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ROWAN UNIVERSITY POLICY


TITLE:  Export Control Management System

...

  1. Attachment 1- Export Control Regulations
  2. Attachment 2- Key Definitions And Terms
  3. Attachment 3- Export Control Working Group
  4. Attachment 4 - Screening
  5. Attachment 5 - Training and Education
  6. Attachment 6 - Frequently Asked Questions

...

ATTACHMENT 1
EXPORT CONTROL REGULATIONS

The main Export Control Regulations applicable to Rowan University follow:

  1. The Export Administration Regulations (EAR), Title 15, sections 730-774 of the Code of Federal Regulations (CFR) are promulgated and implemented by the Department of Commerce. The EAR regulates the export of 'dual use' goods and services (goods and services having both military and civilian uses) identified on the Commodity Control List (CCL). The complete text of the EAR and CCL are available online at: http://www.bis.doc.gov/policiesandregulations/ear/index.htm.

...

  2. The International Traffic in Arms Regulations (ITAR), 22 CFR §§ 120-130 are promulgated and implemented by the Department of State and regulate defense articles and services and related technical data. Regulated items are identified on the United States Munitions List (USML), 22 CFR § 121. Complete, on-line versions of ITAR and USML are available online at http://www.pmddtc.state.gov/regulations_laws/itar.html.

 

  1. Treasury Department, Office of Foreign Assets Control (OFAC), the U.S. Department of the Treasury, through the Office of Foreign Assets Control ("OFAC"), regulates economic trade with foreign countries. The Foreign Assets Control Regulations ("OFAC Regulations"), 31 C.F.R. Parts 500-597, implemented pursuant to the Trading with the Enemy Act ("TWEA"), 50 U.S.C. §§ 1-44 and the International Emergency Economic Powers Act ("IEEPA"), 50 U.S.C. §§ 1701-1706, administer the statutory economic trade sanctions imposed against several foreign countries. The sanctions range from partial to full trade embargoes and are imposed in addition to other U. S. export control law penalties. Information regarding sanctions in effect can be found at the OFAC web site: http://www.treas.gov/offices/enforcement/ofac/.

 

  1. United States Munition List, May 13, 2014 e-CFR Code of Federal Regulations. http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=2b696098de1ff50ea0b25e7959b4b0bb&r=PART&n=22y1.0.1.13.58

 

  1. Commerce Control List (CCL): http://www.bis.doc.gov/index.php/regulations/commerce-control-list-ccl.

 

  1. Rowan University thanks University of Florida, University of Tennessee, MIT and Ohio State University for the use of their policies and guidelines.
    1. http://research.ufl.edu/compliance/pdf/EXCON_Comp_Guidelines.pdf.
    2. http://exportcontrol.utk.edu/.
    3. http://orc.osu.edu/regulations-policies/exportcontrol/regulations/.
    4. http://osp.mit.edu/compliance/export-controls.
    5. http://www.pmddtc.state.gov/regulations_laws/itar.html
    .

ATTACHMENT 2
KEY DEFINITIONS AND TERMS

  1. Code of Federal Regulations (CFR) — The United States Code of Federal Regulations (CFR) is the codification of the general and permanent rules and regulations published in the Federal Register by the executive departments and agencies of the Federal Government.

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  2. Commerce Control List (CCL) -A list of items under the export control jurisdiction of the Bureau of Industry and Security, U.S. Department of Commerce. The CCL is found in Supplement 1 to part 774 of the EAR.

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  2. Commerce Control List (CCL) Category -The CCL is divided into ten categories: (1) Nuclear Materials, Facilities and Equipment, and Miscellaneous; (2) Materials, Chemicals, "Microorganisms," and Toxins; (3) Materials Processing; (4) Electronics Design, Development and Production; (5) Computers; (6) Telecommunications; (7) Sensors; (8) Navigation and Avionics; (9) Marine; (10) Propulsion Systems, Space Vehicles, and Related Equipment.

 

  1. Commerce Control List (CCL) Group -The CCL is divided into 10 categories. Each category is subdivided into five groups, designated by the letters A through E: (A) Equipment, assemblies, and components; (B) Test, inspection and production equipment; (C) Materials; (D) Software; and (E) Technology.

...

