Key Terms and Definitions

Even common words have very specific meanings within the export control laws. For additional guidance, see EAR definitions or ITAR definitions. Following are some commonly used terms:

Commerce Control List (CCL): List of items under the export control jurisdiction of the U.S. Department of Commerce Bureau of Industry and Security. 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) Special Materials and Related Equipment, Chemicals, "Microorganisms," and “Toxins”; (2) Materials Processing; (3) Electronics (4) Computers; (5) Telecommunications and “Information Security”; (6) Sensors and Lasers; (7) Navigation and Avionics; (8) Marine; (9) Aerospace and Propulsion.

Every CCL category is subdivided into the same five groups, designated by the letters A through E, as follows: (A) Systems, Equipment and Components; (B) Test, inspection and production equipment; (C) Material; (D) Software; and (E) Technology. ECCNs are designated for specific items or materials, and Commodities not enumerated are designated “EAR-99.”

Deemed Export: 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 on BIS’s website. 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).

Deemed Re-export: 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 it 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).

Defense Article: Any item or technical data designated in the U.S. Munitions List. (22 CFR 120.6)

Defense Service: 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 120.32) The Bona Fide Employee Exemption does not apply in a situation where the employee will be provided with a Defense Service.

Dual-Use: 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).

Educational Information: 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 Amherst personnel working with such software or technology should consult with ORC 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.

Export: 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 in the United States (a “deemed export”); 4) transferring registration, control, or ownership of a controlled spacecraft, vessel, satellite, or aircraft to a foreign person; or 4) Performing a defense service on behalf of, or for the benefit of, a foreign person, whether in the United States or abroad. 15 CFR 734.13; 22 CFR 120.50

Export Administration Regulations (EAR): 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.

Export Control Classification Number (ECCN): Five-character alpha-numeric designation used by the Commerce Control List to identify and list related export requirements of commodities, software, and technology subject to the export licensing authority of the Department of Commerce, Bureau of Industry and Security. All commodities, software, and technology subject to the EAR but not specifically identified on the CCL are classified as “EAR99.”

Foreign Corrupt Practices Act (FCPA): 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.

Foreign Person: A natural person who is not a lawful permanent resident of the United States, citizen of the United States, or any other protected individual (i.e., refugee or asylee) as defined by 8 U.S.C. 1324b(a)(3).

Fundamental Research: 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 only applies to such research conducted at accredited institutions of higher learning in the U.S.  

Fundamental Research Exclusions: 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 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.

International Traffic in Arms Regulations (ITAR): 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. The ITAR are available here.

OCECC: The UMass Amherst Oversight Committee for Export Control Compliance is the executive management committee charged with oversight of the campus’ export control compliance program. The OCECC convenes annually to oversee the Implementation Committee of key stakeholders and responsible departments for the development, monitoring and deployment of Standard Operating Procedures (SOPs) implementing these guidelines.

ORC: The Office of Research Compliance (ORC) is the lead administrative office for export control compliance and relies upon cooperation of other implementing departments such as the OGA, Procurement, and Human Resources to ensure compliance with these guidelines and for the development of Standard Operating Procedures (SOPs) to implement them.

Public Domain: 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. (22 CFR 120.34)

Publicly Available: 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. Technology or software is considered “published,” and is thus not “technology” or “software” subject to the EAR, when it has been made available to the public without restrictions upon its further dissemination.

Re-export: 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

Sanctioned Country: 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 (see the OFAC website for the latest information about countries subject to OFAC sanctions).

Specially Designated Nationals List (SDN): 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.

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

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).

Technology (EAR): 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.

Use (EAR): 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

VCRE: The Vice Chancellor for Research & Engagement is the lead executive for coordination of export compliance. The Office of Research Compliance (ORC) is the VCRE office charged with export control compliance administration and oversight. The Vice Chancellor for Research & Engagement chairs the OCECC and the Director of Research Compliance leads the Implementation Committee.