1. Taking UT Abroad: Implications 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 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”

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 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

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 State’s 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 person’s “effective control” while abroad http://www.utexas.edu/research/osp/export_control/license_exceptions.html

10. 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

11. 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

12. 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

13. 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

14. 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

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

17. 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

18. 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 http://www.utexas.edu/research/osp/forms/intforms.html

19. Questions? Kay Ellis 512-475-7963 kay.ellis@austin.utexas.edu More information on export controls can be found at: http://www.utexas.edu/research/osp/ECR&R.htm