Export Control Glossary

The list of export restrictions maintained by the Department of Commerce governing Dual-Use items.

 

A list of CCL Categories and Groups is provided here.

The mechanism used to request a determination as to whether an item or service is subject to the export licensing authority of the Department of Commerce (CCL / ECCN) or the Department of State (USML / ITAR).

Information regarding Controlled Physical Items, including information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of Controlled Physical Items.

 

Controlled Information may be Released through visual inspection, oral exchanges, or the application of personal knowledge or technical experience with Controlled Physical Items. This includes information in the form of blueprints, drawings, photographs, plans, instructions and documentation.

 

Also included in this definition are non-physical items listed under EAR and ITAR, such as software and algorithms.

 

See 15 C.F.R. § 730-744 and 22 C.F.R. § 120-130.

Dual-Use technologies listed under the EAR and Defense Articles listed on the USML.

 

See 15 C.F.R. § 730-774 and 22 C.F.R. § 120-130.

Information created or owned by the U.S. government that requires safeguarding or dissemination

controls consistent with applicable law, regulation, and government-wide policies.

 

See 32 C.F.R. § 2002.2

Under EAR, any Release in the U.S. of Technology to a Foreign Person is “deemed” to be an Export to the Foreign National’s most recent country of citizenship or permanent residency.

 

Under ITAR, any Release in the U.S. of Technical Data to a Foreign Person is “deemed” to be an Export to all countries in which the Foreign Person has held or holds citizenship or holds permanent residency.

 

For both EAR and ITAR, an export is not considered “deemed” if made to U.S. citizens with dual

citizenship or U.S. Green Card holders.

 

See 15 C.F.R. § 734.13 and 22 C.F.R. § 120.17

Any item or Technical Data designed on the USML, including Technical Data recorded or stored in any physical form, models, mockups or other items that reveal Technical Data directly related to items designated on the USML.

 

This does not include basic marketing information on function or purpose or general system

descriptions.

 

See 22 C.F.R. § 121.1

Furnishing assistance, including training, to Foreign Persons, whether in the U.S. or abroad, in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of Defense Articles; and Furnishing any Technical Data to Foreign Persons, whether in the U.S. or abroad; or Military training of foreign units and forces, regular and irregular, including formal or informal instruction of Foreign Persons in the U.S. or abroad by correspondence courses, technical, educational, or information publications and media of all kinds, training aids, orientation, training exercises, or military advice.

 

See 22 C.F.R. § 124.1

 

See 15 C.F.R. § 730.3

Information released by ‘instruction’ in catalog courses and associated teaching laboratories of academic institutions (with some encryption exceptions) is not subject to the EAR. Information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities is not subject to ITAR.

 

Note: information released exclusively in research labs is not generally considered educational information.

Computer programs that provide capability of encryption functions or confidentiality of information or information systems. Such software includes source code, object code, applications software, or system software.

 

Note that the definition of Encryption Software includes object code and applications software, where the definition of Export otherwise excludes object code. This means that Encryption Software object code is subject to export control, where non-Encryption Software object code is generally not subject to export control.

 

See 15 C.F.R. § 772

The person abroad that receives and ultimately uses the Export or Re-Export items.

 

See 15 C.F.R. § 772.1

Actual shipment or transmission out of the U.S., including sending or taking of an item out of the U.S. in any manner;

Any Release or otherwise transferring Technology or Source Code (but not object code) to a Foreign Person in the U.S. (see Deemed Export);

or Certain transfers of spacecraft subject to the EAR.

 

See 15 C.F.R. § 734.13

A set of regulations administered by the U.S. Department of Commerce through the Bureau of Industry and Security. These regulations control Dual Use items and the technology related to these items. 

Any individual in the U.S. in non-immigrant status, including visa holders (e.g., H-1B, H-3, L-1, J-1, F-1, B-1, O-1, etc.) and individuals unlawfully in the U.S. This does not include a U.S. citizen, including dual citizens, a lawful permanent resident of the U.S. (i.e., Green Card holders), and certain refugees and asylees.

 

A Foreign Person is also any corporation, business association, partnership, society, or other entity that is not incorporated in the U.S., and non-U.S. government entities.

 

See 15 C.F.R. § 772.1 and 22 C.F.R. § 120.16

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, such as restrictions on publications or on foreign national participation in research (note that temporary publication delays to ensure publications will not compromise patent rights are not considered publication restrictions).

