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1. In 2013, the State of New Jersey designated Rowan as second comprehensive public research institution in the State of New Jersey. As a research institution and a U.S. institute of higher education, most research, teaching, or service at the Institution will appropriately fall under the fundamental research exclusion, the publicly available/public domain exclusion, the education exclusion or a combination of the three. There may be occasions in which RU may conduct research or provide service or agree to a contract with a sponsor involving classified research. In such cases, RU will have the flexibility to depart from the standards of freedom of inquiry in order to serve public interest. When such exceptions occur, each project will be reviewed by the Senate's Research Committee (SRC) and acted upon in light of its impact on overall research mission of the university.
2. Export Control Compliance Organizational Structure
1. The University's export compliance efforts will be coordinated through the Office of Research with the assistance of the Office of the General Counsel. However, much of the responsibility for export compliance lies with individual university personnel. The purpose of this section is to outline the university's export compliance structure.
2. RU's Export Control Compliance Review Team (Team) is comprised of the Vice President for Research, General Counsel or designee attorney ('GC'), Chief Research Compliance Officer, Director of Sponsored Program, Biological Safety Officer, Grants Specialist, Chief Internal Auditor, Director of Purchasing, Director of Asset management, Director of Technology Commercialization and Licensing and Director of Tech Park.
3. Vice President for Research will lead the Team and he/she is RU's empowered official for export controls. The Team is in place to ensure that the Institution has the infrastructure, resources, policies and guidelines to comply with all institutional compliance issues associated with Export Controls and Rowan University's Export Control Compliance Program.
4. The empowered official, GC and Chief Research Compliance Officer are knowledgeable in EAR, OFAC, AECA, DOE 10 CFR Part 810 ('DOE'), NRC 10 CFR Part 110 ('NRC'), and ITAR. Further, these individuals are cognizant of when and how these regulations affect the organization.
5. As part of Institution's Export Control Compliance Program, the Compliance Review Team has either initiated the internal controls to ensure compliance with EAR, OFAC, AECA, and ITAR or they have put together the appropriate teams to establish and implement the necessary export control compliance program. The Empowered Official has the approval authority for activities requiring export licensing, export licensing itself, and related security plans.
6. The departments and or divisions involved in export controls related to ITAR, AECA, OFAC, DOE, NRC, and EAR have devoted personnel to the Institution's Export Control Team and other resources to ensure compliance with the Federal rules, regulations and statutes. The other resources include funds to support training in export controls and procedures for screening and conducting following compliance functions.
1. Restricted parties screening;
2. Locating Federal Regulations on export controls;
3. Searching the Export Control Classification Number (ECCN) and (United States Munitions List (USML); and
4. Assisting in license determinations.
7. Asset Management Division, Purchasing Services and Environmental Health and Safety have implemented processes to track equipment, property (both Institution's titled and Government furnished), biologicals, chemicals and other materials that are controlled by ITAR, NRC and EAR.
3. Rowan University Export Control Working Group
   Membership in the Rowan University Export Control Working Group appears in Attachment 3.
4. SCREENING
   The following screens are performed or coordinated by the Export Control Coordinator as a procedure in the review of export control issues on campus. See Attachment 4.
   1. Export-related Restricted, Denied and Blocked Persons Lists (BIS)
   2. Sanction Programs Related Blocked Persons Lists
   3. Law Enforcement –related Wanted Persons List (Domestic)
   4. Politically Exposed persons and Office of Inspector general
   5. International Terrorist, Blocked Person, Wanted, and Entity Lists
   6. Export Risk Country Alerts
5. TRAINING AND EDUCATION\
   1. See Attachment 5.
6. IDENTIFICATION, RECEIPT AND TRACKING OF EC ITEMS
   1. Office of Research reviews the scope of work from research project submissions, awards and contracts for export control related issues or materials. If this initial review reveals items of concern an Export Control Checklist is completed and/or discussions with the Principal Investigator (PI) are initiated to make further determinations as to the involvement of export controls. The Division of Research Compliance (DRC) in the Office of Research reviews and maintains in the award files copies of the proposals, research grants, contracts, confidentiality agreements and other agreements, as applicable, that may impact the export control review and determination. Additionally, Office of Research will perform export control review and license determination with the PI development of a Technology Control plan and/or interpretation of any EAR/ITAR export license requirement and associated documents, as applicable, pertaining to the project/research. Additionally, Office of Research is responsible for determining the need for licenses and submitting applications. When chemicals or biological materials are involved the Director of EHS and Biological Safety Officer will also review with the PI export control issue pertaining to the project.
7. IDENTIFICATION OF ITAR/EAR CONTROLLED PROJECTS REVIEW PROCEDURES
1. Office of Research has oversight and approval of all licensing under export control laws (with the exception of physical exports of biologics, chemicals and explosives out of the United States or OFAC travel related licensing). Office of Research also makes determinations relating to the export control status of new technologies and materials resulting from university research when an invention disclosure or a work disclosure has been submitted to the Office of Technology Licensing.
