Glossary

Codification of the general and permanent rules and regulations published in the Federal Register by the executive departments and agencies of the Federal Government.

List of items under the export control jurisdiction of the Bureau of Industry and Security, U.S. 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 & Information Security; (6) Sensors & Lasers; (7) Navigation and Avionics; (8) Marine; (9) Propulsion Systems, Space Vehicles, and Related Equipment.

The CCL is divided into 10 categories. Each category is subdivided into five groups, designated by the letters A through E: (A) Equipment, assemblies, and components; (B) Test, inspection and production equipment; (C) Materials; (D) Software; and (E) Technology. ECCNs are designated for specific items or materials. Commodities not enumerated are designated “EAR-99.”

Export control regulations apply not only to physical items and technologies but also to related data and information. Controlled data may include:

• Research findings, schematics, or software related to military, aerospace, or encryption technologies.
• Technical information about dual-use items (commercial products with military applications).
• Proprietary data shared under collaboration agreements with export restrictions.

Researchers should assume that if a project involves controlled technologies or materials, the associated data is also subject to export control.

A country designated controlled for national security purposes found in Country Group D:1. Check the Entity List at EAR Supp No. 4 to Part 744 for the latest information about restricted countries and license requirements. (EAR Part 740, Supp. No. 1 provides a list of the country groups.)

The Consolidated Screening List (CSL) is a list of parties for which the United States Government maintains restrictions on certain exports, reexports, or transfers of items. Prior to the export or transfer of any controlled-item or technology, this list must be checked to ensure compliance. The list is updated and maintained by the Commerce, Treasury, and State Departments and is consolidated for ease of screening. The website is http://export.gov/ecr/eg_main_023148.asp.

If a foreign national on U.S. soil may be exposed to or is able to access in any manner an export-controlled item or information then it is “deemed” to be an export to the home country of the foreign entity or individual. Releasing or otherwise transferring “technology” or source code (but not object code) to a foreign person in the United States (or abroad). See EAR 15 CFR 734.13(b). Deemed exports do not include the mere transfer or access to controlled articles or materials without any associated information (See EAR 15 CFR 772.1 Definition of “Use”). It is “deemed” to be an export to the home country of the foreign entity or individual. Deemed exports may occur through such means as a demonstration, oral briefing, or plant visit, as well as the electronic transmission of non-public information or software. More information about “deemed exports” under the EAR is available at https://www.bis.doc.gov/index.php/policy- guidance/deemed-exports. Related ITAR definitions are 1) Disclosing (including oral or visual disclosure) or transferring technical data to a foreign person, whether in the United States or abroad; and 2) Performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the United States or abroad. The ITAR citations are 22 CFR 120.17(4) & (5).

The release of controlled technology by a foreign national who was authorized to receive it to a foreign national who was not authorized to receive it. For example, ECCN 5E001 technology may be exported to a university in Ireland under the license exception for technology and software but might require a deemed re-export license authorization before being released to a Russian foreign national student or employee of that university in Ireland. See 15 CFR 734.14(a)(2).

Any item designated in the U.S. Munitions List. (22CFR120.9).

Providing of assistance (including training) anywhere (inside the United States or abroad) to foreign persons in connection with the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of a defense article, the furnishing of any related technical data, or military training or advice. (22 CFR 120.9) The Bona Fide Employee Exemption does not apply in a situation where the employee will be provided a Defense Service.

List of individuals denied export privileges under ITAR and maintained by the State Department. Information can be accessed at http://www.pmddtc.state.gov/compliance/debar_intro.html.Refer to the Consolidated Screening List for information to conduct a screen.: http://export.gov/ecr/eg_main_023148.asp

A list of persons who have been issued a denial order from the Commerce Department’s Bureau of Industry and Security (BIS). 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 at http://www.bis.doc.gov/dpl/thedeniallist.asp.Refer to the Consolidated Screening List for information to conduct a screen. http://export.gov/ecr/eg_main_023148.asp

Under the EAR, development technology is defined as information “related all stages prior to serial production, such as design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.”

The Defense Federal Acquisition Regulation Supplement (DFARS) is administered by the Department of Defense (DoD). The DFARS implements and supports the FAR. DFARS applies to all Department of Defense issued contracts. All Federal agencies have their own supplemental regulations, such as the Department of Energy Acquisition Regulations (DEAR) and the Department of Homeland Security Acquisition Regulation (HSAR).

Distribution statements are assigned to technical documents by the controlling DoD office that sponsors the work, to assign responsibilities and describe procedures for marking and managing technical documents, and to denote the extent to which they are available for secondary distribution, release, and dissemination without additional approvals or authorization. The presence of a distribution statement B-F requires Northeastern to safeguard the technical documentation related to the project until it is cleared for release. In most cases, distribution statements will appear when other restrictive clauses, mentioned below, are also present.

