When planning a trip abroad, individuals sometimes take information, technology and equipment with them. However, faculty, staff and students need to be aware of the impact of export control regulations when traveling internationally.
What's affected
Items you take with you on a trip:
- Laptops, smart phones (both personal and Rensselaer-owned)
- Encryption items
- Data and technology
- Blueprints, drawings, and schematics, and/or chemicals, biological materials, and scientific equipment.
- Supplying certain technologies or data at a "closed" conference or meeting (a meeting that is not open to all technically qualified members of the public and attendees are not permitted to take notes).
- Restricted information (in print and electronic format or discussed verbally while abroad).
- Travel to sanctioned or embargoed countries.
- Conducting business with, or providing services to, certain people or entities (including human subjects and collaborative research).
- You must maintain "Effective Control" of electronic devices.
You must ensure that any information you discuss or items you take are either not controlled or, if controlled, the proper export control licenses are in place. A license may be required from the Departments of Commerce, State, and/or Treasury depending on the items you are taking, the country you are traveling to, and the individuals you will be interacting with.
Fortunately, travel to most countries oftentimes does not raise any export control concerns. In some cases, an exclusion or exception to the license requirements is available. In order to assess any export control restrictions associated with your upcoming international trip, please answer the questions under the "International Travel Checklist" section of this website carefully. Note: Individuals can be held personally liable for exporting items, technical data, or software without a license or license exception.
Travel Clean: If it is possible, it is recommended to travel internationally with a clean laptop so that it can be completely wiped clean prior to and upon return.
Effective Control: these regulations implicitly state you maintain “effective control” over an item when you either retain physical possession of the item, or secure the item in such an environment as a hotel safe (not a hotel room safe), a bonded warehouse, or a locked or guarded exhibition facility. Leaving a laptop unattended in your room while away is not “effective control” and not in compliance with U.S. Export Control laws and regulations.
If you have any questions, please contact Rensselaer's Export Control Office by calling (518) 276-3777) or via email.
International Travel Checklist
It is to be understood that an international traveler could be personally liable if they unlawfully export or disclose export controlled information or technology to foreign nationals without prior approval.
Note: Certain countries such as Burma, Cuba, Iran, Ivory Coast, Libya, Liberia, North Korea, Sudan, Syria, and Zimbabwe face increased restrictions. For a list of OF AC embargoed countries and other restrictions, please visit: www.treas.gov/offices/enforcement/ofac/programs.
Export controlled materials includes technology, software, and information related to the design, production, testing, maintenance, operation, modification, or use or controlled items or items with military applications. It does not include basic marketing information on function or purpose; information regarding general scientific, mathematical or engineering principles commonly taught in universities; or information that is generally accessible in the public domain.
If yes, have you obtained approval and appropriate licenses?
(Including a laptop computer, software, scientific equipment, etc)
Note: A closed meeting is not open to all technically qualified members of the
public.
Note: "financial assistance" includes hiring of project personnel. "Services" include providing medical assistance, assisting in data analysis, discussing technical designs, etc.
For example, will the information you carry with you or the discussions you
have, aide in the design, development, production, stockpiling or use of
nuclear explosive devices, chemical or biological weapons, or missiles?
Conferences
Important planning tips for travelers who be traveling, or attending conferences, internationally:
- Remember that anything taken out of the U.S. is an export, including data on laptops and cell phones, and is subject to US export control.
- Obtain a DDTC export license as required to take ITAR-controlled articles or ITAR technical data out of the US.
- Be cognizant that providing information about defense articles at international conferences is an export control violation.
- Determine if you qualify for TMP or BAG license exceptions. Have the appropriate paperwork to support the declared license exception.
- Remove any ITAR-controlled, highly restricted, or EAR-controlled technical data from your laptop and cell phone. It preferential to take a clean/scrub electronic items.
- Contact the ECO if you are traveling to an OFAC-sanctioned country.
- Know if you are subject to additional import and export controls at your destination.
- Determine if you qualify for TMP or BAG license exceptions. Have the appropriate paperwork to support the declared license exception.
