Export Controls

This Decision Tree allows you to answer a short series of YES or NO questions to determine whether you have a potential issue under the International Traffic in Arms Regulations (ITAR).

Please use the ITAR Tree if you conduct research relating to potential defense and military- related items and technologies, such as spacecraft and components, including those related to navigation and launch systems (e.g., GPS, radar).

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It is best to use the Tree and identify issues at the start of your research project or whenever an interaction arises between your project and a foreign country or foreign national.

Technical problems in using this Tree should be reported to Web Support.

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This Decision Tree will help you determine whether one of your research activities is controlled by the International Traffic in Arms Regulations (ITAR):

1. Transferring controlled technical data or software to a foreign national in the United States;
2. Transferring controlled technical data or software to anyone, even a U.S. person, who is outside the United States;
3. Transferring (exporting) from the United States a controlled item, including civilian and research spacecraft systems or parts or components specifically designed or modified for such systems; OR
4. Performing a "defense service" (as defined later) for a foreign national.

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This Decision Tree consists of two parts.

Part I will introduce you to some ITAR terms used in the questions.

Part II is the Tree itself. Each term defined in Part I, when used in the tree, is highlighted in blue. You can review the term's definition by clicking on it. A pop up box containing the definition will appear.

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ITAR Categories IV and XV control rockets, launch activities, spacecraft systems, components specifically designed or modified for spacecraft systems, and other related items, whether of U.S. or foreign origin, and directly related technical data, software, and defense services.

Please skim the contents of ITAR categories IV and XV.

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The ITAR defines controlled "technical data" as information that is:

1. "Required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification" of a controlled item, and
2. "Directly related" to a controlled item, such as a component specifically designed or modified (in any way) for a satellite, spacecraft, or other ITAR-controlled item;

It can be in the form of �blueprints, drawings, photographs, plans, instructions, or documentation,� as well as e-mail, conversations, or other less formal means.

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The ITAR controls "software" that is directly related to a controlled item.

"Software" includes "the system functional design, logic flow, algorithms, application programs, operating systems, and support software for design, implementation, testing, operation, diagnosis, and repair" of the item.

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The "transfer" of controlled items or technical data occurs by shipping, mailing, hand-carrying in pockets or luggage, emailing, or making available for downloading. An item's technical data is also transferred by showing, explaining, or allowing visual inspection of the item sufficient to convey the item's technical data.

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The ITAR defines a "U.S. person" as

One who has U.S. citizenship (even as a dual citizen), a green card, or refugee or asylum status.

Everyone else is a "foreign national".

Foreign nationals who have work or student visas are not necessarily U.S. persons.

Begin Decision Tree - Click on blue terms to review definitions.

Involvement of Foreign Nationals:

Does your research project involve in any way (a) a foreign national at Cornell or elsewhere in the United States or (b) anyone, including a U.S. person, outside the United States?

Yes
No

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Foreign Export of a Controlled Item:

Does your research project involve the transfer to a foreign country from the United States of a spacecraft, a part or component specifically designed or modified for a spacecraft, other ITAR Category IV and XV items, or any item specifically designed or modified for a military end-use or a military end-item, of U.S. or foreign origin?

Yes
Please contact the Export Controls Office. The transfer of such an item outside the United States is an ITAR-controlled event that may require government authorization. Be prepared to tell the Export Controls Office the item, foreign destination, recipient's name/organization, and purpose of the transfer.
No

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Import of Launch Items from a foreign country:

Does this project involve the import into the United States from a foreign country of any items, technical data, or software contained in ITAR Category IV?

Yes
Please contact the Export Controls Office, because U.S. government authorization may be required to import such an item into the United States. Be prepared to tell the Export Controls Office the nature and purpose of the import.
No

Back | Question 3 of 7 | Next

Transfer of Controlled Item within the U.S.:

Does this project involve the transfer from Cornell to another location within the United States of a spacecraft, a component specifically designed or modified for inclusion into a spacecraft, or other ITAR Category IV and XV item, of U.S. or foreign origin?

Yes
Please make sure that the item is sent to a U.S. person in order to avoid export issues.
No

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Transferring Controlled Technical Data to a Foreign National at Cornell:

Will a foreign national(s) at Cornell both (a) have access to a spacecraft, a part or component specifically designed or modified for a spacecraft, or other Category IV and XV items, of U.S. or foreign origin, and (b) receive technical data, or software about that item through documents or explanation?

OR

Will a foreign national(s) at Cornell receive any other ITAR-controlled technical data, or software, even about an item to which he or she does not have access?

Yes
No

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Transferring Controlled Technical Data to a Foreign National(s) at Cornell:

Does all the technical data or software to be received by the foreign national(s) fit into one or more of the following categories of non-ITAR-controlled information?

1. Public Domain;
2. Result of Fundamental Research;
3. Educational Information; OR
4. Basic marketing information on function or purpose or general system descriptions?

Yes
No
Please contact ORIA, because you propose to transfer ITAR-controlled technical data to a foreign national. Be prepared to tell ORIA the recipient�s name/organization, his or her country of citizenship, the nature of the technical data, and the purpose of transferring the data to the foreign national.

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Transferring Controlled Technical Data to a Foreign National(s) Outside Cornell:

Does your project involve the transfer to a foreign national outside Cornell, or to anyone even a U.S. person abroad, of technical data or software concerning a Category IV and XV item, of U.S. or foreign origin?

Yes
No

Back | Question 6 of 7 | Next

Transferring Controlled Technical Data to a Foreign National(s) Outside Cornell:

Does all of the technical data or software concerning the Category IV and XV item, of U.S. or foreign origin, which is to be transferred abroad or to a foreign national in the United States fit, in its entirety, into one or more of the following categories of non-ITAR-controlled information?

1. Public Domain;
2. Result of Fundamental Research;
3. Educational Information; OR
4. Basic marketing information on function or purpose or general system descriptions?

Yes
No
Please contact the Export Controls Office, because you propose to transfer ITAR-controlled technical data to a foreign national. Be prepared to tell the Export Controls Office the recipient's name/organization, his or her country of citizenship, the nature of the technical data, and the purpose of transferring the data to the foreign national.

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Will a U.S. person furnish assistance, such as training, to a foreign national, whether in the U.S. or abroad, in any of the following activities with respect to a Category IV or Category XV item or other ITAR-controlled item design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, destruction, processing, or use?

Yes
Please contact the Export Controls Office to discuss the nature of the assistance you intend to provide to the foreign national. The assistance may qualify as an ITAR defense service, requiring U.S. government authorization.
No

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Here is a list of potential ITAR issues for your project.

No ITAR issues have been identified for this project.

If you would check on another project please click here.