Type Project Title and PI Name Here

Technology Control Plan

PI Name

Address

Revision Date

RECORD OF CHANGES

Date	Reviewer

Date	Reviewer

Date	Reviewer

Date	Reviewer

Date	Reviewer

Date	Reviewer

Date	Reviewer

POLICY STATEMENT

The University of Nebraska-Lincoln (UNL) is committed to educating its students through open research in which all methodologies, data, and research results are freely shared with the public. However, in some rare instances, research sponsors may impose restrictions on the research for reasons of national security or protection of trade. Export Control Regulations deal with the distribution of strategically important technology, services and information to foreign nationals and foreign countries. The United States laws and regulations regarding exports restrict the use of, and access to, certain sensitive or controlled technical information, materials, and technology.

UNL has developed the following policy to ensure that its faculty, staff, students and affiliates comply with Export Administration Regulations (EAR), International Traffic in Arms Regulations (ITAR), Office of Foreign Assets Control (OFAC) regulations and all other applicable export control or sanction related regulations. This policy and any amendments or additions applies to all university activities which may result in an export control or sanctioned transaction with a person, entity, or country requiring an export license or other governmental approval.

TABLE of CONTENTS

RECORD OF CHANGES	2

POLICY STATEMENT	3

SCOPE	3

PURPOSE	3

Contact Information	3

FOREIGN PERSONS	3

INTERNATIONAL COLLABORATIONS	3

APPENDIX A. Project Specific Information	3

Commodity Jurisdiction and Classification	3

Physical Security Plan	3

Location:	3

Physical Security	3

Information Security	3

Personnel Screening Procedures	3

Training and Awareness Program	3

Self Evaluation Program	3

Revisions	3

Material Transfer	3

APPENDIX B. Statement of Work	3

APPENDIX C. Acknowledgement Form	3

APPENDIX D. Nondisclosure Statement	3

APPENDIX E. Bona Fide Employee Letter	3

APPENDIX F. Termination/Departure Statement	3

APPENDIX G. Acknowledgement of Technology Control Plan for University of Nebraska–Lincoln (To be completed by all personnel associated with the project)	3

APPENDIX H. License Files	3

APPENDIX I. Abbreviations	3

APPENDIX J. IMPORTANT CONCEPTS and DEFINITIONS	3

Commerce Control List (CCL)	3

Deemed Export	3

Defense Article	3

Defense Service	3

Dual Use	3

Educational Instruction Exclusion	3

Export	3

Foreign Persons	3

Fundamental Research Exclusion	3

Public Domain/Publicly Available Exclusion	3

Re-export	3

Technical Data	3

SCOPE

The procedures contained in this Technology Control Plan (TCP) apply to all departments, colleges and other units of the University of Nebraska–Lincoln (UNL) and pertain to all activities that are not specifically identified as Fundamental Research and/or Educational Information under relevant federal regulations, including the Department of Commerce’s Export Administration Regulations (EAR) and the Department of State’s International Traffic in Arms Regulations (ITAR) .

Disclosure of export controlled or classified information to “Foreign Persons ” may be considered an export of such information under 22CFR §§120-130 and/or 15CFR §734 and may require a license from the Department of Commerce or Department of State. An export of information may occur by transmitting information or material that is export controlled to a Foreign Person. Such a transmission can occur anywhere, even a classroom on the university campus.

PURPOSE

The purpose of this TCP is to ensure that technical information and/or technical data that are not specifically excluded as Fundamental Research and/or Educational Information from EAR or ITAR is not transferred to Foreign Persons (including employees, visitors, or students) unless approved by an appropriate license or other authorization with the applicable federal agency .

This TCP contains procedures to control access for all export-controlled information to ensure compliance with the National Industrial Security Program .

