Definitions

Commerce Control List (CCL)

The US Department of Commerce list of all export restrictions. Each item on the CCL is categorized by its type and function. The CCL classifies items into 10 categories and 5 groups. If an item is not listed on the CCL, then it is considered “EAR99” which means that it has no export restrictions.

Commerce Control List (CCL) Category

(0) Nuclear Materials, Facilities and Equipment, and Miscellaneous; (1) Materials, Chemicals, “Microorganisms,” and Toxins; (2) Materials Processing; (3) Electronics;   (4) Computers; (5) Telecommunications and Information Security; (6) Lasers and Sensors; (7) Navigation and Avionics; (8) Marine; and (9) Propulsion Systems, Space Vehicles, and Related Equipment.

Commerce Control List (CCL) Group

Each of the 10 CCL categories is subdivided into five groups representing the types of controlled items: (A) Equipment, Assemblies, and Components; (B) Test, Inspection and Production Equipment; (C) Materials; (D) Software; and (E) Technology

Controlled Country

Under the EAR, may refer to one of the countries subject to §746 Embargoes and Other Special Controls, or to a country included in one of the Country Groups defined in Supplement No. 1 to §740 and used in conjunction with §740 license exceptions. Under the ITAR, may refer to a country identified in ITAR §126.1, Prohibited Exports, Imports, and Sales to or from Certain Countries.

Deemed Export 

The release of controlled technology to a foreign national (even when the foreign national is physically located in the US). This release is “deemed” to be an export to the country of the foreign national.

Defense Article

Any item or technical data designated in the ITAR's United States Munitions List (USML), including any technical data recorded or stored in any physical form, models, mock-ups, or other items that reveal technical data directly relating to a “defense article” listed in the USML. “Defense article” does not include basic marketing information on function, purpose, or general system descriptions. (22 CFR §120.6)

Defense Service

Furnishing assistance (including training) anywhere (inside the United States or abroad) to foreign nationals in connection with the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of defense articles; or furnishing ITAR-controlled “technical data” to non-US persons anywhere, requires authorization from the State Department. (22 CFR §120.9). While transfer of public domain information is not a defense service, the State Department has said that "it is seldom the case that a party can aggregate public domain data for purposes of application to a defense article without using proprietary information or creating a data set that itself is not in the public domain." [78 FR 31445].

Dual-use

Items that have both commercial and defense application. Items subject to the EAR are often referred to as "dual-use" (though commercial-only items also are subject to the EAR), perhaps because the Commerce Control List is very similar to the "Lists of Dual-Use Goods and Technologies" of the multilateral Wassenaar Arrangement, to which the U.S. is a party.

End-use

what the item is used for

Exception to MIT Open Research Policy

Export 

An actual shipment or transmission of items, services, or technical data subject to either the EAR or the ITAR out of the United States, or the release of technology or software source code (EAR), or technical data (ITAR), to a non-U.S. person in the United States. Technology, software, or technical data is “released” for export through:

  1. Visual inspection by a foreign national of U.S. origin equipment and facilities
  2. Oral exchanges of information in the United States or abroad
  3. Transfer or shipment via any means (physical or electronic) to a foreign entity
  4. Provision of a service, or the application to situations abroad of personal knowledge or technical experience acquired in the United States

Export Administration Regulations (EAR) 

Regulations by the U.S. Department of Commerce that control the export of articles, services, and related technical data whose predominant application is not defense. Most of MIT’s exports fall under the EAR.

ECCN (Export Control Classification Number)

The five-character alphanumeric classification that is used to identify items on the Commerce Control List

Export Control Laws

Export License 

The authorization by an export agency authority to proceed with a regulated activity (e.g. export, reexport). Export licenses can take up to a year to receive. MIT has several export licenses that may cover your needs.

Foreign National

The EAR uses, but does not define, "foreign national". "National" is defined in 8 USC 1101(a)(20) as "a person owing permanent allegiance to a state". The net effect of EAR is comparable to the ITAR "foreign person": the deemed export rule, for instance, applies to "foreign nationals" but excludes permanent residents and protected individuals.

Foreign Person

Under the ITAR, a natural person who is neither a lawful permanent resident (green card holder) nor a protected individual (citizen or national of the U.S., special agricultural worker, admitted refugee or person granted asylum), a foreign entity (corporations, business associations, partnerships, etc.) not incorporated or organized to do business in the U.S., an international organization, a foreign government or an agency or subdivision of a foreign government. [Usage note: this website uses "non-U.S. person" as an objective counterpart to "foreign person" for clarity when being read by people of all nationalities.]

Fundamental Research

Basic or applied research in science and engineering where the resulting information is ordinarily published and shared broadly in the scientific community, is excluded from export controls.

  • Under the EAR (15 CFR §734.8), university research normally will be considered as fundamental research unless the university or its researchers accept sponsor restrictions on the publication of scientific and technical information resulting from the project or activity. Research at companies or outside the US can qualify as fundamental research when there are no restrictions on publishing the results. The EAR specifically permits limited prepublication reviews by research sponsors to prevent the inadvertent divulging of proprietary information provided to the researcher by the sponsor or to ensure that publication will not compromise the patent rights of the sponsor.
  • Under the ITAR (22 CFR §120.11(8)), only research at accredited institutions of higher learning in the U.S. can qualify as fundamental. University research will not qualify as fundamental research if: (1) the university or its researchers accept any restrictions on the 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.