- Remove any ITAR-controlled, highly restricted, or EAR-controlled technical data from your laptop and cell phone. It preferential to take a clean/scrub electronic items.
- Contact the ECO if you are traveling to an OFAC-sanctioned country.
- Know if you are subject to additional import and export controls at your destination.
- Remember that US Customs is authorized to search and retain electronic devices without probable cause.
- Do not travel with private data that you do not want others to see, e.g., medical records, financial records, photos, data from research, etc.
- Have copies of passport and other travelling papers in your luggage and leave copies at home.
- Keep a copy of your data in the US in case it is lost during inspection.
- Take electronic devices with ordinary software and minimal data to reduce the likelihood of a lengthy or disruptive search.
- Do expect copies to be made of the contents of your electronic items, i.e. computer, laptop, depending on the arriving destination.
Individuals who will be traveling with university–owned devices, or university data on their personal devices, are advised to:
- Consider if the electronic device(s) are necessary for their travel, and leave unnecessary devices behind.
- Remove all sensitive data and proprietary information from devices that is not pertinent to their travel.
- Encrypt devices, especially if they must take sensitive or proprietary data. (Some countries will not allow the import of encrypted material or associated software.)
- Choose strict passwords for devices and online accounts.
- Backup all data and leave behind.
- Plan for safe storage of their devices (including the use of TSA recognized locks) when traveling with with electronic devices that travel as checked luggage.
- Enable remote wiping capabilities, in case the devices are lost or stolen.
- Ensure that their devices remain fully charged in case they are required to enable it for inspection.
- Have the devices scanned by IT security staff upon return, to detect and remove any malicious spyware that may have been uploaded.
- Exercise caution as to what you say and information you share during Q&A sessions or in conversation. Providing any information about the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, and use of defense articles can and will be considered an export service and is also an export control violation.
- Stay within the realm of published material, if possible, when in presentations at conferences.
EAR, ITAR and OFAC Conference Presentations Guidelines
The rules for conferences are different if the technology being discussed is in the scope of the EAR or the ITAR. In either case, OFAC regulations about restricted parties and sanctioned services apply.
EAR
The EAR considers information released at an open conference, meeting, seminar, trade show, or other open gathering to be published if not controlled and does not require an export license. That specific information is excluded from EAR control.
Note: Open means that all technically qualified members of the public are eligible to attend, and that attendees are permitted to take notes or otherwise make a personal record (not necessarily a recording) of the proceedings and presentations. An open conference can charge a registration fee reasonably related to cost, and can limit actual attendance, as long as attendees either are the first who have applied, or who have been selected on the basis of relevant scientific or technical competence, experience, or responsibility.
ITAR
The ITAR considers information released through unlimited distribution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public in the United States to be in the public domain and is excluded from ITAR control, but not EAR control.
You can consider information you receive and which you did not release at an open conference to be publicly available information, excluded from export controls.
Information in the scope of the ITAR released by a US person at a conference outside the US might not be unambiguously excluded from ITAR control, unless previously or otherwise published in accordance with the ITAR.
You can deliver or present the results of your “fundamental research” in the EAR scope at open conferences, and you can present or deliver other information within the scope of the EAR if you have the right to disclose it (e.g., not constrained by a non-disclosure agreement or a government restriction).
You can deliver or present the results of your “fundamental research” in the ITAR scope at open conferences in the US.
Outside the US, you can deliver or present the following information in the ITAR scope:
- General systems description (such as top-level drawings, top-level narrative descriptions or summaries of performance requirements, key subsystems, top-level block diagrams, top-level description of operational modes, top-level equipment layout drawings, and top-level predictions of power usage or consumption), since this is not considered ITAR technical data, 22CFR §120.10(a).
- Public domain information, such as published research results or material previously released in a university course, at conferences or meetings outside the US.
A note of caution: When you answer a question or engage in follow-up discussion, you could be providing a "defense service" (assisting a non-US person with a defense article), because the information you provide is not in the public domain. A “service” of this nature would be a violation of the ITAR and possibly the EAR and/or OFAC.