 

Fundamental Research includes research that is intended for publication, regardless of whether it is accepted by scientific journals.

A set of regulations which apply to articles, services, and related Technical Data that are inherently military in nature, as determined by the U.S. State Department.

The Office of Foreign Assets Control of the U.S. Department of Treasury administers and enforces certain country-specific controls that take the form of economic embargoes against specified countries.

Information that is published and generally available to the public, as well as publicly available technology and software, is outside the scope of the export control regulations. This exclusion does not apply to encrypted software, to information which may be used in the production of weapons of mass destruction, or where the U.S. government has imposed access or dissemination controls as a condition of funding.

Any Export that is subsequently transferred to a new or different End User, for a different end use, or to a different destination.

 

See 15 C.F.R. § 734.14

Providing information about Technology, Source Code, or Technical Data by visual or other inspection by a Foreign Person of items that reveals Technology, Source Code, Encryption Software, or Technical Data;

or Oral or written exchanges with a Foreign Person of Technology, Source Code, or Technical Data in the U.S. or abroad;

or The use of access information to cause or enable a Foreign Person to access, view, or possess unencrypted Technical Data;

or The use of access information to cause Technical Data outside of the U.S. to be in unencrypted form.

 

See 15 C.F.R. § 734.15 and 22 C.F.R. § 120.50

A convenient expression of one or more processes that may be turned by a programming system into equipment executable form, such as object code.

 

Generally, Source Code is understood to mean programming statements that are created by a programmer using a human-readable programming language with a text editor or a visual programming tool and then saved in a file which is later processed to run. Object code generally refers to the output, and the object code file contains a sequence of machine-readable instructions that is processed by the operating environment (runtime) on a computer. Operating system or application software is often in the form of compiled object code.

 

See 15 C.F.R. § 772

Individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries. It also lists individuals, groups, and entities, such as terrorists and narcotics traffickers designated under programs that are not country-specific.

Instruction, skills training, working knowledge, or consulting services.

 

See 22 C.F.R. § 120.22

An agreement for the performance of ITAR-controlled Defense Services or ITAR-controlled Technical Data.

 

See 22 C.F.R. § 120.22

Information (other than software directly related to a Defense Article) 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;

Classified information relating to Defense Articles and Defense Services and 600-series items controlled by the CCL;

Information covered by an invention secrecy order;

or Software directly related to Defense Articles.

 

This does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain, or basic marketing information on function or purpose or general system descriptions of Defense Articles.

 

See 22 C.F.R. § 120.10

Information necessary for the development, production, Use, operation, installation, maintenance, repair, overhaul, or refurbishing of an item. This includes tangible and intangible forms, such as written or oral communications, blueprints, drawings, photographs, plans, diagrams, models, formulae, tables, engineering designs and specifications, computer-aided design files, manuals or documentation, electronic media, or information revealed through visual inspection. This does not include information contained in publicly available user manuals.

 

The modification of the design of an existing item creates a new item and technology for the modified design is Technology for the development or production of the new item.

 

See 15 C.F.R. § 772

An internal document that establishes controls to prevent unauthorized Release of Controlled Physical Items, Controlled Information, or Technical Data.

Operation, installation (including on-site installation), maintenance (checking), repair, overhaul, and refurbishing.

Note that this definition only applies to Use of EAR-controlled items, excluding the 600 series (see Technical Data).

 

See 15 C.F.R. § 772

The list of export restrictions maintained by the Department of State governing Controlled Defense Articles, Defense Services, and related Technical Data. Some articles and technologies that are not readily identifiable as inherently military in nature -- for example, research satellites or small, research submersibles -- are included on the USML.

 

A list of USML Categories is provided here.

Includes a:

 

Citizen of the United States;

 

Lawful permanent resident, i.e., a person lawfully accorded the privilege of residing permanently in the United States as an immigrant in accordance with the immigration laws;

 

Person who is a protected individual, e.g., a person admitted as a refugee or granted asylum; or

 

Corporation, business association, partnership, society, trust, or any other entity, organization or group that is incorporated to do business in the United States, and any governmental (federal, state, or local) entity in the United States.

 

See 15 C.F.R. § 772.1 and 22 C.F.R. § 120.16