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Applicant – The person who applies for an export or reexport
license, and who has the authority of a principal party in interest
to determine and control the export or reexport of items.
Bureau of Industry and Security (BIS) – agency of the Department of
Commerce responsible for implementing and enforcing the Export
Administration Regulations (EAR), which regulate the export and
reexport of most commercial items.
Code of Federal Regulations (CFR) — The United States Code of
Federal Regulations (CFR) is the codification of the general and
permanent rules and regulations published in the Federal Register by
the executive departments and agencies of the Federal Government.
Commerce Control List (CCL) - A list of items under the export
control jurisdiction of the Bureau of Industry and Security, U.S.
Department of Commerce. The CCL is found in Supplement 1 to part 774
of the EAR.
Commerce Control List (CCL) Category - The CCL is divided into ten
categories: (0) Nuclear Materials, Facilities and Equipment, and
Miscellaneous; (1) Materials, Chemicals, "Microorganisms," and
Toxins; (2) Materials Processing; (3) Electronics Design,
Development and Production; (4) Computers; (5) Telecommunications;
(6) Sensors; (7) Navigation and Avionics; (8) Marine; (9) Propulsion
Systems, Space Vehicles, and Related Equipment.
Commerce Control List (CCL) Group - The CCL is divided into 10
categories. Each category is subdivided into five groups, designated
by the letters A through E: (A) Equipment, assemblies, and
components; (B) Test, inspection and production equipment; (C)
Materials; (D) Software; and (E) Technology.
Controlled country - A list of countries designated controlled for
national security purposes found in Country Group D:1, including:
Albania, Armenia, Azerbaijan, Belarus, Bulgaria, Cambodia, the
People's Republic of China, Estonia, Georgia, Kazakhstan,
Kyrgyzstan, Laos, Latvia, Lithuania, Moldova, Mongolia, Romania,
Tajikistan, Turkmenistan, Ukraine, Uzbekistan, and Vietnam. Cuba and
North Korea are controlled countries, but they are listed in Country
Group E:2 (unilateral embargoes) rather than Country Group D:1.
Countries supporting international terrorism – In accordance with
§6(j) of the Export Administration Act of 1979, as amended (EAA),
the Secretary of State has determined that the following countries'
governments have repeatedly provided support for acts of
international terrorism: Cuba, Iran, North Korea, Sudan, and Syria.
DOC – Department of Commerce.
DOD – Department of Defense.
DOE – Department of Energy.
DOJ – Department of Justice.
DOS – Department of State.
DPL – Denied Persons List.
DDTC – Directorate of Defense Trade Controls. The office in the
Department of State (DOS) that administers licenses for defense
services and defense (munitions) articles. (Formerly known as the
Office of Defense Trade Controls).
Deemed Export - Occurs when technology or software source code is
released or transmitted to a Foreign Person within the U.S.
including through a discussion with a foreign researcher or student.
Defense Article - (ITAR 120.6) means any item designated in the USML.
Examples include specified chemical agents, cameras designated for
military purposes, specified lasers, and GPS equipment as noted
above. It also means any technical data recorded or stored in any
physical form, models, mock-ups, or other items that reveal
technical data directly relating to the particular item or “defense
article” listed in the USML.
Defense Service - (ITAR 120. 9) means the furnishing of 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, and the furnishing of any
controlled “technical data” (see definition below) to foreign
nationals anywhere.
Denied Persons List (DPL) - A list, referenced in Supplement No. 2
to part 764 of the EAR, of specific persons that have been denied
export privileges, in whole or in part. The full text of each order
denying export privileges is published in the Federal Register.
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 (see §734.2(a) of the EAR).
Effective control – According to the EAR, maintaining effective
control over an item when you either retain physical possession of
the item, or secure the item in such an environment as a hotel safe,
a bonded warehouse, or a locked or guarded exhibition facility.
Retention of effective control over an item is a condition of
certain temporary exports and reexports.
Empowered Official - a U.S. person who:
(1) is directly employed by the applicant or a subsidiary in a
position having authority for policy or management within the
applicant organization; and
(2) Is legally empowered in writing by the applicant to sign license
applications or other requests for approval on behalf of the
applicant; and
(3) Understands the provisions and requirements of the various
export control statutes and regulations, and the criminal liability,
civil liability and administrative penalties for violating the Arms
Export Control Act and the International Traffic in Arms
Regulations; and
(4) Has the independent authority to:
(i) Enquire into any aspect of a proposed export or temporary import
by the applicant, and
(ii) Verify the legality of the transaction and the accuracy of the
information to be submitted;
(iii) Refuse to sign any license application or other request for
approval without prejudice or other adverse recourse. (22 C.F.R.§
120.25)
End-use - A detailed description of how the ultimate consignee
intends to use the commodities being exported.
End-user - The person abroad that receives and ultimately uses the
exported or reexported items. The end-user is not a forwarding agent
or intermediary, but may be the purchaser or ultimate consignee.
