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Office of Sponsored Programs (OSP)

Export Control Regulations

Background

The U.S. export control laws govern: 1) the release of technology, technical data, software, and information to foreign nationals within or outside the United States; 2) the furnishing of defense services to foreign persons whether in the United States or abroad; 3) the shipment or other transmission of items or defense articles outside the United States; and 4) the ability to export or otherwise transact with certain individuals, entities and countries. Certain export transactions require a license or other written approval from the U.S. government prior to export. Some transactions are prohibited due to the end-use, end-user, or country involved. These requirements are in place for national security, nuclear non-proliferation, regional stability, prevention of chemical and biological weapon proliferation and other foreign policy reasons. These export control laws have been in existence since the 1940s but have impacted universities to a greater extent since September 11, 2001.

The three main sets of export control regulations that implement these laws are:

  • The Export Administration Regulations (EAR) as administered by the U.S. Department of Commerce, Bureau of Industry and Security
  • The International Traffic in Arms Regulations (ITAR) as administered by the U.S. Department of State, Directorate of Defense Trade Controls
  • U.S. trade embargoes, sanctions, and other restrictions as administered by the U.S. Department of Treasury, Office of Financial Asset Control (OFAC)

Policy

The University of Washington is committed to compliance with federal laws and regulations governing exports and ensuring such compliance is consistent with the University’s open academic environment that fosters intellectual creativity, freedom to carry out research in an unrestricted manner, and the open dissemination of research results. See the University’s commitment statement.

All activities undertaken by our University community, including research activities, must comply with the export control regulations and University policies, procedures and standards already in place. Such University policies, procedures and standards include, without limitation, the University Handbook, Volume 4, Part II, Chapter I, UW’s Information Systems Security Policy and Minimum Data Security Standards and the Grants Information Memoranda (GIMs). A University faculty or staff member who knowingly or willfully violates export control laws may face internal University disciplinary consequences in addition to possible civil and criminal penalties, fines, and imprisonment.

Definitions

This list of definitions is provided for ease of reference and is not a substitute for the definitions found in the laws, regulations, and referenced University policies themselves.

Classified
The government may classify information that is deemed to be important to the national security interests of the United States. Classification is the means by which information is restricted. The standard categories of classification include confidential, secret, and top secret. A project that includes classified information is a sub-category of Restricted Research, defined below.
Defense Article
An inherently military article as determined by the Department of State and listed on the United States Munitions List, including technical data.
Defense Service
The furnishing of assistance, including training, to foreign persons, in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of a defense article.
Dual-Use Item
Items having both a civil and military or weapon proliferation application as determined by the Department of Commerce and are subject to the Export Administration Regulations (EAR).
Exclusion
Information that is specifically excluded from export licensing requirements for policy or practical reasons. Such information includes technology, some software, and technical data that is the result of fundamental research, is within the public domain, or is taught within classrooms and teaching laboratories. A full list of exclusions is available.
Export (including Deemed Export)
  1. Sending, taking or shipping an item or defense article outside the United States.
  2. The furnishing of any technical data to foreign persons or performing a defense service on behalf of or for the benefit of a foreign person within the United States or abroad.
  3. the release of technology or software to a foreign national within the United States or abroad through the visual inspection by foreign nationals of U.S.-origin equipment and facilities and oral exchanges of information.
  4. The release of technology or software through the application to situations abroad of personal knowledge or technical experience acquired in the United States.
Export Control Compliance Program (ECCP)
The University of Washington’s program to ensure campus-wide compliance with federal export control laws and regulations
Exporter
For purposes of this document, individual at the University who will carry out the export. For instance, if a material transfer, the individual shipping or transmitting the material is the exporter. If sharing information with a foreign national, it is the individual sharing the information that is the exporter.
Faculty Council on Research (FCR)
Advisory body to the Faculty Senate on all matters of University policy relating to research and the primary forum for faculty –administrative interaction in determining that policy.
Foreign National/Person
Persons who are not U.S. citizens, are not lawfully admitted for permanent residence in the United States, or are not persons who are protected individuals under the Immigration and Naturalization Act (8 U.S.C. 1324b(a)(3)). Foreign national includes individuals with study and work visas.
GC-1
Electronic internal compliance form that is routed with all grants and contracts for approval on campus before arriving at the Office of Sponsored Programs (OSP).
Proprietary Research
Privately funded research activity undertaken pursuant to a contract between the University and an outside sponsor with commercial interests where the information shared by the outside sponsor and the research results are restricted contractually. This is a sub-category of Restricted Research, defined below.
Restricted Research
University research, development, or testing subject to (i) publication restrictions, (ii) access and dissemination controls, (iii) federally funded research with contract specific national security restrictions; (iv) accepting third party controlled items or information, or (v) providing access to, or defense services on, a defense article.
Software
A collection of computer programs fixed in any tangible medium of expression. This includes system functional design, logic flow, algorithms, application programs, operating systems and support software for design, implementation, test, operation, diagnosis, and repair of defense articles.
Sponsored Project
Any project receiving external support that has defined performance requirements or conditions as set out in GIM 34.
Technology
Specific information necessary for the "development", "production", or "use" of a product.
Technology Control Plan (TCP)
A project specific plan that establishes procedures to restrict access to export-controlled information, software and technology in accordance with the export control laws and regulations without violating the Openness in Research policy of the University. Any research done that includes a TCP must first be reviewed by the FCR. See the TCP template and TCP guidelines.
Technical Data
May take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories. Also information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense articles. All classified information relating to defense articles and services is technical data. In addition, all information covered by an invention secrecy order is considered technical data under ITAR. Technical data does not include basic marketing information on function or purpose or general system descriptions.

