Key Terms and Definitions

There are a number of key terms that are important to understanding your and the university’s role in complying with export control requirements.

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Commerce Control List (CCL)

The Commerce Control List is a list that includes commodities, software and technology subject to the export licensing authority of the Bureau of Industry and Security. The CCL is contained in Supplement No. 1 to Part 774 of the EAR.

Conflict of Commitment

A situation in which an individual accepts or incurs conflicting obligations between or among multiple employers or other entities. Many organizational policies define conflicts of commitment as conflicting commitments of time and effort, including obligations to dedicate time in excess of organizational or research agency policies or commitments. Other types of conflicting obligations, including obligations to improperly share information with, or to withhold information from, an employer or research agency, can also threaten research security and integrity, and are an element of a broader concept of conflicts of commitment used in this document.
See GW CoC and CoI policies

Conflict of Interest

A situation in which an individual, or the individual’s spouse or dependent children, has a significant financial interest, or financial relationship that could directly and significantly affect the design, conduct, reporting, or funding of research.
See GW CoC and CoI policies

Deemed Export

Release of technology or software subject to a foreign national in the United States is “deemed” to be an export to the home country of the foreign national under the Department of Commerce’s Export Administration Regulations.

Defense service

Release of ITAR-governed technical data to a foreign national (including foreign national students or visitors on campus, off campus, or abroad); providing technical assistance or training to a foreign military organization in the U.S. or abroad, regardless of whether the data or information being transferred is EAR or ITAR-governed. In these instances, it is necessary to first obtain a Technical Assistance Agreement from the State Department prior to releasing the data or conducting the activity.

Dual Use

“Dual use” describes tangible items, software, and/or technology that have both a civilian and military use.

Development

Development refers to activities related to all stages prior to serial production such as: design, design research, design analysis, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, and layouts.

Educational information

Course material (curriculum) is considered in the public domain if it is released by instruction in catalog courses and associated teaching laboratories. This does not apply to material which incorporates proprietary information or to encryption software exceeding 64-bits.

Equity Interest

An individual’s interest in a business enterprise including stock ownership, stock option(s), and/or other ownership interest.

Export

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.
Releasing or otherwise transferring controlled “technology” or source code (but not object code) to a foreign person in the United States (a “deemed export”). 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.
A domestic transfer of controlled items or technology with the knowledge that such will be transferred internationally.

Export Administration Regulations (EAR)

The Export Administration Regulations are a set of federal regulations that regulate the export and re-export of most commercial “dual use” items (not necessarily funded or specifically designed for a defense purpose, but capable of performing a defense function)

Export Control Classification Number (ECCN)

An export control classification number is an alpha-numeric code, e.g., 3A001, used by the Department of Commerce to classify most commercial items. An ECCN describes a particular item or type of item, and shows the controls placed on that item. All ECCNs are listed in the Commerce Control List (CCL) (Supplement No. 1 to Part 774 of the EAR).

Foreign Component

The performance of any significant scientific element or segment of a project outside of the United States, either by the recipient or by a researcher employed by a foreign organization, whether or not grant funds are expended.
See Federal Agencies requirements on Foreign Component

Foreign Country of Concern (FCC)

Foreign Country of Concern is defined as the People’s Republic of China, the Russian Federation, the Islamic Republic of Iran, the Democratic People’s Republic of Korea, including any agency of or any other entity under significant control of such foreign country of concern.

Foreign Influence

The term “foreign influence” has been coined by various federal agencies. Generally, the term refers to a set of actions carried out by a foreign entity against a U.S. party/parties, by which the foreign party positions itself to obtain a benefit not intended for it (potentially by illegal means). “Foreign influence” is often used to illegally obtain U.S. intellectual property and technology, compromise U.S. computer systems, and/or affect the course of U.S. research to benefit the foreign instigator(s).

Foreign Person/Entity

Any natural person who is not a U.S. citizen, a lawful permanent resident or who is not a protected individual [with refugee or asylee status]. The terms also incorporates 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).

Fundamental Research

Basic and applied research in science and engineering, where the resulting information is ordinarily published and shared broadly within the scientific community is considered fundamental research. Such research can be distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary reasons or specific national security reasons.
Research conducted by scientists, engineers, or students at any accredited institution of higher learning in the United States normally will be considered fundamental research, assuming there are no publication or citizenship restrictions associated with the scope of work.
Prepublication review by a sponsor of university research solely to ensure that the publication would not inadvertently divulge proprietary information that the sponsor has furnished to the researchers does not change the status of the research as fundamental research. However, release of information from a corporate sponsor to university researchers where the research results are subject to prepublication review will require further export review.
Prepublication review by a sponsor of university research solely to ensure that publication would not compromise patent rights does not change the status of fundamental research, so long as the review causes no more than a temporary delay in publication of the research results.

Gift

Something of value that is given to the institution by a donor who expects nothing of significant value in return, other than recognition of the gift and its disposition in accordance with the donor’s wishes. A gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or other item having monetary value. It includes services as well as gifts of training, transportation, local travel, lodgings, and meals.
See GW Gift Acceptance Policy

In-kind Support

Non-cash resources provided to a researcher, including items, supplies, equipment, services, labor, etc.