Export - Generally, an export means (1) an actual shipment or
transmission of items controlled under the EAR or ITAR out of the
United States; (2) any written, oral, or visual release or
disclosure of controlled technology, information, or software to a
Foreign Person either in the United States or outside the United
States, or (3) any actual use or application of controlled
technology on behalf of or for the benefit of any foreign entity or
person anywhere.
Export Administration Regulations (EAR) – (15 CFR § 774) Code of
Federal Regulations (CFR) promulgated and implemented by the
Department of Commerce that regulate the export of goods and related
technology identified on the Commodity Control List (CCL), Title 15
CFR 774, Supp. 1. Goods and technology on the CCL are not inherently
military in nature; they are primarily and inherently commercial or
potentially commercial in nature.
Export Control Classification Number (ECCN) - Identifies items on
the Commerce Control List that are subject to the export licensing
authority of the Bureau of Industry and Security.
Exporter - The person who has authority of a principal party in
interest to determine and control the sending of items out of the
country.
Export license - The approval documentation issued by an export
agency authority authorizing the recipient to proceed with the
export, reexport, or other regulated activity as specified on the
application.
Foreign Person - Both the EAR and ITAR define “foreign person” as
any foreign corporation, business association, partnership, trust,
society, or any other entity or group that is not incorporated or
organized to do business in the United States as well as
international organizations, foreign governments and any agency or
subdivision of foreign governments (e.g. diplomatic missions), and
anyone who is not a U.S. citizen, a lawful permanent resident of the
United States (i.e., a “green card” holder) or who does not have
refugee or asylum status in the United States.
'Foreign national’ is not an ITAR term per se, but the ITAR does
define the term “foreign person” as any natural person who is not a
lawful permanent resident or who is not a “protected individual”.
This also includes any governmental entity.
Forwarding agent - This is the person in the country of origin who
is authorized by a principle party in interest to perform the
services required to facilitate the export of the items from the
country of origin. This may include air couriers or carriers. In
routed export transactions, the forwarding agent and the exporter
may be the same for compliance purposes under the EAR.
Fundamental Research - (EAR and ITAR) means basic or applied
research in science and engineering performed or conducted at an
accredited institution of higher learning in the United States where
the resulting information is ordinarily published and shared broadly
in the scientific community. Fundamental research is distinguished
from research that results in information that is restricted for
proprietary reasons or national security reasons (EAR) or pursuant
to specific U.S. government access and dissemination controls (ITAR).
Fundamental Research Exclusions - The EAR provides that university
research normally will be considered as fundamental research unless
the university or its researchers accept sponsor 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 or to insure that publication will not compromise patent
rights of the sponsor. The citation for the official definition of
fundamental research under the EAR 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(8).
Good - Any article, natural or man-made substance, material, supply,
or manufactured product, including inspection and test equipment,
and excluding technology.
Intermediate consignee - The person who acts as an agent for a
principal party in interest for the purpose of affecting the
delivery of items to the ultimate consignee. The intermediate
consignee may be a bank, forwarding agent, or other person who acts
as an agent for a principal party in interest.
International Trafficking in Arms Regulations (ITAR) – The
International Traffic in Arms Regulations (ITAR), 22 CFR § 120-130,
regulations promulgated and implemented by the Department of State
that control the export of articles, services, and related technical
data that are inherently military in nature, as determined by the
State Department. These “defense articles,” “defense services,” and
related “technical data” are listed on the Munitions List (USML), 22
CFR § 121. Even some articles and technologies that are not readily
identifiable as inherently military in nature—for example, research
satellites—are included on the USML.
Know/Knowledge - (EAR 15 CFR Part 772) Knowledge of a circumstance
(the term may be a variant, such as "know," "reason to know," or
"reason to believe") includes not only positive knowledge that the
circumstance exists or is substantially certain to occur, but also
an awareness of a high probability of its existence or future
occurrence. Such awareness is inferred from evidence of the
conscious disregard of facts known to a person and is also inferred
from a person's willful avoidance of facts. This definition does not
apply to part 760 of the EAR (Restrictive Trade Practices or
Boycotts).
The Arms Export Control Act (AECA) and International Traffic in Arms
Regulations (ITAR) do not specifically define the term "willful,"
"willfully," "know," or "knowledge." A court held in 1996, however,
that AECA and ITAR were not unconstitutionally vague with regard to
meaning of term "willful" used in criminal penalty provisions, in
light of limiting judicial construction given to that term.
Bernstein v. U.S. Dept. of State , 922 F.Supp. 1426 (N.D.Cal. 1996).
License – Authority issued by the Bureau of Industry and Security
authorizing an export, reexport, or other regulated activity. The
term “license” does not include authority represented by a “License
Exception.”
License Exception - An authorization described in part 740 of the
EAR that allows you to export or reexport, under stated conditions,
items subject to the EAR that otherwise would require a license.
Unless otherwise indicated, these License Exceptions are not
applicable to exports under the licensing jurisdiction of agencies
other than the Department of Commerce.
