Download NCSU Certification of Informed Consent for Publication Restriction

NCSU CERTIFICATION OF INFORMED CONSENT FOR PUBLICATION RESTRICTION
AND COMPLIANCE WITH EXPORT-CONTROL REGULATIONS
Date:
To:
The Associate Vice Chancellor for Research Administration
From:
Re:
Project titled “”
Reference:
Sponsor:
A. Overview. The sponsored research project identified above involves the use of Export-Controlled
Information (defined below). As a result, the project implicates the International Traffic in Arms
Regulations (ITAR) (under the jurisdiction of the State Department) and, possibly, the Export
Administration Regulations (EAR). It is unlawful under the ITAR to send or take export-controlled
information out of the U.S., disclose, orally or visually, or transfer export-controlled information to a
foreign person inside or outside the U.S. A foreign person is a person who is not a U.S. citizen or
permanent resident alien of the U.S. The law makes no exceptions for foreign graduate students. In
general, Export-Controlled Information means activities, items and information related to the design,
development, engineering, manufacture, production, assembly, testing, repair, maintenance, operation,
modification, demilitarization, destruction, processing or use of items with a capacity for substantial
military application utility. Export-controlled information does not include basic marketing information
on function or purpose, general system descriptions, or information concerning general scientific,
mathematical or engineering principles commonly taught in schools, colleges and universities or
information in the public domain. It does not matter if the actual intended use of Export-Controlled
Information is military or civil in nature.
B. Reasonable Care. Researchers may be held personally liable for any violations of the ITAR and the
EAR at any time during the performance of the sponsored research project. As a result, they should
exercise care in using and sharing Export-Controlled Information with others. For example, PIs should
identify whom among proposed research assistants and collaborators are foreign persons. Unless the
State Department grants a license authorizing those persons access to export-Controlled Information, a
prerequisite to accessing it is a security clearance. In the absence of that clearance, PIs should not leave
Export-Controlled Information unattended. They should clearly identify Export-Controlled Information
and make only that number of copies of the material as is absolutely necessary. PIs also should store
Export-Controlled Information in a locked file cabinet or drawer or under password protected computer
files. Finally, PIs should avoid moving the information from one location to another.
C. Penalties. The penalty for unlawful export and disclosure of Export-Controlled Information under the
ITAR is up to two (2) years imprisonment and/or a fine of one hundred thousand dollars ($100,000),
and unlawful export and disclosure of information controlled under the EAR, the greater of (i) a fine of
up to one million dollars ($1,000,000) or (ii) five times the value of the exports for a corporation and
imprisonment of up to ten years and/or a fine of up to two hundred fifty thousand dollars ($250,000) for
an individual.
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D. As a condition of working on the subject project as a Principal or Co-investigator, Professional Staff, or
Research Assistant, we certify the following:
1. That we have read and understand this certification and the terms of the prime contract. We
understand that we could be held personally liable if we unlawfully disclose, regardless of form or
format, Export-Controlled Information to unauthorized persons. We agree to address any questions we
have regarding the designation, protection or use of Export-Controlled Information with Jeff Cheek,
Associate Vice Chancellor for Research Administration at 513-2148 or [email protected].
2. That we each are a citizen or legal permanent resident of the United States of America.
3. That no student thesis or dissertation work is relying on the research results from this project in
violation of Section 4 b. of the UNC Board of Governor’s Policy.
4. We have conducted a comprehensive review of the regulations and policies pertaining to Export
Controls, in particular the International Traffic in Arms Regulations (ITAR), the Export Administration
Regulations (EAR) and the relevant aspects of the Military Critical Technologies List (MCTL) as
highlighted
on
the
NCSU
Website
link
on
Export
Controls
at
https://research.ncsu.edu/sparcs/compliance/export-controls/exports-sensitive-unclassified/ and will
exercise reasonable care to ensure all such regulatory aspects are properly addressed.
5. We will not allow any individuals other than those identified here to work on this project without the
prior written approval of the Associate Vice Chancellor for Research Administration and will ensure
that those individuals approved execute this same certification.
_______________________________
Signature
Date
Print Name:
______________________________
Signature
Date
Print Name:
_______________________________
Signature
Date
Print Name:
______________________________
Signature
Date
Print Name:
E. Reviewed and approved:
Signature
Department Head
Print Name:
_____
Date
Signature
College Representative
Print Name:
_____
Date
Instructions: Negotiator must document efforts to remove the offending clause then brief PI & Assoc. Vice Chancellor. PI &
Dept Head assess applicability of Export Controls in light of the publication restriction, consult with SPARCS. If policy
exception is required, PI and staff complete this certification document. Negotiator attaches copy of contract language,
documentation of request for removal of language and draft letter from NCSU Chancellor to UNC President.
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