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Decision Tool

Is this Project Export Controlled?

Fundamental Research & Publicly Available Information

Gray Area (Transitioning from FR/PI to Export-Controlled Technology)

Export-Controlled Areas, Applications, and Intended Use

Open research, both fundamental and applied.

Information is in the public domain and released without restrictions.

No proprietary or intellectual property involved.

No areas excluded by General Prohibitions, end-use, or end-user restrictions.

Intended for the general public.

Issued by the U.S. government as openly releasable.

Data gathering or note-taking activities.

Example: Published journal articles or presentations in open forums.

Discussions about restricting dissemination of the information.

Approaching or moving towards applications that may require export controls.

Awareness that the project may eventually involve export-controlled technology.

Early thoughts about intellectual property (e.g., making it proprietary).

Preliminary design or optimization activities.

Example: Early-stage patents or classified research discussions.

Technology or information is officially identified as export- controlled by the U.S. government.

Information is proprietary or protected by intellectual property rights.

Teaching or transferring technology with the intent to share know-how internationally.

Detailed designs or manuals that convey sensitive technology.

Supporting materials related to export-controlled technologies.

Example: Technologies related to defense, encryption, or advanced aerospace.

NO EXPORT CONTROL

GRAY AREA

EXPORT CONTROLS APPLY

* Note: Each technology area may use different terms/processes that needs to be taken into account. The degree of rigor is highly dependent on the criticalness of the technology under development.

**Excludes General Prohibitions & End Use/User Restrictions

Appendix B - Common ECCNs in Academia:

Category 0: Nuclear Materials, Facilities, and Equipment

  • 0A001 – Equipment, materials, and technologies used in the development or production of nuclear reactors or nuclear materials.
  • 0A999 – Items specifically designed/used for nuclear energy generation, reactors, control equipment, and associated technologies.

Category 1: Materials, Chemicals, Microorganisms, and Toxins

  • 1A001 – Chemicals or chemical production equipment that can be used for producing biological or chemical warfare agents.
  • 1C350 – Biological agents and toxins that may be used in biological warfare programs.
  • 1E001 – Technology for the production of chemical, biological, or toxic materials.

Category 2: Materials Processing

  • 2A001 – Machinery or equipment used for processing of metals or other materials, which could also be used in military applications.
  • 2B001 – Machine tools for processing materials, particularly those that can be adapted for military, aerospace, or nuclear uses.

Category 3: Electronics

  • 3A001 – Electronic equipment, semiconductor devices, integrated circuits, and electronic components used in various technologies.
  • 3A292 – Digital oscilloscopes, with analog-digital conversion, greater than 1 giga-sample per second, 8 bits or greater resolution, stores 256 or more samples.
  • 3A991 – Low-level electronic equipment and components, which may require export control due to specific applications.
  • 3D001/3D292 – Software specifically designed for use in electronics development or operations, including embedded systems.

Category 4: Computers

  • 4A001 – Computers, equipment, and associated technology, including systems with specific military or defense applications.
  • 4D001 – Software that can be used for military or sensitive applications, including encryption software and other security tools.
  • 4E001 – Technology used in military computing systems, including supercomputing systems used for defense.

Category 5: Telecommunications and Information Security

  • 5A001 – Telecommunication, satellite communications systems, secure communication technologies, and related components.
  • 5A101 – Telemetry equipment designed or modified for UAVs or rocket systems.
  • 5D002 – Encryption software and technology used for securing communications, particularly for national security applications.
  • 5D101 – Telemetry software, typically used in the military, aerospace, and defense sectors.
  • 5E002 – Technology related to the development or production of encryption devices, including hardware-based encryption systems.
  • 5E101 – Technology for production, development, use of telemetry equipment and/or software.

Category 6: Sensors and Lasers

  • 6A001 – Sensors and systems used in military, aerospace, or national security applications (e.g., radar, optical, and infrared sensors).
  • 6B001 – Equipment and components related to lasers used for targeting, range finding, and other military applications.
  • 6D001 – Acoustics Software for military and defense applications, such as sonar and other acoustic technologies.
  • 6D002 – Software for the operation of sensors and laser systems, with military applications, such as targeting systems or surveillance.
  • 6E001/6E002 – Technology developed for acoustics or sensor system.