  2. Controlled country -A list of countries designated controlled for national security purposes found in Country Group D:1, including: Armenia, Azerbaijan, Belarus, Cambodia, the People's Republic of China, Georgia, Iraq, Kyrgyzstan, Laos, Libya, Macau, Moldova, Mongolia, North Korea, Russia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, and Vietnam. Cuba is a controlled country, but is listed in Country Group E:2 (unilateral embargoes) rather than Country Group D:1.

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  2. Deemed Export -The disclosure or transfer of export controlled software, technologies or technical data to a foreign entity or individual inside the US is "deemed" to be an export to the home country of the foreign entity or individual

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  2. Defense Article - (ITAR 120.6) means any item designated in the United States Munition List (USML). Examples include specified chemical agents, cameras designated for military purposes, specified lasers, and GPS equipment as noted above. It also means any technical data recorded or stored in any physical form, models, mock-ups, or other items that reveal technical data directly relating to the particular item or "defense article" listed in the USML.

 

  1. Defense Service -(ITAR 120. 9) means the furnishing of assistance (including training) anywhere (inside the United States or abroad) to foreign nationals in connection with the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of defense articles, and the furnishing of any controlled "technical data" (see definition below) to foreign nationals anywhere.

 

  1. Denied Persons List -A list, referenced in Supplement No. 2 to part 764 of the EAR, of specific persons that have been denied export privileges, in whole or in part. The full text of each order denying export privileges is published in the Federal Register.

 

  1. Dual-use -Items that have both commercial and military or proliferation applications. While this term is used informally to describe items that are subject to the EAR, purely commercial items are also subject to the EAR (see §734.2(a) of the EAR).
  2. Empowered Official -a U.S. person who:
    1. Is directly employed by the applicant or a subsidiary in a position having authority for policy or management within the applicant organization; and
    2. Is legally empowered in writing by the applicant to sign license applications or other requests for approval on behalf of the applicant; and
    3. Understands the provisions and requirements of the various export control statutes and regulations, and the criminal liability, civil liability and administrative penalties for violating the Arms Export Control Act and the International Traffic in Arms Regulations; and
    4. Has the independent authority to:
      1. Enquire into any aspect of a proposed export or temporary import by the applicant, and
      2. Verify the legality of the transaction and the accuracy of the information to be submitted; and
      3. Refuse to sign any license application or other request for approval without prejudice or other adverse recourse. (22 C.F.R. § 120.25)

 

  1. End-use -A detailed description of how the ultimate consignee intends to use the commodities being exported.

 

  1. End-user -The person abroad that receives and ultimately uses the exported or re-exported items. The end-user is not a forwarding agent or intermediary, but may be the purchaser or ultimate consignee.

...

  2. Export -in export control regulations, there are several meanings which include any of the following: 1) actual shipment of any covered goods or items; 2) the electronic or digital transmission of any covered goods, items or related goods or items; 3) any release or disclosure, including verbal disclosures or visual inspections, or any technology, software or technical data to any foreign national; or 4) actual use or application of covered technology on behalf of or for the benefit of any foreign entity or person anywhere.

 

  1. Export Administration Regulations -The Export Administration Regulations (EAR), Title 15, sections 730-774 of the Code of Federal Regulations (CFR), means the regulations promulgated and implemented by the Department of Commerce that regulate the export of goods and related technology identified on the Commodity Control List (CCL), Title 15 CFR 774, Supp. 1. Goods and technology on the CCL are not inherently military in nature; they are primarily and inherently commercial or potentially commercial in nature.

...

  2. Export control -The set of laws, policies, and regulations that govern the export of sensitive items for a country or company.

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  2. Export Control Classification Number (ECCN) -Identifies items on the Commerce Control List that are subject to the export licensing authority of the Bureau of Industry and Security.
  3. Exporter -The person who has authority of a principal party in interest to determine and control the sending of items out of the country.

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  2. Export license -The approval documentation issued by an export agency authority authorizing the recipient to proceed with the export, reexport, or other regulated activity as specified on the application.

 

  1. Foreign National / Foreign Person- Persons who are not U.S. citizens, "Lawful Permanent Residents" (Green Card), (8 USC § 1101(a)(20)) or other "Protected Individuals" under the Immigration and Naturalization Act (8 USC §1324b (a)(3)) designated an asylee, refugee, or a temporary resident under amnesty provisions. A foreign national also means any foreign corporation, business association, partnership or any other entity or group that is not incorporated to do business in the US. Under ITAR, the term "foreign person" is used, but has the same definition as "foreign national" herein.