2. Division of Sponsored Research will review at the time of award all grant and solicitations, proposals, confidentiality agreements, awards, etc. for the following:
1. Restrictions on publishing research results.
2. Restrictions on foreign nationals from performing or accessing research results.
3. Restrictions on deliverables or results from being disclosed or delivered to any country or individuals.
4. Physical items being shipped overseas.
5. Verification that the project does not consist of basic or applied research.
6. RU Export Control Compliance Program.
7. The research effort is being conducted outside of the United States.
8. Embargoed/sanctioned countries and/or entities involved.
9. Scope/Agreement/Solicitation references weapons, select agents (aka highly pathogenic/toxic biologics), pathogens, toxins, bacteria, military systems, missiles, satellites, space related technologies, infrared, night vision, inertial measurement units (IMU), Global Positioning System (GPS), High Performance Computers (HPC), Astronomical Instruments (build/design main issue), armor, weapons of mass destruction, detectors, sensors, lasers, directed energy, trajectory, radars, cloaking, encryption, unmanned aerial vehicles (UAV), autonomous underwater vehicles (AUV), autonomous ground vehicles, optics, etc.
10. Requirement to use third-party information that is subject to nondisclosure obligations
11. Presence of export controlled items, data, or technology.
12. Other Red Flags are identified.
13. Upon completion of review, the final determination on whether or not the effort is controlled are made and determine if further steps need to be taken. If one or more of the above bullet points apply, then neither the fundamental research exclusion nor publicly available/public domain exclusion apply and Office of Research will assist the principal investigator in determining whether a controlled technology/commodity is involved and/or export control regulations apply to the project. DRC, UFIC and EHS are responsible for export licensing under their purview but will involve each other and additional offices as appropriate. To assist in making this determination, the principal investigator shall work with Office of Research RU's to follow RU Export Control Compliance Program.
8. OBTAINING AN EXPORT LICENSE
   1. If it is determined that a controlled technology or item is involved and an exclusion or license exemption does not apply; a license is required before the technology or item can be shared, disseminated, or exported out of the U.S.. This requirement applies to both research results as well as tangible items if the results are not covered by Fundamental Research, Public domain/Publicly Available Information, or other exclusions. The processing time for a license is normally two to four months after the application is submitted. Office of Research in conjunction with GC, will obtain any necessary ITAR, EAR and/or OFAC licenses.
9. ADMINISTRATION OF THE TCP
1. Administration of the TCP associated with any grant, proposal, or project is the joint responsibility of Office of Research and the PI/Department as it applies to the release of controlled technical data or items subject to the regulations whether in the U.S. or abroad.
2. Principal Investigators and department heads are responsible for ensuring that employees in their activities are properly instructed in the handling of classified, export-controlled, or proprietary information and that they have signed the required attachments, prior to involvement in the project, attended mandatory Export Control Training, and are cognizant of their obligations and responsibilities under the Project-specific TCP, as applicable.
10. TRAVEL AND PRESENTATION PROCEDURES FOR SANCTIONED/EMBARGOED ENTITIES
1. Each employee is personally responsible for complying with travel, business, and export control restrictions relating to countries and individuals sanctioned by the United States in regulations, laws, and executive orders enforced by OFAC. For further information, individuals may contact Office of Research.
2. Once the traveler’s respective Dean and Division executive approves the academic basis for the international travel request, the University’s Ethics Liaison Officer reviews the travel forms to ensure that there are no ethics related issues with the requested travel. 
3. Guidance for International Travels when our faculty/staff travel may or not be directly related to export control or deemed export control is contained in Attachment 8 - Export Control International Travel Guidelines and the University’s International Center’s Travel Guidelines website.(Center's Travel Guidelines website.(https://www.rowan.edu/home/international-center/international-travel-guidelines-rowan-employees-and-students.)
11. RECORDKEEPING
    The University is subject to several regulatory recordkeeping requirements related to its export activities. The ITAR and the EAR require that records be kept reflecting the export and temporary import of defense articles, defense services, dual-use commodities and related technologies. This procedure outlines requirements for complying with the recordkeeping regulations. Types of records to be maintained will depend on the university's activities and how items are controlled for export. The retention period is five years from the date of export, re-export, or any other termination of the transaction
1. Transactions subject to recordkeeping requirements
   The following types of transactions are subject to recordkeeping requirements:
1. Exports of controlled commodities, software or technical data from the United States or by U.S. persons;
2. Re-exports or transshipments of controlled products or technical data originally exported from the United States or by U.S. persons;
3. Any other transaction subject to export control, whether the export or re-export actually occurs;
4. Negotiations in connection with an export; and
5. Exports, where it appears that a person in another foreign country has an interest in the transaction or that the commodity or technical data will be exported, transshipped, or diverted.
