Glossary
NOTE: The following definitions are taken from both the International Traffic in Arms Regulations (ITAR)(22 CFR* parts 120-130) and the Export Administration Regulations (EAR)(15 CFR* sections 730-774) and in most cases they are specific to one regulatory scheme or the other, and not to both.
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- Automated Export System. AES is a nationwide system operational at all ports and for all methods of transportation through which export shipment data required by multiple agencies is filed electronically to Customs. AES provides an alternative to filing paper Shipper's Export Declarations (SEDs), so that export information is collected electronically and edited immediately. Watch a Video that explains AES. Also see Electronic Export Information (EEI) and Shippers Export Declartion (SED) for more information.
- U.S. Department of Commerce, Bureau of Industry and Security (BIS). The Bureau's stated mission is to protect the security of the United States, which includes its national security, economic security, cyber security, and homeland security. BIS's activities include regulating the export of sensitive goods and technologies in an effective and efficient manner; enforcing export control, anti-boycott, and public safety laws; cooperating with and assisting other countries on export control and strategic trade issues; assisting U.S. industry to comply with international arms control agreements; monitoring the viability of the U.S. defense industrial base; and promoting federal initiatives and public-private partnerships to protect the nation's critical infrastructures.
- In the United States, the anti-boycott provisions of the Export Administration Regulations (EAR) apply to all U.S. persons, defined to include individuals and companies located in the United States and their foreign affiliates. The anti-boycott provisions are intended to prevent United States citizens and companies being used as instruments of a foreign government's foreign policy. The EAR forbids participation in or material support of boycotts initiated by foreign governments, for example, the Arab League boycott of Israel.
Code of Federal Regulations (CFR):
- The Code of Federal Regulations (CFR) is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. It is divided into 50 titles that represent broad areas subject to Federal regulation. Each volume of the CFR is updated once each calendar year and is issued on a quarterly basis.
- A list of items under the export control jurisdiction of the Bureau of Industry and Security, U.S. Department of Commerce. Note that certain additional items described in part 732 of the EAR are also subject to the EAR. The CCL is found in Supplement No. 1 to part 774 of the EAR. 15 CFR* 772.1
- Countries designated controlled for national security purposes under authority delegated to the Secretary of Commerce by Executive Order 12214 of May 2, 1980 pursuant to section 5(b) of the EAA. The controlled countries are: 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. This definition does not apply to part 768 of the EAR (Foreign Availability), which provides a dedicated definition. 15 CFR* 772.1
- Specific information necessary for the development, production, or use of a product. The information may take the form of technical data or technical assistance. Controlled technology is that which is listed on the Commerce Control List or the U.S. Munitions List.
- A chart, found in Supplement No. 1 to part 738 of the EAR, that contains certain licensing requirements based on destination and reason for control. In combination with the CCL*, the Country Chart indicates when a license is required for any item on the CCL* to any country in the world under General Prohibition One (Exports and Reexports in the Form Received), General Prohibition Two (Parts and Components Reexports), and General Prohibition Three (Foreign Produced Direct Product Reexports). See part 736 of the EAR. 15 CFR* 772.1
- The Defense Advanced Research Projects Agency (DARPA) is an agency of the United States Department of Defense responsible for the development of new technology for use by the military.
- Directorate of Defense Trade Controls (DDTC). The office at the Department of State, formerly known as the Office of Defense Trade Controls, responsible for reviewing applications to export and re-export items on the U.S. Munitions List.
- Disclosing (including oral or visual disclosure) or transferring technical data to a foreign person*, whether in the United States or abroad 15 CFR* 734.2; 22 CFR* 120.17 AND 22 CFR* 125.2 Click here for more information
- means any item or technical data designated in §121.1 of this subchapter. The policy described in §120.3 is applicable to designations of additional items. This term includes technical data recorded or stored in any physical form, models, mockups or other items that reveal technical data directly relating to items designated in §121.1 of this subchapter. It does not include basic marketing information on function or purpose or general system descriptions. 22 CFR* 120.6 Click here for more information
- means: The furnishing of assistance (including training) to foreign persons*, whether in the United States or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles*; (2) The furnishing to foreign persons* of any technical data controlled under this subchapter (see §120.10), whether in the United States or abroad; or (3) Military training of foreign units and forces, regular and irregular, including formal or informal instruction of foreign persons* in the United States or abroad or by correspondence courses, technical, educational, or information publications and media of all kinds, training aid, orientation, training exercise, and military advice. (See also §124.1.) 22 CFR* 120.9 Click here for more information
Denied Person List/Specially Designated National(SDN):
- specially designated national shall mean: (1) Any person who is determined by the Secretary of the Treasury to be a specially designated national, (2) Any person who on or since the "effective date" has acted for or on behalf of the Government or authorities exercising control over any designated foreign country, or (3) Any partnership, association, corporation or other organization which on or since the "effective date" has been owned or controlled directly or indirectly by the Government or authorities exercising control over any designated foreign country or by any specially designated national. 31 CFR* 500.306 Click here and here for more information. Also see Specially Designated Nationals (SDN)
Destination Control Statement:
- The Destination Control Statement is a statement that must be entered on the invoice and on the bill of lading, air waybill or other export control document that accompanies the shipment. Click here for more information
- Development is related to 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.
