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Offices of Research Compliance and Security
Research Policy  /  Compliance  /  Export Compliance  /  Publication, Transfer, Recordkeeping of Export Controlled Items

Guidance for Publication, Transfer and Recordkeeping of Export Controlled Documents

Prior to the publication or transfer of export-controlled documents related to this project, the Caltech PI shall perform a document review to identify any technical data (export controlled information) contained in the documents.  Two different types of actions are required, depending on whether the document is being published or transferred to a third party and/or a foreign person.

The Caltech Office of Export Compliance (OEC) is available at exportcompliance@caltech.edu or x 2641 to provide guidance for the review of export-controlled documents.

Note:  Publicly available information including the results of fundamental research may become "export controlled" if it is comingled with export controlled information such that separation may render it meaningless.

Publication

The purpose of this document review is to ascertain whether or not the technical content of the document is:

  • Allowed under an approved license for the project
  • Allowed under the export compliance regulations
  • Allowed under an exemption or exception
  • Already in the public domain
  • Intended to be made publicly available by the cognizant government authority

In general, all unallowable export controlled technical information must be removed prior to publication or public release.

Transfer

The purpose of a document review is to identify any export controlled information prior to dissemination or transfer to a third party and/or a Foreign Person.  This review shall include a:

  • Content review - the technical data to be transferred to the Foreign Persons cannot exceed the scope of the approved license for the project.
  • Marking language review - the document must be marked as indicated in Export Control Marking Language for Technical Data.

Recordkeeping

Caltech is required by law (ITAR and EAR) to maintain records of the transfer of any export controlled technical information to Foreign Persons.  These records are subject to government audit at any time.

The records must be maintained in an electronic format using a process or system capable of reproducing all records on paper with a high degree of legibility and readability.  The records must be stored in such a manner that none of it may be altered after it is initially recorded.

Project personnel are responsible for maintaining an electronic archive in the project's electronic document repository of all technical data that is transmitted to the foreign parties, or any other authorized individuals or entities.  This repository shall be housed in a secure server as described in Physical Storage of Export-Controlled Items.  All releases of technical data and/or exchange of defense services by Caltech must also be logged and housed in the repository.

All records must be maintained for a period of five years from the expiration of the license or other export approval or from the date of the export, whichever date occurs later.

Export Logs

An export log of transfers to Foreign Persons shall be maintained, and shall contain the following information:

  • Date of Transfer (Export)
  • Name of Exporter
  • Name of Recipient (Foreign Person)
  • Name of Foreign Organization
  • Title/Description of Information Transferred
  • Export Authority Allowing the Transfer (License or Exemption)

Note that a computer-generated log (of emails or other transfer documents) may be used in place of manually-tabulated export log, provided that the all the transfer information is readily available for audit purposes.

Internal Audit

The repository and the recordkeeping requirements may be audited periodically by Caltech's Audit Team to ensure compliance with these requirements.