Shipment of Export Controlled Materials

The shipments of items, software and technology from the United States to a foreign country, must comply with export control laws and regulations.  These laws and regulations may require UMBC to obtain an export license for shipments of items, software and technology outside of the U.S. Obtaining an export license can be a lengthy process. All UMBC personnel who engage in international shipping are responsible for ensuring compliance with U.S. export control laws and regulations. Prior to shipping an item internationally contact the ORPC (researchintegrity@umbc.edu) for assistance in evaluating if the export is in compliance with export control laws and regulations.

The shipment or transmission of items subject to the Export Administration Regulations (EAR) or the International Traffic in Arms Regulations out of the United States, or release of technology or software subject to the EAR  to a foreign national in the United States. Release of Export-controlled technology and software can also occur through transmission via e-mails, faxes, designs, and verbal correspondence. Under the International Traffic in Arms Regulation (ITAR) regulations, export means not only sending or taking a defense article out of the U.S. in any manner, but also disclosing (including oral or visual disclosure) or transferring technical data to a foreign person, whether in the U.S. or abroad. An export also means performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the U.S. or abroad. Providing export-controlled information to a non-U.S. person or entity within the United States is what is known as a deemed export.

There are four basic things to know before anything can be exported:

1) What is the item or information and is it export controlled?

Items that are restricted to military-only use are defined in 22 CFR 121.1 and categorized under the ITAR, United States Munitions List (USML)

 

Dual-use items covered under the Commerce Control List of the EAR are some of the most common categories of items found in university research.  There are ten categories of controlled, dual-use items:

  1. Category 0 – Nuclear Materials, Facilities, and Equipment: Includes nuclear materials, specialized equipment, and miscellaneous items related to nuclear applications.
  2. Category 1 – Materials, Chemicals, Microorganisms, and Toxins: Covers dual-use chemicals, biological agents, and related materials.
  3. Category 2 – Materials Processing: Equipment and technology for metalworking, chemical processing, and manufacturing.
  4. Category 3 – Electronics: Electronic components, circuits, semiconductors, integrated circuits, and assemblies.
  5. Category 4 – Computers: Computer systems, high-performance computing, and related digital technology.
  6. Category 5 – Telecommunications and Information Security: Telecommunications equipment, cryptographic systems, and information security technology.
  7. Category 6 – Sensors and Lasers: Optical sensors, lasers, imaging equipment, and detection technology.
  8. Category 7 – Navigation and Avionics: Navigation systems, avionics, and guidance technology.
  9. Category 8 – Marine: Marine vessels, propulsion systems, underwater technology, and related equipment.
  10. Category 9 – Aerospace and Propulsion: Aerospace vehicles, spacecraft, propulsion systems, and associated equipment.
 Each category of dual use items are further divided into five product groups, identified by letters A through E:

  • A – Systems, equipment, and components
  • B – Test, inspection, and production equipment
  • C – Materials
  • D – Software
  • E – Technology

 

All other items not having a military or potential dual-use application are governed under EAR99 and do not need export license.  However, where the item is being shipped to and to whom and it’s intended end-use are also factors to consider when evaluating if something requires an export license.

 

2) Where is it going?

Shipping items outside the U.S. may require a license from OFAC, the Department of State, or the Bureau of Industry and Security (BIS).  An OFAC license takes six months to receive, a license from the Department of State takes two months, and a license from the BIS takes approximately two weeks, so allow plenty of time before you need to ship.  Do not ship an item outside the U.S. without the proper license.

Shipping items using a “freight forwarder” is highly recommended for international shipping of potentially controlled commodities. These companies may help or offer advice on how to do this correctly, recording the shipment in the federal government’s Automated Export System and which paperwork (such as a Power of Attorney requiring UMBC General Counsel review) to use.  But if there is a problem, UMBC will have to resolve an issue or concern (we are the shipper of record). The ORPC staff is also available to assist with any questions.

It is important to take time to prepare for the physical foreign shipment of information or items. While some things may be considered export controlled under EAR or ITAR, many things are not controlled. All items to be exported must be reviewed for:

  1. 1) potential export to a sanctioned country
  2. 2) to an end-user of concern
  3. 3) export control classification or category
  4. 4) or for support of a prohibited end-use.

You may be required to obtain a license from the federal government for your export and in some situations, a license may not be granted. Take a look at the Export Control Decision Flow Chart to obtain more information about your shipment.

3) Who will receive it?       AND

4) What will be the end-use?

The OPRC can assist with the screening of items, data or services against the Consolidated Screening List prior to domestic and foreign shipments of goods, or transmission of export-controlled software or technology. In addition to the screening an evaluation of the end-use and end-user should be done to ensure it does not result in an activity prohibited by any U.S. export regulations, or other restriction.

The Bureau of Industry and Security (BIS) also requires that export controlled items shipped to an entity (company, organization, university, contact, etc.) in the US to be reviewed prior to shipment to ensure they are not being exported to an entity on the Denied Persons Lists.

Please contact OPRC at researchintegrity@umbc.edu for additional questions and guidance.

return to Export Control site

 

Last updated 10/12/2026