Decision Tree

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 U.S. Government in the form of an export license. Most of the items, information or software that UC 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. UC however is required to exercise due diligence, and this Decision Tree has been crafted for the purpose of complying with U.S. trade law while preserving one of UC's fundamental policies, Openness in Research.

These pages will walk you through a series of Yes or No questions, leading to a determination of whether or not an export control license is applicable to any particular situation. Remember that export controls may apply when an item, information or software is being sent outside U.S. borders, OR when it is being shared with foreign persons* or entities in the U.S..

A foreign person* is anyone who is not a citizen of the United States*, a lawful permanent resident alien of the U.S. (generally a green card holder), or a person protected under the Immigration and Naturalization Act, 8 USC § 1324b(a)(3). The word person includes organizations and entities, such as universities. The general rule is that only U.S. persons* in the U.S. 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 Robotics Propulsion System and Unmanned Air Vehicle Subsystems Telecommunications/Networking

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 U.S. 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).

As you go through these questions, you may have additional questions of your own. If so, please contact UC's Export Control Team at infosec@uc.edu

The links at the bottom of each page will return you to this page or to the Export Controls Home Page. The back button on your browser will return you to the immediately preceding question.

For Help at anytime, contact the Export Control Team at (513) 558-ISEC or via e-mail at InfoSec@uc.edu

Throughout the Export Controls section of the website, whenever you see a *, hover over it for a brief definition of the term. Click on the asterix to be taken to the full definition on the glossary page. The Glossary page also includes lnks to applicable regulations and additional information and links.