INFOGRAPHIC: ELEMENTS OF A TECHNOLOGY CONTROL PLAN

Infographic on Export Controls

NOV.-DEC. 2016 |

A Technology Control Plan (TCP) is a customized management plan that outlines the procedures in place to prevent unauthorized export of protected items, products, data or technology deemed to be sensitive to national security or economic interests. Principal investigators collaborate with the Export Controls Office in the Office of the Executive Vice President for Research and Partnerships to prepare an individual project TCP when needed. The infographic above outlines the basic elements to consider when a TCP is necessary for an export-controlled project. Download the infographic. A text version is below:

Personnel
Each person must be identified on the plan. This includes PIs, co-PIs, students, staff or any other project team member who could potentially work with controlled information. Personnel also must be properly authorized, trained and briefed on the specifics of the security surrounding the plan.

Equipment
If the project involves items, such as test articles, that must remain confidential to people outside the research team, the TCP will require documentation of the location and operating procedures to ensure compliance.

Information Technology Security
IT security regarding the controls on protected data must be described in detail. Be prepared to give a description of any devices (including computers, computing clusters, portable devices, etc.) that may be used to process or store controlled data. Additionally, the TCP will outline any sponsor-required IT security parameters.

Publications/Presentations
Projects that are export-controlled typically require a sponsor’s approval prior to open publication or presentation. The TCP will document the investigator’s plans to publish and reiterate specific sponsor approval procedures to be followed prior
to open publication or generation of a student thesis.

Physical Security
A TCP must outline the location and access parameters related to the export-controlled project. Investigators will be required to describe the location and the precautionary measures taken to secure any export-controlled data or technology.