- 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 15 CFR* §734.2(a) of the EAR).
- Export Administration Regulations (EAR), found at 15 CFR* 730-774. The EAR are designed to implement the Export Administration Act, and apply to items that can be used in both commercial and military applications. The EAR also apply to some items that have solely civil uses. Click here for more information on the EAR
- The U.S. Export Commodity Control List. The ECCL contains a list of items subject to the licensing authority of the Bureau of Industry and Security. See Commerce Control List (CCL*)
- Export Control Classification Number
- generally means the exception to "Export Control Regulations" which applies to general scientific, mathematical or engineering principles commonly taught in for-credit courses at the University of Cincinnati or at other schools, colleges and universities. 15 CFR* 734.3 & 734.9; 22 CFR* 120.10.
Electronic Export Information (EEI):
- Electronic Export Information (EEI). Formerly known as the Shipper's Export Declaration, the EEI is filed electronically in the Automated Export System (AES). Also see Automated Export System (AES) and Shippers Export Declartion (SED) for more information.
- 15 CFR* 746 (a) General . It is the policy of the United States to deny licenses and other approvals for exports and imports of defense articles* and defense services, destined for or originating in certain countries. This policy applies to Belarus, Cuba, Eritrea, Iran, North Korea, Syria, and Venezuela. This policy also applies to countries with respect to which the United States maintains an arms embargo (e.g., Burma, China, Liberia, and Sudan) or whenever an export would not otherwise be in furtherance of world peace and the security and foreign policy of the United States. Information regarding certain other embargoes appears elsewhere in this section. Comprehensive arms embargoes are normally the subject of a State Department notice published in theFederal Register.The exemptions provided in the regulations in this subchapter, except §123.17 of this subchapter, do not apply with respect to articles originating in or for export to any proscribed countries, areas, or persons in this §126.1. 22CFR* 126.1 Click here for more inforation
- means the exception to the ITAR (not the EAR) which applies to disclosures of unclassified technical data in the U.S. by the University of Cincinnati to foreign persons* who are its bona fide and full time regular employees. This exception is available only if: The employee's permanent abode throughout the period of employment is in the United States; The employee is not a national of a country to which exports are prohibited by law; and The University of Cincinnati has informed the individual in writing that the technical data may not be transferred to other foreign persons* without the prior written approval of appropriate governmental bodies. 22CFR* 125.4
- means (ITAR): (1) Sending or taking a defense article* out of the United States in any manner, except by mere travel outside of the United States by a person whose personal knowledge* includes technical data; or (2) Transferring registration, control or ownership to a foreign person* of any aircraft, vessel, or satellite covered by the U.S. Munitions List, whether in the United States or abroad; or (3) Disclosing (including oral or visual disclosure) or transferring in the United States any defense article* to an embassy, any agency or subdivision of a foreign government (e.g., diplomatic missions); or (4) Disclosing (including oral or visual disclosure) or transferring technical data to a foreign person*, whether in the United States or abroad; or (5) Performing a defense service on behalf of, or for the benefit of, a foreign person*, whether in the United States or abroad. (6) A launch vehicle or payload shall not, by reason of the launching of such vehicle, be considered an export for purposes of this subchapter. However, for certain limited purposes (see 21 CFR* §126.1 of this subchapter), the controls of this subchapter may apply to any sale, transfer or proposal to sell or transfer defense articles* or defense services. The term Export includes "deemed exports."
- Export means (EAR) an actual shipment or transmission of items out of the United States. (See §734.2(b) of the EAR.) 15 CFR* 772.1 The term Export includes "deemed exports."
