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Appendix A

Special note: The EAR broadly covers all U.S. items, and the ITAR deals with items related to military or defense application. When technical data falls within the jurisdiction of both the EAR and the ITAR, the EAR section 734.3 (b) provides an exclusion for that item, and the ITAR alone applies. For this reason, provisions of the ITAR govern the provisions of this document.

The ITAR section 125.2(a) prohibits export of technical data to a foreign person without an export license. A foreign person is defined in 120.16 as a person who is not a lawful permanent resident of the United States of America. Note that this definition does not apply to lawful permanent residents regardless of national citizenship.

Technical data covered by the ITAR includes:

  • Classified information relating to defense articles and defense services
  • Items that appear on, or are closely related to, the U.S. Munitions List
  • Information covered by an invention secrecy order
  • Information directly related to the design, engineering, development, production, processing, manufacture, use, operation, overhaul, repair, maintenance, modification or reconstruction of defense articles.

The U.S. Munitions List is found in section 121.1 of the ITAR. The USML consists of twenty-one categories of equipment, and category six is of particular significance to the mission of CAPS.

Category six, paragraphs (a), (f) and (g), and section 121.15 (paraphrased) result in an ITAR restriction for the following: "…technical data related to specifically designed or modified components, parts, accessories, attachments and associated equipment for warships, and any vessels specifically modified for military purposes, including vessels described as developmental, demilitarized or decommissioned."

Section 120.10 of the ITAR provides an exemption from ITAR control for technical data which is available in the public domain through "fundamental research". Fundamental Research is defined in 120.11(a)(8) as "…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:

  1. The University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity, or
  2. The research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable