information related to the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, operation, modification, demilitarization, destruction, processing or use of items with a capacity for substantial military application utility. It does not matter if the intended use of Export-Controlled Materials and Information is military or civilian in nature.

In addition to ITAR and EAR regulations regarding defense materials, Export Control also includes intellectal property and Commerce Department regulations. Some materials/information fall within across all sets of regulations. For example, the software and hardware advanced GPS system could be used for missile guidance (arms regulations) but could also be used for commercial use (automobile navigation systems). More infomation about Commerce related regulations and requirements can be found here: CCL List

Potential Consequences


Researchers may be held personally liable for violations of the ITAR and the EAR. As a result, they should exercise care in using and sharing Export-Controlled Materials and Information with others. For example, PIs should identify whom among proposed research assistants and collaborators are foreign persons. Unless the State Department grants a license authorizing those persons access to Export-Controlled Materials and Information, a prerequisite to accessing it is a security clearance. In the absence of that clearance, PIs should not leave Export-Controlled Materials and Information unattended. They should clearly identify Export-Controlled Materials and Information and make only that number of copies of the material as is absolutely necessary. PIs also must store Export-Controlled Materials and Information in a locked file cabinet or drawer or under password protected computer files. Finally, PIs should avoid moving the information from one location to another.

The penalty for unlawful export and disclosure of Export-Controlled Materials and Information under the ITAR is up to two (2) years imprisonment and/or a fine of one hundred thousand dollars ($100,000), and unlawful export and disclosure of information controlled under the EAR, the greater of (i) a fine of up to one million dollars ($1,000,000) or (ii) five times the value of the exports for a corporation and imprisonment of up to ten years and/or a fine of up to two hundred fifty thousand dollars ($250,000) for an individual.

Contact Information and Needs Determination
To determine if ITAR, EAR, orCommerce regulations apply in your situation, Click on this link ->

If you have questions about the Export Control program, please contact Neal Sullivan at

The results of the decision tree and discussion with ORI may result in a researcher developing a
management plan based on this template.



Background Reference: Regulatory Sources of Restricted Country and Persons Lists

When collaborating or sending materials or information to any of these countries (where), the who and what must be evalauted for potential restrictions. Information will be requested and screened to ensure a plan is inplace to avoid violating the restrictions. Offices that routinely manage international relationships (e.g. Global Initiatives, Academic Personnel) will conduct the screening.


In considering whether or not a shipment, transfer, transmission or disclosure will require an export license, we need to consider WHAT is being shipped, WHERE it is going, and TO WHOM it is being exported or disclosed.

The lists on this page deal with WHERE and TO WHOM items, information or software is going. (See the lists of controlled technologies for guidance about WHAT may be sent.)

Certain destinations, organizations and individuals are subject to trade sanctions, embargoes and restrictions under U.S. law.

If you intend to ship to a country, entity or person that appears on a restricted list, contact the Office for Research and Innovation (


Search Sanctions Program and Country Summaries for more specific information.

Countries with restricted entities on the EAR Entity Chart (15 CFR 744, Supp. 4 - pdf file):

China, India, Israel, Pakistan, Russia

Office of Foreign Assets Control (OFAC) Embargoed Countries:

Cuba, Iran, Syria, North Korea, Myanmar (formerly Burma) and Sudan

OFAC Listed Countries and Territories Subject to Sanctions:

Liberia, Iraq, Zimbabwe, Balkans, Libya, Cote D'Ivoire (formerly Ivory Coast) and the Palestinian Territories

OFAC Specially Designated Nationals and Blocked Persons List:

ITAR Prohibited Countries: Afghanistan, Belarus, Cuba, Iran, Iraq, Libya, N. Korea, Syria, Vietnam, Myanmar (formerly Burma), China, Haiti, Liberia, Rwanda, Somalia, Sudan, or Democratic Republic of the Congo (formerly Zaire), any UN Security Council arms embargoed country (e.g., for certain exports to Rwanda).

Denied Persons List:

A list of individuals who are denied export privileges by the Commerce Department.


*Country and lists dexcription developed based on UC-Berkely website information

To determine if ITAR and EAR regulations apply in your situation, Click on this link ->  

Download Export Control Management Plan Template



Please contact the Research and Innovation Office if you have questions about this web site: 513-529-3600
    or email Neal Sullivan at or Jennifer Sutton at

        © 2021 Miami University | 501 East High Street | Oxford, Ohio 45056 | 513.529.1809