Prior to 1) the acceptance of any project subject to export control regulations, or 2) any international collaboration, principal investigators are required to contact and work with the UNL Export Control Program staff. The UNL Export Control Program staff is responsible for evaluating a proposed project for the purpose of determining the specific security measures needed to prevent the unauthorized export of restricted technical data, technology or information, as required by federal law and university policy. If needed, the Principal Investigator and the Export Control Program staff will develop a TCP prior to commencing any work on the project. The Principal Investigator and staff associated with the project are responsible for following the TCP, and the corresponding department is responsible for overseeing their compliance with the TCP.

Contact Information

Sara Conrad

Export Control and Laboratory Safety Specialist

Office of Research Responsibility

University of Nebraska – Lincoln

110 Mussehl Hall

P.O. Box 830720

Lincoln, NE 68583-0720

402.472.4491

Sconrad2@unl.edu

PI Name

Title

Address 1

Address 2

Address 3

Address 4

Phone Number

Email Address

FOREIGN PERSONS

No Foreign Person will be given access to any material on any project or program that is subject to export control regulations unless and until that individual has applied for and has received an appropriate license from the applicable federal agency .

Prior to acceptance of a project that is subject to export control regulations, the Principal Investigator and the UNL Export Control Program staff will collaboratively develop a TCP addressing access to sensitive material and information and licensure of any Foreign Persons involved in the project.

University of Nebraska–Lincoln employees who have supervisory responsibilities for Foreign Persons involved in the project will be provided a written export control and licensing report that addresses relevant requirements as they pertain to the technical data, technology, or information involved in the project for the purposes of management and oversight. The relevant department chair and dean will be provided the same material.

All persons employed by, assigned to, or visiting a UNL laboratory and participating in any manner in a project subject to export control regulations will be provided a written report on topics regarding the following:

Department of State (Office of Defense Trade Controls (ODTC)), Department of Commerce (Bureau of Industry Security (BIS)) or other appropriate agency license applications (These must be obtained for all foreign persons participating in the project prior to the release of any technical data, technology or information)

Security rules and export control policies and procedures

Specific technical data, technology or information that has been authorized for release

Regulations for the use of facsimile, automated information systems and reproduction machines

Institutional and personal penalties for Export Control Regulation violations.

INTERNATIONAL COLLABORATIONS

In addition to ITAR and EAR export controls, the Office of Foreign Assets Control (OFAC), (http://www.treas.gov/offices/enforcement/ofac/), also regulates certain interactions with sanctioned countries, entities and individuals as per 31 CFR §500 and must be considered, especially in international collaborations. These include the following items:

Transactions involving designated foreign countries or their nationals

Transactions with respect to securities registered or inscribed in the name of a designated national

Importation of and dealings in certain merchandise

Holding of certain types of blocked property in interest-bearing accounts

UNL employees will not participate in international collaborations with sanctioned countries, entities, or individuals prior to contacting the Export Control Program staff and receiving any necessary approvals or licenses prior to the commencement of such collaborations.

APPENDIX A. Project Specific Information

Sponsor Name: Type Sponser Name Here

Project Title: Type Project Title Here

Project Account Number: Type Project Account Number Here

Principal Investigator: Type PI Name Here

The University of Nebraska-Lincoln (UNL) is committed to complying fully with Export Administration Regulations (EAR), International Traffic in Arms Regulations (ITAR), Office of Foreign Assets Control (OFAC) regulations and all other applicable export control or sanction related regulations. The UNL Export Control Program staff will assist each employee in understanding any export control requirement related to his or her work and to ensure that no exports are made contrary to those requirements.

Commodity Jurisdiction and Classification: (To be completed jointly by the PI and Export Control Program staff)

This project is subject to export control restrictions under Type the Specific EAR or ITAR ECCN or Category.

The purpose of this project is to list specific objectives here.

As a result of the export control requirements for this project, the Principal Investigator, Type PI Name Here, has created a Technology Control Plan to ensure that controlled technical data, technology, and information are protected from disclosure to Foreign Persons who do not have an approved license or valid license exception from the appropriate federal agency . The plan addresses physical security, information security, personnel screening procedures and training and is detailed below.