- For export purposes, a foreign national is anyone who is not a U.S. citizen or a U.S. Permanent Resident (generally a Green Card holder)
- means any natural person who is not a lawful permanent resident as defined by 8 U.S.C. 1101(a)(20) or who is not a protected individual as defined by 8 U.S.C. 1324b(a)(3). It also means 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). 15 CFR* 734.2; 22 CFR* 120.16
- The International Traffic in Arms Regulations. 22 CFR* 120-130. The ITAR regulations govern the export of defense articles*, including technical data, or the furnishing of defense services for which a license or approval is required by the ITAR. Click here for more information
- Knowledge of a circumstance (the term may be a variant, such as "know," "reason to know," or "reason to believe") includes not only positive knowledge that the circumstance exists or is substantially certain to occur, but also an awareness of a high probability of its existence or future occurrence. Such awareness is inferred from evidence of the conscious disregard of facts known to a person and is also inferred from a person's willful avoidance of facts. This definition does not apply to part 760 of the EAR (Restrictive Trade Practices or Boycotts). 15 CFR* 772.1
- Department of the Treasury, Office of Foreign Assets Control (OFAC). OFAC administers and enforces economic and trade sanctions against targeted foreign countries, terrorism sponsoring organizations, and international narcotics traffickers.
- Primary Investigator
- Means all production stages, such as: product engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.
- means information which is published and which is generally accessible or available to the public: (1) Through sales at newsstands and bookstores; (2) Through subscriptions which are available without restriction to any individual who desires to obtain or purchase the published information; (3) Through second class mailing privileges granted by the U.S. Government; (4) At libraries open to the public or from which the public can obtain documents; (5) Through patents available at any patent office; (6) Through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the United States; (7) Through public release ( i.e. , unlimited distribution) in any form (e.g., not necessarily in published form) after approval by the cognizant U.S. government department or agency (see also §125.4(b)(13) of this subchapter); (8) Through 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. Fundamental research is defined to mean basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls. University research will not be considered fundamental research if: (i) The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or (ii) 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
Publically Available Information:
- Information that is generally accessible to the interested public in any form and, therefore, not subject to the EAR (See part 732 of the EAR). 15 CFR* 772.1
Publically Available Technology and Software:
- Technology and software that are already published or will be published; arise during, or result from fundamental research; are educational; or are included in certain patent applications (see §734.3(b)(3) of the EAR). 15 CFR* 772.1
Published Information and Software:
- (a) Information is "published" when it becomes generally accessible to the interested public in any form, including: (1) Publication in periodicals, books, print, electronic, or any other media available for general distribution to any member of the public or to a community of persons interested in the subject matter, such as those in a scientific or engineering discipline, either free or at a price that does not exceed the cost of reproduction and distribution (See Supplement No. 1 to this part, Questions A(1) through A(6)); (2) Ready availability at libraries open to the public or at university libraries (See Supplement No. 1 to this part, Question A(6)); (3) Patents and open (published) patent applications available at any patent office; and (4) Release at an open conference, meeting, seminar, trade show, or other open gathering. (i) A conference or gathering is "open" if all technically qualified members of the public are eligible to attend and attendees are permitted to take notes or otherwise make a personal record (not necessarily a recording) of the proceedings and presentations. (ii) All technically qualified members of the public may be considered eligible to attend a conference or other gathering notwithstanding a registration fee reasonably related to cost and reflecting an intention that all interested and technically qualified persons be able to attend, or a limitation on actual attendance, as long as attendees either are the first who have applied or are selected on the basis of relevant scientific or technical competence, experience, or responsibility (See Supplement No. 1 to this part, Questions B(1) through B(6)). (iii) "Publication" includes submission of papers to domestic or foreign editors or reviewers of journals, or to organizers of open conferences or other open gatherings, with the understanding that the papers will be made publicly available if favorably received. (See Supplement No. 1 to this part, Questions A(1) and A(3)). (b) Software and information is published when it is available for general distribution either for free or at a price that does not exceed the cost of reproduction and distribution. See Supplement No. 1 to this part, Questions G(1) through G(3). (c) Notwithstanding paragraphs (a) and (b) of this section, note that encryption software controlled under ECCN 5D002 for "EI" reasons on the Commerce Control List and mass market encryption software with symmetric key length exceeding 64-bits controlled under ECCN 5D992 remain subject to the EAR. See §740.13(e) of the EAR for certain exports and reexports under license exception. 15 CFR* 734.7
- means an actual shipment or transmission of items subject to the EAR from one foreign country to another foreign country. For purposes of the EAR, the export or reexport of items subject to the EAR that will transit through a country or countries, or be transshipped in a country or countries to a new country, or are intended for reexport to the new country, are deemed to be exports to the new country. (See §734.2(b)of the EAR.) In addition, for purposes of satellites controlled by the Department of Commerce, the term "reexport" also includes the transfer of registration of a satellite or operational control over a satellite from a party resident in one country to a party resident in another country.
