Deemed Export: means the release of export-controlled technology to foreign persons in the U.S., which is then "deemed" to be an export to the foreign person’s home country. 

Empowered Official (EO): The University named EO is the Vice President for Research. The EO has the independent authority to:

1. Inquire into any aspect of a proposed export, temporary import, or any other transaction within the scope of export control regulations.

2. Verify the legality of the transaction and the accuracy of any information to be submitted for export licensing or other approval authority.

3. Refuse to sign any export license application or other request for approval without retribution.

4. Initiate and pursue all forms of investigation. Initiate violation or non-compliance reporting to the appropriate governing body when deemed necessary.

5. Delegate some or all of the EO responsibilities to one or more designee.

U.S. Person: A person who is: 1) a U.S. citizen (whether born or naturalized); 2) a lawful permanent resident of the U.S. (green card holders); or 3) a protected individual (granted asylum or refugee status). Corporations incorporated in the United States are U.S. persons for purposes of the ITAR and EAR. 

Foreign Person: Any person who is not a U.S. Person as defined above, including foreign governments or entities not incorporated to do business in the U.S.

Technology Control Plan:  A Technology Control Plan is a document that outlines the procedures to safeguard and secure certain export-controlled items (technical data, materials, software, or hardware) from unauthorized use, access, and observation by foreign persons. Technology Control Plans are project specific and customized dependent on the security measures needed for the circumstances and situations. Technology Control Plans are developed by the University Research Compliance Officer with assistance from the project Principal Investigator (PI). The project PI is responsible for the Technology Control Plan implementation, monitoring, and non-compliance reporting.

University Personnel: means all University of Vermont employees, students, trainees, visitors, and other persons retained by or are working at the University who are involved in research, scholarly activities, or otheractivities subject to export controls.

University Personnel play an important role in export control compliance by identifying potential export-controlled activities and where such activity is identified, contact the appropriate operational office listed in the contact section below, where further review and action will be taken, as needed.

Without approval coordinated through the Office of the Vice President of Research, University Personnel  may not engage in the transfer of export-controlled information, equipment, technology, technical data, services or any other export-controlled commodity to a foreign country, a foreign person, including a foreign person located within the U.S.

Such an approval to transfer to any export controlled tangible item, equipment, technical and scientific data, information or software to a foreign country or foreign person, including a deemed export may require a government approved export license or other government approval.

Requests for an export license must be initiated and coordinated through the Office of the Vice President of Research.

License reviews, applications, approvals, or denials under this policy can take up to 3-6 months or longer before a final determination is made. Each license is for a specific export transaction.

In addition, University Personnel may be prohibited from conducting any activity with the foreign entities and individuals that are the subject to U. S. Treasury sanctions and embargos unless prior authorization is received from the Office of Foreign Assets Control.

Requests for approvals to conduct activities with embargoed and sanctioned countries or individuals must be initiated and coordinated through the Office of the Vice President of Research.

Sponsored Project Administration (SPA) procedures implementing this policy can be found at the following webpage: Research Integrity - Export Control Regulations.

Following SPA procedures, any identified export-controlled award will require a Technology Control Plan. The project Principal Investigator is responsible for the subsequent Technology Control Plan implementation and monitoring, including making sure all University Personnel working on an export-controlled project complete the required export control training as listed in the below training section.

If a University researcher needs to export any item restricted for export under Export Control laws, including a deemed export, the export activity must pause until a review to determine if a license is required under the U.S. export control laws and regulations.

Alleged violations of this policy should be reported to the direct supervisor of the UVM Personnel. The supervisor then informs the Department Chair, Dean, the Director of Compliance Services, and the Vice President of Research. At their discretion, the appropriate Department Chair or Dean will determine the manner in which the alleged violation will be investigated. The Dean will consult with the Vice President for Research on the appropriate discipline, if any, to be imposed. For represented employees, provisions of any applicable collective bargaining agreement will apply.

• U.S Dept of Commerce: Export Administration Regulations (EAR)
• U.S. Dept of Commerce: Export Control Training Videos
• U.S. Dept of State: International Traffic in Arms Regulations (ITAR)
• U.S Dept of Treasury: Office of Foreign Assets Control (OFAC)

Training/education related to this policy is as follows: