Export Control Decision Flowchart

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 ("controlled") items, information or software to foreign persons or entities. Where applicable, they may require authorization from the U.S. Government in the form of an export license. Most of the items, information or software that UMB 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 U.S. embargoes or sanctions.

The Decision Flowchart may be used to determine whether a certain transaction or transfer is likely, or unlikely, to require further analysis for export controls.  For restricted party screening and for further analysis of potential export control issues, contact ORD.

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Key terms and concepts in the Export Control Decision Flowchart  --  Download Key Terms (PDF)

Controlled Technology is that technology (or technical data) identified in lists found in the Export Administration Regulations (EAR) (go to Part 774) or the International Traffic in Arms Regulations (ITAR), U.S. Munitions List.   The lists cover not only defense items but also dual use items that may be used in both commercial and potential military use.  Examples include
•    Chemical, Biotechnology and Biomedical Engineering
•    Pathogens (toxins, viruses, bacteria and fungi)
•    Robotics
•    Telecommunications/Networking
•    Sensors and Sensor Technology
•    Advanced Computer/Microelectronic Technology
•    Information Security/Encryption
•    Laser and Directed Energy Systems

The flowchart is intended to help the user determine whether or not further export control analysis is required for this transaction or project. If the responses to these questions indicate that no export control license is needed (green box), the responses and conclusion should be documented and maintained in the transaction and/or project file.  When in doubt, and when the responses indicate that export control analysis is needed (red box), contact Marjorie Forster in ORD.

On request, ORD will perform restricted party screening of the individuals and organizations involved in the transaction.

The following terms used in the flowchart are provided in alphabetical order.

Educational material: Information concerning general scientific, mathematical or engineering principles commonly taught in universities or information in the public domain.

Fundamental research:  Basic and applied research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in 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.

Information:  Information related to Controlled Technology including such things as technical publications and data, drawings, blueprints, schematics, diagrams, models, formulae, specifications, etc.  

Prohibited end-use:  Design, development, production, stockpiling or use of a nuclear explosive device, chemical or biological weapons, or missiles

Public domain:  Information and research results already published and actually available through libraries, bookstores, newsstands; trade shows, meetings, and/or seminars open to the public; websites open to the public; or courses listed in the university catalog of a general nature.

Restricted party:  Individuals and organizations considered to be threats to national security, foreign policy, or economy of the United States and included on one or more of several lists of denied and restricted persons.

Sanctioned country:   Countries designated as having limited or comprehensive trade sanctions imposed by the United States for reasons of anti-terrorism, non-proliferation, narcotics trafficking, or other reasons.

Sharing, transferring or discussing:   Includes oral exchanges of information, sending information via fax, email or other media, presenting information at a conference, providing technology regarding a commodity controlled under the Export Administration Regulation, providing assistance with regard to a defense article.

Software: A collection of one or more programs or microprograms fixed in any tangible medium of expression. Software code is comprised of source code or object code. tangible media containing programs in source or object code.

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