General Information

The Office of Research Integrity assists the Affected Party / Researcher in setting up the security measures and protocols needed to ensure compliance with export and sanction regulations through the establishment of a Technology Control Plan (TCP).

A TCP is used to determine the export control classification, restrictions on release of information, physical and information security measures, and other security measures necessary to safeguard and control access to information or items that are export restricted.

It is the responsibility of the Affected Party / Researcher to manage and enforce compliance within the terms of the TCP. ORI assists with the development and determine whether or not it is sufficient to adequately protect the item and information for unauthorized access and export (deemed export). TCPs will include:

  • A commitment to export control compliance;
  • Identification of the applicable export controls and items or technologies subject to the controls;
  • A description of the agreed upon security measures to control the item / technology;
  • Identification and nationality of each individual who will have access to the controlled item or technology;
  • Personnel screening measures for granting access to the controlled item / technology;
  • Appropriate security measures for disposal of the item / technology when use is complete.
  • Affected Party / Researcher can submit the Technology Control Plan (TCP) Security Questionnaire (PDF) form to the Office of Research Integrity in order to initiate this process.

Additional Tips

  • In some situations it is possible to put a TCP in place instead of applying for a license.
  • Researchers must complete the export control initial training requirements prior to beginning the research.