Items, software, or technical data controlled by ITAR cannot be released at open conferences.
OFAC Restricted Parties and Sanctioned Services
Be aware that some foreign institutions, foreign organizations, or foreign individuals may be identified under OFAC control.
The U.S. government has many restricted lists under OFAC, ITAR and the EAR, such as the general Restricted Party List (RPL), OFAC's Specially Designated Nationals and Blocked Party lists (SDN) and the Palestinian Legislative Council List and the Department of Commerce’s BIS Denied Persons List (DPL) and Entity List (EL) and ITAR’s AECA Debarred Parties (DPL), The entries cited on such a list are restricted from receiving any U.S controlled items, data, information, etc. without an export license. Even EAR99 items and technology cannot be transferred to an individual, entity/organization or foreign country identified on any the government lists.)
2017 DEPARTMENT OF HOMELAND SECURITY BAN on travelling with electronic inbound travel to the U.S.:
In 2017, the Department of Homeland Security announced new security protocols fpe individuals travelling with electronic devices to the U.S. via certain inbound international flights. The new protocols impact the transport and use of personal and RPI issued electronics taken abroad for research, collaborative, or conference attendance purposes.
Specifically, direct travel from, or a transfer through, the ten following airports to the United States are impacted by these protocols:
- Queen Alia International Airport (AMM) – Amman, Jordan
- Cairo International Airport (CAI) – Egypt
- Ataturk International Airport (IST) – Istanbul, Turkey
- King Abdul-Aziz International Airport (JED) – Jeddah, Saudi Arabia
- King Khalid International Airport (RUH) – Riyadh, Saudi Arabia
- Kuwait International Airport (KWI) – Kuwait City, Kuwait
- Mohammed V Airport (CMN) – Casablanca, Morocco
- Hamad International Airport (DOH) – Doha, Qatar
- Dubai International Airport (DXB) – United Arab Emirates
- Abu Dhabi International Airport (AUH) – United Arab Emirates
To be noted: Travelers to these destinations will be subject to more stringent security measures. Carriers on these routes include Royal Jordanian, Egypt Air, Turkish Airlines, Saudi Arabian Airlines (Saudia), Kuwait Airways, Royal Air Maroc, Qatar Airways, Emirates, and Etihad Airways.
All personal electronic devices larger than a cell phone -- such as laptops, tablets, e-readers, and cameras but excluding necessary medical devices -- may no longer be taken on board as carry-on items and must be placed in checked baggage. For more information, please see the Department of Homeland Security fact sheet.
The United Kingdom has also issued a similar set of restrictions originating from Turkey, Lebanon, Jordan, Egypt, Tunisia, and Saudi Arabia.
Individuals traveling with university-owned devices or university data on personal devices are advised to:
- Consider if electronic devices are necessary for their travel, and leave unnecessary devices behind.
- Remove all sensitive data and proprietary information from devices that is not pertinent to their travel.
- Encrypt devices, especially if you must take sensitive or proprietary data. (Some countries will not allowed the import of encrypted material or associated software.)
- Choose strict passwords for devices and online accounts.
- Backup all data.
- Enable remote wiping capabilities, in case your devices is lost or stolen.
- Ensure that your devices remain fully charged in case you are required to enable it for inspection.
- Have the device scanned by IT security staff upon return, to detect and remove any malicious spyware that may have been uploaded.
Those individuals traveling with electronic devices that travel as checked luggage are advised to plan for safe storage of their devices, including the use of TSA recognized locks for their checked baggage.
Foreign Scientists and Graduate Students Visiting RPI
Working with international staff and students, RPI, as an academic institution of higher learning, engages in open research and the free exchange of information. This is important to RPI’s institutional responsibility and to the interests all of its U.S., foreign faculty, students, and scholars.
