United States export controls exist to protect the national security and foreign policy interests of this country. Export controls govern the shipment, transmission, or transfer of certain sensitive items, information or software to foreign persons or entities. Where applicable, they may require authorization from the US Government in the form of an export license. Most of the items, information or software that the University of Vermont (UVM) ships or shares with its colleagues and research partners is not of a nature that would be restricted for these purposes, nor are they destined for countries or individuals subject to US embargoes or sanctions. The University however is required to exercise due diligence, and this Decision Tree has been crafted for the purpose of complying with US trade law.
The pages that follow will guide you through a series of Questions (click to preview the questions) where your response will be either "Yes" or "No" leading to a determination of whether or not is an export control license applicable to your particular situation.
Remember that export controls may apply when an item, information or software is being sent outside US borders, OR when it is being shared with "foreign persons or entities" in the US.
A "foreign person" is anyone who is not a "US person". A US person is a citizen of the United States, a lawful permanent resident alien of the United States (a "green card holder"), a refugee, protected political asylee or someone granted temporary residency under amnesty or Special Agricultural Worker provisions. The word "person" includes organizations and entities, such as universities. The general rule is that only US persons are eligible to receive controlled items, information or software without first obtaining an export license from the appropriate agency.
You may find it useful to note that export controls are frequently, but not exclusively, associated with items, information or software within the following general areas:
- Chemical, Biotechnology and Biomedical Engineering
- Materials Technology
- Remote Sensing, Imaging and Reconnaissance
- Navigation, Avionics and Flight Control
- Propulsion System and Unmanned Air Vehicle Subsystems
- Nuclear Technology
- Sensors and Sensor Technology
- Advanced Computer/Microelectronic Technology
- Information Security/Encryption
- Laser and Directed Energy Systems
- Rocket Systems
- Marine Technology
The questions in this Decision Tree use terminology derived from the regulations of the US Departments of State, Commerce and Treasury. These questions ask about sharing, shipping, transmitting or transferring any items, information or software. Violations of these export control regulations can lead to significant civil and criminal penalties.
- ITEMS refers to any tangible things, equipment or hardware.
- INFORMATION can include technical data such as models, formulae, engineering designs and specifications, or technical assistance such as training or instruction.
- SOFTWARE refers to a collection of one or more computer programs or microprograms in either source code (programming statements) or object code (machine-readable instructions).
Please review the content of UVM's Export Controls Policy to ensure that you comply with "all" US export control laws and regulations.
Also, as you step through the Export License Decision Tree's questions, you may have additional questions of your own. If so, please contact Victoria Jones, Research Integrity Compliance Officer or Brian Prindle, Executive Director, Research Administration.
The "Export License Decision Tree" link on the left column will return you to this "starting point." The "Back" button on your browser will return you to the immediately preceding question or to the page you may have linked to from one of the questions.
This material is adapted from the basic design and content of Stanford University's Decision Tree. We appreciate Stanford in granting us permission to use its content for the benefit of the University of Vermont.
last updated 11/2/17