Physical Security Plan:

Project data and/or materials must be physically shielded from observation by unauthorized individuals by operating in secured laboratory spaces, or during secure time blocks when observation by unauthorized persons is prevented.

Location:

Describe the physical location of each sensitive technology/item include building and room numbers. A schematic of the immediate location is highly recommended.

Physical Security:

UNL will implement the following physical security restrictions to Room Number in the Department Address, Building where the controlled equipment/technology is located.

All export controlled information and materials (including laboratory notebooks and any hard copy of data) will be secured in a locked and controlled container in room number when not in use. Access to these items will only be given to personnel who have been cleared for access by the Export Control Program (a list of cleared personnel will be provided to the principal investigator by the Export Control Program staff.) A log of files or documents checked out for meetings or work sessions will be maintained and will be available for auditing by the Export Control Program staff at all times.

Printed copies of files that contain information provided directly by the sponsor or information derived from data provided by the sponsor will be marked with the following warning:

“This document contains technical data subject to export restriction and regulation under United States law. Any Violation of these export laws may result in severe civil and criminal penalties.”

At such time as all export controlled material is secured in the area and manner described above, the rooms identified above may be used for other functions.

Access to Building Name/Room Number is controlled by Keys/badge/NCard?. The UNL Security? monitor and control the room access.

Emergency Access is managed by UNL Campus Police UNL Security?

Oversight and control of the electronic access system and keys to these rooms will be restricted to only UNL Security? .

Prior to use of these rooms for export control purposes the locks will be changed and keys controlled by the UNL Security?.

Individuals with access to the research site are expressly prohibited from permitting others to access the research site. No one other than those with permitted access are allowed to access materials subject to Export Control Regulations.

The custodial staff access will be coordinated with the researchers, to assure that sensitive materials are appropriately secured during their time in the rooms identified above.

Researchers and staff who are authorized to enter the rooms when export controlled material is secured will at all times escort all visitors and keep visitor logs during the time export controlled material is in use. Citizenship of all visitors will be documented by the Industrial Security Department when making access determinations.

Information Security:

UNL will implement the following information security measures to protect the controlled information.

Computers used for this project include faculty workstations, mobile workstations, etc that reside room number, building. Only Export-Control Program authorized researchers are the sole designated users of their workstations.

All workstations run Operating System with the latest security service pack and patches.

Researchers are required to provide a User ID and password to gain access to the machine. This User ID and password never will be shared with anyone in any manner.

Both failed and successful logins are to be logged internally.

Appropriate measures will be taken to secure controlled electronic information, including User IDs, password control using 128-bit or better encryption.

Removable hard drives may be used for data backup. When not in use, the backup removable drives will be securely locked away in a container in room number, building.

Firewalls are installed on each of the machines to secure and monitor network access from/to the machines.

For meetings, foreign travel, emails, symposiums, etc., where unlicensed controlled technology is potentially discussed, prior approval will be sought from Sponsor and licenses obtained if necessary.

All controlled technical materials will be destroyed by National Security Agency approved devices.

Any computer hard drives containing sensitive information will be scrubbed and reformatted at the end of the contract, AND overwritten three times with a DOD disk-wipe program.

Emails shall not contain restricted technical data or files unless both send and receive email locations are encrypted.

Personnel Screening Procedures

All personnel who will work in any manner on the contract will be screened against the Denied Party List, Entity List, Unverified List, Specially Designated Nationals List, Debarred List, NSA Nonproliferation Sanctions list and General Order 3 to Part 736 of the EAR.

All personnel who will work on the contract will review this plan and sign the form in Appendix A.

Training and Awareness Program

The UNL Export Control Program in conjunction with the principal investigator will inform applicable foreign national UNL employees of any technology access limitations.

The UNL Export Control Program in conjunction with the principal investigator will train applicable U.S. person UNL employees on any technology access limitations for foreign national employees.

