Export Control Terms & Definitions
Overview
The Office of Research Security (ORS) has developed this glossary to explain commonly used export control terms encountered in research, teaching, international collaborations, travel, purchasing, and other University activities.
Many of the terms below are explained in greater detail throughout the Export Control Reference Guides. Where appropriate, related guidance is identified for additional information.
No matching results found.
Classification is the process of determining which export control regulations apply to an item and, when applicable, its export control classification.
Related Guidance: Export Control Classification
A deemed export occurs when controlled technology or source code is released to a foreign person within the United States. Under the Export Administration Regulations (EAR), the release is "deemed" to be an export to the individual's country of citizenship or permanent residence.
A release may occur through visual inspection, oral discussions, training, electronic access, demonstrations, or other means that provide access to controlled technology or source code
Not all deemed exports require an export license. Licensing requirements depend on the applicable regulations, the technology involved, the recipient, and other regulatory factors.
Related Guidance: Deemed Exports • Foreign Person Employees • International Visitors
A defense article is an item or technical data designated on the United States Munitions List (USML) and subject to the International Traffic in Arms Regulations (ITAR)
Related Guidance: ITAR
A defense service generally involves furnishing assistance, including certain training or technical assistance, to foreign persons in connection with defense articles or other activities regulated under the ITAR
Related Guidance: ITAR
A dual-use item is an item, software, or technology that has both commercial and military or strategic applications.
Most dual-use items are regulated under the Export Administration Regulations (EAR).
Related Guidance: EAR
EAR99 refers to items subject to the Export Administration Regulations that are not specifically listed on the Commerce Control List.
Although many EAR99 items do not require export licenses, licensing requirements may still apply depending on the destination, end user, or end use.
Related Guidance: Classification • EAR
End-use refers to the intended purpose or application of an exported item, technology, software, or service.
The end-user is the individual or organization that will ultimately receive or use an exported item, technology, software, or service.
An export generally involves the shipment, transmission, transfer, or release of an item, software, technology, technical data, or other controlled material from the United States or, under certain regulations, the release of controlled technology or technical data to a foreign person.
Related Guidance: Deemed Exports • International Transfers (Shipments, Hand-Carry & Electronic Transmissions)
An export license is written authorization from the U.S. Government permitting certain exports, re-exports, transfers, or other regulated activities.
Whether a license is required depends on the applicable regulations, item classification, destination, recipient, end use, and end user.
A foreign person generally refers to:
- An individual who is not a U.S. citizen, lawful permanent resident (green card holder), or other protected individual under applicable U.S. law; or
- A foreign organization, corporation, partnership, government, or other entity organized or located outside the United States, as defined by the applicable export control regulations.
The specific definition of foreign person varies depending on the governing export control regulations. Researchers should consult ORS whenever questions arise regarding the status of an individual or organization.
Related Guidance: Deemed Exports • Foreign Person Employees • International Visitors • International Collaborations
Fundamental research is basic or applied research in science and engineering where tthe results of which ordinarily are published and shared broadly.
Whether research qualifies as fundamental research depends on the applicable regulations and any restrictions accepted by the University or researchers.
Related Guidance: Fundamental Research
An open conference is a conference, meeting, seminar, trade show, or similar event that is generally accessible to the interested public or scientific community without restrictions on attendance or the dissemination of information.
Presentations made at an open conference are generally considered published under the Export Administration Regulations (EAR) or public domain under the International Traffic in Arms Regulations (ITAR), provided the applicable regulatory requirements are met.
Conferences that restrict attendance, prohibit dissemination of information, or require participants to obtain special authorization before attending may not qualify as open conferences.
Related Guidance: Publicly Available Information • Fundamental Research • Conferences, Meetings & Seminars
State University of New York policies that prohibit the acceptance of any awards that restrict dissemination of research results or participation of foreign nationals.
Restrict foreign national participation (Document 1801)
Requests for justifiable exceptions to this policy, on a case-by-case basis, such as for the purpose of protecting state and national security, must be submitted to the Director of Research Security for submission for Chancellor or designee authority’s approval.
Research conducted under publication or dissemination restrictions may not qualify for fundamental research treatment under applicable export control regulations.
Unlike fundamental research, proprietary research generally does not qualify for the Fundamental Research Exclusion because the resulting information is not intended to be published and shared broadly within the scientific community.
Research involving proprietary information, sponsor restrictions, or confidential technical information may be subject to export control requirements, depending on the nature of the activity and applicable regulations.
Related Guidance: Fundamental Research • Sponsor & Agreement Requirements
A publication restriction is a contractual or sponsor-imposed limitation on the publication or dissemination of research results or technical information.
Accepting publication restrictions may affect whether research qualifies as fundamental research and may increase the applicability of export control regulations.
The Office of Research Security should be consulted whenever a research agreement includes publication restrictions.
Related Guidance: Fundamental Research • Research Agreements
The EAR, ITAR, and certain nuclear export control regulations exclude various categories of published, publicly available, or public domain information from export control requirements.
The terminology and definitions vary among the regulations.
Related Guidance: Publicly Available Information
A reexport generally involves the shipment or transfer of an item subject to the EAR from one foreign country to another, or certain releases outside the United States of controlled technology or source code. U.S. export control requirements may continue to apply after an item has left the United States.
Whether a re-export requires authorization depends on the applicable regulations, the classification of the item, the destination, the recipient, the end use, and the end user.
Related Guidance: Deemed Re-Exports • International Transfers (Shipments, Hand-Carry & Electronic Transmissions)
A restricted party is an individual, organization, or other entity identified by the U.S. Government as subject to export restrictions, sanctions, or other limitations.
Related Guidance: Restricted Entity Screening
Technical data is a term used primarily under the ITAR to describe information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles.
Related Guidance: ITAR
Technology is information necessary for the development, production, or use of an item.
Technology may include technical information, instructions, drawings, specifications,
manuals, or other know-how.
Related Guidance: EAR
A Technology Control Plan (TCP) is a written compliance plan used to prevent unauthorized access to export-controlled equipment, technology, technical data, software, technical information, or other controlled items.
Related Guidance: Technology Control Plans
Related Guidance: Export Control Classification
A U.S. person generally includes:
- A United States citizen;
- A lawful permanent resident (green card holder);
- A protected individual as defined by applicable U.S. law; or
- An organization, corporation, business association, partnership, society, trust, or other entity incorporated or organized to do business in the United States.
The definition of a U.S. person varies depending on the applicable export control regulations. Researchers with questions regarding the status of an individual or organization should contact the Office of Research Security.
A voluntary disclosure is a report submitted to the appropriate U.S. Government agency when a potential violation of export control regulations has occurred or may have occurred.
The decision to submit a voluntary disclosure is made by the University in consultation with the Office of Research Security, University Counsel, and other appropriate offices. Researchers should not submit disclosures directly to a federal agency.
If you believe an export control violation may have occurred, contact the Director of the Office of Research Security as soon as possible so the circumstances can be reviewed and appropriate action can be taken.