checklist for export control issues -...
TRANSCRIPT
Rev 30-Nov-2016
EXPORT CONTROL REVIEW CHECKLIST FOR FUNDED AGREEMENTS
INSTRUCTIONS FOR COMPLETING THE CHECKLIST
Review by the University Export Control Program (UECP) is required prior to the acceptance of any funded agreement that contains non-standard export control language, publication restrictions (includes sponsor approval prior to publishing), certain information security requirements, foreign national restrictions and approval, includes the transfer of items, technology, or software outside the U.S., or indicates the project has a military end-use.
Your answers to the questions below will help the UECP determine whether any aspect of the project will be subject to export control regulations. If UECP determines a TCP and/or export license is needed, the agreement cannot be signed until all project personnel have taken the online export control training, signed the TCP and license is received (if applicable). UECP will notify CRSP and the Department when required actions are completed. The Contract & Research Support Program (CRSP) ([email protected]) will utilize the Yellow Sheet to indicate to Sponsored Projects Services if a TCP is required on a given agreement.
Sponsored Projects Services will notify UECP of all agreements and modifications related to foreign sponsors in which the agreement document does not require university signature. UECP will provide a determination on how to proceed with processing the agreement document.
If the agreement is a related to domestic clinical trials, domestic fellowship/student agreements, or domestic NSF and NIH funded projects, this checklist does not need to be completed.
Procedures for: College of Optical Sciences, the College of Engineering, the Lunar Planetary Lab (LPL), and the Steward Observatory.
Step 1: Upon receipt of the agreement, the appropriate College Administrator, in conjunction with the project PI, answers Part A questions.
Step 2: College Administrator forwards the Export Control Checklist to CRSP when the agreement, scope of work, and any other required documentation is submitted to CRSP for contract review and negotiation.
Step 3: CRSP will review and answer questions in Part B.
Step 4: CRSP will forward to UECP and include all documentation noted in Step 2, along with any revisions, when any questions are marked “YES” or are unanswered. If all questions in Parts A and B are “NO,” the UECP does not need to review. All completed checklists shall remain with the account file.
Procedures for: Other School or College Funded Agreements.
Step 1: CRSP to complete Part B of the checklist, and answer Part A-Question #2. Part A-#2 is answered “YES” if the sponsor is located in one of the countries listed.
Step 2: If Part A-Question 2 is “YES” and/or any question in Part B is “YES”, CRSP will forward to UECP and the College/Department Administrator the Export Control Checklist, Agreement, Scope of Work (SOW) and any other documentation needed for review.
Step 3: The College/Department Administrator will complete Part A of the checklist.
Step 4: The Administrator will send the completed checklist to UECP and CRSP. All completed checklists remain with the account file.
UECP Review Process:
Step 1: Upon receipt of the Checklist, Agreement, and SOW, UECP will make an export control determination and answer Part C.
Step 2: The completed checklist will be forwarded to the appropriate College/Department and CRSP.
Step 3: If a TCP is required, UECP will notify College/Department and CRSP upon completion.
Contact UECP ([email protected]) if you have questions regarding the checklist, the instructions, or other inquiry related to the project/activity that may not be covered by the checklist.
EXPORT CONTROL REVIEW CHECKLIST FOR FUNDED AGREEMENTS
Rev 30-Nov-2016
Liaison (Administrator): Date:
Award/Acct Number: College / Dept.:
PI: Sponsor:
PART A: Department Questions YES NO 1. Complete Visual Compliance Restricted Party Screening for non-UA project personnel as listed
in the agreement or supporting documents. If response to screening result is an exactmatch (“hit”) check “YES”, stop the export control review and forward project informationand screening result to UECP for verification and advisement. If no matching record found,check NO. If N/A, check this box:
2. Will project/activity be conducted in any of the following sanctioned countries or is the sponsor fromone of these countries? If the research or sponsor is in Cuba, Iran, North Korea, Sudan, orSyria, contact UECP immediately – an OFAC license most likely will be required!
3. Will the project/activity be conducted in a foreign country other than the sanctioned countries listedabove?
4. Does the project/activity include participation of non-U.S. persons on-campus or within the U.S.?
5. Is the prime sponsor a defense agency, defense contractor, or is military-related (missiles,explosives, military training, military vehicles, vessels, equipment)?
6. Does the project/activity include participation of persons or companies located outside the U.S.,or is the sponsor located outside the U.S. (a foreign entity)?
7. Does the project/activity involve the transfer of goods, services, information or technology abroad?
8. Does this project involve activities that could be related to space/space technology (with theexception of astronomical observation) or nuclear, chemical, or biological weapons or missiletechnology?
9. Does the project/activity indicate that sensitive information, export controlled data, materials, orequipment will either be provided by the sponsor or be necessary for the project?
PART B: CRSP Questions CRSP Reviewer: ______________________ YES NO 1. Does the agreement give the Sponsor the right to approve/disapprove publication (excluding
reasonable reviews for possible patents and/or sponsor proprietary information) or restrict thedissemination of research results; i.e., agreements containing clauses such as DFARS252.204.7000 clause?
2. Does the agreement contain DFARS clause 252.204-7008 (Compliance with SafeguardingCovered Defense Information Controls, DFARS clause 252.204-7012 (Safeguarding ofUnclassified Controlled Technical Information) or a clause from a government agency such asNASA or DHS that require an IT Security Plan?
3. Does the agreement have export language beyond a mere adherence to abide by the U.S. exportregulations? Export control language may be found in multiple sections of an agreement,such as: Compliance, Export/Import Controls, Miscellaneous, or Confidentiality.
4. Does the agreement prohibit the involvement of non-U.S. persons, or persons from certaincountries, and/or require UA to identify foreign nationals, and/or seek prior approval from thesponsor for foreign national participation?
PART C: UECP will complete if a “YES” is checked in PART A or PART B. YES NO
A TCP is required prior to signing agreement. UECP Analyst: ________________ Date: ______
Contact UECP ([email protected]) if you have any questions regarding the checklist.
This Form is to be completed electronically. Handwritten forms will be returned.