Self Evaluation Program

The principal investigator will notify the Export Control Program staff immediately of the following:

Any additional persons need to be added to the project to enable the required Export Control Program screening and training

The scope of the project changes in any manner

An employee is separated from the project and/or UNL

The principal investigator also will certify annually that the project is being carried out in compliance with this TCP.

Revisions

Any requested revisions to this TCP or security procedures regarding the project will take effect when reviewed by the department and college, and is approved in writing by the UNL Empowered Official, Dr. Kimberly Andrews Espy, Associate Vice Chancellor for Research, Office of Research Responsibility.

Material Transfer

Because an export license is required in many cases, no item can be exported or released to a foreign national in the United States (“deemed export”) without first determining if an export license is required. Further, all shipments of tangible items must be in compliance with regulations regarding the licensing, packaging, and shipment of the material. Many materials also require a Material Transfer Agreement (MTA) prior to shipment, and therefore, approval by the Office of Technology Development and the Export Control Program must be in place prior to initiating any shipments.

.

Submitted:

________________________	Enter a date

(Signature, Principal Investigator)	Date

Type full name

(Printed Name)

Acknowledgement of Immediate Supervisor:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

APPENDIX B. Statement of Work

Copy and Paste SOW

APPENDIX C. Acknowledgement Form

Sponsor Name and Project Title: Type Project Title Here

Project Account Number: Type Project Account Number Here

Principal Investigator: Type PI Name Here

I, Type Your Name Here, have read the University of Nebraska–Lincoln Technology Control Plan and have discussed the plan with the UNL Export Control Program staff. I understand the plan and agree to comply with its all requirements.

________________________	Enter a date

(Signature, Principal Investigator)	Date

Type full name

(Printed Name)

Acknowledgement of Immediate Supervisor:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

Acknowledgement of Department Chair:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

Acknowledgement of Dean’s office:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

APPENDIX D. Nondisclosure Statement

Sponsor Name and Project Title: Type Project Title Here

Project Account Number: Type Project Account Number Here

Principal Investigator: Type PI Name Here

I, Type Your Name Here, acknowledge and understand that any technical data or defense service related to defense articles on the U.S. Munitions List and/or Export Administration Regulations (EAR), to which I have access or which is disclosed to me in the course of my affiliation with University of Nebraska–Lincoln, is subject to export control under the International Traffic in Arms Regulation (Title 22, Code of Federal Regulations, §§120-130) and/or the items and activities subject to the EAR (Title 15, Code of Federal Regulations, §§730-774).

I hereby certify that such data will not be further disclosed, exported, or transferred in any manner to any foreign national, foreign owned company, or any foreign country without prior written approval of the Directorate of Defense Trade Controls (DDTC), U.S. Department of State, U.S. Department of Commerce, and in accordance with U.S. government security and customs regulations.

I understand that, under §127.3 of the ITAR, I can be subject to fine or imprisonment if I am convicted of willful violation of any provision of Section 38 or 39 of the Arms Export Control Act (AECA). Also, I understand that under §764.3 of the EAR, I can be subject to fine, imprisonment, or other administrative sanction for willful violation of any provision of Export Administration Act (EAA), the EAR, or any order, license, or authorization issued thereunder.

________________________	Enter a date

(Signature, Principal Investigator)	Date

Type full name

(Printed Name)

Acknowledgement of Immediate Supervisor:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

Acknowledgement of Department Chair:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

Acknowledgement of Dean’s office:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

APPENDIX E. Bona Fide Employee Letter

Applicable to University of Nebraska–Lincoln employees who are exempt from ITAR export control restrictions as a Bona Fide Employee of UNL.

Sponsor Name and Project Title: Type Project Title Here

Project Account Number: Type Project Account Number Here

Principal Investigator: Type PI Name Here

Dear: Type Name of Employee Here

You are hereby notified that as Choose a participant or a principal investigator in the Sponsored Project for Type Project Title Here you will be producing International Traffic in Arms Regulations (ITAR) export control restricted experimental of developmental electronic equipment specifically designed or modified for military application or specifically designed or modified for use with a military system and associated technical data.

