Export Control Terms Glossary

A list of countries designated controlled for national security purposes found in Country Group D:1, including: Albania, Armenia, Azerbaijan, Belarus, Cambodia, Cuba, the People’s Republic of China, Georgia, Iraq, Kazakstan, Kyrgyzstan, Laos, Macau, Moldova, Mongolia, North Korea, Russia, Tajikstan, Turkmenistan, Ukraine, Uzbekistan, and Vietnam. All of the controlled countries except Cuba are listed in Country Group D:1 of the EAR. Cuba is listed in Country Group E:2

Any release of technology or source code subject to the EAR to a foreign national. This does not apply to U.S citizens, permanent residents or individuals with refugee or asylum status.

A list, referenced in Supplement No. 2 to part 764 of the EAR, of specific persons that have been denied export privileges, in whole or in part. The full text of each order denying export privileges is published in the Federal Register.

(EAR): 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.

According to the EAR, maintaining effective control over an item occurs when you either retain physical possession of the item, or secure the item in such an environment as a hotel safe, a bonded warehouse, or a locked or guarded exhibition facility. Retention of effective control over an item is a condition of certain temporary exports and re-exports.

Generally, an export means (1) an actual shipment or transmission of items controlled under the EAR or ITAR out of the United States; (2) any written, oral, or visual release or disclosure of controlled technology, information, or software to a Foreign Person either in the United States or outside the United States, or (3) any actual use or application of controlled technology on behalf of or for the benefit of any foreign entity or person anywhere.

Controls dual-use items and technology. (15 CFR § 774) Code of Federal Regulations (CFR) promulgated and implemented by the Department of Commerce that regulate the export of goods and related technology identified on the Commodity Control List (CCL), Title 15 CFR 774, Supp. 1. Goods and technology on the CCL are not inherently military in nature; they are primarily and inherently commercial or potentially commercial in nature.

The set of laws, policies, and regulations that govern the export of sensitive items for a country or company.

Identifies items on the Commerce Control List that are subject to the export licensing authority of the Bureau of Industry and Security.

The United States Government will authorize certain exports via license authorization. These authorizations are granted after review of the potential exporter’s license application. The granting authorities are as follows:

• ITAR authorizations: Directorate of Defense Trade Controls (DDTC), Department of State
• EAR authorizations: Bureau of Industry and Security (BIS), Department of Commerce
• OFAC authorizations: Respective country licensing office, Office of Foreign Assets Control

Both the EAR and ITAR define “foreign person” as any foreign corporation, business association, partnership, trust, society, or any other entity or group that is not incorporated or organized to do business in the United States as well as international organizations, foreign governments and any agency or subdivision of foreign governments (e.g. diplomatic missions), and anyone who is not a U.S. citizen, a lawful permanent resident of the United States (i.e., a “green card” holder) or who does not have refugee or asylum status in the United States. ‘Foreign national’ is not an ITAR term per se, but the ITAR does define the term “foreign person” as any natural person who is not a lawful permanent resident or who is not a “protected individual”. This also includes any governmental entity.

Research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons.

Research not considered fundamental research when there are restrictions placed on the outcome of the research or on methods used during the research. Proprietary research, industrial development, design, production, and product utilization the results of which are restricted and government funded research that specifically restricts the outcome for national security reasons are not considered fundamental research.

The EAR provides that university research normally will be considered as fundamental research unless the university or its researchers accept sponsor restrictions on publication of scientific and technical information resulting from the project or activity. The EAR specifically permits limited prepublication reviews by research sponsors to prevent inadvertent divulging of proprietary information provided to the researcher by the sponsor or to insure that publication will not compromise patent rights of the sponsor. The citation for the official definition of fundamental research under the EAR is 15 CFR § 734.8.

The ITAR states that university research will not be deemed to qualify as fundamental research if: (1) the university or its researchers accept any restrictions on publication of scientific and technical information resulting from the project or activity; or (2) the research is federally funded and specific access and dissemination controls protecting information resulting from the research have been accepted by the university or the researcher. The ITAR citation is 22 CFR § 120.11(8).

Controls items, services, and technical data that have a military or space related applications. The International Traffic in Arms Regulations (ITAR), 22 CFR § 120-130, regulations promulgated and implemented by the Department of State that control the export of articles, services, and related technical data that are inherently military in nature, as determined by the State Department. These “defense articles,” “defense services,” and related “technical data” are listed on the Munitions List (USML), 22 CFR § 121. Even some articles and technologies that are not readily identifiable as inherently military in nature—for example, research satellites—are included on the USML.

The office at the Department of the Treasury responsible for blocking assets of foreign countries subject to economic sanctions, controlling participation by U.S. persons, including foreign subsidiaries, in transactions with specific countries or nationals of such countries, and administering embargoes on certain countries or areas of countries. (see 31 CFR parts 500 through 590.)

A natural person, including a citizen or national of the United States or of any foreign country; any firm; any government, government agency, government department, or government commission; any labor union; any fraternal or social organization; and any other association or organization whether or not organized for profit. This definition does not apply to part 760 of the EAR (Restrictive Trade Practices or Boycotts).

Information in the public domain which is accessible to the public and technically qualified public is excluded from export controls. Public domain information (ITAR) and publicly available information and software (EAR) is published and generally accessible to the public through print or electronic media, open conferences, seminars or trade shows, published patents and patent applications, and websites that are free or do not exceed the cost of reproduction and distribution (15 CFR 734.3(b)(3) under the EAR; 22 CFR § 120.11 under the ITAR.).

Individuals or entities with whom the university and its employees are prohibited by law, or require a license, to engage in export controlled activities. Lists include Denied Parties List (OFAC), Debarred Parties List (ITAR) and Denied Persons List and Denied Entities List (EAR).

University research, development, or testing subject to: publication restrictions,access or dissemination controls, or contract-specific national security restrictions (usually federally-funded).

Countries designated by OFAC, ITAR, and EAR as having limited or comprehensive trade and arms sanctions imposed by the United States for reasons of anti-terrorism, non-proliferation, drug and human trafficking, human rights violations, and other reasons.

• ITAR: (1) Information, other than software as defined in § 120.10(a)(4), which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions or documentation.(2) Classified information relating to defense articles and defense services;(3) Information covered by an invention secrecy order;(4) Software as defined in § 121.8(f) of this subchapter directly related to defense articles;(5) This 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 as defined in § 120.11. It also does not include basic marketing information on function or purpose or general system descriptions of defense articles. (22 CFR §120.10).
• EAR: “Technical data” under the EAR includes blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, and manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories. (15 CFR § 772.1) (“Technical Data”). The EAR definition of “Technical Data” is included in its definition of “Technology.” Under some circumstances, technical data can be unlawfully “released” to a foreign national, for example, by allowing a foreign national to visually inspect controlled equipment in a laboratory.

A TCP is required when a research project involves the receipt of export-controlled information from an outside party, such as via a nondisclosure agreement or sponsored research agreement. A research project is not considered fundamental research and the research results may contain export-controlled information. A project that is restricted, proprietary, or classified is not fundamental research.

The U.S. export controls regulate transactions with certain specified entities and individuals, including those named on the following lists collectively referred to as “Restricted Party Lists“.

An individual who is a citizen of the United States or a foreign national with a visa status of Legal Permanent Resident (LPR). An LPR is also known as a Permanent Resident Alien (PRA).