Skip to main content
Executive Vice President for Research and Partnerships

Definitions

BIS

Bureau of Industry and Security, the office within the U.S. Department of Commerce that administers the Export Administration Regulations (EAR)

classified research

Research that involves any information or material that has been determined by the United States Government pursuant to an Executive order, statute, or regulation, to require protection against unauthorized disclosure for reasons of national security and any restricted data, as defined in paragraph r. of section 11 of the Atomic Energy Act of 1954 (42 U.S.C. 2014(y)).

Commerce Control List

The List of controlled items subject to the Export Administration Regulations (EAR). Technology or other controlled items subject to the EAR but not specifically enumerated on the CCL are considered EAR99 and are restricted, in most cases from Export to Countries/regions subject to U.S. Comprehensive Sanctions.

Contextualized Controlled Research Data

Is information generated, processed, stored, and transmitted by a controlled research project subject to export control regulation. The information has been correlated with additional input form a person, application or second data source in scope of the controlled research project. Such data is fully subject to the federal regulations and contractual obligations and effective security controls must be maintained over such data as defined by the applicable Technology Control Plan.
 
Examples of Contextualized Controlled Research Data include information consider Controlled Unclassified Information (CUI), Covered Defense Information (CDI), Technology subject to the EAR, and Technical Data subject to the ITAR.

controlled research

Research either subject to publication restrictions or dissemination controls or which involves proprietary or controlled inputs that make it subject to export control regulations. Controlled Research is often protected with a Technology Control Plan.

Controlled Unclassified Information (CUI)

Controlled Unclassified information was defined in the Executive Order 13556 as information held by or generated for the federal government that requires safeguarding or dissemination controls pursuant to and consistent with applicable law, regulations and government-wide policies that isn't classified under Executive Order 13526 or the Atomic Energy Act, as amended. Federal CUI is divided into several categories and subcategories and is listed in the CUI registry, managed by National Archives and Records Administration (NARA). CUI, by definition is federal information.

Covered Defense Information (CDI)

Is a term defined in the DFAR clause 252.204-7012 Safeguarding Covered Defense Information as unclassified controlled technical information or other information, as described in the Controlled Unclassified Information (CUI) registry that requires safeguarding or dissemination controls pursuant to and consistent with law, regulations and government wide policies and is (1) Marked or otherwise identified in a contract, task order or delivery order and provided to Purdue by or on behalf of the DoD in support of the performance of a contract or (2) collected, developed, received, transmitted, used or stored by or on behalf of the contractor in support of the performance of the contract.

Countries/regions subject to U.S. Comprehensive Sanctions

These countries/regions and their governments are sanctioned by the U.S. government. Most activities with or for entities or persons within these countries are subject to a license or authorization requirement. The list of comprehensively sanctioned countries is currently (subject to change): Cuba, Iran, North Korea, Sudan, Syria and the Crimean Region of the Ukraine. Note there are other countries subject to list-based sanctioned, which impact certain entities or persons within those countries. In most cases, these countries are also considered by the US Government to be state sponsors of terrorism. For more information see the OFAC Sanctions Programs and Country Information.

DDTC

Directorate of Defense Trade Controls, the office within the the U.S. Department of State that administers the International Traffic in Arms Regulations (ITAR)

deemed export

Releasing or otherwise transferring Technology (EAR) technical data (ITAR) or source code to a foreign person in the United States

defense article

Any item or technical data designated on the U.S. Munitions List (USML) (22 CFR § 121.1). All items on the USML are subject to the ITAR.

defense service

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. Defense services are subject to the ITAR.

EAR

Export Administration Regulations (15 CFR § 730 - 774) are the set of regulations administered by the U.S. Department of Commerce, Bureau of Industry and Security (BIS). The EAR regulates dual use items (items which have both civil and military applications) and related technology. Items subject to the EAR are categorized in the Commerce Control List (CCL) (15 CFR § 774). The EAR contains a number of defined terms (See 15 CFR §772.1)

ECCN

ECCNs are five character alpha-numeric designations used on the Commerce Control List (CCL) to identify dual-use items for export control purposes. An ECCN categorizes items based on the nature of the product, i.e. type of commodity, software, or technology and its respective technical parameters.

effective control

The condition of certain temporary exports and reexports, you maintain effective control over an item when you either retain physical possession of the item, or secure the item in such an environment as a hotel safe, a bonded warehouse, or a locked or guarded exhibition facility. (15 CFR §772.1)

export

Includes the actual shipment or transmission out of the United States, even temporarily; releasing or otherwise transferring controlled technical data to a foreign person in the United States ("deemed export")(See 15 CFR § 734.13 and 22 CFR § 120.17 for exact definitions)

export control regulations

Federal regulations that control the export of information and physical items from the U.S. or to a Foreign Person within the United States. Regulations most commonly affecting university activity are the Export Administration Regulations (EAR), the International Traffic In Arms Regulations (ITAR) and the Sanction and Embargo programs overseen by the U.S. Treasury Department's Office of Foreign Asset Controls (OFAC). There are other federal agencies and regulations that govern the export of specific items like nuclear material and medicine.

