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Technology Control Plan
For Items Controlled Under U.S. Export Regulations
[Note:For the purposes of this Plan, “Item” means any information, data, materials, software, equipment, or anything else created at the University or received by the University from an external source.]
Background Information
1.Type of Agreement:
2.Name of Contracting Party:
3.Specification of Project/Task Order (if applicable):
4.University Agreement Reference #:
5.Expiration Date of Agreement:
6.Responsible Employee/PI:
7.UIUC Unit and Unit Head:
8.Unit Administrator Assisting Responsible Employee:
9.Obtaining export-controlled Item(s) from external source? Yes ___No ____
If yes, check the applicable use(s) below:
____ research use
____use in technical testing, facilitiesuse or other service for external party
____ educational/teaching use
____University business/administrative use
____for discussion only (e.g., to evaluate possible future transaction/relationship)
____ other (explanation):______
10.Creating export-controlled Item(s)?Yes ____No ____
If yes, check any of the below that are applicable:
____ export-controlled Items will be created in non-research activity;
therefore fundamental research exclusion is inapplicable
____ export-controlled Items will be generated in research
____ research does not/might not qualify for fundamental research
exclusion
[Explanation: ______
______]
____ all results of activity (whether research or other) will be export-
controlled
____ controls apply only to specific results that reveal export-controlled
Item(s) received from external party
____ no public disclosure/publication of results allowed without sponsor or
otherexternal partyapproval(standard review clause is okay)
Additional information:
____ publication of University results will be sought
____ activity involves student thesis research
____ Other:
11.Description of export-controlled Itemsto be received from external source:
[If no Items will be received from external source, check here: _____]
____Information or Data:
Description: ______
______
____Software:A.Description: ______
______
B.With source code?____ yes ____ no
C.Does Software have encryption or decryption capability?
_____ yes _____ no
____Materials:A.Description: ______
______
- With confidential information enablingdevelopment, production or use?
_____ yes _____ no
____Equipment:A.Description: ______
______
- With confidential info allowing modification of performance or functional capabilities, or enabling development, production or “use[k1]”? yes ____ no _____
____ Other
- Brief Description:______
- With confidential information enabling this Item’s modification, development, production or “use[k2]”?___ yes ____ no
____ Not applicable; no such Items will be received from external source
12.Method by which above Items will be received (circle, and/or use additional space to explain as appropriate):
Paper Verbally or visually (e.g., at a meeting) On a CD
Downloaded from secured website Received by e-mail Unknown at this time
If by e-mail, Responsible Employee to initial here: ______, confirming Item encrypted or otherwise adequately protected.Please provide details immediately below:
Additional information:
13.Description of export-controlled Items to be created at University (if none, so state):
[If such Items are controlled because they reveal an export-controlled Item received from external source, for each such Item, indicate which received Item identified in #11 above is involved]
14.The export controls specified below apply to the following[k3]:
____ Items received from external source:
___ EAR ______(insert applicable ECCNs)
___ ITAR ______(insert applicable categories, if known)
____ Items created at the University, as follows:______
Export Controls:___ EAR ______(insert applicable ECCNs)
___ ITAR ______(insert applicable categories, if known)
15.Additional relevant background information, if any:
TECHNOLOGY CONTROL PLAN
1.Responsible Employee has responsibility for general oversight and administration for the______(“Agreement”), and will also take the lead in assuring that Item(s) subject to export control will not be exported or provided to unauthorized persons, including unauthorized foreign nationals (a “deemed export”)from the following country(ies[k4]):______.Any Items created that reveal controlled Items received from an external source will be treated as controlled Items, as will project results that are not eligible for the fundamental research exclusion.______is the Unit Administrator who is responsible for authorizing all the individuals who will have access to the restricted Item(s) and for preparing this Plan andtheAcknowledgment Agreement.
2.Researchers and other University personnel requiring access to restricted Item(s) will be authorized by the following process:
(A) Responsible Employee will provide the Unit with the names of all students and employees who will need access to the controlled Item(s).The Unit will identify any other personnel who may also have access to the controlled Item(s), including IT personnel if an Item will be stored in a Unit computer system.
(B)The Unit will verify that no foreign national researchers or University personnel who will have access to the restricted Item(s) are from the country(ies) identified as prohibited in #1 above.
(C)The Unit will look for all names of researchers and University personnel (includingResponsible Employee, all U.S. citizens and all green card holders) on the consolidated screening list.The Unit will also determine whether any person who will have access is employed by or affiliated with another entity, and look for the names of any such entities on the list. The consolidated screening list is located at:
The list will be checked quarterly.No one whose name or entity appears on any of the above lists will be allowed access to the restricted item(s).
3.The Acknowledgment Agreement (“AA”) template attached hereto as Attachment 1 will be customized by the Unit and used by Responsible Employee to obtain signatures from all University personnel and researchers authorized by the Unit as provided in #2 above.
