Releasing or otherwise transferring “technology” or source code (but not object code) to a Foreign Person in the United States. (EAR 15 CFR § 734.13 (2))

Releasing or otherwise transferring Technical Data to a Foreign Person in the United States. (ITAR 22 CFR § 120.17 (2))

EAR99 is a designation for items that fall under U.S. Department of Commerce jurisdiction and are subject to the Export Administration Regulations (EAR) but are not listed on the Commerce Control List (CCL). 

The release of information by instruction in catalog courses and associated teaching laboratories of academic institutions is not subject to EAR. (EAR 15 CFR §734.3(b)(3)(iii))

Under the ITAR, the definition of Technical Information does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities.  (ITAR 22 CFR § 120.10(b))

(a) (1) An actual shipment or transmission out of the United States, including the sending or taking of an item out of the United States, in any manner; (2) Releasing or otherwise transferring “technology” or source code (but not object code) to a foreign person in the United States (a “deemed export”); (3) Transferring by a person in the United States of registration, control, or ownership of: 

(i) A spacecraft subject to the EAR that is not eligible for export under License Exception STA (i.e., spacecraft that provide space-based logistics, assembly or servicing of any spacecraft) to a person in or a national of any other country; or 

(ii) Any other spacecraft subject to the EAR to a person in or a national of a Country Group D:5 country. 

(b) Any release in the United States of “technology” or source code to a foreign person is a deemed export to the foreign person's most recent country of citizenship or permanent residency. 

(c) The export of an item that will transit through a country or countries to a destination identified in the EAR is deemed to be an export to that destination. (EAR 15 CFR § 734.13)

(1) An actual shipment or transmission out of the United States, including the sending or taking of a defense article out of the United States in any manner; 

(2) Releasing or otherwise transferring technical data to a Foreign Person in the United States (a “deemed export”);

(3) Transferring registration, control, or ownership of any aircraft, vessel, or satellite subject to the ITAR by a U.S. Person to a Foreign Person;

(4) Releasing or otherwise transferring a defense article to an embassy or to any of its agencies or subdivisions, such as a diplomatic mission or consulate, in the United States;

(5) Performing a defense service on behalf of, or for the benefit of, a Foreign Person, whether in the United States or abroad; or

(6) A launch vehicle or payload shall not, by reason of the launching of such vehicle, be considered an export for purposes of this subchapter. However, for certain limited purposes (see §126.1 of this subchapter), the controls of this subchapter may apply to any sale, transfer or proposal to sell or transfer defense articles or defense services. (ITAR 120 CFR § 120.17)

The EAR (15 CFR §§ 730 – 774) are a set of rules and regulations related to U.S. export control law that govern the exports, re-exports, or transfers of items, technology, and software  from the U.S. to a foreign country,  foreign entity, or to a Foreign person. The EAR are administered by the Bureau of Industry and Security (BIS) at the Department of Commerce 

Five-character alpha-numeric designations used on the Commerce Control List (CCL) to identify items, technology, or software for export control purposes. An ECCN categorizes items based on the nature of the product and its respective technical parameters.

Refers collectively to the body of U.S. laws and regulations that govern the transfer of certain materials, devices, and technical information related to such materials and devices to foreign nationals or foreign entities. These include but are not limited to the International Traffic in Arms Regulations (ITAR - 22 CFR §§ 120-130), the Export Administration Regulations (EAR - 15 CFR §§ 730 – 774), and the Office of Foreign Assets Control’s Sanctions Regulations (OFAC - 31 CFR §§ 500-599).

Any natural person who is not a citizen of the United States, a lawful permanent resident, or a protected individual. It also means 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).

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. (EAR 15 CFR § 734.8(c))

Basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls. University research will not be considered fundamental research if:

(i) The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or

(ii) The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable. (ITAR 22 CFR §120.11(a)(8))

The FRE provides that Technology, Technical Data, or software that arises during, or results from, Fundamental Research and is intended to be published is excluded from the export control regulations. (ITAR 22 CFR §120.11(8) and EAR 15 CFR §734.8)

The ITAR (22 CFR §§120-130) is a set of the U.S. government regulations that control the export of defense-related articles and services that are listed on the U.S. Munitions List (USML). The ITAR are administered by the Directorate of Defense Trade Controls at the U.S Department of State.

The OFAC administers and enforces economic and trade sanctions based on US foreign policy and national security goals against targeted foreign countries, regimes, and individuals, who are engaged in activities related to terrorism, narcotics trafficking, the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States.

The Public Information Exclusion provides that information that is Published, in the Public Domain, and generally available to the public, as well as publicly available Technology and Software, is outside the scope of the export control regulations.

(a) Public domain means 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) 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 (see also § 125.4(b)(13) of this subchapter); 

(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. Fundamental research is defined to mean basic and applied research in science and engineering where the resulting information is ordinarily published and shared broadly within the scientific community, as distinguished from research the results of which are restricted for proprietary reasons or specific U.S. Government access and dissemination controls. University research will not be considered fundamental research if: 

(i) The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or 

(ii) The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable. (ITAR 22 CFR §120.11)

(a) Except as set forth in paragraph (b), unclassified “technology” or “software” is “published,” and is thus not “technology” or “software” subject to the EAR, when it has been made available to the public without restrictions upon its further dissemination such as through any of the following:

(1) Subscriptions available without restriction to any individual who desires to obtain or purchase the published information;

(2) Libraries or other public collections that are open and available to the public, and from which the public can obtain tangible or intangible documents;

(3) Unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally accessible to the interested public;

(4) Public dissemination (i.e., unlimited distribution) in any form (e.g., not necessarily in published form), including posting on the Internet on sites available to the public; or

(5) Submission of a written composition, manuscript, presentation, computer-readable dataset, formula, imagery, algorithms, or some other representation of knowledge with the intention that such information will be made publicly available if accepted for publication or presentation:

(i) To domestic or foreign co-authors, editors, or reviewers of journals, magazines, newspapers or trade publications;

(ii) To researchers conducting fundamental research; or

(iii) To organizers of open conferences or other open gatherings.