In accordance with ITAR 22 CFR § 125.4(b)(10), the ITAR-restricted defense articles or technical data may not be transferred to foreign persons without the prior written approval of the Office of Defense Trade Controls. Prohibited technical transfer includes oral, visual, written or electronic disclosure, as well as transfer of physical custody. Violations of International Traffic in Arms Regulations can result in criminal penalties of up to 10 years in prison and $1M in fines, and civil penalties of up to $500,000 in fines and forfeiture (22 CFR §§ 127-1 through 127-12).

If you have questions about this export control restriction, please contact Sara Conrad (402-472-4491).

Sincerely,

Sara Conrad

Export Control and Laboratory Safety Specialist

APPENDIX F. Termination/Departure Statement

Sponsor Name and Project Title: Type Project Title Here

Project Account Number: Type Project Account Number Here

Principal Investigator: Type PI Name Here

I, Type Your Name Here, certify that I have not given or disclosed, nor will I disclose, to any unauthorized person any documents, reports, or other data, which is considered to be export controlled or sensitive information associated with Type Project Title Here program.

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

Acknowledgement of Immediate Supervisor:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

Acknowledgement ofDepartment Chair:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

Acknowledgement of Dean’s office:

________________________	Enter a date

(Signature)	Date

Type full name

(Printed Name)

APPENDIX G. Acknowledgement of Technology Control Plan for University of Nebraska–Lincoln (To be completed by all personnel associated with the project)

For the Project Name

For the US Army Medical Research Acquisition Activity (USAMRAA)

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

Name: Type Name	Department: Department

Status: U.S. Citizen/Green Card Holder/Foreign National – Country of Origin

Signature: ________________________

APPENDIX H. License Files

APPENDIX I. Abbreviations

BIS	Bureau of Industry and Security

CCL	Commerce Control List

CDA	Confidential Disclosure Agreement

CFR	Code of Federal Regulations

DDTC	Directorate of Defense Trade Controls

DOS	Department of State

EAA	Export Administration Act

EAR	Export Administration Regulations

ECCN	Export Control Classification Number

FACR	Foreign Assets Controls Regulations

FSS	Financial Support Services

ITAR	International Traffic in Arms Regulations

MTA	Material Transfer Agreement

MTCRA	Missile Technology Control Regime Annex

NISPOM	National Industrial Security Program Operations Manual

NLR	No License Required

NSA	National Security Agency

ODTC	Office of Defense Trade Controls

OFAC	Office of Foreign Assets Control (http://www.treas.gov/offices/enforcement/ofac/)

TCP	Technology Control Plan

USML	United States Munitions List

APPENDIX J. IMPORTANT CONCEPTS and DEFINITIONS

Applicable U.S. federal agency

Department of State (Office of Defense Trade Controls (ODTC)), Department of Commerce (Bureau of Industry Security (BIS)) or other approval from the appropriate U.S. federal agency as applicable.

Commerce Control List (CCL)

The Commerce Control List is a list that includes commodities, software and technology subject to the export licensing authority of the Bureau of Industry and Security. The CCL is contained in Supplement No. 1 to Part 774 of the EAR.

Deemed Export

Most people think of an export as the shipment of a commodity from inside the United States to a foreign country, however, under the EAR, the release of technology to a foreign national (even inside the United States) is also ‘deemed’ to be an export.

Situations that can involve release of U.S. technology or software include:

Tours of laboratories

Foreign students or professors conducting research

Hosting foreign scientists

Emails, visual inspection, oral exchanges

Defense Article

Defense article is a term used by the U.S. Department of State. It is defined as any item or technical data found in §121.1 of the ITAR (the United States Munitions List). This term includes technical data recorded or stored in any form, models, mock ups or other items that reveal technical data directly relating to items designated in §121.1. It does not include basic marketing information on function or purpose or general system descriptions.

