Definitions of Terms Used in Export Controls
Bureau of Industry and Security (BIS)—The Bureau of Industry and Security office within the US Department of Commerce responsible for promulgating, administering, and enforcing the Export Administration Regulations.
Commerce Control List (CCL)—The Commerce Control List of commodities, software, and technologies controlled for national security and other reasons by the Export Administration Regulations.
Deemed export—The disclosure or transfer of export-controlled software, technology, or technical data to a non-US person located in the US (as distinct from an actual or physical export, in which items leave the US).
Defense article—Hardware, software, and technical data identified on the US Munitions List and therefore subject to the International Traffic in Arms Regulations.
Defense service—The furnishing of technical data or assistance (including training) to non-US persons, whether in the US or abroad, in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of defense articles on the US Munitions List.
Directorate of Defense Trade Controls (DDTC)—The office within the US Department of State responsible for promulgating, administering, and enforcing the International Traffic in Arms Regulations.
Export—
- The shipment, transmission, or carriage of items out of the US
- The transfer or disclosure of export-controlled software, technology, or technical data to a non-US person located in the U.S. (a deemed export)
- The performance of a defense service subject to the ITAR on behalf of, or for the benefit of, a non-US person
Export Administration Regulations (EAR)—Export control regulations administered by the US Department of Commerce, Bureau of Industry and Security. The EAR, which appear at 15 CFR Parts 730-774, prohibit the unauthorized export of—
- Commodities, software, and technologies identified on the Commerce Control List
- Items to restricted parties on the Entity and Denied Persons Lists
- Items to be used for nuclear, missile and rocket, or chemical and biological weapons applications
Export Controls—US Government statutes and regulations that prohibit the unauthorized export of certain commodities, technology, software, services, money, or information to non-US destinations, persons, and entities (including universities). Export controls implement a range of national obligations and interests, such as honoring treaties (e.g., nuclear non-proliferation treaty, conventions on chemical and biological weapons), protecting national security, and combating terrorism. Export controls concern national security, not customs or tariffs. Violators can face lengthy prison sentences, stiff fines, and loss of export privileges. The University is subject primarily to three sets of export controls—the Export Administration Regulations, the International Traffic in Arms Regulations, and the Foreign Assets Control Regulations.
Export Controls Officer—University staff member responsible for institutional compliance with export controls. Currently J. Patrick Briscoe: (612) 625-3860, bris0022@umn.edu
Foreign Assets Control Regulations—Economic sanctions regulations administered by the US Department of the Treasury, Office of Foreign Assets Control. The Foreign Assets Control Regulations appear at 31 CFR Parts 500-598, and prohibit unauthorized transactions with embargoed countries and entities identified on the Specially Designated Nationals List.
Foreign Person (or Non-US Person)—
- An individual who is not a US citizen or permanent resident of the US, and who has not been granted political asylum or other protected status
- A corporation, business association, partnership, trust, society, or any other entity or group that is not incorporated or organized to do business in the US
- An international organization or foreign government (including agencies or subdivisions)
Fundamental Research—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 US Government access and dissemination controls. The information that results from fundamental research (aside from certain encryption source code) is excluded from export controls.
International Traffic in Arms Regulations (ITAR)—Export control regulations administered by the US Department of State, Directorate of Defense Trade Controls. The ITAR, which appear at 22 CFR Parts 120-130, prohibit the unauthorized export or brokering of defense articles and defense services.
Office of Foreign Assets Control (OFAC)—The office within the US Department of the Treasury responsible for promulgating, administering, and enforcing the Foreign Assets Control Regulations.
Technical data (ITAR-controlled)—
- Information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles (including information in the form of blueprints, drawings, photographs, plans, instructions, or documentation)
- Classified information relating to defense articles and defense services
- Information covered by an invention secrecy order
- Certain software directly related to defense articles
Technology (EAR-controlled)—Technical data and technical assistance required for the development, production, or overhaul/refurbishing of items on the Commerce Control List.
US Munitions List (USML)—The list of defense articles and defense services subject to the International Traffic in Arms Regulations.
US Person—
- An individual who is a US citizen or permanent resident of the US, or who has been granted political asylum or other protected status
- A corporation, business association, partnership, trust, society, or any other entity or group that is incorporated or organized to do business in the US
- A federal, state, or municipal governmental entity in the US