Terms & Definitions
UAB exports information and items in the course of everyday activities, though the vast majority of those exports are exempt or excluded from legal requirements because they relate to fundamental research. By law, UAB is required to have a program in place to address its export control obligations. Knowledge of the legal terms used will enhance your understanding of UAB's Export Control Program. For purposes of UAB's Export Control Program, the following terms and definitions apply:
Deemed Export: A 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 recognizes 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 governmental approval.
Dual Use: Dual use refers to a commercial item which also has a potential military application or raises a national security concern.
Educational Information: Educational information is 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.
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 and Regulations: These include, but are not limited to, ITAR, EAR, and OFAC:
ITAR (International Traffic in Arms Regulations): Regulations 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. These regulations are under the jurisdiction of the U.S. Department of Defense. (22 CFR Parts 120-130).
EAR (Export Administration Regulations): Regulations 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. These regulations are under the jurisdiction of the U.S. Department of Commerce. (15 CFR Parts 730-774).
OFAC (The Office of Foreign Assets Control): The federal government office 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. OFAC is under the U.S. Department of the Treasury. (31 CFR Parts 500-598).
Export Control Exemption and/or Exclusion: Specific, legally-recognized contexts in which export control regulations are inapplicable to the transmission of information, e.g., Fundamental Research, Public Domain/Publically 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 export controlled items is allowed.
Export License Exception: An authorization that, under very specific conditions, allows for the export or re-export of items that would normally require an export license. Export License Exceptions are detailed in EAR § 740.
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. Note that the fundamental research exclusion does not cover tangible items.
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 information useful or used for the development, production, or use of an item.
Public Domain: 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 federal government department or agency; and 8) through fundamental research.
Re-Export: A re-export occurs whenever any item or information is sent from one foreign country to another foreign country.