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, as are certain “low level” military items (see 15 CFR §734.2(a) of the EAR). Items with no specific Export Control Classification Number (ECCN) are designated as “EAR99.”

Products, services and technology that are not specifically controlled for export by the Export Administration Regulations (EAR) are classified as EAR99. They fall under the U.S. Department of Commerce jurisdiction and are no listed on the Commerce Control List (CCL). EAR99 items generally consist of low-technology consumer goods and do not require a license in most situations.

Under the EAR, information taught in catalog courses and teaching laboratories associated with these catalog courses is not export controlled. (Certain encryption software and technology does not automatically meet this exclusion. UMass Lowell personnel working with such software or technology should consult with ORI to help determine the scope of applicable export controls.) (15 CFR 734.2 & 734.3) Under the ITAR, information or software concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain are not subject to export controls. 22 CFR 120.10 –11.

U.S. person who:

Is directly employed by the applicant or a subsidiary in a position having authority for policy or management within the applicant organization; and

Is legally empowered in writing by the applicant to sign license applications or other requests for approval on behalf of the applicant; and

Understands the provisions and requirements of the various export control statutes and regulations, and the criminal liability, civil liability and administrative penalties for violating the Arms Export Control Act and the International Traffic in Arms Regulations; and

Has the independent authority to:

1. Inquire into any aspect of a proposed export or temporary import by the applicant, and
2. Verify the legality of the transaction and the accuracy of the information to be submitted; and
3. Refuse to sign any license application or other request for approval without prejudice or other adverse recourse. (22 C.F.R. § 120.25)

Regulations promulgated and implemented by the Department of Commerce that regulate the export of commercial, “dual use”, and “low level” military items, software and related technology. This includes items identified on the Commodity Control List (CCL), Title 15 CFR 774, Supplement 1, as well as restrictions on exports to specified persons, entities, countries, and end-uses.

A detailed description of how the ultimate consignee (beneficiary) intends to use the commodities being exported.

Person abroad that receives and ultimately uses the exported or re-exported items. The end-user is not a forwarding agent or intermediary but may be the purchaser or ultimate consignee.

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.access.gpo.gov/bis/ear/pdf/744spir.pdf

The Entity List identifies foreign parties that are prohibited from receiving some or all items subject to the EAR unless the exporter secures a license. Those persons present a greater risk of diversion to weapons of mass destruction (WMD) programs, terrorism, or other activities contrary to U.S. national security or foreign policy interests. Refer to the Consolidated Screening List for information to conduct a screen.

Can include any of the following: 1) actual shipment of any covered goods or items; 2) the electronic or digital transmission of any covered goods, items or related goods or items; 3) any release or disclosure, including verbal disclosures or visual inspections, of any controlled technology, source code, or technical data to any foreign national; or 4) transferring registration, control, or ownership of a controlled space or aircraft to a foreign person. 15 CFR 734.13

Means activities, items, and information related to the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, operation, modification, demilitarization, destruction, processing, or use of items with a capacity for military application utility.

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.

Person who has authority of a principal party in interest to determine and control the sending of items out of the country.

Approval documentation issued by an export agency authorizing the recipient to proceed with the export, re-export, or other regulated activity as specified on the application.

The Federal Acquisition Regulation (FAR) is the primary regulation used by all executive agencies in their acquisition of supplies and services with appropriated funds. The FAR is used for federal contracts, which are considered procurement mechanisms. When the government utilizes a federal contract, they are procuring something for government use. When the government utilizes 2 CFR 200 (Uniform Guidance), they are funding cooperative agreements or grants that are intended for public good and benefit.

The primary U.S. anti- bribery law which prohibits, directly or through an agent or intermediary, the giving, offering, or promising anything of value to a foreign government official in order to obtain or retain business, to secure an improper business advantage, or to influence them to misuse their authority. See 15 USC § 78dd-1.

Under the EAR, means any person who is not a citizen or permanent resident of the United States. Under the EAR, the term applies to “persons lawfully admitted for permanent residence in the United States and does not apply to persons who are protected individuals (i.e. has been admitted as a refugee or granted asylum). The term also refers to foreign entities.

The ITAR uses the term “foreign person” rather than “foreign national” and it applies to any natural person who is not a lawful permanent resident or who is not a “protected individual”, and may also include any corporation, business association, partnership society, trust or any other entity, organization or group that is incorporated to do business in the United States. This also includes any foreign governmental entity.