Defense Service

Defense service is a term used by the U.S. Department of State. It is defined as the furnishing of assistance (including training) to foreign persons, whether in the United States or abroad, in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing or use of defense articles. Defense service also includes the furnishing of technical data controlled by the ITAR to foreign persons, whether in the United States or abroad. Additionally, it includes the provision of military training to foreign units and forces, regular and irregular, including formal or informal instruction of foreign persons in the United States or abroad by correspondence courses; technical, educational or informational publications and media of all kinds; training aid; orientation; training exercise; and military advice.

Dual Use

Dual use describes tangible items, software, and/or technology that have both a civilian and military use.

Educational Instruction Exclusion

The sharing of general scientific, mathematical or engineering information commonly taught in colleges and universities (including information in the public domain) is exempt from export control.

Export

Any item that is sent from the United States to a foreign destination is an export. This can include commodities, software or technology, such as clothing, building materials, instrumentation, chemicals, biological materials, circuit boards, automotive parts, blueprints, design plans, retail software packages and technical information.

Foreign Persons

A “foreign national” is anyone who is not a “U.S. person.” A “U.S. person” is any one of the following:

U.S. citizen

Lawful permanent resident alien (green card holder)

Refugee

Protected political asylee or someone granted temporary residency under the amnesty provision.

Fundamental Research and the Fundamental Research Exclusion

Fundamental Research as defined in the National Security Decision Directive 189 (1985, NSDD189) is that which the research results are freely publishable and there is no restriction on access and dissemination of the research results. If either of these requirements (i.e. there are publication restrictions or there are limitations on access or dissemination of the research results) is removed, then the fundamental research exclusion is invalidated.

Public Domain/Publicly Available Exclusion

Items in the public domain or that are publicly available are generally excluded from Export Control. These types of items can include:

Artistic or non-technical publications (maps, children’s books, sheet music, calendars, film)

Information that is published and generally available to the public:

Through sales at bookstands and stores

Through subscriptions available without restrictions

At libraries open or available to the public

Through patents

Through unlimited distribution at a conference, meeting seminar, trade show, generally accessible to the public in the U.S.

Includes technology and software that are educational and released by instruction in catalog courses and associated labs and universities

Re-export

Re-export means an actual shipment or transmission of controlled tangible items, software or information from one foreign country to another foreign country. The export or re-export of controlled tangible items, software or information that will transit through a country or countries, or will be unloaded in a country or countries for reloading and shipment to a new country, or are intended for re-export to the new country, are deemed to be exports to the new country.

Technical Data

As defined in 22 CFR §120.10, technical data is:

(1) Information, other than software as defined in 22 CFR §120.10(a)(4), which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense articles. This includes information in the form of blueprints, drawings, photographs, plans, instructions or documentation.

(2) Classified information relating to defense articles and defense services;

(3) Information covered by an invention secrecy order;

(4) Software as defined in 22 CFR §121.8(f) directly related to defense articles;

This definition does not include information concerning general scientific, mathematical or engineering principles commonly taught in schools, colleges and universities or information in the public domain as defined in § 120.11. It also does not include basic marketing information on function or purpose or general system descriptions of defense article

(EAR 15 CFR §734.8 and §734.9, ITAR 22 CFR §120.11)

Anyone who is not a “U.S. Person” (by definition, a “U.S. Person” is a person who is either a U.S. citizen, lawful permanent resident, refugee, protected political asylee or a person who has been granted temporary residency under the amnesty provision

Department of State (Office of Defense Trade Controls (ODTC)), Department of Commerce (Bureau of Industry Security (BIS)) or other approval from the appropriate U.S. federal agency as applicable

NISPOM regulations – Executive Order 12829

Department of State (Office of Defense Trade Controls (ODTC)), Department of Commerce (Bureau of Industry Security (BIS)) or other approval from the appropriate U.S. federal agency as applicable

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