Export Controls Glossary
When dealing with export controls, you'll encounter a number of terms with specific legal meanings.
|Controlled Items||Includes defense articles, dual-use items, and any other technologies identified on either the United States Munitions List or Commerce Control List as subject to export controls. Note that “items” in this context may refer to information or software source code in addition to tangible items like lab equipment, chemical samples, or biological specimens.|
|Deemed Exports||Includes disclosures of information or software source code to foreign nationals, regardless of format or location. For example, emailing or verbally discussing research data with a foreign national, or making source code available for download by the general public.|
|Defense Articles||Any items or information that serve primarily military or intelligence applications, with few or no civilian applications.|
|Dual-Use Items||Includes tangible items, software, and other technologies that have both civilian and military applications.|
|Exports||Includes shipments of tangible items to recipients outside the United States as well as transmissions of information in any format to foreign persons, including faculty, staff, and students, wherever located. Examples include shipping equipment or physical samples to a colleague in another country, or emailing or verbally discussing research data with a foreign national.|
|Export Licenses||Written authorizations provided by a federal agency that allow exports or deemed exports of specific items or information to specific recipients for specific end-uses. Licenses are generally required in order to export controlled items, depending on the nature of the item, the intended recipient, and the recipient’s intended end-use. In some circumstances, it may also be necessary to obtain a license in order to export an uncontrolled item to a recipient in a particular location (for example, an embargoed country). Not all exports and deemed exports require licenses.|
|Export License Exceptions||Limited circumstances under which exports or deemed exports of controlled items are allowed without first obtaining an export license. These exceptions are detailed at 15 C.F.R. 740.|
|Foreign Persons||Any persons or entities who do not fall into one of the following categories:
|Fundamental Research||Refers to basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community. Data and other information that result from fundamental research are not subject to export controls.
However, if controlled items are used to conduct research, these items remain controlled, regardless of whether the work itself constitutes fundamental research. If any portion of the research does not qualify as fundamental research - for example, if the sponsor prohibits or restricts publications - the project may be subject to export controls and may require a technology control plan.
|Restricted Parties||Entities and individuals subject to export sanctions under federal law. Generally speaking, these sanctions prohibit U.S. persons from exporting goods, technologies, or services (including but not limited to controlled items) to the sanctioned entity or individual. Restricted parties include companies, universities, and even scholars or students. The terms of the sanctions may prevent the University of Illinois from collaborating in research or other programs with a sanctioned university, accepting gifts from a sanctioned entity, or hosting students or scholars from a sanctioned entity (even if the individuals are not themselves subject to sanctions).
Transactions involving restricted parties are not always prohibited, but they usually require that the university obtain an export license. Several federal agencies maintain lists of restricted parties, which are updated regularly. If you have questions about collaborating with or hosting a visitor from a foreign university, please contact the Export Compliance Officer at email@example.com or (217) 300-6385.
Additionally, you can use the federal Consolidated Screening List to conduct preliminary screenings, but please note that final determinations must be made by the Export Compliance Officer.
|Technology Control Plans||Documents that record procedures for securing and managing access to controlled items. TCPs may be specific to individual research projects, or may be established to secure equipment or information that is used for several activities. TCPs are separate from biosafety and radiation safety protocols, and may be required in addition to them.|
|U.S. Persons||Any persons or entities who fall into one of the following categories: