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Office of Sponsored Programs (OSP)

Export Compliance: UW Technology Control Plan

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Definition

A Technology Control Plan (TCP) is an internal UW compliance document prepared by the Principal Investigator and approved by the Office of Sponsored Programs. It states the type of export-controlled information associated with a research project, measures to be taken by the PI to ensure access to the export-controlled information is managed, and signed by the PI.

The documents for a complete TCP consist of the following:

Purpose

A TCP is required when:

  • Projects or activities involve the receipt of Sensitive Unclassified Information (SUI) from an outside party or sponsor, such as via a nondisclosure agreement or sponsored research agreement;
  • Projects or activities are not considered Fundamental Research; or
  • Projects or activities involve technology and software associated with export-controlled equipment.

A TCP sets out necessary procedures to manage the access limitations to the information that is considered sensitive. A TCP needs to be completed and approved prior to handling export-controlled information associated with a research project. In some cases, this may be prior to the project start date.

TCP Documents

Technology Control Plans are completed by the PI or Activity Director of a project/activity and approved by the Research Security Team. The TCP consist of:

  • Technology Control Plan (policy and procedures)
  • Security Control Measures (standards and minimum requirements)
  • Access Request Form
  • SUI Acknowledgement Form

The security control measures outline specific control measures required for each project or activity. The basic security control measures are found in current UW Policies and Standards which are:

The details of your specific project or activity may require heightened and customized security measures, and this is assessed by the Research Security Team. Any control measures above and beyond the standard University requirements are integrated into the Security Control Plan before it is approved.

To implement a TCP for your project or activity, please contact exports@uw.edu.