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Office of Sponsored Programs (OSP)

Export Compliance: Documents and Links

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Background

In support of the export compliance program and the UW the Office of Sponsored Programs has developed documents and resources for general and project specific use. Below are some of the most common reference and resource materials. Please use the most current version of the document and continue to visit this page for new and updated material.

The following documents provide guidance or are part of an implemented procedure. If your project or department require specific guidance and/or documents please contact exports@uw.edu.

UW Resources

Letter of Commitment
Letter signed by Key Management in support of US export regulations and laws.
University Policy Directory
University of Washington's Institution-wide policies, orders, rules, and by-laws.
UW Minimum Security Standards
Policy and procedure documents related to protecting UW information, computing devices, and communication resources.
Executive Order Number 8
The policy and process for the review of restricted, proprietary, or classified research.

OSP Resources

Export Control Glossary
Federal and UW export control acronyms, terms and definitions including regulation references.
TCP
UW Technology Control Plan (TCP)
Policy and guidelines for projects or activities restricting dissemination of export-controlled information.
UW Security Control Measures
Projects which require a TCP must also implement control measures; this document includes the University's minimum requirements and project specific elements.
TCP Access Request
This form is used in citizenship verification, screening and reviewing the need of an export license. All members who will work project or activity with a TCP must have this form completed by the PI or Activity Director.
SUI Acknowledgement
Acknowledgement, of TCP project personnel, to protect Sensitive Unclassified Information (SUI) and not disseminate SUI to un authorized individuals
DECA
Deemed Export Compliance Attestation (DECA)
This attestation is required for H-1B applicants completing an I-129 form through the International Scholars Operations (ISO).
DECA Memorandum
Provides background on US Export control laws and regulations as well as the Fundamental Research Exclusion (FRE). Applicant and authorized signatories of the DECA are encouraged to review.
Designated Signatory Officials List
The International Scholars Operations (ISO) list of Dean's, Chancellor's or Dean's Office Representatives who are approved to sign the DECA.
Export Control Worksheet
This worksheet is used to identify and document Export-Controlled item(s) (hardware, software or technology), End-User(s) and End-Use for export shipments and transfers.
Foreign Shipping Guidance
This guidance is to be used when determining the Automated Export System (AES) should be used for foreign and licensable shipments.
TMP Eligibility Certification
Temporary export license exception to be used for when a temporary export of UW "Tools of Trade" items occurs.
Software Export Guidance
This guidance is to be used for reviewing software controls, prior to transfer, against regulations and restrictions while providing technical parameters of encryption restrictions.
Export Controlled Pathogens
This guidance is to be used to identify pathogens that are export controlled by the US Department of Commerce and US Department of State.

Federal Resources

Department of State - Directorate of Defense Trade Controls (DDTC)
In accordance with 22 U.S.C. 2778-2780 of the Arms Export Control Act (AECA) and the International Traffic in Arms Regulations (ITAR) (22 CFR Parts 120-130), is charged with controlling the export and temporary import of defense articles and defense services covered by the United States Munitions List (USML).
Department of Commerce - Bureau of Industry and Security (BIS)
Is charged with the development, implementation and interpretation of U.S. export control policy for dual-use commodities, software, and technology as found in the Export Administration Regulations (EAR) (15 CFR Parts 730-774), as listed on the Commerce Control List (CCL).
Department of Commerce - Bureau of the Census
Trade data is used to meet a wide variety of legal and regulatory requirements. The Bureau of the Census measures the impact of tariff and trade concessions under the General Agreement on Tariffs and Trade (GATT) and North American Free Trade Agreement (NAFTA), etc. Exports statistics are captured via the Automated Export System (AES). The Federal Trade Regulations can be found in 15 CFR Part 30.
Department of Treasury - Office of Foreign Assets Control (OFAC)
Administers and enforces economic and trade sanctions based on US foreign policy and national security goals against targeted foreign countries and regimes, terrorists, international narcotics traffickers, those engaged in activities related to the proliferation of weapons of mass destruction, and other threats to the national security, foreign policy or economy of the United States.