Glossary:
- Access
- Access Restrictions
- Anti-Boycott Requirements
- Applied Research
- Basic Research
- Beneficiary
- Deemed Export
- Defense Article
- Defense Service
- Denied Persons List (DPL)
- Dual-Use
- Export Administration Regulations (EAR)
- Export Control Classification Number (ECCN)
- Export
- Foreign National
- Foreign Talent Recruitment Program
- Fundamental Research
- Fundamental Research Exclusion/Exemption (FRE)
- International Traffic in Arms Regulations (ITAR)
- ITAR Category (Classification)
- Office of Foreign Assets Control (OFAC)
- NDA; CDA; PIA
- Participation Restrictions
- Publication Restrictions
- Public Domain
- Re-export
- Research (Basic and Applied)
- Restricted Party Screening (RPS)
- Sponsor
- Technology
- Technical Data
- Third Party
- Visitor
Definitions:
Access
The freedom or ability to obtain or make use of items, technology or technical data.
- 'Access' could include discussions about technology or technical data, training related to the technology, availability of technology/technical data on shared drives or websites, and use of laboratories and equipment.
Access Restrictions
Controls placed on access to export controlled articles based on nationality.
Anti-Boycott Requirements
(Per 15 CFR 760, et al)
Anti-Boycott-related activities that may be prohibited under the EAR include:
- Refusals or agreements to refuse to do business with or in a boycotted country or with blacklisted companies.
- Discrimination or agreements to discriminate against a U.S. person based on race, religion, sex, or national origin.
- Furnishing information or agreements to furnish information about business relationships with or in a boycotted country or with blacklisted companies.
- Furnishing information or agreements to furnish information about the race, religion, sex, or national origin of a U.S. person.
- Implementation of letters of credit containing prohibited boycott terms or conditions.
- Taking actions with the intent to evade Part 760 of the EAR.
See: Office of Antiboycott Compliance (OAC) for more guidance and resources.
Applied Research
An original investigation undertaken in order to acquire new knowledge directed primarily toward a specific, practical aim or objective.
Basic Research
Experimental or theoretical work undertaken primarily to acquire new knowledge in the underlying foundation of phenomena and observable facts, without specific applications toward processes or products in mind.
Beneficiary
The foreign national for whom the VDEQ (form) or I-129 petition is being submitted.
Deemed Export
A release of technology or source code that is subject to the Export Administration Regulations (EAR) to a foreign national. Such release is "deemed" to be an export to the home country or countries of the foreign national.
Defense Article
Any item or technical data designated in the U.S. Munitions List (USML). This term includes technical data recorded or stored in any physical form, models, mockups or other items that reveal technical data directly related to items designated in the USML. It does not include basic marketing information on function or purpose or general system descriptions.
*Items on the USML must have a clear military purpose to be included.
Defense Service
(1) The furnishing of assistance (including training) to foreign persons, whether in the United States or abroad in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles; or
(2) The furnishing to foreign persons of any technical data controlled under the ITAR, whether in the United States or abroad.
Denied Persons Lists (DPL)
Various offices of both the U.S. Government and international sources publish lists of persons, businesses, corporations, entities, etc. that are denied for export purposes. Included in these lists are denied persons, Specially Designated Nationals (SDN), and debarred parties.
*A 'denied party' is defined as a denied or excluded party as any party to a transaction which has been placed on any official denied persons or restricted party list, entities which are blocked from export or import transactions, or those that have been sanctioned by any government for illegal acts such as involvement in terrorism, narcotics trafficking, money laundering, or weapons proliferation.
See: Restricted Party Screening (RPS)
Dual-Use
(of equipment, goods, or technology)
Designed or suitable for both civilian and military purposes.
Export Administration Regulations (EAR)
EAR regulates the export of commercial and “dual-use” items.
Export Control Classification Number (ECCN)
A five-character alphanumeric number used to identify commodities, software, and technology listed on The Bureau of Industry and Security's (BIS) Commerce Control List (CCL) that are controlled for export. This number assists in identifying the type of controls associated with the items contained in the entry.
Export
An actual shipment of articles or related technology/technical data out of the United States or providing export-controlled technical data or technology to restricted parties anywhere, including within the United States.
See: Deemed Export
Foreign National
Any person who is not a citizen or a lawful permanent resident of the United States.
Notes:
- This definition includes representatives of foreign corporations, associations, and governments.
- The term "foreign national" or "foreign person" (as defined by 8 U.S.C. 1324b(a)(3)) does not include:
- U.S. citizens;
- foreign-born persons who have become naturalized U.S. citizens;
- foreign-born persons who have been lawfully:
- admitted for permanent residence in the U.S. (i.e. holders of "Green Cards"); or
- designated as refugees; or
- granted political asylum in the U.S.
