Delegation of Export Authority Letter
To
1. NON-DISCLOSURE: The content of this Delegation of Export Authority Letter (“export authorization”) is University Space Research Association (USRA) proprietary information and may not be disclosed to foreign national USRA personnel, ornon-USRA personnelincluding foreign nationals or U.S. Persons representing foreign persons or interests.
{Italicizes text that appears in set brackets are decisions the ECO must make. Follow the directions, then delete all of the {} before issuing the document to the recipient (including these lines).}
2. AUTHORITY: USRA hereby delegates export authority to {name of person} for {name of project}. This authorization is issued under the export authority granted to USRA under U.S. Department of State Export License # ______{or Technical Assistance Agreement # ______or U.S. Department of Commerce Export License # ______}. The terms and conditions of this license are outlined in the below paragraphs, and a copy of the license is attached to this authorization.
a. The authority conveyed by the export license/TAA is only to the individuals or entities specified in the attached license/TAA. Other foreign individuals or entities are precluded. If further foreign involvement is required, the license/TAA must be first amended and approved.
b. “U.S. Persons,” meaning U.S. citizens, permanent resident aliens, and certain individuals officially granted political asylum in the U.S. by the U.S. State Department, are not encumbered by this authorization.
3. EXPORT METHODS:
{For DSP-5s, -85s, and EAR items} Items and information may be exportedunder this authorization on an oral, visual, and/or documentary basis (which includes electronic disclosures). All tangible items exported must be decremented on the license through the use of the U.S. Automated Export System (AES). All information exported must be recorded using the procedures in paragraph 5 of this export authorization.
{For TAAs} Non-tangible technical information may be exported under this authorization on an oral, visual, and/or documentary basis (which includes electronic disclosures). All information exported must be recorded using the procedures in paragraph 5 of this export authorization.
4. PROVISOS:
a. {list all provisos here verbatim}
5. EXPORT PROCEDURES: All exports under this export authorization are subject to the following procedures:
a.
6. EXPORT COMPLIANCE SECURITY MEASURES: Both physical and information security measures may be appropriate to control and items and/or information licensed for export under this authorization. Examples of security measures include, but are not limited to:
- Laboratory Compartmentalization.Research and development operations might need to be limited to secure areas physically curtained from observation or shielded from access by unauthorized individuals. If export controlled items or technologies are left unattended, the area must be locked to prevent unauthorized access.
- Establishment of Time Blocks. Time blocks establish hours of research and development when only project members authorized for access to export controlled information may be present.
- Personnel Identification.Depending on the project and the routine activities of people in and around the research and development area, USRA personnel working on or having access to export controlled project items or information may be required to wear identification badges to outwardly identify them from other non-project personnel.
- Locked Storage. Export controlled items (tangible things) and their associated operating manuals/technical data must be stored in areas where control and access can be ensured, such as a locked room, storage cabinet, or desk drawer. Also soft and hard copy data, notebooks, reports, schematic diagrams, and other project material must also be locked if the possibility exists that such items may contain information about, or relating to, export controlled information.
- Marking and Cover Sheets. Export controlled information must be clearly identified and marked as export controlled. Use of a red “Export Controlled Information” stamp at the top of each page is suggested – if it cannot be included in the header section of electronic documents. (Marking each page is recommended because of the possibility of separation of pages.) Additionally, a simple colored card stock cover sheet with “Export Controlled Information” should be used over printed material to easily identify it and preclude casual unauthorized viewing.
- Electronic Security. At a minimum, export controlled information stored on electron media must be secured to prevent unauthorized access. This means access privileges must be established through a User ID and Password. It should also be stored on a drive or on media that is separate from public domain information if possible. Use of the password control features of software products such as Microsoft WORD or Adobe Acrobat is highly encouraged for all electronic files containing export controlled information. The Project Leader or Manager may establish a single project password for such documents in order to facilitate team collaboration. (Note: Do not send password controlled files as attachments in an e-mail where the password is in the e-mail text.)
- Technical Communication. Technical discussions about export controlled information must be limited to identified persons that are authorized access to the information. These discussions should take place in private areas where other persons can overhear the conversation. Telephone or video communications, particularly in a conference call involving authorized foreign persons or entities, must take place with foreign assurances that unauthorized persons (especially third-party nationals) are not present, cannot overhear the conversation, and cannot access a log or recording of the conversation after its conclusion.
6. RECORDKEEPING REQUIREMENTS: Records pertaining to export controlled items or information must be retained for a minimum of five years after the conclusion of the license or TAA. However, if a violation or suspected violation is reported, export records must be retained until authorized for destruction by the U.S. Justice Department or controlling U.S. export agency.
a. Records must be maintained concerning the manufacture, acquisition and disposition of export controlled articles; of technical data; the provision of defense services; and brokering (or agent) activities.
b. Records must be stored in such a manner that they may not be altered once they are initially recorded without recording all changes, the person that made the changes, and the date the changes were made. Written records may only be lined out using a single straight line and not blacked out.
c. For TAA transfers, records must be maintained including a description of the technical data transferred; the name of the recipient/end-user; the date and time of the export; the method of transfer (such as e-mail, fax, telephone, Fed Ex, etc.); and the exemption under which the export took place.
d. Records shall be available at all times for inspection and copying by the U.S. State Department’s Directorate of Defense Trade Controls or their designee. Upon such request, the person maintaining the records must furnish the records, the equipment, and if necessary, knowledgeable personnel for locating, reading, and reproducing any record that is required.
7. RE-DELEGATION:The Project Team Leader or Manager may redelegate all or part of this export authorization to subordinate USRA team members, but he or she may not redelegate the Team Leader or Manager’s accountability for the implementation of these terms, conditions, and procedures. Additionally, the license copy attached to this authorization may not be further distributed without the approval of the USRA Export Control Officer.
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Alan Marchant, USRA Export Control Officer
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