Applicability and Administration

  1. Applicability. The export control regulations apply to all activities undertaken by the University of Washington faculty, staff, students, and other persons at the University acting on behalf of the University involving the:
    1. export of tangible items outside the United States;
    2. sharing of information, technical data, technology or software with a foreign national within the United States or abroad in which the export involves proprietary, restricted, or classified information or the information, technical data, technology or software does not otherwise fall under an exclusion;
    3. furnishing of defense services to a foreign person within the United States or abroad; and
    4. transaction with embargoed, sanctioned or restricted parties, including travel, financial transactions, imports and exports.
  2. Administration. The University’s export control compliance program is administered under the authority of the Vice Provost for Research and such authority has been delegated to the Director of the Office of Sponsored Programs. The daily management of export compliance at the UW is carried out by the Export Control Specialist within the Office of Sponsored Programs. All export control license applications on behalf of the University of Washington are by and through the Office of Sponsored Programs.

Responsibilities and Compliance Roles

  1. If a sponsored project, it is the responsibility of the Principal Investigator to ensure that the sponsored project is consistent with the export control regulations, this policy, and the procedures set out on the OSP website.
  2. If the export activity is not a sponsored project, it is the responsibility of the exporter to ensure the export is consistent with the export control regulations, this policy, and the procedures set out on the OSP website.
  3. It is the responsibility of other University officers, staff, and administration to be aware of the export control requirements under the regulations and the program administered by OSP. Units and offices on campus with such responsibility include the Office of Tech Transfer, Environmental Health & Safety, shipping centers, the Travel Office, and departmental administration who may assist a PI or exporter with the export.
  4. Role of Principal Investigators:
    1. Participate in Export Control training, as part of the Faculty Grants Management Workshop.
    2. Determine license requirements for all planned export activity subject to this policy and request license determination assistance from the Export Control Specialist well in advance of planned export.
    3. Provide all non-disclosure or confidentiality agreements pertaining to sponsored research to OSP for review and approval. Pre-clinical trial nondisclosure agreements may be signed by the Chair or Dean of the PI’s department but must use the pre-approved template.
    4. Correctly answer GC-1 questions SEC-1, SEC-2 and SEC-3 of the GC-1. Consult with OSP when unsure of the correct response.
    5. If export-controlled information or technology is received from an outside party or may be generated under a classified, restricted, proprietary project or project that is otherwise not considered fundamental research, initiate a Technology Control Plan (TCP) using the UW TCP template.
    6. Ensure that any research project involving export-controlled information or technology receives Faculty Council on Research review for compliance with UW’s Openness in Research Policy found in the University Handbook, Volume 4, Part II, Chapter 1 titled, "Classified, Proprietary, and Restricted Research".
    7. Contact your OSP Administrator of any changes in scope or staffing that could alter the initial export control determination for a research project.
    8. Contact OSP if violation of export control regulations may have occurred.
    9. Document and retain all export control license determinations that are relied on for exporting items, information, technology, technical data or software for a period of five years.
  5. Role of Office of Sponsored Programs:
    1. Conducts export control training within the Faculty Grants Management Workshop , in seminars, and with on-line training modules.
    2. Reviews and responds to GC-1 questions SEC-1, SEC-2 and SEC-3 answered "yes".
    3. Assists in drafting Technology Control Plan (TCP) by providing template and guidelines.
    4. Responds to export compliance questions, determination requests, and interprets federal laws and regulations regarding export controls.
    5. Applies for all export control licenses on behalf of the University of Washington and is the designated authorized office for certification of compliance with export control laws and regulations
    6. Negotiates and approves language in non-disclosure agreements and confidentiality agreements pertaining to sponsored research, sponsored research agreements, grants, contracts and other binding documents regarding export control responsibilities of the University
    7. Documents export-control compliance for the University and retains records of all export activity that is reviewed by the Office of Sponsored Programs.
    8. Reviews export control measures taken by personnel at the University, including the security requirements of individual TCPs, on a periodic basis.
    9. Reports any violations.