 

  1. Fundamental Research - (EAR and ITAR) means basic or applied research in science and engineering performed or conducted at an accredited institution of higher learning in the United States where the resulting information is ordinarily published and shared broadly in the scientific community. Fundamental research is distinguished from research that results in information that is restricted for proprietary reasons or national security reasons (EAR) or pursuant to specific U.S. government access and dissemination controls (ITAR).

 

  1. Fundamental Research Exclusions -The EAR provides that university research normally will be considered as fundamental research unless the university or its researchers accept sponsor restrictions on publication of scientific and technical information resulting from the project or activity. The EAR specifically permits limited prepublication reviews by research sponsors to prevent inadvertent divulging of proprietary information provided to the researcher by the sponsor or to insure that publication will not compromise patent rights of the sponsor. The citation for the official definition of fundamental research under the EAR is 15 CFR § 734.8.

 

  1. International Trafficking in Arms Regulations (ITAR) – The International Traffic in Arms Regulations (ITAR), 22 CFR §§ 120-130, means the regulations promulgated and implemented by the Department of State that control the export of articles, services, and related technical data that are inherently military in nature, as determined by the State Department. These "defense articles," "defense services," and related "technical data" are listed on the Munitions List (USML), 22 CFR § 121. Even some articles and technologies that is not readily identifiable as inherently military in Nature-for example, research satellites—are included on the USML.
    1. The ITAR states that university research will not be deemed to qualify as fundamental research if: (1) the university or its researchers accept any restrictions on publication of scientific and technical information resulting from the project or activity; or (2) the research is federally funded and specific access and dissemination controls protecting information resulting from the research have been accepted by the university or the researcher. The ITAR citation is 22 CFR § 120.11(8).

 

  1. Munitions List -articles, services and related technical data designated as defense articles and defense services pursuant to the Arms Export Control Act.

...

  2. Public Domain -(ITAR; 22 CFR § 120.11) means information that is published and that is generally accessible or available to the public: (1) through sales at newsstands and bookstores; (2) through subscriptions which are available without restriction to any individual who desires to obtain or purchase the published information; (3) through second class mailing privileges granted by the U.S. government; (4) at libraries open to the public or from which the public can obtain documents; (5) through patents available at any patent office; (6) through unlimited distribution at a conference, meeting, seminar, trade show, or exhibition, generally accessible to the public, in the United States;(7) through public release (i.e., unlimited distribution) in any form (e.g., not necessarily in published form) after approval by the cognizant U.S. government department or agency; and (8) through fundamental research in science and engineering at accredited institutions of higher learning in the U.S. where the resulting information is ordinarily published and shared broadly in the scientific community.

 

  1. Reexport -"Reexport" means an actual shipment or transmission of items subject to export regulations from one foreign country to another foreign country. For the purposes of the U.S. EAR, the export or reexport of items subject to the EAR that will transit through a country or countries to a new country, or are intended for reexport to the new country, are deemed to be exports to the new country.

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  2. Specially Designated National (SDN) -Any person who is determined by the U.S. Secretary of the Treasury to be a specially designated national for any reason under regulations issued by the Office of Foreign Assets Control.

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  2. Technical assistance -Technical assistance may take forms such as instruction, skills training, working knowledge, consulting services, and may also involve the transfer of technical data.

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  2. Technical data -means information required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance, or modification of controlled articles. This includes information in the form of blueprints, drawings, plans, instructions, diagrams, photographs, etc. May take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, or read-only memories. The ITAR definition does not include information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges, and universities, or information in the public domain (ITAR 120.10(5)).

 

  1. Technology -Any specific information and know-how (whether in tangible form, such as models, prototypes, drawings, sketches, diagrams, blueprints, manuals, software, or in intangible form, such as training or technical services) that is required for the development, production, or use of a good, but not the good itself.

 

  1. U.S. person -an individual who is a citizen of the United States or a foreign national with a visa status of Legal Permanent Resident (LPR). An LPR is also known as a Permanent Resident Alien (PRA).

