Definitions

Definitions

Commerce Control List (CCL) - List of items under the

export control jurisdiction of the Bureau of Industry and Security, of the Department of Commerce. The CCL is found in Supplement 1 to Part 774 of the EAR.

The CCL is divided into ten categories: (0) Nuclear Materials, Facilities and Equipment, and Miscellaneous; (1) Materials, Chemicals, "Microorganisms," and Toxins; (2) Materials Processing; (3) Electronics Design, Development and Production; (4) Computers; (5) Telecommunications; (6) Sensors; (7) Navigation and Avionics; (8) Marine;(9) Propulsion Systems, Space Vehicles, and Related Equipment.

Every CCL category is subdivided into the same five groups, designated by the letters A through E, as follows:

(A) Equipment, assemblies, and components; (B) Test, inspection and production equipment; (C) Materials;

(D) Software; and (E) Technology.

Deemed Export - Release or transmission of information or technology subject to export control to any foreign national in the U.S., including graduate students and training fellows. Such a release of information is considered to be an export to the person's home country.

Defense Article - Any item designated in the U.S. Munitions List. These items consist of articles which are specifically designed, developed, configured, adapted or modified for military application and related technical data.

Examples include specified chemical agents, cameras designated for military purposes, specified lasers, and some GPS equipment and any directly related technical data. (ITAR 120.6)

Defense Service - Providing of assistance (including training) anywhere (inside the United States or abroad) to foreign persons in connection with the design, development, engineering, manufacture, production, or use of a defense article, and the furnishing of any related

technical data. (ITAR 120.9) The Bona fide Employee Exemption [ITAR 125.4(b)(10)] does not apply to where the employee will be provided a Defense Service.

Debarred Parties List - List of individuals denied export privileges under ITAR and maintained by the State Department. Information can be assessed from http://www.bis.doc.gov/complianceandenforcement/

liststocheck.htm.

Denied Persons List - A list of persons who have been issued a denial order from the Commerce Department's Bureau of Export Administration (BXA). U.S. exporters and third parties in general are prohibited from dealing with these persons in transactions involving U.S. items. The list can be accessed from http://www.bis.doc.gov/complianceandenforcement/liststocheck.htm.

Dual-Use - Items that have both commercial and military or proliferation applications. While this term is used informally to describe items that are subject to the EAR, purely commercial items are also "subject to the EAR" (see section 734.2(a) of the EAR). Items with no specific ECCN are designated as "EAR99."

Educational Information - Information that is normally released by instruction in catalog courses and associated teaching laboratories of academic institutions is considered "Educational Information" and is not subject to Export Controls.

Entity List - Exports to foreign end-users engaged in proliferation activities are usually prohibited without a license. These are administered on a case-by-case basis. The list can be accessed at

http://www.bis.doc.gov/entities/default.htm

Export - Any item (i.e., commodity, software, technology, equipment, or information) sent from the U.S. to a foreign destination is considered an export. Examples of exports include the actual shipment of goods as well as the transfer of written documents or information via email, phone, fax, internet, and verbal conversations.

Export Administration Regulations (EAR) - Regulations promulgated and implemented by the Department of Commerce that regulate the export of goods, software and related technology identified on the Commodity Control List (CCL), Title 15 CFR 774, Supplement 1. The EAR also includes export restrictions, sanctions and embargoes to specified persons, entities, and countries.

Export Control Classification Number (ECCN) - Identifies the Commerce Control List classification and related export requirements of commodities, software and technology subject to the export licensing authority of the Department of Commerce, Bureau of Industry and Security. All commodities, software and technology not specifically identified on the CCL are classified as "EAR99."

Export License - A written authorization provided by the appropriate governing regulatory authority detailing the specific terms and conditions under which export or re-export of Export Controlled items is allowed.

Export License Exception - An Export License Exception is an authorization that allows you to export or re-export, under very specific conditions, items that would normally require a license. Export License Exceptions are detailed

in EAR section 740

(http://www.access.gpo.gov/bis/ear/pdf/740.pdf).

Foreign National - A Foreign National is defined as anyone who is not a U.S.

citizen, or who is not a lawful permanent resident of the U.S.., or who does not

have refugee or asylum status in the U.S.