- ´Release´ is defined as
- -Visual inspection by foreign nationals
- -Oral exchanges of information in the United States or abroad
- -The application to situations abroad of personal knowledge* or technical experience acquired in the United States.
- Situations that may involve the release of technology include: 1) Tours of laboratories; 2) foreign national employees involved in certain research, development, and manufacturing activities; 3) foreign students or scholars conducting research; or 4) hosting of foreign scientists.
- A multilateral ban on trade with a nation, aimed at influencing that nation's behavior. Countries and areas currently sanctioned by the U.S. government are: Balkans, Belarus, Burma, Ivory Coast, Cuba, Democratic Republic of the Congo, Iran, Iraq, Liberia, North Korea, Rwanda, Sudan, Syria, Zimbabwe Click here for more information
Shipper's Export Declaration (SED):
- Shipper's Export Declaration (SED). A form required by the U.S. Census Bureau / U.S. Customs for international shipments. The term SED is no longer used, and has been replaced with the term EEI (Electronic Export Information), though the information required remains much the same. See also Automated Export System. Click here for more information Also see Electronic Export Information (EEI) and Automated Export System (AES) for more information.
Specially Designated National (SDN):
- Any person who is determined by the Secretary of the Treasury to be a specially designated national for any reason under regulations issued by the Office of Foreign Assets Control (see 31 CFR* parts 500 through 590). Click here for more information Also see Denied Persons List (DPL)
- The transfer of technical data. It may take the form of instruction, skills training, working knowledge* or consulting services.
- means, for purposes of this subchapter: 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. 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
- (General Technology Note)–Specific information necessary for the "development", "production", or "use" of a product. The information takes the form of "technical data" or "technical assistance". Controlled "technology" is defined in the General Technology Note and in the Commerce Control List (Supplement No. 1 to part 774 of the EAR). N.B.: Technical assistance–May take forms such as instruction, skills training, working knowledge*, consulting services. Note: "Technical assistance" may involve transfer of "technical data" 15 CFR* 772.1
Technology Control Plan (TCP):
- TCPs are required in cases when foreign nationals are employed or assigned to export-controlled items or information. The purpose of a TCP is to protect technical information which is specifically not identified under EAR as fundamental research or as educational information. A TCP provides guidelines to ensure that the information is not transferred to a foreign person* or persons unless approved by license with the Department of State, Office of Defense Controls (ODTC) or Department of Commerce as applicable.
- Tools of the trade are commodities and software that are:
- (a) Owned by the individual exporter (U.S. principal party in interest) or exporting company.
- (b) Accompanying the individual exporter (U.S. principal party in interest), employee, or representative of the exporting company.
- (c) Necessary and appropriate and intended for the personal and/or business use of the individual exporter (U.S. principal party in interest), employee, or representative of the company or business.
- (d) Not for sale.
- (e) Returned to the United States no later than 1 year from the date of export.
- For export purposes, the United States includes: the 50 States, District of Columbia, Puerto Rico, Guam, American Samoa, Northern Mariana Islands
- articles, services and related technical data are designated as defense articles* and defense services pursuant to §§38 and 47(7) of the Arms Export Control Act (22 U.S.C. 2778 and 2794(7)). 22 CFR* 121.1 Click here for more information
- means a person (as defined in §120.14 of this part) who is a lawful permanent resident as defined by 8 U.S.C. 1101(a)(20) or who is a protected individual as defined by 8 U.S.C. 1324b(a)(3). It also means any corporation, business association, partnership, society, trust, or any other entity, organization or group that is incorporated to do business in the United States. It also includes any governmental (federal, state or local) entity. It does not include any foreign person* as defined in §120.16 of this part. 22 CFR* 120.15
- (a) For purposes of §§744.6, 744.10, 744.11, 744.12, 744.13 and 744.14 of the EAR, the term U.S. person includes: (1) Any individual who is a citizen of the United States, a permanent resident alien of the United States, or a protected individual as defined by 8 U.S.C. 1324b(a)(3); (2) Any juridical person organized under the laws of the United States or any jurisdiction within the United States, including foreign branches; and (3) Any person in the United States. (b) See also §§740.9, 740.14 and parts 746 and 760 of the EAR for definitions of "U.S. person" that are specific to those parts. 15 CFR* 772.1
- Operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.
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Throughout the Export Controls section of the website, whenever you see a *, hover over it for a brief definition of the term. Click on the asterix to be taken to the full definition on the glossary page. The Glossary page also includes lnks to applicable regulations and additional information and links.