Project Assessment Forms
Biological Agent Assessment Form
The Biological Agent Assessment Form is to be used to assess whether an export license may be required to conduct research involving the use or exportation of biological agents. Typical concerns related to biological agents are: (1) the deemed export of proprietary techniques/technology to foreign staff members, (2) exporting biological agents out of the USA, and (3) procedures that could increase the virulence of the agent or circumvent detection methods.
Export Control Screening Form
The Export Control Screening Form is a simplified form for use on projects (which do not involve biological agents) where we expect minimal export control impact. If the Screening Form indicates potential export control impact, it advises project staff to complete the full Export Control Assessment Form.
Export Control Assessment Form
The Export Control Assessment Form is the tool by which project staff determine whether an export license may be needed to conduct project research (not involving biological agents). It is used when: (1) the Screening Form indicates potential export control impact, (2) staff anticipates the project may be impacted by ITAR or EAR requirements, (3) an export of project articles, technology, information or software is planned, (4) deemed export of technology or information is planned to foreign nationals within the USA. Final decisions regarding the need for an export license, the type of license and the timing of such license shall be made by consultation with the campus Export Control Officer or department Point of Contact. The form also requires that project staff review the federal government’s entity lists to ensure that collaborators (persons or organizations) are not subject to export restrictions.
Export Control Assessment Form – Tutorial
This tutorial document is provided to assist project staff in completing the Export Control Assessment Form.
Help Page – WISPER Export Control Screening Tool
This document is provided to assist PIs and PMs answer the Export Control questions presented in WISPER. These questions are intended to help the PI in determining whether an export license may be required to conduct the research described in their proposal. This document also has links to the most current versions of the U.S. Munitions List (ITAR) and Commerce Control List (EAR).
I-129 Visa Certification Form
US Citizenship and Immigration Services (USCIS) now requires all employers of non-immigrants in H-1B, L-1 (not applicable to universities), and O-1A status to certify on the petition, Form I-129, whether the beneficiary will be engaged in activities that might require an export license.
The Principal Investigator or Department Chair must determine whether the beneficiary will have access to University-conducted research that includes hardware, software, technology, data, chemicals or biologic agents which are controlled as:
- Military-related technology (defense article) under the International Traffic In Arms Regulations (ITAR)
- Dual use items under the Export Administration Regulations (EAR) – non-military related items / technology
The completed Export Control Certification form must be forwarded to university administration before the Form I-129 can be completed and submitted to the federal government.
Non-compliances with Export Control regulations shall be documented using the Compliance Complaint Form. The reporter shall complete the first two sections of the form and forward it to the Export Control Officer for investigation and action.