Definitions

Commerce Control List (CCL)   
Commerce Control List (CCL) Category    
Commerce Control List (CCL) Group   
Controlled Country   
Deemed Export
Defense Article
Defense Service  
Dual-use
End-use
End user
Entity list
Exception to MIT Open Research Policy
Export
Export Administration Regulations
Export Control Classification Number (ECCN)
Export Control Laws
Export License
Foreign National
Foreign Person
Fundamental Research
Generally Authorized
International Traffic in Arms Regulations (ITAR)
Office of Foreign Assets Control (OFAC)
OFAC-Sanctioned Countries
Open conference
Ordinarily resident in
Public Domain
Publicly Available
Published
Reexport
Restricted Parties
Restricted Research
Services
Specially designed
Specially designated nationals
Technical Assistance
Technical Data
Technology
Technology Control Plan
Technology transfer
TMP/Bag Exception
United States Munitions List (USML)
U.S. Person

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 has minimal 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 non U.S. person (even when the non U.S. person is physically located in the US). This release is “deemed” to be an export to the country of the non U.S. person.

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

Entity List

list of entities from the Department of Commerce (institutions, universities, companies, foundations, government agencies, etc.) subject to license requirements for specified items. Generally speaking material cannot be exported to destinations on this list.

Exception to MIT Open Research Policy

When it is necessary to have on campus an item, software, data or other information that must be restricted from some of MIT’s community because of their national origin, an exception to the open research policy is sometimes made. It must be approved at the VPR level.

Export 

An actual shipment or transmission of items, services, or technical data 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 could be “released” for export through:

  1. Visual inspection by a foreign national of 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. Read more about ECCNs.

Export Control Laws

Can originate from several sources, such as the ITAR (State), EAR (Commerce), Sanctions (Treasury), DOE, NRC, and Presidential Executive Orders.

Export License 

The authorization by an export agency authority to proceed with a regulated activity (e.g. export, reexport). Export licenses can be either “general” or “specific.”  General licenses are broadly applicable and can exempt certain types of activities, like humanitarian aid, under prescribed conditions.  Specific licenses need to be applied for by a specific individual or entity to cover a particular exchange, and can take up to a year to receive.

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."

International Traffic 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. The US Munitions List (USML) is part of the ITAR.

Office of Foreign Assets Control (OFAC) 

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

OFAC Sanctioned Countries

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

Open Conferences

Registration is open to members of the generally interested and scientifically-qualified public. A fee may be charged, and there can be a cap on total attendance.

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
  • the percentage of the year spent in the country

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 export to or engage in controlled transactions, except in limited circumstances. 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.

Services

  1. Assisting a non-US person in developing an ITAR item. Includes design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, use
  2. Assisting individuals normally resident in sanctioned countries or on a denied parties list can be an illegal service. Even inviting a speaker from a sanctioned country to a conference you are organizing can be a prohibited “service.” Examples:
    • Teaching a foreign national to use IR camera
    • Selecting key academic papers and sending to a colleague in Russia
    • Answering questions during Q&A at an overseas conference that go beyond your publicly available fundamental research
    • Serving on an advisory board of a foreign university
    • Inviting an international speaker to a conference MIT is hosting

Specially designated national

The Specially Designated Nationals and Blocked Persons List, also known as the SDN List, is a United States government sanctions/embargo measure targeting U.S.-designated terrorists, officials and beneficiaries of certain authoritarian regimes, and international criminals

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 security plan and identifies responsible parties. Must be approved by Vice President for Research before restricted material can be brought onto campus.

Technology Transfer

Technology transfer is the movement of data, designs, inventions, materials, software, technical knowledge or trade secrets from one organization to another or from one country to another. Technology means “know-how.”

TMP/Bag Exception

When traveling with baggage, some items qualify for a license exception allowing you to take them with you into another country. The CCL specifies when the baggage or temporary export license exceptions may be used.

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.]