In special cases, foreign faculty, students, and scholars can be excluded from access to certain items and technical data when their inclusion would violate the U.S. export control laws and the research work is important to RPI’s educational and research missions. Working within the authorization of the regulations, the restriction can be partially ameliorated by the preparation and execution of a Technology Control Plan (TCP). A TCP is prepared by the Export Control Officer and the principal investigator (PI) to govern the “release” and “transfer” of controlled items, technology and data to a “foreign person.” Upon completion of the draft, the TCP is executed by the PI and RPI’s General Counsel. Compliance with the conditions of the TCP are subject to audit by the ECO of the General Counsel’s office or federal agents.
However, the release of controlled, that is, regulatory and/or contractual, technology to a “foreign person” even in the U.S., is “deemed” to be an export. A bona fide full-time employee who signs an RPI non-disclosure agreement (NDA) and is a U.S. permanent resident is not considered a “foreign person” and is therefore exempt from the requirements to execute a TCP for their own participation in the research effort. Foreign scientists, research collaborators, or graduate students interns visiting RPI are not allowed access to controlled technology.
Restricted Parties List (RPL)
Following is a list of all the lists checked by the ECO with the use of eCustom’s Visual Compliance screening tool. Groups 1 and 2 are related to U.S. export controls (EAR, ITAR, and OFAC). The Groups 3 list is maintained, in addition to the U.S., by other countries or international organizations.
Groups 1 and 2 are composed of the U.S. Department of Commerce’s Bureau of Industry and Security (BIS), that is the Denied Party List, Unverified List, and Entity list; the Department of State’s Directorate of Defense Trade Control (DDTC), e.g., Nonproliferation List, the AECA Debarred and Prohibited Countries Lists; and the Department of the Treasury’s Office of Foreign Asset Control (OFAC), e.g., Specially Designated Nationals (SDN), the Blocked Persons (PIB), the Foreign Embargoed and Sanctions List, the Sectoral Sanctions Identifications List (SSI), and the Palestinian Legislative List.
- Department of Commerce Denied Persons [BIS]
- Department of Commerce Entity List [BIS]
- Department of Commerce "Unverified" List [BIS]
- Department of State Designated Terrorist Organizations
- Department of State Terrorist Exclusion List (TEL)
- Department of the Treasury Specially Designated Nationals and Blocked Persons
- Department of the Treasury Foreign Narcotics Kingpins
- Department of the Treasury Foreign Sanctions Evaders
- Department of the Treasury Sectoral Sanctions Identifications (Ukraine-related)
- U.S. Federal Register General Orders
- Foreign Persons Designated Under the Weapons of Mass Destruction Trade Control Regulations Department of State Arms Export Control Act Debarred Parties
- Department of State International Traffic In Arms Regulations Munitions Export Control Orders
- Department of State Nonproliferation Orders
- Department of State Missile Proliferators
- Department of State Chemical and Biological Weapons Concerns
- Department of State Lethal Military Equipment Sanctions
- Australia Department of Foreign Affairs and Trade Consolidated List
- Canada Public Safety and Emergency Preparedness Listed Entities
- Canadian Economic Sanctions
- Politically Exposed Persons in Money Laundering Risk Countries (CIA)
- European Union Consolidated List
- HM Treasury Consolidated List of Targets.
- International Terrorist, Blocked Person, and Entity Lists
- Japan Foreign End Users of Concern
- OCC List of Unauthorized Banks
- OSFI Consolidated List - Office of the Superintendent of Financial Institutions. (Entities)
- OSFI Consolidated List - Office of the Superintendent of Financial Institutions. (Individuals)
- OSFI Warning List - Office of the Superintendent of Financial Institutions. (Entities)
- Palestinian Legislative Council List
- United Nations Consolidated List
- World Bank Listing of Ineligible Firms
Threat to Scientific Travelers
When you travel overseas in an academic or scientific capacity you are subject to intelligence collection by foreign intelligence and security services (FISS). In addition to being responsible for identifying individuals who can give them access to people and information in the US, FISS also acquires information that will advance indigenous research and development. Traveling academic and scientific delegations can afford FISS an ideal opportunity to gather information on US subject matter experts.