FAQ & Glossary

The Department of Commerce, has set forth anti-boycott laws that prohibit U.S. institutions and companies from participating in another nation’s economic boycotts or embargoes. If Vanderbilt University is asked to enter into an agreement or provide information that would violate anti-boycott laws, it must report it to the Government, even if the term is negotiated out of the research agreement.

The Commerce Control List (CCL) is 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 15 C.F.R. §738.2.

A deemed export is the transfer of export controlled technology or technical data to a foreign national within the United States. Exposing a non-U.S. Person to export controlled information is considered the same as exporting information directly to that person’s country. It can occur not only when the technology or data is shared with a foreign national, but also when U.S. person provides technical assistance on the development, production, or use of export controlled technology to a foreign national. Methods of transfer can include email, visual inspection, conversation, observation, or demonstration.

Federal Regulations require Vanderbilt to assess whether an export license must be obtained prior to hiring an employee, and to certify to those findings.

A defense article is any item or technical data that is specifically designed, developed, configured, adapted, or modified for military or space use. This can include models, mockups, or data for parts and components that make up the defense articles. 22 C.F.R. §120.6

A defense service is providing assistance to foreign persons, whether in the U.S. or abroad, in the design or development of defense articles. This service may be in the form of providing training, engineering, production, testing, repair, maintenance, operation, destruction, or processing of a defense article. 22 CFR 120.9

Certain governments, groups, and individuals are subject to trade sanction programs and other restrictions enforced by the Office of Foreign Assets Control (OFAC). These targeted foreign regimes and individuals are typically engaged in activities that are a threat to the national security, foreign policy, or economy of the United​ States. They are listed as denied or blocked parties and we are restricted in our interactions with them. Restrictions vary depending on the nature of debarment.

Items, information, and software designed for commercial or civil purposes, but with potential military applications.

Retaining physical possession of the equipment at all times or securing the item in a secure environment such as a hotel safe, a bonded warehouse, or a locked or guarded meeting or conference facility.

Embargo is a trade barrier that results in partial or complete prohibition with a country where most all interactions and activities require authorized export license or license exemption.

An export is any transfer of an item or information to a foreign country or to a foreign national, wherever located. This transmission can be oral, written, visual disclosure, shipment, hand-carrying items while traveling, or providing technical assistance.

A more in-depth definition may be found at 15 CFR 734.13 or 22 C.F.R. 120.17.

A group of federal laws & regulations that control:

• Products
• Services
• Information

For reasons of foreign policy and national security and is ever changing.

The Export Control Classification Number (ECCN) is a BIS classification of items that are subject to the EAR. Each ECCN is unique and licensing requirements vary per country. All ECCNs are listed in the Commerce Control List (CCL) (Supplement No.1 to Part 774 of the EAR).

A written authorization by the federal government for the export or re-export of goods and technology from the United States. The application process for an export license can take months and there is no guarantee a license will be granted.

As part of a Technology Control Plan (see below), specific measures to control physical access within a facility. These measures may include badges, escorts, segregated work areas, etc.

Any person who is not a

• U.S. Citizen
• U.S. Permanent Resident
• Asylum Refugee as granted by the U.S. Government

Research in science, engineering, or mathematics, the results of which ordinarily are published and shared broadly within the research community, and for which the researchers have not accepted restrictions for proprietary or national security reasons. 15 CFR 734.8(c)

An exclusion from export controls for fundamental research that might otherwise be controlled for export by either the EAR or ITAR to be excluded (15 CFR §734.8 and,  respectively), when there is an intent and ability to publish.

The ITAR Category is a DDTC classification of defense articles and services subject to the ITAR. All defense articles and services are listed on the USML in 21 categories. A detailed listing can be found in 22 C.F.R 121.1. ITAR controlled articles and services are restricted to all foreign nationals, wherever located.

As defined in the EAR, 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.

An exemption from export controls that allows the export of controlled items without first obtaining a license. These license exceptions have include limited circumstances under which it is applicable and specific criteria that must be met in order to be eligible to use. 15 C.F.R. Part 740.

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.)

Information which is published and which 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. At libraries open to the public;
4. Through patents available at any patent office;
5. Through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the United States.

The transfer of controlled items, information, and software from one foreign country to another foreign country.

A restriction on specific transactions with targeted foreign countries, regimes, and individuals, the level of which is influenced by foreign relations and national security.

Specific information necessary for the “development,” “production,” or “use” of a product. The information takes the form of “technical data” or “technical assistance.” Information that is generally accessible or available to the public is not “technology” subject to export controls.

A Technology Control Plan is typically project specific and outlines controls to prevent unauthorized disclosure of information. These measures may include IT security and physical security.

A Vanderbilt-owned item used to conduct Vanderbilt University business, for exhibition or demonstration, or for inspection, testing, calibration, or repair.

Clauses that may be found in research agreements and negate the ability to use the Fundamental Research Exclusion (FRE). These clauses contain restrictions on one of the following:

• Publication (requires sponsor approval)
• Participation (based on nationality)
• Dissemination (limits who can access)

They can be encountered at both the prime and sub level and if not removed from the agreement, may subject the project to the full weight of export controls.

Technology required for the operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing of an item.

• A United States citizen
• A Permanent resident of the U.S., (a Green Card holder)
• An asylum refugee as granted by the U.S. Government.

US persons also include organizations and entities, such as universities, incorporated in the US. The general rule is that only US persons are eligible to receive controlled items, software or information without first obtaining an export license from the appropriate agency unless a license exception or exclusion is available.

A visitor is anyone who not Vanderbilt personnel (faculty, staff, student, post doc, intern, etc.) and is on Vanderbilt property. Examples of a foreign national visitor might be exchange students, collaborating faculty, and conference speakers and attendees that are not Vanderbilt personnel.

An authorization by the Vice Provost for Research to set aside the University’s research mission by allowing publication restrictions and/or foreign national participation restrictions.