Medicines - Medicines means “drug” as defined in section 201 of the
Federal Food, Drug and Cosmetic Act (21 U.S.C. 321). For purposes of
the EAR, medicines includes prescription and over the counter
medicines for humans and animals. Note that certain medicines, such
as vaccines and immunotoxins, are on the Commerce Control List. Only
items meeting the definition of “medicine” and that are classified
as EAR99 are eligible for export to Iran and Sudan under the
licensing procedures set forth in the appropriate regulations
promulgated and administered by Treasury’s Office of Foreign Assets
Control.
Munitions List - articles, services and related technical data
designated as defense articles and defense services pursuant to the
Arms Export Control Act.
Office of Foreign Assets Control (OFAC) – The office at the
Department of the Treasury responsible for blocking assets of
foreign countries subject to economic sanctions, controlling
participation by U.S. persons, including foreign subsidiaries, in
transactions with specific countries or nationals of such countries,
and administering embargoes on certain countries or areas of
countries. (see 31 CFR parts 500 through 590.)
Person – A natural person, including a citizen or national of the
United States or of any foreign country; any firm; any government,
government agency, government department, or government commission;
any labor union; any fraternal or social organization; and any other
association or organization whether or not organized for profit.
This definition does not apply to part 760 of the EAR (Restrictive
Trade Practices or Boycotts).
Port of export –The port where the cargo to be shipped abroad is
laden aboard the exporting carrier. It includes, in the case of an
export by mail, the place of mailing.
Publicly available information – (EAR; part 732) Information that is
generally accessible to the interested public in any form and,
therefore, not subject to the EAR.
Publicly available technology and software – (EAR; §734.3(b)(3))
Technology and software that are already published or will be
published; arise during, or result from fundamental research; are
educational; or are included in certain patent applications.
Public Domain - (ITAR; 22 CFR § 120.11) means information that is
published and that is generally accessible or available to the
public: (1) through sales at newsstands and bookstores; (2) through
subscriptions which are available without restriction to any
individual who desires to obtain or purchase the published
information; (3) through second class mailing privileges granted by
the U.S. government; (4) at libraries open to the public or from
which the public can obtain documents; (5) through patents available
at any patent office; (6) through unlimited distribution at a
conference, meeting, seminar, trade show, or exhibition, generally
accessible to the public, in the United States; (7) through public
release (i.e., unlimited distribution) in any form (e.g., not
necessarily in published form) after approval by the cognizant U.S.
government department or agency; and (8) through 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.
Purchaser - The person abroad who has entered into a transaction to
purchase an item for delivery to the ultimate consignee. In most
cases, the purchaser is not a bank, forwarding agent, or
intermediary. The purchaser and ultimate consignee may be the same
entity.
Reasons for Control – Reasons for Control are: Anti-Terrorism (AT),
Chemical & Biological Weapons (CB), Crime Control (CC), High
Performance Computer (XP), Missile Technology (MT), National
Security (NS), Nuclear Nonproliferation (NP), Regional Stability
(RS), Short Supply (SS), and United Nations sanctions (UN). Items
controlled within a particular ECCN may be controlled for more than
one reason.
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 reexport of
items subject to the EAR that will transit through a country or
countries to a new country, or are intended for reexport to the new
country, are deemed to be exports to the new country.
In addition, for purposes of satellites controlled by the Department
of Commerce, the term “reexport” also includes the transfer of
registration of a satellite or operational control over a satellite
from a party resident in one country to a party resident in another
country.
Software – A collection of one or more “programs” or “microprograms”
fixed in any tangible medium of expression.
Specially Designated National (SDN) - List of designated entities
and individuals found by the US. Government to be agents of the
sanctioned countries, terrorism sponsoring organizations,
international narcotics traffickers, weapons proliferators or
otherwise engaged in activities that threaten the security of the
US.
Specified Technologies - Technologies, items or information that
appear on either the Commerce Control List (CCL) or the U.S.
Munitions List (USML).
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. This includes
information in the form of blueprints, drawings, plans,
instructions, diagrams, photographs, etc. May take forms such as
blueprints, plans, diagrams, models, formulae, tables, engineering
designs and specifications, 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 (ITAR 120.10(5)).
Technology - Any specific information and know-how (whether in
tangible form, such as models, prototypes, drawings, sketches,
diagrams, blueprints, manuals, 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.
Transfer – A transfer to any person of items subject to the EAR
either within the United States or outside of the United States with
the knowledge or intent that the items will be shipped, transferred,
or transmitted to an unauthorized recipient.
Ultimate consignee - The principal party in interest located abroad
who receives the exported or reexported items. The ultimate
consignee is not a forwarding agent or other intermediary, but may
be the end-user.
U.S. person - An individual who is a citizen of the United States or
a foreign national with a visa status of Legal Permanent Resident (LPR).
An LPR is also known as a Permanent Resident Alien (PRA).
U.S. Government Restricted Party List - The U.S. export controls
regulate transactions with certain specified entities and
individuals, including those named on the following lists
(collectively referred to as “Restricted Party Lists”), accessible
at: http://www.bis.doc.gov/ComplianceAndEnforcement/ListsToCheck.htm.
WMD – Weapon(s) of mass destruction.
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