ATTACHMENT 3
ROWAN UNIVERSITY EXPORT CONTROL WORKING GROUP

Empowered Official
Vice President for Research (Empowered Official)
Shreekanth Mandayam, Ph.D.
Location: Office of Research (provide address)
201 Mullica Hill Road
Glassboro, NJ 08028


 General Counsel
Melissa Wheatcroft, JD
Office of the General Counsel
Boll Hall
201 Mullica Hill Road
Glassboro, NJ 08028


 Chief Research Compliance Officer
Sreekant Murthy, Ph.D.
James Hall
201 Mullica Hill Road
Glassboro, NJ 08028
Director of Sponsored Programs
Sarah Piddington
Office of Research
James Hall

...

 201 Mullica Hill Road


 Laboratory Safety Officer
Thomas Boyle
Environmental Health and Safety
Rowan School of Osteopathic Medicine
40 E. Laurel Road
Stratford, NJ 080


 Purchasing Director
Christine Brasteter
Contracting & Procurement Services
Linden Hall
201 Mullica Hill Road
Glassboro, NJ 08028


 Director Office of Technology Licensing
Mina Zion, J.D.
Office of Technology Licensing
201 Mullica Hill Road
Glassboro, NJ 08028


 Office of Internal Audit
James J. Rowan, CPA
42 E. Laurel Rd, Suite 3900
Stratford, NJ 08084


 Environmental Health and Safety
James Lovegrove
Assistant Vice President
Facilities and Plant Management

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201 Mullica Hill Road
Glassboro, NJ 08028


 Human Resources
Eileen R. Scott
Associate V.P. Employee and Labor Relations
Human Resources Office
Linden Hall
201 Mullica Hill Road
Glassboro, NJ 08028

...


 ATTACHMENT 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. The coordinator will screen the following lists:

  1. Export-related Restricted, Denied and Blocked Persons Lists (BIS)
    1. Department of Commerce Bureau of Industry and Security (BIS) Denied Persons List (www.bis.doc.gov)
    2. Department of Commerce BIS Entity List (www.bis.doc.gov/entities/default.htm. ) (BIS)
    3. Department of Commerce BIS Unverified List (www.bis.doc.gov/enforcement/unverifiedlist/unverified_parties.htm.) (BIS
    4. Department of State Arms Export Control Act Debarred Parties (www.pmddtc.state.gov/compliance/debar_intro.html. ) (DDTC)
    5. Department of State Nonproliferation Orders: Missile Sanctions, Lethal Military Equipment Sanctions, Chemical and Biological Weapons Sanctions, Nuclear Sanctions ((www.state.gov/t/isn/c15231.htm. )
      This includes:
      1. Executive Order

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      1. 1338
      2. Iran and Syria Nonproliferation

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      1. Ac
      2. Executive Order 12938 as amended
      3. Missile Sanction

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      1. law
      2. Chemical and Biological Weapons Sanction Laws
      3. Iran, North Korea and Syria Nonproliferation Act Sanctions (INKSNA)
    1. Department of State International Traffic In Arms Regulations (ITAR) Munitions Export Orders (www.pmddtc.state.gov/regulations_laws/itar.html. ) (DDTC)
    2. Weapons of Mass Destruction Trade Control Designations [OFAC]

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    1. http://www.treasury.gov/resource-center/sanctions/Programs/Documents/wmd.txt. •
    2. Department of State Terrorist Exclusion List

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    1. http://www.state.gov/j/ct/rls/other/des/123086.htm.
    2. U.S. Treasury Department Palestinian Legislative Council List [OFAC]

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    1. http://www.treasury.gov/resource-center/sanctions/Terrorism-Proliferation-Narcotics/Pages/index.aspx

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    2. U.S. Federal Register General

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    1. Order www.archives.gov/federal-register/index.html
  1. Sanction Programs Related Blocked Persons Lists
    1. Department of Treasury Specially Designated Nationals and Blocked Persons, including Cuba and Merchant Vessels, Iran, Iraq and Merchant Vessels, Sudan Blocked Vessels http://www.treasury.gov/resource-center/sanctions/SDN-List/Pages/default.aspx. (OFAC)
      1. Department of Treasury Specially Designated Terrorist Organizations and Individuals http://www.treasury.gov/resource-center/sanctions/SDN-List/Pages/default.aspx.
      2. Department of Treasury Specially Designated Narcotic Traffickers and Narcotics Kingpins http://www.treasury.gov/resource-center/sanctions/Programs/Documents/narco_designations_kingpin.pdf.
      3. Department of Treasury Foreign Narcotics Kingpins

