Jurisdiction and Classification

To understand if applicable restrictions may apply to a product, service, or technology under U.S. export controls, one must first determine how it is classified for export purposes. Classification is dependent upon whether an item is subject to the jurisdiction of the State Department’s ITAR or the Commerce Department’s EAR. As such, the item must be properly classified under either the ITAR’s USML or the EAR’s CCL.

For items, technology, or services that do not fall squarely into an established regulatory category, it is recommended that an individual obtain a written determination of the commodity jurisdiction (CJ) and its classification from DDTC. If the item or technology is definitively not subject to ITAR and is instead subject to the jurisdiction of the EAR, OHIO may obtain a Commodity Classification Automated Tracking System (“CCATS”) number from BIS to determine its classification.

OHIO employees must contact the Export Compliance Officer (ECO) in the Office of Research and Sponsored Programs when classifying any items for export. Commodity jurisdiction and CCATS commodity classification automated tracking system requests must be handled by the ECO, with assistance from legal counsel, as necessary. Such requests are submitted on OHIO letterhead and must be signed by the ECO or other authorized organizational representative.

Export Control Decision Tree

This Decision Tree, which is also available online at the Export website, uses terminology derived from the export regulations of the U.S. Departments of Commerce, State, and the Treasury. In the event terminology used in the decision tree is unclear, please refer to the glossary of terms for clarification. This tool consists of five “Yes” or “No” questions relating to the sharing, shipping, transmitting, or transferring of items, information, or software outside of the U.S., leading to a determination of whether an export control license may be applicable to a particular situation. If you have any question as to whether export control regulations are implicated in your activity or project, you should reference the Export Control Decision Tree. A “Yes” answer to any of the nine questions will indicate that your activities may be subject to export controls and refer your question to the ECO. You should print a copy of the results and maintain a copy for your files. Alternatively, you can email orsp@ohio.edu with any export control questions.

Export Control Decision Tree Questions

  1. Does your research agreement restrict publication or presentation of research results or restrict foreign nationals from performing work or accessing research results?
    1. Yes – may be subject to export controls
    2. No – proceed to question 2
  2. Does your research agreement prohibit results or deliverables from being disclosed or delivered to any country or persons?
    1. Yes – may be subject to export controls
    2. No – proceed to question 3
  3. Will any information being used in the project be obtained from a third party subject to nondisclosure obligations?
    1. Yes – may be subject to export controls
    2. No – proceed to question 4
  4. Is any equipment or encryption software or item listed on the Commerce Control List or U.S. munitions List required to be delivered as part of the project?
    1. Yes – may be subject to export controls
    2. No – proceed to question 5
  5. If shipping an item or data, is the destination country or entity subject to sanctions regulated by the Office of Foreign Assets Control (OFAC)?
    1. Yes – may be subject to export controls
    2. No – end

If you answered each of the questions as “No” it is most likely that your activities are not subject to export controls. If you answered “Yes” to any of the questions, your activities may be subject to export controls, and you should contact the Office of Research and Sponsored Programs for a consultation.