Any foreign corporation, business association, partnership, trust, society or

any other foreign entity or group as well as international organizations and foreign governments are considered "Foreign National(s)."

Fundamental Research - As defined by National Security Decision Directive 189 (NSDD 189), Fundamental Research is any "basic and applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community..."

Information that results from Fundamental Research is not subject to Export

Control.

Public Domain - Under the ITAR, information that is published and that is generally accessible or available to the public are not export controlled.

Examples include: (a) sales at newsstands and bookstores; (b) subscriptions

that are available without restriction to any individual who desires to obtain or

purchase the purchased information; (c) second class mailing privileges granted by the U.S. government; (d) libraries open to the public or from which the public can obtain documents; (e) published patent applications and issued

patents; (f) unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally accessible to the public, in the United States;

(g) any public release after approval by the cognizant U.S. government

agency; and (h) fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community. 22 CFR 120.11

Publicly Available - The EAR uses the term "publicly available" rather than "public domain." Under the EAR, information is publicly available when it becomes generally accessible to the public. In addition to the examples listed above, the EAR specifically provides that software that is available for general distribution is publicly available (except for encryption software with symmetric key length exceeding 64 bits). 15 CFR 734.7

Re-Export - A re-export occurs whenever any item (i.e., commodity, software, technology, equipment or information) is sent from one foreign country to another foreign country.

Sanctioned Country - Even when exclusions to EAR or ITAR apply, U.S. Treasury Department, Office of Foreign Assets Control may prohibit payment, travel and the transfer of items, assets, and services of value to sanctioned nations

(check the OFAC website

for the latest information about embargoed countries).

Specially Designated Nationals (SDN) - Any person who is determined by the U.S. Secretary of the Treasury to be a specially designated national for any reason under regulations issued by the Office of Foreign Assets Control. U.S. persons are prohibited from having transactions with the persons listed in the Specially Designated Nationals List. The list is located at

http://www.treas.gov/offices/enforcement/ofac/sdn/

Technical Assistance - Technical assistance may take forms such as instruction, skills training, working knowledge, consulting services, and may also involve the transfer of technical data.

Technical Data - Information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of controlled articles. This includes information in the form of blueprints, drawings, plans, instructions, diagrams, photographs, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, or read-only memories. The ITAR definition does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain, general system descriptions, or basic marketing information on function or purpose. (ITAR Ch. 120.10).

Technology - Any specific information and know-how (whether in tangible form, such as models, prototypes, drawings, sketches, diagrams, blueprints, manuals, software, or in intangible form, such as training or technical services) that is required for the development, production, or use of a good, but not the good itself. The information takes the form of technical data or technical assistance. See definition of "use" below.

Use - Technology for operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing of a good.

U.S. Person - U.S. Person is any U.S. citizen, permanent U.S. resident alien, or protected individual, wherever that person is located. U.S. incorporated or organized firms and their foreign branches are also considered "U.S. Person(s)."

The Departments of State, Commerce, and Treasury are the principal administrative branches of the U.S. Government involved in the oversight and enforcement of Export Controls as follows:

A. The Department of State, through the Directorate of Defense Trade

Controls (DDTC), administers the International Traffic in Arms

Regulation (ITAR). ITAR controls the export of items that have primarily

military or space applications.

B. The Department of Commerce, through the Bureau of Industry and

Security (BIS), administers the Export Administration Regulations

(EAR). EAR controls the export of "dual-use" items (i.e., those items

having both commercial and military applications) as well as strictly

commercial items.

C. The Department of the Treasury, through the Office of Foreign Assets

Control (OFAC), is responsible for enforcing specific embargoes and/or

sanctions.

The Federal regulations provide a broad exemption from Export Controls for basic or applied academic research that is normally published and shared with the research community. This broad exemption is commonly refereed to as the "Fundamental Research Exclusion." To qualify as "Fundamental Research," and thus be exempt from export controls, research must be conducted free of any publication restrictions or access or dissemination controls. Thus it is critical that the university continues to ensure that all research results are widely and openly published and made available to the academic community in order to safeguard the Fundamental Research Exclusion. It is important to note that even with the Fundamental Exclusion, if a university activity involves an export or deemed export, the university must document that an Export Control review and analysis was performed before the export or release of information takes place.