4. Responsible Employee will inform all persons identified as needing access to the restricted Item(s) of the applicable restrictions and security requirements.In addition, if the Agreement requires all such persons to be bound by its terms, Responsible Employee will require them to read the Agreement.Responsible Employee will require all persons needing access to the Items to complete and sign the AA (3 originals).For persons who are authorized to obtain access, Responsible Employee will sign the verification at the bottom of the AA.
5.The fully executedAA will be distributed as follows:
One (1) original of the AA will be returned to the individual.
One (1) original of the AA will be retained byResponsible Employee.
One (1) original of the AA will be forwarded to the Export Compliance Officer, to befiled with the fully executed Plan.[Send to:Export Compliance Officer, Office of Sponsored Programs, 1901 S. First St., MC-685, Attn: Sam Padilla]
A copy will be kept by the Unit.
6. The authorization process and prior execution of AAs will take place on an ongoing basis, as new researchers or personnel require access to the restricted Item(s).
7.Responsible Employee and Unit will comply with the following additional obligation(s) imposed by the Agreement (if none, so state):
8.The Unit will keep a copy of the fully executed Plan and AAs, together with documentation re the online checks outlined in Item 2 above.
9. Responsible Employee will be responsible for overseeing access, use and protection of controlledItem(s) on behalf of the University.
- The Item(s) will be treated as confidential and Responsible Employee will abide by any confidentiality obligations in the Agreement inpreventingunauthorized use or disclosure.
- The following security measures for export-controlled Items obtained from an external source will be implemented by Responsible Employee and Unit (check all that are applicable, and provide additional information if appropriate):
___Tangible Items (e.g., paper, CDs, and copies thereof)
___ when not in use by authorized persons, will be kept in the following locations:
___ when not in use by authorized persons, will be secured in the following manner:
___ authorized persons will obtain access in the following manner:
___Electronically retrievable information
___ will be stored on the following computers/systems (indicate whether stand-alone):
___ backed up as follows:
___ with access controlled as follows:
- The following security measures for export-controlled Items created at the University will be implemented by Responsible Employee and Unit (include publication and presentation manuscripts, if contemplated):
10. Items will not be taken out of the U.S. or accessed electronically from outside of
the U.S. unless otherwise specified here[k5]:
11. Responsible Employee will not accept any controlled Item(s) deviating from the specifications identified in this Plan– such as in type, form, applicable controls, method of transfer, security measures, and the like – without consulting the OVCR. In addition, she/he will consult the OVCR regarding amending this Plan if she/he anticipates creating controlled Items not already identified in this Plan.
12. Responsible Employee will treat controlled Item(s) as follows when they are no longer needed:
- In consultation with the provider, Responsible Employee will return to the provider or destroy any of provider’s Item(s) in his/her possession, including back-up copies.
- If Items that arestored in electronic or other computer retrievable form are backed up such that immediate return or destruction would not be practical and/or feasible, Responsible Employee and Unit will use reasonable efforts to keep copies on such system back-up media secure until such time as the back-up media is recycled or destroyed.
- Additional information:
13.IfResponsible Employee leaves his/her position at the University while this Plan isin effect, the controlled Items will be handled as follows:
- In consultation with theprovider, Responsible Employee will 1) return to the provider or destroy any of provider’s Item(s) in his/her possession, including back-up copies, in advance of leaving the University; or 2) make arrangements with the Unit to transfer the Item(s) and responsibility to another authorized person.
- If the Unit learns that Responsible Employee is leaving the University, the Unit will follow up with him/heron the status of the Item(s).The Unit will amend the Plan in consultation with the OVCR if Item(s) and responsibility are being transferred to another authorized person, or verify that the Item(s) have been returned or destroyed by Responsible Employee and send notification of such to the OVCR.
- Additional information:
************************************
Understood and agreed for Unit:
Responsible Employee Date
Unit HeadDate
______
Unit AdministratorDate
Plan reviewed by University Legal Counsel
and AA approved for Legal Form[k6]:
Date
Plan approved by Office of the Vice Chancellor for Research[k7]:
Samuel P. PadillaDate
Attachment 1
ACKNOWLEDGMENT AGREEMENT
FOR
UNIVERSITY OF ILLINOIS RESEARCHERS AND/OR PERSONNEL
WHO NEED ACCESS TO EXPORT-RESTRICTED ITEMS
The Board of Trustees of the University of Illinois (“Illinois”) and ______(“Entity”) have executed (or will soon execute) the______,effective as of______(“Agreement”).
The Agreement covers the use and protection of ______identified as______(“Item(s)”).The Item(s) will be transferred to Illinois for the following purpose:______.