A person that does not meet the definition of a U.S. Person below or an entity that is not established or incorporated in the United States (an entity is still a foreign entity if it is a U.S. branch of a foreign company). An example of a foreign entity would be Takeda Pharmaceuticals.

Person in the country of origin who is authorized by a principal party in interest to perform the services required to facilitate the export of the items from the country of origin. This may include air couriers or carriers. In routed export transactions, the forwarding agent and the exporter may be the same for compliance purposes under the EAR.

Fundamental research means 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. (EAR definition). Under the ITAR, the definition currently only applies to such research conducted at accredited institutions of higher learning in the U.S.

EAR provides that university research normally will be considered as fundamental research, unless the university or its researchers accept personnel access restrictions or 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 ensure that publication will not compromise any patent rights. The EAR citation 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(a)(8).

Note: Under the EAR and ITAR, even if no publication restriction exists, the fundamental research exclusion does not apply to the physical export of goods. Also, fundamental research does not include research inputs – it applies only to information or data arising from or during research.

Any article, natural or man-made substance, material, supply, or manufactured product, including inspection and test equipment, and excluding technology.

Examples include, but are not limited to: Engineering, Physics, Computer Science, Marine Sciences, Biomedical Research with Lasers, Research with Encrypted Software, Controlled Chemicals, Biological Agents, & Toxins.

22 CFR §120-130, Department of State regulations of defense articles and defense services and related technical data listed on the U.S. Munitions List (USML), 22 CFR § 121.

can include technical data such as models, formulae, engineering designs and specifications, or technical assistance such as, training or instruction.

Refer to any tangible things, materials, equipment or hardware. 

All transactions with potential export restrictions should be checked against the published lists of prohibited countries, persons and entities before proceeding. Most of the of the lists can be accessed from http://export.gov/ecr/eg_main_023148.asp

The researcher with primary responsibility for achieving the technical success of the project, while also complying with the financial and administrative policies and regulations associated with a sponsored activity.

Under the ITAR, information that is published and that is generally accessible or available to the public is 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 published 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. This is distinguished from research of which the results are restricted for proprietary reasons or specific U.S. Government access and dissemination controls. University research is not considered fundamental research if:

1. The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or
2. The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable. 22 CFR 120.11

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.

Person who has entered into a transaction to purchase an item for delivery to the ultimate consignee. In most cases, the purchaser is not a bank, forwarding agent, or intermediary. The purchaser and ultimate consignee may be the same entity.

An actual shipment or transmission of items subject to export regulations from one foreign country to another foreign country. For the purposes of the EAR, the export or re-export of items subject to the EAR that will transit through a country or countries to a new country, or are intended for re-export to the new country, are deemed to be exports to the new country. 15 CFR 734.14

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 www.treas.gov/ofac for the latest information about countries subject to OFAC sanctions).

A list of persons and entities maintained by the Office of Foreign Assets Controls subject to US targeted sanctions and asset blocking. U.S. persons are generally prohibited from any transactions with the persons or entities listed in the Specially Designated Nationals List. The list is located at https://home.treasury.gov/policy-issues/financial-sanctions/specially-designated-nationals-and-blocked-persons-list-sdn-human-readable-lists.

refers to a collection of one or more computer programs or microprograms in either source code (programming statements) or object code (machine-readable instructions).

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

Information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of controlled articles. These may take the form of blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, photographs, documentation, instructions, or manuals and instructions written or recorded on other media or devices such as disk, tape, or read-only memories. See 15 CFR 120.33. 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. (See 15 CFR 120.34).

Information necessary for the “development,” “production,” “use,” i.e., operation, installation, maintenance, repair, overhaul, and refurbishing (or other terms specified in ECCNs on the CCL that control “technology”) of an item. See definition of “use” under the EAR below. Any specific information (whether in tangible form, such as models, prototypes, drawings, sketches, diagrams, blueprints, manuals, software, or in intangible form, such as training or technical services) required for the development, production, or use of a good, but not the good itself.

The principal party in interest located abroad who receives the exported or re-exported items. The ultimate consignee is not a forwarding agent or other intermediary but may be the end-user.

U.S. citizen or a lawful permanent resident alien of the U.S. (a “green card holder”), a refugee, protected political asylee or someone granted temporary residency under amnesty or Special Agricultural Worker provisions. Individuals on a temporary visa (F, H1B and J1) status are foreign nationals (and thus non-U.S. persons). A foreign national with a visa status of Legal Permanent Resident (LPR), may also be known as a Permanent Resident Alien (PRA).

Operation, installation (including on-site installation), maintenance (checking), repair, overhaul, and refurbishing of a good. (Depending on the item, a single element might be controlled, or all six elements might be required to meet the definition.) 22 CFR 772.1