Generally Authorized

DoE's 10 CFR 810 and OFAC's sanctions programs identify activities which are in the scope of the controls, but are already determined to be acceptable and can be conducted without additional approval as "generally authorized". The DoE regulations require the use of a general license to be reported.

International Trafficking in Arms Regulations (ITAR)

Regulations from the U.S. Department of State that control the export of articles, services, and related technical data whose predominant application is defense.

Office of Foreign Assets Control (OFAC) 

The office within the U.S. Treasury that administers and enforces economic embargoes and trade sanctions. 

Public Domain

Applies only to ITAR. Information that is published and generally accessible or available to the public in the following places:

  • Newsstands and bookstores
  • Subscriptions that are available without restriction to any individual who desires to obtain or purchase the published information
  • Second-class mailing privileges granted by the U.S. government
  • Libraries open to the public or from which the public may obtain documents, including most university libraries
  • Published patents
  • Unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally accessible to the public in the United States
  • Public release in any form after approval by the cognizant U.S. government department or agency
  • Through fundamental research in science and engineering at accredited institutions of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community. 

Publicly Available

Applies only to EAR. Software and technology (except 5D002 encryption software) that:

  • is or will be published,
  • arises during, or result from, fundamental research,
  • is educational,
  • is included in certain patent applications.

Publicly available software and technology are excluded from EAR controls — but note that published 5D002 encryption software remains subject to the EAR, except publicly available 5D002 encryption object code when the corresponding source code is publicly available. For software and technology in the scope of the EAR, it may be made publicly available by a person with the right to do so without further authorization from the Commerce Department (except 5D002 encryption software).

Published

Applies only to EAR. Information that is generally accessible to the interested public in any form, including:

  • 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;
  • Ready availability at libraries open to the public or at university libraries;
  • Patents and open (published) patent applications available at any patent office; and
  • Release at an open conference, meeting, seminar, trade show, or other open gathering. 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.

Note: published 5D002 encryption software remains subject to the EAR, except publicly available 5D002 encryption object code when the corresponding source code is publicly available.

Reexport

An actual shipment or the transmission of items subject to export regulations from one foreign country to another foreign country. 

Restricted Parties

Individuals and entities with whom the university and its employees may not to export to or engage in controlled transactions. These include the Denied Persons List, Entity List, and Unverified List (Department of Commerce); the Debarred Parties Lists (Department of State); and the Specially Designated Nationals and Blocked Persons List (Department of Treasury).

Restricted Research 

University research, development, or testing subject to:

  • publication restrictions
  • access and dissemination controls
  • federally funded research with contract-specific national security restrictions
  • accepting third-party controlled items or information
  • providing access to, or defense services on, a defense article.

Restricted research is subject to EAR and ITAR regulations, and a license or other government approval may be required for foreign national participation.

OFAC Sanctioned Countries

Countries designated by OFAC as having trade sanctions imposed by the United States for reasons of anti-terrorismnon-proliferationnarcotics trafficking, or other reasons. Sanctions vary among the countries.

Ordinarily resident in

There is no specific definition of “ordinarily resident in” under the OFAC regulations. Under US law, “Ordinarily Resident In” generally includes:

  • Individuals, regardless of nationality, residing in an embargoed country.
  • Individuals holding an embargoed country passport and a non-permanent visa (student, visitor, temporary, business) for any country outside the US.
  • Individuals holding an embargoed country passport and a non-permanent visa (visitor, temporary, business) for the US.

Other indicators might include:

  • paying taxes in the country
  • immigration status in the country
  • having a year round residence in the country having a residence in the country
  • the percentage of the year spent in the country

Specially designed

Some items are subject to the ITAR or the EAR if they have properties, as a result of development, that meet or exceed the criteria in the US Munitions List (ITAR) or the Commerce Control List (EAR) — this is the "catch" — and are not a fastener or other low-control item — this is the "release". There are web tools for the ITAR and the EAR to help determine whether an item is "specially designed".

Technical Assistance

Instruction, skills training, working knowledge, and consulting services, which may involve the transfer of technical data. Applies only to EAR.

Technical Data

Information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of controlled articles. This includes information in the form of blueprints, drawings, plans, instructions, diagrams, photographs, etc. It may take forms such as 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, or read-only memories. 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.

Technology

Any specific information and know-how (whether in tangible form, such as models, prototypes, drawings, sketches, diagrams, blueprints, manuals, or software—or in intangible form, such as training or technical services) that is required for the development, production, or use of a good, but not the good itself.

Technology Control Plan

MIT tool to safeguard ITAR, EAR, and other restricted material. Lays out a secuirty plan and identifies responsible parties. Must be approved by Vice President for Research before restricted material can be brought onto campus.

TMP/Bag Exception

United States Munitions List (USML)

The USML includes articles, services, and related technical data designated as defense articles and defense services pursuant to the Arms Export Control Act (AECA).

U.S. Person

Under the ITAR, a natural person who is a lawful permanent resident (green card holder) or a protected individual (citizen or national of the U.S., special agricultural worker, admitted refugee or person granted asylum); or any entity (corporation, business association, partnership, etc.) incorporated in the U.S., or any federal, state, or local governmental entity. The EAR is effectively the same, although without explicit definition: the deemed export rule, for instance, applies to "foreign nationals" but excludes permanent residents and protected individuals. (Note that for the purpose of §744.6 Restrictions on Certain Activities of U.S. Persons, the EAR adds "any person in the United States".) [Usage note: this website uses "non-U.S. person" as an objective counterpart to "foreign person" for clarity when being read by people of all nationalities.]