Export Controls: 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 regulated items, information or software to foreign persons or entities. When export control regulations apply, for example when the "fundamental research" safe harbor is unavailable, the shipping or sharing of regulated ( "controlled") items, information or software may require approval from the US Government in the form of an export license. Most of the items, information or software that Stanford 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. Stanford however is required to exercise due diligence, and this Decision Tree has been crafted for the purpose of complying with US trade law while preserving one of Stanford's cornerstone 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 may be applicable to any particular situation. Remember that export controls apply whenever tangible items (equipment, components, materials etc.) are being sent or handcarried outside US borders, OR when controlled information or software code is being shared with "foreign persons or entities" in the US or transferred physically, visually or orally to foreign persons abroad.

Who is a "foreign person"? 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 US (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 and software code within the following general areas, when export controls apply:

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 US Departments of State, Commerce and Treasury. These questions ask about sharing, shipping, transmitting or transferring any items, information or software to help you determine the applicabilty of export controls to your circumstance. Violations of 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. Stanford's Export Control Officer, Steve Eisner (4-7072 or steve.eisner@stanford.edu) is available to the Stanford community for general guidance or to assist with specific export control determinations.

The link at the bottom of each page will return you to this "starting point." The "Back" button on your browser will return you to the immediately preceding question.

ADVANCE TO THE FIRST QUESTION

NOTE: Stanford's Export Controls Decision Tree and other materials found on Stanford's export control website (export.stanford.edu and subsites) are specifically tailored to the Stanford research community. Stanford's export control content may not apply to your specific situation or may be incomplete. Stanford's export control materials do not constitute legal advice. Those outside the Stanford research community should review the Terms of Use below, in particular its Disclaimer of Warranty/Limitation of Liability. Third parties should not act or rely on any information on Stanford's export control website. and should seek the advice of an attorney before taking any action.