In addition, the Agreement covers the following if indicated by an “X” in the applicable blank:
____ Use and protection of______generated at the University that reveal(s) the Entity’s Item(s).
____ Research results arising from the project covered by the Agreement.(Add details if applicable)
____ Manuscripts and presentation materials revealing the above specified research results.
For the purposes of this Acknowledgment Agreement, all of the above are also considered to be Item(s) subject to export control.
The Item(s)may be used under the direction of ______(“Responsible Employee”),of the ______(“Unit”), for the purposes authorized under the Agreement.Responsible Employee is the faculty member or University employee responsible for administering the Agreement and associated Technology Control Plan (“Plan”) on behalf of Illinois.
You have been identified as an Illinois employee and/or student who needs access to the Item(s).Accordingly, Illinois wants to obtain a written record that you have been informed by Responsible Employee of the terms and conditions that apply to individuals who are given access to the Item(s), and agree to be bound thereby.
Compliance with U.S. Export Controls
The Entity informs the University that the Item(s) are subject to export restrictions.Allowing unauthorized persons to have access to the Item(s) may be deemed to be a violation of such export restrictions.Therefore, you must not share the Item(s) with anyone except as authorized by Responsible Employee in consultation with the Unit and the Office of the Vice Chancellor for Research.Further, Item(s) may not be taken out of the U.S. or accessed electronically from outside the U.S. except as permitted under the Plan.
YOUR FAILURE TO COMPLY WITH EXPORT CONTROL RESTRICTIONSMAY RESULT IN CRIMINAL PROSECUTION FOR WHICH YOU MAY HAVE PERSONAL LIABILITY.
By your signature below, you hereby acknowledge that you have read this Acknowledgment Agreement, have been informed and understand the terms and conditions applicable to individual Illinois researchers/personnel who receive access to Item(s), and agree to be bound by them as a condition of your access toItem(s).Regardless of the date on which you sign this Acknowledgment Agreement, you agree that such terms and conditions apply retroactively to the date that you first received access to the Item(s) to the extent possible, and that you will informResponsible Employee promptly upon discovering any breach of this Acknowledgment Agreement.
If you have any questions, contact Responsible Employee at ______or Unit at ______for assistance.
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Researcher/employee must answer the following questions:
(1)Are you a U.S. citizen, or have you been lawfully admitted for permanent residence into the U.S. (i.e., a “green card” holder)? _____Yes _____No
(2)If you answered “no” to Question (1), what is your nationality/citizenship?______
NOTE:If you are not a U.S. citizen or a person admitted lawfully for permanent residence into the U.S., you will not be permitted to access the Item(s) until Illinois, through Responsible Employee, has reviewed your status under the applicable export control laws and regulations.By signing below,Responsible Employee will confirm that you are authorized to obtain access to the Item(s) under the Agreement.
UNDERSTOOD AND AGREED BY RESEARCHER/EMPLOYEE:
Signature of Researcher/EmployeeName printed or typedDate
Verification that researcher/employee qualifies for access toItem(s):
Responsible Employee’s signatureDate
Approved for Legal Form by ______on ______[insert date[k8]]
NOTE:Sign 3 originals.Once the Verification has been signed by Responsible Employee, theresearcher/employee retains 1 original. Responsible Employee retains 1 original.Send 3rdoriginalto Sam Padilla, OSP, 1901 S. First St., MC-685,for Illinois’ file.Unit retains 1 copy.
[k1]If the Items are EAR-controlled, use the following definition for “use”:The information must enable ALL of the following activities with respect to the Item:Operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.
[k2]See the comment above.
[k3]Consult the campus Export Control Officer (for UIUC, Howard Guenther) or Legal (Karen Etheridge) when completing this section.When submitting the Technology Control Plan to the ECO for approval, please provide documentation (e.g., email) from the ECO or Legal confirming the information provided in this section.
[k4]Consult Legal (Karen Etheridge) when completing this section.When submitting the Technology Control Plan to the ECO for approval, please provide documentation (e.g., email) from the Legal confirming the information provided in this section.
[k5]Consult Legal (Karen Etheridge) when completing this section.When submitting the Technology Control Plan to the ECO for approval, please provide documentation (e.g., email) from the Legal confirming the information provided in this section.
[k6]A pre-approval from Legal may be obtained and substituted for a Legal signature.If indicating a pre-approval here, when submitting the Technology Control Plan to the ECO for approval, please provide documentation (e.g., email) from Legal showing the pre-approval.
[k7]It may expedite final approval of the Technology Control Plan by the ECO to obtain a pre-approval from the ECO in advance.When submitting the Technology Control Plan to the ECO for final execution, please provide documentation (e.g., email) from the ECO showing any pre-approval.
[k8]A pre-approval from Legal may be obtained.If indicating a pre-approval, when submitting the Technology Control Plan to the ECO for approval, please provide documentation (e.g., email) from Legal showing the pre-approval.