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      1. www.treasury.gov/resource-center/sanctions/Programs/Documents/.
      2. List of Foreign Financial Institutions Subject to Part 561 http://www.iranwatch.org/sites/default/files/us-treasury-561list-073112.pdf.
      3. U.S. Treasury Department Foreign Sanctions Evaders List (FSE-IR, FSE-SY) http://www.treasury.gov/ofac/downloads/fse/fselist.pdf. (OFAC)
      4. United Nations Consolidated List http://www.un.org/sc/committees/list_compend.shtml.
        1. U.N. sanctions measures (assets freeze, travel ban, or arms embargo) imposed by the Security Council on Individuals and entities under Security Coumcil Resolutions 751 (1992) and 1907 (2009) concerning Somalia and Eritrea, 1267 (1999) and 1989 (2011) concerning Al-Qaida and associated individuals and entities, 1518 (2003), 1521 (2003) concerning Liberia, 1533 (2004) concerning The Democratic Republic of the Congo, 1572 (2004) concerning Cote d'Ivorie, 1591 (2005) concerning The Sudan, 1918 (2006), 1970 (2011) concerning Lybia, 1988 (2011), and 2048 (2012) concerning Guinea-Bissau.
      5. U.S. General Services Administration (GSA) List of Parties Excluded from Federal Procurement Programs (www.gsa.gov and www.epa.gov/ogd/sdd/espl.htm.) (SAM/EPLS)
      6. U.S. General Services Administration (GSA) List of Parties Excluded from Federal Non-procurement Programs (www.gsa.gov and www.epa.gov/ogd/sdd/espl.htm.) (SAM/EPLS)
      7. U.S. General Services Administration (GSA) List of Parties Excluded from Federal Reciprocal Programs (www.gsa.gov and www.epa.gov/ogd/sdd/espl.htm. ) (SAM/EPLS)

...

  1. Law Enforcement –related Wanted Persons List (Domestic)
    1. U.S. Air Force Office of Special Investigations – Top Ten Fugitives http://www.osi.andrews.af.mil/library/fugitives/index.asp.
      1. Focuses on four priorities: to exploit counterintelligence activities for force protection, to resolve violent crime impacting the Air Force, to combat threats to Air Force information systems and technologies, and to defeat and deter acquisition fraud.
    2. Bureau of Alcohol, Tobacco, Firearms, and Explosives Most Wanted http://www.atf.gov/content/ATF-most-wanted.
      1. Enforces U.S. federal laws and regulations relating to alcohol, tobacco products, firearms, explosives, and arson.
    3. FBI Ten Most Wanted Fugitives
      1. Investigative functions fall into the categories of applicant matters, civil rights, counterterrorism, foreign counterintelligence, organized crime/drugs, violent crimes and major offenders, and financial crime.
    4. FBI Most Wanted Terrorists http://www.fbi.gov/wanted/topten/.
      1. Lists alleged terrorists that have been indicted by sitting Federal Grand Juries in various jurisdictions in the United States for the crimes reflected on their wanted posters.
    5. Federal Bureau of Investigation (FBI) Wanted Fugitives http://www.fbi.gov/wanted/wanted_by_the_fbi.
    6. FBI Crime Alert http://www.fbi.gov/wanted/alert/.
    7. FBI Seeking Information http://www.fbi.gov/wanted/seeking-info/.
    8. FBI Hijack Suspects http://www.fbi.gov/wanted/wanted_by_the_fbi.
    9. Food and Drug Administration – Clinical Investigators http://www.accessdata.fda.gov/scripts/cder/cliil/index.cfm.
    10. Food and Drug Administration – Disqualified and Restricted
      http://www.accessdata.fda.gov/scripts/SDA/sdNavigation.cfm?sd=clinicalinvestigatorsdisqualificationproceedings&previewMode=true&displayAll=true.
    11. Food and Drug Administration – Debarment List http://www.fda.gov/ICECI/EnforcementActions/FDADebarmentList/default.htm.
      1. Individuals that have had various restrictions placed against them by the Food and Drug Administration (FDA) for scientific misconduct.
    12. Department of Homeland Security Most Wanted Fugitive Criminal Aliens http://www.ice.gov/most-wanted/hsi.htm.
      1. Terrorism, Drug Smuggling, Money Laundering, Human Trafficking/Smuggling, Import/Export Violations, Child Pornography/Exploitation, Document and Benefit Fraud, Gang-related Crimes, Intellectual Property Rights Violations, Worksite Enforcement.
    13. Naval Criminal Investigation Service – Wanted Fugitives http://www.ncis.navy.mil/ContactUs/Pages/WantedFugitives.aspx.
      1. Conducts felony criminal investigations and counterintelligence for the Department of the Navy, and managing Navy security programs.
    14. U.S. Immigration and Customs Enforcement Most Wanted