Foreign Corrupt Practices Act Compliance

When you are traveling abroad, conducting collaborations with foreign entities or hosting foreign visitors in the U.S., you should be aware of the prohibitions contained in the Foreign Corrupt Practices Act regarding the giving of anything of value to foreign officials for the improper purpose of securing business, funding or any other improper advantage. Penalties for violation of these prohibitions include prison time, heavy fines and disqualification as a government contractor for individual Principal Investigators, University officers and/or the University. The Office of the Vice President for Ethics and Compliance maintains a training video on FCPA.

foreign person

Any person who is not a U.S. Citizen or lawful permanent resident (Green Card holder), and entities that are not incorporated or organized to do business in the United States. This includes students, visiting scholars and employees on non-immigrant visas as well as foreign subsidiaries of foreign parent companies of U.S. entities.

fundamental research

Fundamental research means 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. (15 CFR § 734.8(c)) (EAR Definition)

ITAR

International Traffic in Arms Regulations (22 CFR § 120-130) are the set of regulations administered by the U.S. Department of State, Directorate of Defense Trade Controls (DDTC). The ITAR controls the export and import of defense articles and defense services. The ITAR contains a number of defined terms (See 22 CFR §120)

Material Transfer Agreement

a contract that governs the transfer of tangible research materials between two organizations, when the recipient intends to use it for his or her own research purposes. The MTA defines the rights of the provider and the recipient with respect to the materials and any derivatives. MTAs are also invaluable tools to ensure the recipient has clearance guidance on the regulatory requirements, including Export Control compliance, that might apply to the material. Contact SPS Contracting if you believe your activity warrants an MTA.

NDA Information Sheet

Form required when a non-disclousure agreement/confidentiality agreement is requested and must be reviewed by the Export Controls Team. This form gathers all the necessary information for the EC/IA team to conduct an export control analysis review before the agreement can be executed.

Non-contextualized Controlled Research Data

information that is raw output with no identifying marks generated, processed, stored, and/or transmitted under a controlled project subject to dissemination controls, export control regulations and federal cybersecurity rules. The information is raw output with no identifying marks for the controlled project. The information must be correlated with additional input from a person, application or second data source in scope of the controlled research project to become Contextualized Controlled Research Data thus in scope of the export control regulations and federal cybersecurity rules.
 
Non-contextualized Data is categorized as Restricted, under Purdue's Data Classification and Handling Procedures and is not the results of Fundamental Research. Therefore access to the data is still limited to authorized individuals as identified by a Technology Control Plan and effective security controls must be maintained over non-contextualized Controlled Research Data as defined by the Technology Control Plan. Access to the information would have potential adverse impact to the mission of the applicable controlled research project.

OFAC

Office of Foreign Asset Controls is the office within the U.S. Department of Treasury that oversees the embargo and sanction programs

personal acknowledgment form

Form required by Purdue personnel or affiliates who will need access to external confidential information received under a Purdue executed Non-disclosure agreement (NDA).

researcher

A person who is responsible for the design and conduct of research and/or reporting/publishing research outcomes.

technology

(EAR term) 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 (15 CFR part 772).

Technology Control Plan (TCP)

Project specific document used to provide clear guidelines and controls deemed necessary to safeguard controlled technical data, information or equipment that is subject to export control regulations. May also be used for federally funded research information that is subject to specific cybersecurity requirements

technical data

(ITAR term) Information 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 (22 CFR 120.9).

U.S. Government Restricted Party Lists

The U.S. government restricts certain exports, reexports and transfers of items to certain persons, entities and destinations. These restrictions are maintained by several federal agencies, including but not limited to the State, Treasury and Commerce Departments, on various lists. When a person or entity is on such a list, U.S. entities are expected to do additional due diligence to ensure that any proposed interaction doesn't involve an activity that is prohibited by U.S. law. If a proposed sponsor, subcontractor or international visitor is believed to be on one of these lists, the Export Controls Team must review the situation to determine if a license is required or if the activity can be approved. The federal government maintains a free website which searches against all such list. The website is found at https://www.export.gov/csl-search. The University reserves the right to restrict additional parties based on emerging US Government legislative or administrative guidance, or when it is otherwise in the University's best interest.
 
Purdue login to Visual Compliance (Boilerkey will be required to log in)

U.S. Person

Any person who is a U.S. Citizen, lawful permanent resident (Green Card holder), or a protected individual as defined by 8 U.S.C. 1324b(a)(3); and entities that are incorporated or organized to do business in the United States. This includes U.S. subsidiaries of foreign entities.

Need Help?

Contact the Purdue Export Controls team by email at exportcontrols@purdue.edu, by phone at (765) 494-6840, or in person on the 10th floor of Young Hall (155 S Grant St.).

Purdue University, West Lafayette, IN 47907 (765) 494-4600

© 2022 Purdue University | An equal access/equal opportunity university | Copyright Complaints | Maintained by Office of the Executive Vice President for Research and Partnerships

If you have trouble accessing this page because of a disability, please contact Office of the Executive Vice President for Research and Partnerships at vprweb@purdue.edu.