(b) Published encryption software classified under ECCN 5D002 remains subject to the EAR unless it is publicly available encryption object code software classified under ECCN 5D002 and the corresponding source code meets the criteria specified in § 742.15(b) of the EAR. (EAR 15 CFR §734.7)

“Technology” and “Software” are “Released” through (1) visual or other inspection by a Foreign Person of items that reveals “technology” or source code subject to the EAR to a Foreign Person; or (2) oral or written exchanges with a Foreign Person of “technology” or source code in the United States or abroad. (EAR 15 CFR §734.15)

Technical Data is released through (1) Visual or other inspection by foreign persons of a defense article that reveals technical data to a foreign person; (2) Oral or written exchanges with foreign persons of technical data in the United States or abroad; (3) The use of access information to cause or enable a foreign person, including yourself, to access, view, or possess unencrypted technical data; or (4) The use of access information to cause technical data outside of the United States to be in unencrypted form. (ITAR 22 CFR §120.50)

Degree granting institutions that have been placed on the Department of Commerce Entity List and that are subject to export and transfer restrictions. Research collaborations and the exchange of items or information with any Entity Listed institution, as well as visitors to Brown who are employed by, representatives of, or affiliated with any Entity Listed institution, must be vetted by the ECO. See Brown’s export control website for the current list.

A Restricted Party is an individual, company, organization, or vessel with which US persons/entities (including their subsidiaries and agents in other countries) may not engage without a specific license

A collection of one or more “programs” or “microprograms” fixed in any tangible medium of expression. (EAR 15 CFR §772.1)

Software under ITAR includes but is not limited to the system functional design, logic flow, algorithms, application programs, operating systems, and support software for design, implementation, test, operation, diagnosis and repair. (ITAR 22 CFR § 120.45)

OFAC maintains a list of individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries. This list also includes individuals, groups, and entities, such as terrorists and narcotics traffickers, designated under programs that are not country-specific. Collectively, such individuals and companies are called "Specially Designated Nationals" or "SDNs." Their assets are blocked and U.S. Persons are generally prohibited from dealing with them.

(a) Technical Data means the following for purposes of ITAR regulations: 

(1) Information, other than software as defined in 22 CFR § 120.10(a)(4), which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of defense articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions or documentation.

(2) Classified information relating to defense articles and defense services on the U.S. Munitions List and 600-series items controlled by the Commerce Control List;

(3) Information covered by an invention secrecy order; or

(4) Software (see 22 CFR § 120.45(f)) directly related to defense articles.

(b) The definition in paragraph (a) does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain as defined in 22 CFR § 120.11 or telemetry data as defined in note 3 to Category XV(f) of 22 CFR Part 121. It also does not include basic marketing information on function or purpose or general system descriptions of defense articles. (ITAR 22 CFR §120.10)

Information necessary for the “development,” “production,” “use,” operation, installation, maintenance, repair, overhaul, or refurbishing (or other terms specified in ECCNs on the CCL that control “technology”) of an item. (EAR 15 CFR § 772,1)

A plan that formalizes processes and procedures for University Personnel using controlled products or technology. A TCP is implemented to ensure that controlled products and technology are not shared with or accessed by unauthorized personnel or otherwise exported without the necessary U.S. government authorization.

Brown University faculty, staff, visiting scientists, postdoctoral fellows, students, and anybody else who is paid by or otherwise engaged by Brown University to conduct research, teach, or provide services at or on behalf of Brown University.

Pursuant to the EAR and the ITAR a U.S. Person includes:

• any individual who is granted U.S. citizenship; or
• any individual who is granted U.S. permanent residence ("Green Card" holder); or
• any individual who is granted status as a "protected person" under 8 U.S.C. 1324b(a)(3); or
• any corporation/business/organization/group incorporated in the United States under U.S. law; or
• any part of U.S. government. (ITAR 22 CFR § 120.16  and EAR 15 CFR § 772.1)

is the Delegated Empowered Official for the University’s export control compliance program. The VPR reviews and approves any exceptions to the University’s commitment to open academic exchange, including granting approval for the use of ITAR-controlled technology at the University.

is responsible for developing and implementing this policy and the procedures outlined in the University’s Export Control Compliance Manual.

has direct day-to-day responsibility for administering the University’s Export Control Compliance Program. The ECO assists University Personnel in assessing export control requirements on a case-by-case basis. If a license is required for a proposed export related to University responsibilities or to the University’s business, the ECO will facilitate and coordinate the license application process.

provides legal counsel to the VPR and ORI on export control related matters.

is comprised of cross-institutional representatives from within the University and provides guidance to the VPR and ORI regarding export control compliance at the University, including, but not limited to, developing policies, guidelines, procedures, and education and outreach programs pertaining to export control compliance.