Taking UT Abroad:Implications of Export Controls on Traveling and Working AbroadKay Ellis, MHRAssociate Director, Export Controls OfficerOffice of Sponsored Projects

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

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 d’Ivoire, 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”

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 personA 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!

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

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 don’t require a license to most countries; i.e., you don’t need to use the exception Items, software should be evaluated before travel

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”

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 State’s

International Traffic in Arms Regulations (ITAR)

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 person’s “effective

control” while abroad http://www.utexas.edu/research/osp/export_control/license_exceptions.html

The License Exception (TMP)Certification Form, con’t. 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

Dept. of State’s 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

Dept. of State’s International Traffic in Arms (ITAR) Exemption – What is not covered? ITAR technical data in your physical possession –

you can’t take it with you without a license from State

Data can’t be used for foreign production purposes Data can’t be used for technical assistance to a

foreign person or company Data can’t 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

The Dept. of State Certification Form:ITAR 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

The Dept. of State Certification Form:ITAR Exemption 125.4(b)(9) con’t. 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

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.

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 Officer’s file Copy for PI’s award file (if applicable)

Countries of Concern

OFAC: Balkans, Belarus, Burma, Cote d’Ivoire, 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

One more plug: Visiting Scientists Don’t 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

Questions?

Kay Ellis512-475-7963

kay.ellis@austin.utexas.edu

More information on export controls can be found at:

http://www.utexas.edu/research/osp/ECR&R.htm