91AV

Telecommunications Clause Annual Certification (E-99). This Certification is required now on an annual basis. This Certification may be required by other entities other than Federal level awards such as State or Private, etc.

FAQ:

1. Who is required to sign and certify on this form?
   1. All Key Personnel on a grant showing that you are individually aware of this restriction and will adhere to the standard as listed in the certification and those listed on the award and where applicable.
2. How does this form work?
   1. The form is created through Laserfiche Forms, you will be asked to provide your Full Name and TAMUK email. Use your TAMUK email in this format: Firstname.Lastname@tamuk.edu and or for students Firstname.Lastname@students.tamuk.edu
   2. Review the Forms statement. 
   3. At the bottom you will then be asked to sign
   4. Once you have completed all the steps you will then push submit. 
   5. Upon successful completion you will receive an email with the form attached for you records.
   6. The Research Compliance will receive an email and the form will be processed for records. 
   7. In 365 days you will get another email to renew your certification.*
      1. *You will be required to complete the annual certification unless you are no longer on any funding sources that do not require the certificaiton.*

 

 

This step verifies if TAMUK faculty, staff, and/or students can legally work with certain individuals or institutions, or accept funding from international funding agencies/sponsors based on US Commerce regulations.

 In order to know for certain if a collaborator can work on a publication, a funding proposal, or even a research compliance protocol, an Export Control Delegate needs to screen all non-US persons. 

 Every College has at least (2) Delegates, and some non-Academic Departments/Divisions have Delegates. Click here to navigate to the TAMUK Office of Compliance Export Control site for the Delegate list.

For any restricted party screening, the Delegate will need the following for each individual:

• Each non-US Co-PI/Collaborator/Key Personnel full name and if possible, country, date of birth, and even address, if possible. 
  • In the case the Delegate finds a match for someone, a request that a second Export Control Delegate on campus, preferably from another department, do a second screening with more complete information is made to clear the positive. 
•  Each non-US Institution’s full name, and address, if possible. 
  • Just because an individual may be clear, we need to screen the entity for whom they work as well. 
• Each non-US institution's President/CEO/Head’s full name and if possible, date of birth, and even address, if possible.
  • We also need to screen the entity’s CEO.
• Each non-US funding agency/sponsor’s full name, and address, if possible. 
  • We will need to see if we are allowed to do business or accept funds from the agency/sponsor.
• Each non-US funding agency/sponsor’s President/CEO/Head’s full name and if possible, date of birth, and even address, if possible.
  • We also need to screen the entity’s CEO.

Even if there are people with matches during the RPS, if there is time, a special license can be explored based on the project and the appropriate Federal Agency’s requirements, but this can take a very long time to secure.  It’s best to screen individuals, entities, and their CEOs before the talks to work together proceed.

TAMUK as a higher education institution is allowed to claim a Fundamental Research Exclusion, as long as the data is to be made available to the public. Any restrictions on this can cause this protection to be lost.

At the time of award, as the contract is being reviewed and prior to execution, the treatment of the data to be generated by the project needs to be checked.

 

Items to submit for a New Acknowledgement of Restrictions (AoR) application

EC-105 TCP/Acknowledgement of Restrictions

 

Items to submit to amend an approved TCP and or AoR protocol

EC-106 TCP/AoR Amendment Application*

Regardless of the status of any of the items above, instruments, equipment, or materials to be purchased should have the Export Control Classification Number (ECCN) provided by the manufacturer/seller to the PI who then shares it with Pre-Award/Post Award/Procurement, prior to making the purchase. The College or Department Export Control Delegate is supposed to be able to assist a PI who has not encountered this before and can work to assist in checking ECCNs.

This number signifies if the item being purchased has any required security or access restrictions on it, often based on a user’s country of origin. A person can be clear on the RPS screening and still be restricted from access to physical or intellectual property due to their country of citizenship.

If the item is controlled, then a Technology Control Plan (TCP) is needed prior to its use by anyone It does not matter if any non-US person is using the item now, the TCP must be filed so the security measures are in place BEFORE someone can gain access to it. The TCP helps TAMUK keep track of who is using which machines, and how.

EAR99 is a “generic” ECCN for many items that are not controlled, but each item must be checked individually unless it’s the exact same model.

Similar items like two cameras, for instance, may have different ECCNs based on their features and abilities. One may be EAR99 (uncontrolled), but due to nothing more than a faster shutter speed, another could be 6A003, which is controlled. This is why we try to get this from the manufacturer if possible since a tiny feature can make an item controlled.

 

Items to submit for a TCP Acknowledgement for purchases (if required and been told to complete)

 

Items to submit for a New TCP application

TCP NEW Application

 

Items to submit to amend an approved TCP and or AoR protocol

EC-106 TCP/AoR Amendment Application*

 

Items to submit for an Annual Continuing Review