Definitions and References

Definitions

Authorized Organizational Representative: The authorized organizational representative refers to the unit that has the authority to negotiate terms and conditions with sponsors on behalf of Ohio University. In the case of sponsored programs this authority lies with the Office of Research and Sponsored Programs.
CCL: Commerce Control List. A key in determining whether an export license is needed from the Department of Commerce is knowing whether the item you intend to export has a specific Export Control Classification Number (ECCN).
Deemed export: Occurs when information or technology subject to export control is released, disclosed, or transmitted to any foreign national in the U.S. Such a release, disclosure, or transmission is considered to be an export to the country of citizenship of the foreign national.
Disclosures to bona-fide full time employees: ITAR recognized exemption permitting the disclosure of unclassified technical data in the United States by U.S. universities to foreign nationals where: 1) the foreign national is the university’s bona fide full-time regular employee; 2) the employee’s permanent abode throughout the period of employment is in the United States; 3) the employee is not a national of an embargoed country; and 4) the university informs the employee in writing that information disclosed may not be disclosed to other foreign nationals without prior written governmental approval.
Dual use: A commercial item which also has a potential military application or raises a national security concern.
Educational information: Information that is normally released by instruction in catalog courses and associated teaching laboratories of academic institutions. Educational information is generally not subject to export controls.
Empowered official: An empowered official is someone directly employed by an organization who is legally empowered in writing to sign export license application or other requests for approval on behalf of the organization. An empowered official has the independent authority to: 1) inquire into any aspect of a proposed export by the organization; 2) verify the legality of the transaction and the accuracy of the information contained in the application; and 3) refuse to sign any license application or other request for approval without prejudice or other adverse recourse.
Export: An export occurs when an item is transferred physically from the U.S. to a foreign country, e.g., actual shipment of goods or carried during international travel, as well as when information is transmitted to a person or entity in a foreign country, whether in writing, or via email, phone, fax, internet, and verbal conversations.
Export Control Laws & Regulations: The group of regulations that include but are not limited to; ITAR, EAR, and OFAC:
- ITAR: International Traffic in Arms Regulations. Regulations under the jurisdiction of the U.S. Department of Defense governing the exports and re-exports of items and services for military use, which include defense articles, including technical data, defense technologies, and defense services. (22 CFR Parts 120-130).
- EAR: Export Administration Regulations. Regulations under the jurisdiction of the U.S. Department of Commerce governing the export, including deemed export and re-export of dual use commercial items and technologies and other commercial items and technologies without an obvious military use. (15 CFR Parts 730-774).
- OFAC: The Office of Foreign Assets Control. The federal government office, under the jurisdiction of the U.S. Department of the Treasury, responsible for administering and enforcing foreign asset control regulations. This includes economic and trade sanctions based on federal foreign policy and national security goals against targeted foreign countries, terrorists, international narcotics traffickers, and those engaged in activities related to the proliferation of weapons of mass destruction. The regulations administered by OFAC include controls with regard to specific individuals, specific organizations, and certain countries. (31 CFR Parts 500-598).
Export Control Exemption and or Exclusion: Specific, legally-recognized contests in which export control regulations are inapplicable to the transmission of information, e.g., Fundamental Research, Public Domain / Publicly available, Educational Information, and Disclosures to Bona-fide Full Time Employees (ITAR exemption only).
Export license: A written authorization provided by the appropriate governing regulatory authority detailing the specific terms and conditions under which export or re-export of exportcontrolled items is allowed.
Export license exception / exemption: An authorization that, under very specific conditions, allows for the export or re-export of items that would normally require an export license.
Foreign national: Any person who is not a U.S. citizen, or who is not a lawful permanent resident of the U.S. (i.e., not a green card holder), or who does not have refugee or asylum status in the U.S. This includes all foreign persons in the U.S. as tourists, students, businesspeople, scholars, researchers, technical experts, salespeople, military personnel, diplomats, etc. Any foreign corporation, business association, partnership, trust, society or any other foreign entity or group as well as international organizations and foreign governments are considered “Foreign National(s)”.
Fundamental research: Any basic and applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community. Information that results from Fundamental Research is not subject to export control.
In-Country transfer: The transfer of an item or information to a person or entity that is named on the Entity List maintained by the Bureau of Industry and Security in the U.S. Department of Commerce.
Item(s): Any material, technology, equipment, technical data, software, source code, or commodity, and any information useful to, or used for, the development, production, or use of any material, technology, equipment, technical data, software, source code, or commodity.
Public domain: Information that is published and that is generally accessible or available to the public via:
- sales at newsstands and bookstores;
- Subscriptions which are available without restriction to any individual who desires to obtain or purchase the published information;
- Second class mailing privileges granted by the U.S. Government;
- At libraries open to the public or from which the public can obtain documents;
- Patents available at any patent office;
- Unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the United States;
- Public release (i.e., unlimited distribution) in any form (e.g., not necessarily in published form) after approval by the cognizant federal government department or agency; and
- Fundamental research.
Re-export: A re-export occurs whenever any item or information is sent from one foreign country to another foreign country.
USML: The United States Munitions List. A list of articles, services, and related technology designated as defense and space-related by the United States federal government. This designation is pursuant to sections 38 and 47(7) of the Arms Export Control Act.

Manual References

Policy XX.XXX Export Compliance Policy 19.045 Administering External Grants and Contracts
Policy 19.048 Fraud and Misconduct in Professional Research
Policy 19.050 Submission of Proposals for Support of Research or Other Activities to Governmental Agencies, Business or Industrial Concerns, or Other Organizations
Policy 19.051 Guidelines for Sponsored Research
Policy 44.050 Physical Access Control
Policy 91.005 Information Security
Policy 91.006 Information Security Risk Management
Policy 93.001 Data Classification
Policy 93.002 Records Management and Archiving
Export Control Decision Tree
President’s Letter of Commitment to Export Compliance