Taking UT Abroad: Implications of Export Controls on Traveling and Working Abroad

1
Taking UT AbroadImplications of Export Controls
on Traveling and Working Abroad

• Kay Ellis, MHR
• Associate Director, Export Controls Officer
• Office of Sponsored Projects

2
How do the export regulations affect travel
outside the U.S. for UT employees?

• Commerce and State have regulations that affect
• Physically taking items with you on a trip such
  as
• Laptops
• Encryption products on your laptop
• Data/technology
• Blueprints, drawings, schematics
• Supplying certain technologies/data at a closed
  conference or meeting
• Note-taking not allowed
• Not open to all technically qualified members of
  the public

3
How do the export regulations affect travel
outside the U.S. for UT employees?

• The Office of Foreign Assets Control (OFAC) has
  regulations that affect
• Money transactions and the exchange of goods and
  services in certain countries providing value
• Travel to sanctioned countries
• Balkans, Belarus, Burma, Cote dIvoire, Cuba,
  Democratic Republic of the Congo, Iran, Iraq,
  Former Liberian Regime of Charles Taylor, North
  Korea, Sudan, Syria, and Zimbabwe
• Doing business with certain people or entities
• Commerce, State, and OFAC have lists

4
What does this mean?The bad news.

• A license could be required depending on what
  you are taking and the country you are traveling
  to
• A license or technical assistance agreement would
  be required if you were providing a defense
  service to a foreign person
• A defense service means the furnishing of
  assistance (including training) to a foreign
  person relative to a defense article. It also
  includes furnishing any technical data relative
  to a defense article.
• There are consequences if you violate the
  regulations!

5
What does this mean?The good news

• Travel to most countries does not usually
  constitute an export control problem!
• Taking a laptop with only Microsoft Office Suite,
  Internet Explorer, etc. okay to most countries
  no license required
• Export issue if taking to Cuba, Syria, Iran,
  North Korea, or Sudan

6
The good news.License exceptions/exemptions
available

• In most cases, if you are taking or need to work
  with export controlled info abroad, a license
  exception or exemption is available!
• An exception/exemption is not needed if you are
  taking a clean laptop to countries other than
  Cuba, Syria, Iran, North Korea, or Sudan
• There are some items you can take that are
  controlled but dont require a license to most
  countries i.e., you dont need to use the
  exception
• Items, software should be evaluated before travel

7
Department of Commerce Exception -(TMP) What
does it cover?

• Temporary export of items such as
• Laptops with controlled technology and/or data
• Digital storage devices with controlled
  technology and/or data
• Most Software
• Designs, drawings that are export controlled
• Other tools of the trade

8
Department of Commerce Exception -(TMP) What is
not covered?

• The exception does not apply to
• Satellite or space-related equipment, components,
  or software
• Exports related to nuclear activities except for
  a limited number of countries
• Technology associated with high-level encryption
• Travel to Iran, Syria, Cuba, North Korea, or
  Sudan
• Anything regulated by the Department of States
  International Traffic in Arms Regulations (ITAR)

9
The Commerce License Exception (TMP)Certification
Form

• Insert name of person traveling and current date
• Insert a description of controlled
  item/technology
• The person signing the form certifies
• The items taken are for UT business only
• The items will be returned within 1 year of
  leaving U.S.
• The items will be kept under the persons
  effective control while abroad
• http//www.utexas.edu/research/osp/export_control/
  license_exceptions.html

10
The License Exception (TMP)Certification Form,
cont.

• The person also certifies
• Security measures will be taken to secure
  technology or transmission of technology on
  laptop such as
• Secure connections using email and the
  transmission and use of the technology
• Use of passwords systems on electronic devices
• Use of personal firewalls on electronic devices
• Items will not be taken to Iran, Syria, Cuba,
  North Korea or Sudan without consulting Export
  Controls Officer in OSP
• Signed Certification is returned to Export
  Controls Officer