Export Control regulations apply to all university personnel (including but not limited to all faculty, staff, students, trainees, and visiting scientists) whose academic work involves, but is not limited to, the following:

Activities or research in controlled areas (e.g., encryption technology,

nuclear technology, chemical/biological weapons, military technologies)

Activities involving the shipping or taking of equipment, technology, or

software overseas.

Activities involving teaching and research collaborations with foreign

colleagues or the participation or training of foreign nationals here or

abroad

Activities involving travel or work outside the U.S.

Conducting tours of foreign nationals through research areas

Conducting research sponsored by any entity restricting publication or

participation by foreign nationals

Activities involving the receipt and/or use of export controlled information

or technologies from other parties

Research in export restricted science and engineering areas - examples include:

Military or Defense Articles and Services

High Performance Computing

Dual Use Technologies (technologies with both a military and commercial application)

Encryption Technology

Missiles & Missile Technology

Chemical/Biological Weapons

Nuclear Technology

Select Agents & Toxins (see Select Agent/Toxin list)

Space Technology & Satellites

Medical Lasers

The following are factors to consider in determining the applicability of export regulations:

1. Is the activity considered fundamental research? (Will research results

be published and publicly available?)

2. Is the activity limited to teaching or instructional activities?

3. Is there a physical export of a good?

4. Are foreign nationals restricted from participating in the activity?

5. What is the Item's Export Control Classification Number (ECCN) or U.S.

Munitions List (USML) category?

6. Where is it going (country)?

7. Who is the end-user (person or entity)? What is the intended end use?

8. Are you screening for persons or entities identified on any lists of

sanctioned or barred persons or entities?

9. Is a license required? If so, is enough time allowed to secure one?

10. Will the activity involve a sanctioned or embargoed country?

Traveling overseas with high tech equipment, confidential, unpublished, or proprietary information or data - Traveling with certain types of high tech equipment including but not limited to advanced GPS units, scientific equipment, or with controlled, proprietary or unpublished data in any format may require an export license depending on your travel destination.

Traveling with laptop computers, web-enabled cell phones and other personal equipment - Laptop computers, web-enabled cell phones, and other electronics containing encryption hardware or software and/or proprietary software can require an export license to certain destinations. In general, an export license will be required to take any items to or through any U.S. sanctioned country (e.g., Iran, Syria, Cuba, Sudan, and North Korea).

Use of 3rd Party Export Controlled Technology or Information - University activities involving the use of export controlled information, items, or technology received from outside the university are not protected under the Fundamental Research Exclusion and all research involving the use of export restricted technology is subject to all export controls.

Sponsored research containing contractual restrictions on publication or dissemination - The vast majority of research done at the university is shielded from export controls under the Fundamental Research Exclusion. However, this protection is lost whenever the university or the researcher agrees to allow any restrictions on the publication, dissemination, or access to the research by foreign nationals.

Shipping or Taking Items Overseas - University activities that involve the transfer of project information, equipment, materials, or technology out of the U.S. by whatever means will be subject to export controls and may require export license(s) depending on the item, destination, recipient, and end-use.

Providing Financial Support/International Financial Transactions - University activities that involve the international payment of funds to non-U.S. persons abroad need to be verified to ensure that the university is not inadvertently providing support via a subcontract to a non-U.S. university or providing payments to research subjects in other countries.

University activities that involve foreign national faculty, students, staff, visiting foreign scientists or collaborator(s), or other foreign entities (e.g., non-U.S. company, university or other organization) or research that will include travel to international conferences to present unpublished results may be subject to export controls especially if any of the foreign nationals are from embargoed or sanctioned countries.

International Field Work - Research projects where any part of the research will take place outside of the U.S. (e.g., field work outside the U.S.) may not qualify under the Fundamental Research Exclusion and may be subject to export controls.

International Consulting - Providing professional consulting services overseas, especially to embargoed or sanctioned countries (e.g., Iran, Syria, Cuba, Sudan and North Korea) is, in most cases, strictly prohibited.