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Taking UT Abroad: Implications of Export Controls on Traveling and Working Abroad . Kay Ellis, MHR Associate Director, Export Controls Officer Office of Sponsored Projects. How do the export regulations affect travel outside the U.S. for UT employees?.

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Taking ut abroad implications of export controls on traveling and working abroad

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

Kay Ellis, MHR

Associate Director, Export Controls Officer

Office of Sponsored Projects


How do the export regulations affect travel outside the u s for ut employees
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 employees1
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
What does this mean? for UT employees?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!


What does this mean the good news
What does this mean? for UT employees?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
The good news…. for UT employees?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
Department of Commerce Exception - for UT employees?(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
Department of Commerce Exception - for UT employees?(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
The Commerce License Exception (TMP) for UT employees?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 License Exception (TMP) for UT employees?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
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
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
The Dept. of State Certification Form: Exemption – What is not covered?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
The Dept. of State Certification Form: Exemption – What is not covered?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 considerations when using the ITAR exemption Exemption – What is not covered?

  • 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
Recordkeeping Requirements Exemption – What is not covered?

  • 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
Countries of Concern Exemption – What is not covered?

  • 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
One more plug: Visiting Scientists Exemption – What is not covered?

  • 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
Questions? Exemption – What is not covered?

Kay Ellis

512-475-7963

[email protected]

More information on export controls can be found at:

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


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