11
Dept. of States International Traffic in Arms
(ITAR) Exemption What does it cover?

• ITAR Exemption 125.4(b)(9) Data for Use Only by
  U.S. Person
• ITAR controlled technical data, including
  classified information, sent by a UT Austin
  employee to a UT employee while working outside
  the U.S.
• Info can be mailed other reporting requirements
• Can also be sent via oral, visual, or electronic
  means
• Conditions in the ITAR Certification must be met

12
Dept. of States International Traffic in Arms
(ITAR) Exemption What is not covered?

• ITAR technical data in your physical possession
  you cant take it with you without a license from
  State
• Data cant be used for foreign production
  purposes
• Data cant be used for technical assistance to a
  foreign person or company
• Data cant be sent to countries proscribed in
  126.1 of the ITAR
• Belarus, Burma, China, Cuba, Eritrea, Iraq, Iran,
  Lebanon, Liberia, North Korea, Sierra Leon,
  Sudan, Syria, Venezuela
• Case-by-case Afghanistan, Democratic Republic of
  the Congo, Haiti, Libya, Vietnam, Somalia, and
  Sri Lanka

13
The Dept. of State Certification FormITAR
Exemption 125.4(b)(9)

• Recipient of the ITAR data enters information
• Insert description of technical data
• Insert name of recipient
• Insert date and time of export
• Insert method of transmission - mail, electronic,
  etc.
• Recipient of ITAR data signs and sends to Export
  Controls Officer
• http//www.utexas.edu/research/osp/export_control/
  license_exceptions.html

14
The Dept. of State Certification FormITAR
Exemption 125.4(b)(9) cont.

• By signing the Certification, the Recipient
  certifies
• ITAR data will be used overseas by U.S. person
  only
• Recipient is an employee of UT Austin
• If information is classified, it will be sent
  overseas in accordance with the NISPOM
• No export will be made to any country identified
  in ITAR 126.1
• Certification will be printed on OSP letterhead
• Export Controls Officer/Empowered Official signs
• Fully signed copy will be sent to PI/Recipient

15
Security considerations when using the ITAR
exemption

• Security measures must be taken to secure
  technology or transmission of technology/data
• Secure connections using email and the
  transmission and use of the technology
• Use of passwords systems on electronic devices
• Use of personal firewalls on electronic devices
• Keep laptop/data under your effective control
• Remove data from your laptop before you return to
  the U.S.

16
Recordkeeping Requirements

• State and Commerce require documentation of
  exceptions and exemptions
• Paperwork must be in place before you travel
• Records must be kept for five years
• PI/UT employee should keep a copy
• Copy for Export Control Officers file
• Copy for PIs award file (if applicable)

17
Countries of Concern

• OFAC Balkans, Belarus, Burma, Cote dIvoire,
  Cuba, Democratic Republic of the Congo, Iran,
  Iraq, Former Liberian Regime of Charles Taylor,
  North Korea, Sudan, Syria, and Zimbabwe
• STATE (ITAR 126.1) Belarus, Burma, China, Cuba,
  Eritrea, Iraq, Iran, Lebanon, Liberia, North
  Korea, Sierra Leon, Sudan, Syria, Venezuela
• Case-by-case Afghanistan, Democratic Republic of
  the Congo, Haiti, Libya, Vietnam, Somalia, and
  Sri Lanka

18
One more plug Visiting Scientists

• Dont forget to use the Visiting Scientist
  Agreements!
• Visiting Scientists should not have access to
  export controlled technology without a license
• UT PI should already have a technology control
  plan in place to prevent access by unauthorized
  foreign nationals
• Located on OSP Forms and Agreement link
  http//www.utexas.edu/research/osp/forms/intforms.
  html

19
Questions?

• Kay Ellis
• 512-475-7963
• kay.ellis_at_austin.utexas.edu
• More information on export controls can be found
  at
• http//www.utexas.edu/research/osp/ECRR.htm