Complete and Route Technology Control Plans (TCP)

Overview

After the Export Control Office (ECO) determines a need for and creates a Technology Control Plan (TCP) from an existing PAF or Unfunded Agreement (UFA), all personnel with edit rights to the TCP will receive an email notification to complete additional required information in the eResearch Proposal Management (eRPM) system. See Technology Control Plans & Licenses for more information about TCPs.

This procedure includes instructions to Complete the TCP and Route to the Export Control Office.

Navigation

Role: PI & Project Team

Step-by-Step Process

Complete the TCP

  1. Click the link in the email from the Export Control Office to access the TCP.
    Note: If you are not authenticated to the eRPM system, you may need to log in using your uniqname and password.
    OR
    If already logged in eRPM, verify the PI & Project Team role is selected.

    screenshot of Home Workspace showing steps 1-3

  2. Click the UFAs tab.
  3. Click the Name in the UFAs with Required Action list.

The UFA workspace opens and the state of the UFA is Create UFA Record.

  1. Click Edit UFA Worksheet.

    screenshot of UFA Workspace showing step 4

  2. If applicable, edit the Project Title.

    screenshot of UFA Worksheet Introduction showing step 5-6

  3. Click Continue.
  4. Read the instructions for adding personnel.

    screenshot of UFA Worksheet Personnel showing step 7-9

  5. Click Add or Update as needed. (Refer to 2) Enter Personnel on the UFA Quick Reference).
    Notes:
    • List all personnel (including students and IT staff) who will have access to the export controlled technology covered by this TCP.
    • At least one PI or Responsible Faculty Member and one Administrative Contact are required.
    • PIs or Responsible Faculty Members, Other Investigators or Participants, and Administrative Contacts must have a Role. If applicable, click Update to select.
    • PIs or Responsible Faculty Members and Other Investigators or Participants must have an Appointment. If applicable, click Add Appointment to select.
  6. Click Continue.
  7. Click the applicable radio button for the Do you have any foreign nationals on this project question.

    screenshot of UFA Worksheet Technology Control Plan Agreement Detail showing step 10-17

  8. Click Update.
  9. Enter and select every Country of Citizenship, or Permanent Residency.
    Note: Enter USA for United States.

    screenshot of UFA Personnel window showing step 12

  10. Click OK.
    Note: Repeat steps 11-13 for all Research Personnel.
  11. Click Browse... to choose the Project Administrative Home department.

    screenshot of UFA Personnel Worksheet showing step 14-16

  12. Enter the Agreement Start Date, Agreement End Date, and Agreement Period.
  13. Verify or answer the remaining required questions. Is this agreement related to
    • an existing sponsored project?
    • another unfunded agreement?
      If “Yes”, then enter the related PAF ID, Award, ID, or UFA ID.
  14. If applicable, click to Add or Update External Entities.

    screenshot of UFA Personnel Worksheet showing step 17-20

  15. If applicable, click to Add External Entity Contacts information.
  16. If applicable, click to Add UFA UFA Documents.
    Warning: Do not upload any export controlled information or data.
  17. Click Continue.
  18. Enter or select answers to complete the questions on the Project and Controlled Materials page, then click Continue.
  19. Enter or select answers to complete the questions on the Security Measures page.
  20. Click Add or Update to select locations used under Physical Security.

    screenshot of UFA Worksheet Security Measures page showing step 23

  21. Enter or lookup the Requested Room/Bldg

    screenshot of Room Detail window showing steps 24-27

  22. Enter or lookup the Room Details.
  23. Describe how the information will be secured.
  24. Click OK or OK and Add Another for additional locations.
  25. Answer the remaining questions on the Security Measures page.
    Notes:
    • If you cannot find your desired IT Manager, click Create New User.
    • Marking and disposing of electronic information should be part of your IT Security Plan. Work with your IT Manager to develop and implement an IT Security Plan.
  26. Select the applicable answer the Will International Travel will be associated with the project? question.

    screenshot of Security Measures page showing step 29-30

  27. If you selected Yes, click Add or Update to enter information.
  28. Enter trip information in all fields including Destination Country, Start and End Dates, Research Personnel Travelers, and Purpose of Trip.

    screenshot of Add Trip window showing step 27-29

  29. Click OK or OK and Add Another for additional trips.
  30. Click Continue.
  31. Click Finish on the End of UFA Worksheet.

Route to Export Control Office (ECO)

Upon completion, only the PI or Primary Research Administrator can submit the TCP to the ECO using the Route to Export Control Office activity. After completing this activity:

  • The routing is recorded in the Recent Activity list on the UFA Workspace.
  • The state changes to Export Control Office Review.
  1. Click Route TCP to Export Control Office from the Activities menu on the UFA Workspace.
  2. Click OK.
    Note: Error checking will run to look for any errors or missing required fields. If any errors are found, you can click the link to jump to the section that needs to be corrected.