Foreign Talent Recruitment Program
(Per the OSTP White House Memo - Feb 14, 2024, as a part of the 42 USC 19231-19237, the CHIPS and Science Act of 2022 - Section 10631b)
Any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to an individual, whether directly or indirectly stated in the arrangement, contract, or other documentation at issue.
(Per the NIST: GAO-24-106074 - Dec 14, 2023, pg. 6)
An effort organized, managed, or funded by a foreign government, or a foreign government entity, to recruit, science and technology professionals or students (regardless of citizenship or national origin, or whether having a full-time or part-time position.
Fundamental Research (and the FRE)
Fundamental Research -
Basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.
Fundamental Research Exclusion (Exemption) -
Research that qualifies as Fundamental Research is NOT subject to export controls as provided for under the federal regulations (15 CFR §734.8).
Note: Research will not be considered 'fundamental' if:
- The institution or its researchers accept restrictions on publication of scientific and/or technical information resulting from the project or activity; or,
- The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable
International Traffic in Arms Regulations (ITAR)
ITAR regulates items and information inherently military in design, purpose, or use.
ITAR Category
A Roman numeral-based system of classification, whereby utilization of I-XXI identifies articles, services, and/or related technical data designated as "defense articles" and "defense services," pursuant to the Arms Export Control Act (AECA), found on the United States Munitions List (USML) as updated by the Directorate of Defense Trade Controls (DDTC).
Office of Foreign Assets Controls (OFAC)
OFAC administers and enforces economic and trade sanctions based on US foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States.
NDA; CDA; or PIA
- Non-Disclosure Agreement (NDA)
- Confidentiality Disclosure Agreement (CDA)
- Proprietary Information Agreement (PIA)
A legal contract between at least two parties that outlines confidential material, knowledge, or information that the parties wish to share with one another for certain purposes, but restricts access to or by third parties.
Participation Restrictions
Controls placed on foreign nationals that prohibit their engagement in an activity.
Publication Restrictions
Controls placed on the free and open dissemination of any information, by any means, in any format.
Public Domain
Information which is published and generally accessible or available to the public:
- Through sales at newsstands and bookstores;
- Through subscriptions which are available without restriction to any individual who desires to obtain or purchase the published information;
- Through second class mailing privileges granted by the U.S. Government;
- At libraries open to the public or from which the public can obtain documents;
- Through patents available at any patent office;
- Through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the United States;
- 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;
- Through "fundamental research"
- See - Fundamental Research (and the FRE)
Re-export
The shipment or transmission of an item subject to the EAR from one foreign country (i.e., a country other than the United States) to another foreign country.
- Note: A re-export also occurs when there is “release” of technology or software (source code) subject to the EAR in one foreign country to a national of another foreign country
Research (Basic and Applied)
Applied Research -
An original investigation undertaken in order to acquire new knowledge directed primarily toward a specific, practical aim or objective.
Basic Research -
Experimental or theoretical work undertaken primarily to acquire new knowledge in the underlying foundation of phenomena and observable facts, without specific applications toward processes or products in mind.
See: Fundamental Research (and the FRE)
Restricted Party Screening (RPS)
The process of screening potential denied parties involved in any export transaction for the purpose of complying with U.S. Export Control Laws.
See: Denied Persons Lists (DPL)
Sponsor
In the immigration field, the term sponsor means to bring to the United States or "petition for." It can also mean the person who completes the requisite forms on the foreign national's behalf (manager, administrator, faculty member, direct supervisor, etc.)
Technology
EAR-specific - 15 CFR §772
Refers to specific information necessary for the development, production, or use of a controlled product.
- Note: This definition does not include information concerning general scientific, mathematical or engineering principals commonly taught in schools, colleges and universities, or information in the public domain.
Technical Data
ITAR-specific - 22 CFR §120.33
Refers to information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of a defense article (military specific).
This includes information in the form of blueprints, drawings, plans, instructions, diagrams, photographs, formulae, tables, engineering designs and specifications, and manuals and instructions written, recorded, or contained on media or devices such as disk, tape, or storage device. Software also comes under the general definition of "technical data."
- Note: This definition does not include information concerning general scientific, mathematical or engineering principals commonly taught in schools, colleges and universities, or information in the public domain.
Third Party
A person or group that is not Vanderbilt University Medical Center and not the U.S. Government.
Visitor
'Visitors' are individuals meeting all of the following:
- visiting VUMC campus on a short-term basis (typically less than 1 month)
- not requiring visa sponsorship by VUMC
- not employed by VUMC