International Activity

Research, training, and/or education carried out in cooperation with international counterparts either overseas or in the U.S. using virtual technologies.

International Collaborator

Any individual who works for or on behalf of a non-U.S. entity and engages with one or more institutional personnel for the purposes of teaching, lecturing, performing research, or engaging in other professional activities, and where such engagement occurs outside of the United States.

International Collaboration

Occurs between the institution and an international institution for the purposes of joint development, education, research, or other professional activities. Examples include development of a joint degree program, development of a jointly owned foreign institution, etc.

International Traffic in Arms Regulations (ITAR)

The ITAR is a set of federal regulations used primarily to control the import and export of defense articles (specially designed and/or modified for defense purposes) and defense services.

Investigator

Any person who is responsible for the design, conduct, or reporting of research funded by PHS, or proposed for such funding (including collaborators or consultants).

Office of Foreign Asset Controls (OFAC)

A department of the U.S. Treasury that enforces economic and trade sanctions based on U.S. foreign policy, against countries and groups of individuals involved in terrorism, narcotics, the proliferation of weapons of mass destruction, and other activities that threaten national security, foreign policy, and/or the economy of the United States.

Other Support

In general: Any monetary and/or in-kind input by a foreign entity into institutional intellectual property (“IP”), equipment, facilities, and/or programs.
For NIH and NSF awards: Includes all financial resources, whether Federal, non-Federal, commercial or institutional, available in direct support of an individual’s research endeavors, including but not limited to research grants, cooperative agreements, contracts, and/or institutional awards.
See GW OSP Current & Pending (Other) Support

Production

Production refers to all stages related to producing a product, including product engineering, manufacture, integration assembly (mounting), inspection, testing, quality assurance.

Re-export

"Re-export" means an actual shipment or transmission of controlled tangible items, software or information from one foreign country to another foreign country. The export or re-export of controlled tangible items, software or information that will transit through a country or countries, or will be unloaded in a country or countries for reloading and shipment to a new country, or are intended for re-export to the new country, are deemed to be exports to the new country.

Remuneration

Includes salary and any payment for services not otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship).

Restricted Entities/Parties

Entities (or persons) located anywhere in the world (including the U.S) identified by the U.S. Federal Government as threats to national security, U.S. trade policy, global nuclear and biologic safety, etc. These entities include certain foreign universities and non-academic research institutions. The U.S. Government publishes and updates the names of such entities and persons in the Federal Register on an ongoing basis. U.S. universities and research institutions are often solicited by Restricted Entities/Parties who wish to benefit from a research, education, or business relationship. In general, U.S. persons and institutions are prohibited from engaging in any export-controlled transactions with a Restricted Entity/Party and, depending on the scope of restriction, engaging in financial and service-related transactions as well.
See GW Sanctions, Restricted Parties, and Restricted Party Screening

Restricted Party Screening (RPS)

The process by which restricted entities/parties are identified. Screening is often accomplished using an automated software tool, which generate immediate results based on a name-based search.
See GW Sanctions, Restricted Parties, and Restricted Party Screening

Senior/Key Personnel

Refers to individuals who are specifically and uniquely important to the study. Key Personnel typically includes the principal investigators and co-investigators but is dependent upon the individual award.
See GW OSP Current & Pending (Other) Support

Spouse of Child Financial Interest

Significant Financial Interest of a spouse or dependent children must be disclosed in accordance with the rules for reporting a Significant Financial Interest.

State Sponsor of Terrorism

Countries determined by the Secretary of State to have repeatedly provided support for acts of international terrorism are designated pursuant to three laws: section1754(c) of the National Defense Authorization Act for Fiscal Year 2019, section 40 of the Arms Export Control Act, and section 620A of the Foreign Assistance Act of 1961). Taken together, the four main categories of sanctions resulting from designation under these authorities include restrictions on U.S. foreign assistance; a ban on defense exports and sales; certain controls over exports of dual use items; and miscellaneous financial and other restrictions.

Designation under the above-referenced authorities also implicates other sanctions laws that penalize persons and countries engaging in certain trade with state sponsors. Currently there are four countries designated as State Sponsors of Terrorism: Cuba, the Democratic People’s Republic of Korea (North Korea), Iran, and Syria.

Technical Data

Technical data is defined as information that 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 and documentation. It also includes software directly related to defense articles. This definition does not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities. This definition also does not include basic marketing information on function or purpose or general system descriptions of defense articles.

United States Munitions List (USML)

The United States Munitions List includes articles, services and related technical data designated as defense articles and defense services. The State Department has stated that the USML is illustrative only, meaning that the absence of an item on the USML does not conclusively rule out the possibility of it being a defense article or defense service.

Use

Use refers to the following activities: operation, installation (including on-site installation), maintenance (checking), repair, overhaul, and refurbishing. However, certain technology controls may apply when information is gained through only one of these types of activities.