Sharing controlled items and information with a foreign national as well as shipping controlled items to a foreign destination may require export licensing. There are some export license exceptions.
Primary responsibility for compliance with export regulations falls on the Principal Investigator.
The following activities may be subject to export control regulations, and can occur at any time during your research:
More information on these activities is provided below.
Collaborating with an entity you have not done business with before? Sharing technology or information? Receiving goods or services from a new entity or individual?
Make sure you are not doing business with restricted entities or individuals. Review the Consolidated Screening List as well as OFAC’s Sanctions Program and Country Information List. Keep documentation of this confirmation in your departmental files.
Contact exports@uw.edu for guidance on how to comply with export control regulations.
These are some of the federal lists that are included in the Consolidated Screening List:
Technology required for the development, production, or use of controlled items is also controlled. The level of control depends on the nature of the technology and the foreign destination or country of origin of the foreign national (non-U.S. citizen or non-green card holder).
Any information related to military or space technology is controlled. This includes information in the form of blueprints, drawings, photographs, plans, instructions, algorithms or documentation.
Consult the Commerce Control List (CCL) or the United States Munitions List (USML) to assess the level of control needed.
Email exports@uw.edu for assistance in this assessment, or to apply for a license to export your technology.
Controlled technology or source code released to a foreign national (non-U.S. citizen or non-green card holder) with the United States is a “deemed export”.
“Release” can occur in the following ways;
If you need to share export-controlled technology with a foreign national working on a sponsored project or research activity, email exports@uw.edu for help determining your licensing needs.
The Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR) do not control “technology” or “technical data” defined as “publicly available” or in the “public domain.” However, information made publicly available against U.S. law will remain export controlled and subject to regulation. (e.g., designs to make a gun on a 3-D printer).
Technology is publicly available information as:
Technical data is in the public domain if the information is published and generally accessible or available to the public, including through fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community.
ITAR also does not control information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities or basic marketing information on function or purpose or general system descriptions of defense articles.
Traveling or doing research internationally? If you are taking a laptop, tablet, or other electronic mobile device, you are taking a controlled device with you.
There may be limitations for taking these into certain countries. You are advised to review restrictions each time you travel.
Do not ship or otherwise take these devices with you to the following locations without first consulting OFAC imposed country or regional sanctions list and, if needed, contact exports@uw.edu, for assistance.
(NOT an exhaustive list and subject to change; check current OFAC sanctions list):
While traveling your device should be free from customized software or stored or accessible controlled technology. Any ITAR controlled software or technology requires a license before traveling and additional security measures should be taken with EAR software and technology to prevent unauthorized dissemination.
An exception may apply in very narrow circumstances and does not apply to technical information related to military or space applications. Two commonly used exceptions include:
ITAR controlled technical data on a laptop, tablet or other device requires an approved export license for it to be taken/shipped to a foreign destination, with very few exceptions. Contact exports@uw.edu to see if exceptions apply.
The University does not have a centralized shipping center for international or domestic shipments. Each department must determine the best practice and method related to the logistics in moving items, freight and cargo to the desired end-use location.
If you need assistance in determining if your item is export controlled, please complete the Export Control Worksheet and send it to exports@uw.edu.
All items shipped under an export license are required to submit an Electronic Export Information (EEI) via Automated Export System (AES); maintained by the U.S. Census Bureau.
Use an authorized agent when shipping. The University has a contract with Expeditors, which provides assistance with the EEI filing.
Export control shipment checklist:
In addition to export controlled items, other conditions may be required in the packaging and shipment of dangerous goods. For additional guidance review Environment Health and Safety.
The U.S. Dept. of State – Directorate of Defense Trade Controls (DDTC) has published regulations for export of defense articles, technical data, and the provision of defense services to foreign national entities or persons.
A defense service is the:
Providing defense service to a foreign national in the United States still qualifies as an activity that requires a license from the DDTC. If your project involves any of the above activity, whether abroad or in the U.S., please contact exports@uw.edu for licensing assistance.
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 State – Directorate of Defense Trade Controls (DDTC)
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 Industry and Security (BIS)
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.
Department of Treasury – Office of Foreign Assets Control (OFAC)