Category 7: Navigation and Avionics

  • 7A001 – Aircraft and spacecraft navigation systems and avionics systems used in both civilian and military aircraft and spacecraft.
  • 7B001 – Components and systems used in military or space navigation, including GPS receivers and inertial measurement units.
  • 7D001 – Software for the design, development, or operation of navigation and avionics systems, including flight control systems.

Category 8: Marine

  • 8A001 – Marine vessels and equipment, including military vessels such as submarines, surface vessels, and underwater drones.
  • 8A992 – Life jackets, inflation cartridges, compasses, wetsuits, masks, fins, weigh belts, and dive computers.
  • 8D001 – Software related to the development or production of marine vessels and equipment, including military naval technology.
  • 8D992 – Underwater equipment software.
  • 8E992 – Technology for the development, production, use of underwater equipment, including vessels.

Category 9: Aerospace and Propulsion

  • 9A001 – Aircraft, spacecraft, and related systems used in civilian and military applications, including space launch vehicles.
  • 9B001 – Components for missile and rocket propulsion systems, including advanced propulsion technologies.
  • 9D001 – Software for the development, operation, or testing of aerospace systems, including flight control systems, and missile/spacecraft guidance systems.

Acronym List for Export Control Guidelines

U.S. Government Agencies and Regulations:

  • BIS – Bureau of Industry and Security
  • CBP – U.S. Customs and Border Protection (enforces export/import regulations)
  • CFR – Code of Federal Regulations
  • DOC – Department of Commerce
  • DOE – Department of Energy
  • DOJ – Department of Justice
  • DOD – Department of Defense
  • DTSA – Defense Technology Security Administration (provides ITAR oversight)
  • EAR – Export Administration Regulations
  • FAR – Federal Acquisition Regulations
  • FTR – Foreign Trade Regulations (governs exports reported through AES)
  • OFAC – Office of Foreign Assets Control
  • SDN – Specially Designated Nationals

Classification Systems and Control Lists:

  • CCL – Commerce Control List
  • ECCN – Export Control Classification Number
  • EAR99 – Export Administration Regulations 99 (designation for items not specifically listed on the CCL)
  • USML – United States Munitions List

Licensing and Compliance Tools:

  • AES – Automated Export System (used for filing export documentation)
  • DECCS – Defense Export Control and Compliance System (used for ITAR submissions)
  • TCP – Technology Control Plan
  • TAA – Technical Assistance Agreement

Research and Technology:

  • CUI – Controlled Unclassified Information (information subject to access controls)
  • FRW – Fundamental Research Waiver
  • IT – Information Technology (for controlled networks and systems)
  • PI – Principal Investigator

Multilateral Export Control Regimes and Agreements:

  • AG – Australia Group (export controls on chemical and biological materials)
  • MTCR – Missile Technology Control Regime
  • NSG – Nuclear Suppliers Group
  • WRC – Wassenaar Arrangement (export control agreement on conventional arms and dual-use goods)
  • TSPA – Technology Safeguards Agreement (covers space-related exports)

End-Use and Military-Specific Controls:

  • MECR – Military End-Use Control Regulations (specific to EAR compliance)
  • NSDD – National Security Decision Directive (governs technology transfer)

Emerging Technologies and Other Terms:

  • HITAR – Harmonized International Traffic in Arms Regulations (emerging international export control frameworks)
  • NISPOM – National Industrial Security Program Operating Manual (addresses classified export control compliance)
  • DTAG – Defense Trade Advisory Group
  • DOE/NNSA – Department of Energy/National Nuclear Security Administration (regulates nuclear exports)
  • EUC – End-User Certificate
  • EUCG – Export User Classification Guide (institutional or organizational classification guide)

Dual-Use and Sensitive Areas:

  • WMD – Weapons of Mass Destruction
  • RPS – Restricted Party Screening