2. Records required to be kept
1. All documents related to export activities should be retained, whether they involve the administrative processes associated with obtaining licenses or other approvals, or the implementation of a license or approval, which has already been approved. It is RU policy that the following export documents and related supporting materials be retained by the University:
1. Any paperwork detailing internal export control assessments, including any documentation regarding the applicability of any licensing exemptions (such as public domain or fundamental research);
2. Include records of the compliance program, implementation efforts, and the steps to discover and rectify inadequacies. Such steps may mitigate the consequences of unintentional violations. Encourage prompt disclosure of potential violations to the central office for a knowledgeable and timely response including appropriate self-disclosure to the appropriate agency to mitigate penalties. Example: in an Export Control Management Plan Classification decisions issued by the appropriate government agency;
3. License applications, and all supporting documents;
4. Issued licenses with limitations or provisos, if any;
5. International Import Certificates and applications therefore;
6. Delivery Verification or similar evidence of delivery;
7. Shipper's Export Declarations ("SED");
8. Receipts, bills of lading and other documents related to export clearance;
9. Reports of boycott requests and all documents relating to the requests;
10. Any other document issued by the U.S. Government that demonstrates that an export occurred;
11. Applications for registration;
12. Purchase orders;
13. Foreign import certificates;
14. Airway bills;
15. Non-transfer and use certificates.
2. Memoranda, notes, correspondence, contracts, invitations to bid, books of account, financial records, and any other written matter pertaining to an export.
3. Period of retention 
   Export documents must be retained for a minimum period of five (5) years, calculated from one of the following points in time:
   1. Export records under the EAR (See §762.6) must be retained for five (5) years from the latest the following times:
   1. The date the export from the U.S. occurs;
   2. The date of any known re-export, transshipment, or diversion of such item;
   3. The date of any termination of the transaction, whether contractual, legal, formally in writing or by any other means, or
   4. In the case of records of or pertaining to transactions involving restrictive trade practices or boycotts, the date the regulated person receives the boycott-related request.
   2. Records relating to exports under the ITAR must be maintained for five (5) years from:
   1. The expiration of the license or other approval to which the documentation relates;
   2. The date the license or other authorization is exhausted or used completely; or
   3. The date the license or other authorization is suspended, revoked, or no longer valid.
4. Identifying Responsible Recordkeeping Function
   The University will maintain the following records, either originals or back-ups, through the Coordinator, Export Control, and Office of Research/Sponsored Programs.
5. Accessibility
1. Records must be kept in a manner which facilitates the ability to retrieve the records for any purpose and to review the records during internal or U.S. Government audits.
2. University Personnel may not, under any circumstances, interfere with or impede any federal law enforcement officer performing his/her official duties.
12. INTERNAL MONITORING/AUDITS
1. RU is committed to ensuring that its efforts to comply with United States export laws and regulations are successful and effective throughout the University. Every compliance program must include an internal assessment function designed to objectively and independently review all aspects of the program. RU will conduct internal assessments as required.
2. Each project which has a Technology Control Plan (TCP) will be reviewed on an annual basis. The PI, key persons and all labs/offices/etc. associated with the TCP will be visited and reviewed for compliance with the TCP. Any deficiencies will be noted and corrected. If there are substantial deficiencies the project may be halted pending correction of the deficiencies.
3. Types of Assessments
1. Policies and Procedures Assessment - A review of policies and procedures will be conducted to assess whether the University effectively maintains export policies and procedures. This review is designed to identify whether applicable legal obligations are addressed throughout RU
2. Self-Audit/Internal Audit - Regular internal audits should be conducted to ensure that the university's Export Control Compliance Program is operating effectively, including:
1. Best practices:
1. Faculty awareness education program.
2. Export Control Determinations - The goal is to ensure that the guidelines of the Export Control Management System are being followed, that the processes are changed as needed and new processes are added when required.
3. Compliance Assessment - A review of select contracts, activities, practices and procedures will be conducted to assess whether the University is successfully implementing the policies and procedures of the compliance program.
4. Frequency of Internal Assessment - Policies and procedures assessments and compliance assessments will be conducted on an annual basis, and will consist of scheduled review.

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Director Office of Technology Licensing
Yatin Surendra Karpe, Ph.D.
Director-Technology Commercialization
Division of Research
Office of Technology Licensing
201 Mullica Hill Road
Glassboro, NJ 08028

Office of Internal Audit
Raymond C. Braeunig
Chief Audit, Compliance & Privacy Officer
42 E. Laurel Rd, Suite 3900
Stratford, NJ 08084

Human Resources
Theresa Drye
V.P. Employee and Labor Relations and Chief Human Resource Officer
Human Resources Office
Linden Hall
201 Mullica Hill Road
Glassboro, NJ 08028

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