COOPER INTERCONNECT, INC. TECHNOLOGY CONTROL PLAN (TCP)

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Ophelia Patterson
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1 COOPER INTERCONNECT, INC. TECHNOLOGY CONTROL PLAN (TCP) I. SCOPE The procedures contained in this plan apply to all elements of Cooper Interconnect, Inc. (hereinafter referred to as Cooper Interconnect ). Disclosure of ITARcontrolled information to foreign persons in a visitor status or in the course of their employment by Cooper Interconnect is considered an export disclosure under the International Traffic in Arms Regulations (ITAR) and requires Department of State (DSP-5 license, Technical Assistance Agreement, and/or a Manufacturing License Agreement). II. PURPOSE To delineate and inform employees and visitors of Cooper Interconnect of the controls necessary to ensure that no transfer of ITAR-controlled information (defined as technical information or data or a defense service as defined in ITAR paragraphs & ) occurs unless authorized by Department of State s Directorate of Defense Trade Controls (DDTC). III. BACKGROUND Cooper Interconnect manufactures and designs electrical safety products, audio connectors, cable assemblies and other products used in commercial and military applications. Customers include both domestic and foreign OEMs, government contractors and subcontractors, and commercial and military distributors. IV. U.S. PERSON/FOREIGN PERSON The ITAR defines a US person and a foreign person as follows: U.S. person means a person (as defined in section of this part) who is a lawful permanent resident as defined by 8 U.S.C. 1101(a)(20) or who is a protected individual as defined by 8 U.S.C. 1324b(a)(3). It also means any corporation, business association, partnership, society, trust or any other entity, organization or group that is incorporated to do business in the United States. It also includes any government (federal, state or local) entity. It does not include any foreign person as defined in section of this part. A foreign person means any natural person who is not a lawful permanent resident as defined by 8 U.S.C. 1101(a)(20) or who is not a protected individual as defined by 8 U.S.C. 1324b(a)(3). It also means any foreign corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or

2 organized to do business in the United States, as well as international organizations, foreign governments and any agency or subdivision of foreign governments (e.g., diplomatic missions). A. Foreign Persons 1) No foreign person will be given access to ITAR controlled information on any project or program that involves the disclosure of technical data as defined in ITAR paragraph until that individual s license authority has been approved by DDTC. 2) Cooper Interconnect employees who have supervisory responsibilities for foreign person must receive an export control/licensing briefing that addresses relevant ITAR requirements as they pertain to ITAR controlled information. B. Foreign Person Indoctrination Foreign persons employed by, assigned to (extended visit) or visiting Cooper Interconnect shall receive a briefing that addresses the following items: 1) That prior to the release ITAR controlled information to a foreign person, an export authorization issued by DDTC needs to be obtained by Cooper Interconnect. 2) That they adhere to Cooper Interconnect security rules, policies and procedures and in-plant personnel regulations. 3) That outlines the specific information that has been authorized for release to them. 4) That addresses Cooper Interconnect in plant regulations for the use of facsimile, automated information systems and reproduction machines. 5) That information received at Cooper Interconnect for the foreign national and information that the foreign national needs to forward from Cooper Interconnect shall be prepared in English. V. ACCESS CONTROLS FOR FOREIGN NATIONALS 1) All Cooper Interconnect employees must review the Visitor Policy and sign indicating they understand said policy. This policy indicates the three different

3 types of badges a visitor may have which specify the access they may have to controlled items within Cooper Interconnect. 2) Foreign national employees must follow the Visitor Policy until specific controls and documents are put in place based on the employee s job function. VI. EXPORT CONTROLLED INFORMATION Export controlled information will not be shared by any Cooper Interconnect personnel prior to the approval of the license(s) obtained for the Foreign National. VII. NON-DISCLOSURE STATEMENT AND ACKNOWLEDGEMENT All Cooper Interconnect employees shall sign a non-disclosure statement (Attachment A) that acknowledges that ITAR-controlled information will not be further disclosed, exported or transmitted by the individual to any foreign national or foreign country that does not have the appropriate license(s) and/or agreement(s) in place to authorize receipt of such information. VIII. SUPERVISORY RESPONSIBILITIES Supervisors of foreign national employees and foreign national visitors shall ensure that the employees and visitors are informed of and cognizant of the following: 1) That technical date or defense services that require an export authorization will not be transmitted, shipped, mailed, hand carried (or conveyed by any other means of transmission) unless an export authorization has already been obtained by Cooper Interconnect and the transmission procedures follows U.S. Government regulations. 2) That individuals are cognizant of all regulations concerning the handling and safeguarding of ITAR controlled information. 3) That the individuals execute a technology control plan (TCP) briefing form acknowledging that they have received a copy of the TCP and were briefed on the contents of the plan (Attachment B) 4) That U.S. citizen employees are knowledgeable of the information that can be disclosed or accessed by foreign nationals. IX. EMPLOYEE RESPONSIBILITIES All Cooper Interconnect employees who interface with foreign nationals shall receive a copy of the TCP and briefing that addresses the following:

4 1) That documents under their jurisdiction that contain technical data may not be released to or accessed by any employee, visitor, or subcontractor who is a foreign national unless and export authorization has been obtained by Cooper Interconnect in accordance with the ITAR or the Export Administration Regulations (EAR). 2) If there is any question as to whether an export authorization is required, contact the local export facilitator and the Cooper Interconnect Trade Compliance Manager promptly. 3) That technical information or defense services cannot be forwarded or provided to a foreign national regardless of the foreign national s location unless and export authorization has been approved by DDTC and issued to Cooper Interconnect.

5 ATTACHMENT A NON-DISCLOSURE STATEMENT I,, (insert name of individual) acknowledge and understand that any technical data or defense services related to defense articles on the U.S. Munitions List, to which I have access to or which is disclosed to me in the course of my employment/assignment/visit (please circle appropriate term) by/at Cooper Interconnect, Inc. is subject to export control under the International Traffic in Arms Regulations (title 22, code of Federal Regulations, Parts ). I hereby certify that such data or services will not be further disclosed, exported, or transferred in any manner to any foreign national or any foreign country without prior written approval of the Directorate of Defense Trade Controls, U.S. Department of State and in accordance with the International Traffic in Arms Regulations and applicable U.S. Customs regulations. Print Name Cooper Interconnect, Inc. Signature Position Date

6 ATTACHMENT B TECHNOLOGY CONTROL PLAN BRIEFING ACKNOWLEDGMENT I,,(insert individual s name) acknowledge that I have received a copy of the Technology Control Plan for Cooper Interconnect, Inc and a briefing outlining the contents of this TCP. Accordingly, I understand the procedures as contained in this TCP and agree to comply with all Cooper Interconnect, Inc and U.S. government regulations as those regulations pertain to classified information and export controlled information. Individual Print Name Signature Cooper Interconnect, Inc. Facility Position Date Company Briefing Official Print Name Signature Cooper Interconnect, Inc. Facility Position Date

Supplier Awareness. Export Control/ ITAR

Supplier Awareness. Export Control/ ITAR Export Control & ITAR Supplier Awareness Export Control/ ITAR THIS INFORMATION IS PROVIDED BY PAR SYSTEMS, INC. ("PAR"). PAR IS NOT A LAW FIRM, AND THE INFORMATION CONTAINED HEREIN IS NOT INTENDED TO BE