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Office of Sponsored Programs (OSP)

EXPORT COMPLIANCE: eGC1 SECURITY AND EXPORT CONTROL QUESTIONS

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Background

Completing an eGC1 requires a user to reply to several questions related to export controls and national security. In addition to the help text found on the eGC1, this web page provides guidance on how to best answer SEC questions. Several examples have been provided; however, not all scenarios have been addressed. For additional help in answering these questions, please contact exports@uw.edu.

SEC-1 Items

Will any export-controlled items be transported outside the United States in connection with this project?

The easiest way to answer this question is to determine if any part of the project and/or collaboration will take place outside of the U.S. If so, you will need to determine if you will be sending, shipping, or taking with you items considered export-controlled by U.S. laws and regulations.

*If you are taking a computer with you please see the Technology and Deemed Exports page found here.

Export Regulations

There are two (2) sets of regulations to review when determining if items, information or technology are export-controlled.

  • Export Administration Regulations (EAR)
  • International Traffic in Arms Regulations (ITAR)

The EAR is implemented and enforced by The Bureau of Industry and Security (BIS), Department of Commerce, and regulates the export of ?Dual Use? (commercial and military applications) items, software and technology.

The ITAR is Implemented by the Directorate of Defense Trade Controls (DDTC), Department of State, and regulates defense articles, defense services, and technical data inherently military in nature.

EAR contains the Commerce Control List (CCL) consisting of 10 categories consisting of general consumer goods to high technology hardware, software and information. Items found on the CCL are identified by an Export Control Classification Number (ECCN). ECCN?s provide control parameters specific to the end-use country. Review the commerce control list to see if your item, software or technology is listed. If it is not listed and not considered Fundamental Research it could be captured by the catch-all ECCN EAR99; which would restrict the item to embargoed or sanctioned countries.

  • Examples: Composite materials, Pathogens, Computers, Accelerometers, Production Equipment etc?
  • Review the CCL index for a more complete list of controlled items.

ITAR contains the US Munitions List (USML) consisting of 21 categories of articles, service, technical data specifically designed, developed, configured, adapted or modified for a military application or significant military or intelligence applicability. If your item specific use is for a military application please review the USML to identify to category and sub-category. Information created as basic and applied research may not be subject to the ITAR and considered as Fundamental Research.

  • Examples: Imaging Systems, Under Water Vehicles, Polymer Coatings, Chemical Agents etc?

Contact exports@uw.edu for assistance in determining if your items, technology or software is export-controlled.

*If you answer yes to SEC-1, you are then asked to provide what types of items, technology or software will be shared and to which countries. You may also be asked to complete OSP?s Export Control Worksheet once your eGC1 is in OSP for review. Note any item needing a license may take up to eight (8) weeks for agency approval.

SEC-2 Information

Will any export-controlled information or technology betransferred to a foreign end-user (a.k.a. deemed export)?

The best way to answer this question is to know if the project or collaboration will consist of both export-controlled information and/or technology AND foreign national participation. Location is not relevant; deemed-exports can take place in the U.S. and foreign locations. Information recognized as Fundamental Research or in the Public Domain is exempt from US export Controls.

Deemed Export

Generally when we think of exports we think of the shipment of items out of the U.S. to a foreign country. However, export control laws and regulations also control the transfer of information and/or technology to foreign nationals in the interest of protecting the transfer of sensitive technology. Deemed export is a term used by the Department of Commerce to communicate a transfer or release to a foreign end-user. Deemed Exports typically take place one of three ways;

  • Electronic Export ? Email, fax, upload, download etc?
  • Visual Export ? Sharing the technical data via hard copies, blue prints, technical reports etc?
  • Oral Export ? Discussing the technical details in person, phone, video chat etc?

ITAR controlled transfer would require a license to any foreign end-user(s). EAR controlled transfers are conditional upon meeting the requirements of a deemed export and the country of the end user(s).

Examples of No License Required:

  • You do not need a license or authorization merely to have a foreign student present in your laboratory.
  • If the foreign student is receiving technology that has already been published, then that technology is not subject to the EAR and no license is required for the release of that technology.
  • If the foreign student is receiving technology in the context of instruction in a catalog course (or associated teaching laboratories), then that technology is not subject to the EAR and no license is required for the release of that technology.

Examples of Required Deemed Export License:

  • You do need a license if you plan to transfer or release controlled technology to a foreign national and the export of that technology is restricted to the foreign national?s home country.
  • The EAR license requirements also apply to the transfer of controlled technology for ?development?, ?production?, or ?use? of certain equipment. See 15CFR Part 772 for definitions.

Contact exports@uw.edu for assistance in determining if your items, technology or software is export-controlled.

*If you answer yes to SEC-2, you are asked to provide what types of information and/or technology will be shared and the nationality of the end-user(s). You may also be asked to complete OSP?s Export Control Worksheet. Note any information sharing requiring a needing a license may take up to eight (8) weeks for agency approval.

SEC-3 Restrictions

Will this project potentially involve restrictions on participation, restrictions on access to research facilities, or restrictions on publication?

The University is committed to an open academic environment and dissemination of research results. Creative and intellectual freedom is lost when restrictions impede on the openness of our campus community. Restrictions can be imposed by various means including, but not limited to:

  • Export Controls
  • Security Classification
  • Proprietary Rights

Such restrictions limit dissemination and/or participation of project personnel. These restrictions and control can be found in any of the following:

  • Program Solicitation
  • Non-disclosure agreements (NDA)
  • Confidentiality Agreement (CDA)
  • Material Transfer Agreement (MTA)
  • Research Agreement
  • Other agreements or contracts which impact the research or activity

FCR Review

A review of every proposal for a research grant or contract that carries a provision expressed or implied that seeks to limit participation, access to facilities, or the freedom of the investigators to publish or not to publish the results of such research in full will be conducted by the Faculty Council on Research (FCR). The FCR will make recommendations concerning the appropriateness of entering into research grants or contracts.

Accepting Restriction

Under unusual circumstances relating to special scholarly expertise of a faculty member or his or her research activities, or due to national security, exceptions allowing the acceptance of these restrictions may be allowed. More information is available in UW Executive Order 8. *If you answer yes to SEC-3, you are asked to describe the type of restrictions anticipated. If FCR review is required, please schedule prior to start date.

SEC-4 Classified

Will this project potentially involve access to classified nationalsecurity information?

Yes or No answer required.

As a Defense Contractor for the United States Government, the University performs research and development activities that sometimes involve access to classified information or sensitive government facilities, and thus require US persons with a ?need-to-know? to receive appropriate personnel security clearance to perform on such tasks and orders. These projects can take place at the UW or another facility.

How might you know the project potentially involves access to classified national security information?

  • The RFP/RFQ/BAA requests your facility clearance level
  • The RFP/RFQ/BAA or the research agreement includes a DD Form 254
  • The RFP/RFQ/BAA states that personnel security clearances are required

For additional questions about the Industrial Security Program contact the University Facility Security Officer (FSO); James Poland, by email at uwfso@uw.edu or phone 206-543-1315.