Export Controls Conference International ti Travel November 1, 2010 The Ohio Union 1
Case Scenario While enjoying a good cup of coffee and scanning the university newspaper, The Campus Tattler on a fine Fall Quarter morning, you notice an article with a picture of faculty member, Professor Big, receiving an award for best technical presentation on Personal Jetpacks No Longer Just for the Military at the Central Technical University of the newly independent d country of Shangri La. As a well informed research administrator, you recall that Dr. Big has a number of sponsored research projects in the area including some from commercial partners, as well as from federal agencies. You also recall working with ihthe institution s i i technology licensing i office on a number of confidential disclosure agreements with the various sponsors covering proprietary information involving Dr. Big s research. Your coffee suddenly has a bitter taste
International Travel Key institutional export control questions/concerns: Where are faculty/staff/students going? What are they taking with them? What will they be doing?
International Travel #1 Where are faculty/staff/students going? In general, academic travel to most countries is not a problem. The sole exception is travel to Cuba where essentially all travel is prohibited. There are a few exceptions to the Cuba travel prohibition, including travel to conduct certain types of research activities or attendance at international conferences. 4
International Travel #2 What are faculty/staff /students taking? Items/Equipment In general, most common, commercially obtainable items do not require export licenses except for export to one of the T5 countries (Iran, Sudan, Syria, Cuba, and North Korea). Research Data/Information Faculty/staff/students can take and share any information that comes from fundamental research or that is published or in the public domain. Faculty/staff must not, however, take any sensitive or controlled data, or company yproprietary p materials or information. 5
International Travel #3 What will faculty/staff/students be doing? Presentations Make sure that the material that is being presented is already published, in the public domain or qualifies as fundamental research. Collaborations If fundamental research, then information and results can be shared. Remember that the fundamental research exemption does not cover tangible items. Fieldwork Most commercial items/equipment is going to be EAR99/NLR but an assessment should be done. Scientific equipment should be reviewed. Provision of Payment/Services Under OFAC regulations, the institution cannot provide financial assistance (payments) to anyone on a blocked or sanctioned list (includes hiring local workers) andsomeconsulting activities would require an export license.
OSU Travel Process Components International Affairs University Travel Office Office of Sponsored Programs Research Purchasing Engineering Research Station Legal Affairs 7
OSU Travel Notification Process OSU Travel Office sends travel approval to traveler (or submitter) with copy to Office of Research Compliance (ORC) Country/activity listed on Travel Approval reviewed by ORC for export concerns and ORC travel database checked for previous travel by faculty/staff member. Basic travel advisory di Expanded ddtravel advisory di Reminder/repeat travel advisory 8
Basic Travel Information Travelers are provided with the following basic information on export controls: o Note that export restrictions may apply depending on travel destination(s). o Examples of personal items or equipment (including but not limited to laptops, web enabled cell phones, and some GPS units), scientific equipment, or with controlled, proprietary, or unpublished research data or information in any format may require that an export license or other governmental approval. o Provide contact information for the University's Export Control office. 9
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Expanded Travel Advisory The expanded Travel Advisory contains the following additional/expanded information: o Items & Equipment computers, cell phones, flash drives, and GPS units are generally not export restricted, except for comprehensively sanctioned countries (i.e., Cuba, Iran, Syria, Sudan and North hk Korea). Providing access to the above common items to a citizen of comprehensively sanctioned countries, however, may require an export license. o Research Data & Information researchers and academics are free to take and openly share or discuss any data or information that is published, in the public domain, is normally taught as part of a catalog course at the institution, or that is resulting from Fundamental Research. Data or information that is in any way export restricted (e.g., related to export controlled technologies, proprietary information, or is information resulting from a project not protected under the Fundamental Research Exclusion) cannot be taken.
Expanded Travel Advisory cont d Research Data & Information All controlled or restricted data or information should be completely removed from laptops, phones, PDAs, or other portable storage devices (e.g., flash drives) before leaving the U.S. Presentations should be limited to only information or data that is published, or is publicly available, or that qualifies as Fundamental Research. Proprietary information from sponsors, unpublished, or exportrestricted data or information should not be discussed.
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Item Specific Information and Advisories Researchers should be asked to provide a list of equipment they plan to take and the locations/countries it will be used. Our process provides follow up information to travelers including the following: ITEM ECCN # LICENSE AUTHORITY for Specified Country Mac Laptop 5A992 No License Required d(nlr) Flash/Jump Drives (most) 3A991 No License Required (NLR) 14
Additional Customs Information Travelers are provided with information on U.S. Customs and import duties: o U.S. Embassy and U.S. Customs and Border Protection (CBP) suggestion that travelers register items with the CBP to prove that the items were in possession bf before leaving the US. Registered ditems will be allowed to return to the US duty free. o If traveler is going to a country that participates in the ATA Carnet program, a recommendation that items be registered through that programin order to prevent having to pay temporary import duties on the items. Also, registering with the ATA Carnet alleviates the need to register items with U.S. Customs. o Links to: U.S. Customs (CBP) http://www.cbp.gov/travel/ and US State Department (for registering with the local US Embassy) http://travel.state.gov/travel/tips/registration/registration_1186.html ATA Carnet systems https://www.atacarnet.com/whatisanatacarnetorcarnet.aspx 15
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Repeat Travel Office of Research Compliance travel database reviewed for receipt of previous travel advisories Travelers provided with a brief reminder of export restrictions and Export Control office contact information. 17
International Travel Best Export Control Practices Involve the appropriate units/individuals on your campus. Develop a transaction based process, if possible, to query where faculty, staff and students are travelling, what they will be doing, and what they will be taking. Provide consistent and timely advice and document.
International ti ltravel Questions/Discussion i