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    1. http://www.ice.gov/.
      1. ICE ERO prioritizes the apprehension, arrest and removal of convicted criminals, those who pose a threat to national security, fugitives, and recent border entrants.
    2. U.S. Drug Enforcement Administration – Major International Fugitives http://www.justice.gov/dea/fugitives.shtml.
      1. Enforces controlled substances laws and regulations of the United States and brings to the criminal and civil justice system of the United States those entities and individuals involved in the growing, manufacture, or distribution of controlled substances appearing in or destined for illicit traffic in the United States.
    3. U.S. Marshals Service – Top 15 Most Wanted http://www.usmarshals.gov/investigations/most_wanted/index.html.
    4. U.S. Marshals Service – Major Fugitive Cases

...

    1. http://www.usmarshals.gov/investigations/major_cases/index.html.
      1. Involved in most every federal law enforcement initiative. U.S. Marshals major cases and top 15 most wanted consist of individuals with a history of violent crimes that may be considered armed and dangerous.
    2. Office of Research Integrity PHS Administrative Actions http://ori.hhs.gov/administrative-actions.
      1. The names of individuals that have had administrative actions imposed against them by the Office of Research Integrity (ORI), maintained by the Public Health Service (PHS). The Assistant Secretary for Health (ASH) makes the final PHS decision on findings of research misconduct and the imposition of administration actions after reviewing the recommendations made by ORI.
    3. U.S. Postal Inspection Service – Most Wanted https://postalinspectors.uspis.gov/pressroom/wanted.aspx.
      1. Important areas of jurisdictions include: assaults, bombs, controlled substances, electronic crimes, mail fraud, and money laundering.
    4. U.S. Secret Service – Most Wanted http://www.secretservice.gov/mostwanted.shtml.
      1. The United States Secret Service is mandated to carry out two missions: protection and criminal investigations. In criminal investigation, the Secret Service is responsible for the enforcement of laws relating to counterfeiting of obligations and securities of the United States, investigation of financial crimes including, but not limited to access device fraud, financial institution fraud, identity theft, computer fraud, telecommunications fraud, and computer based attacks on our nation's financial, banking, and telecommunications infrastructure.
    5. U.S. Office of the Inspector General List of Individuals/Entities Excluded from Federal Health and Medicare Programs
    6. Department of State Arms Control Act Debarred parties http://pmddtc.state.gov/compliance/debar.html. (DDTC)
    7. Department of State Designated terrorist Organizations http://www.state.gov/j/ct/rls/other/des/123085.htm.
    8. Department of State Terrorist Exclusion list http://www.state.gov/j/ct/rls/other/des/123086.htm.
    9. U.S. Treasury Department Palestinian Legislative Council List http://www.treasury.gov/resource-center/sanctions/Terrorism-Proliferation-Narcotics/Documents/plc_list.txt. (OFAC)
    10. Specially Designated Nationals and Blocked Persons (OFAC)
    11. Department of Homeland Security Most Wanted Most Wanted Human Smugglers http://www.ice.gov/most-wanted/hsi.htm.
    12. U.S. Central Command Iraqi SS Most Wanted

...

    1. http://www.fact-index.com/u/u_/u_s__list_of_most_wanted_iraqis.html#.
  1. Politically Exposed persons and Office of Inspector general
    1. Politically Exposed Persons and Office of Inspector General

...

    1. http://oig.hhs.gov/.
      1. Chiefs of State and Cabinet Members of Foreign Governments [Central Intelligence Agency]
      2. Office of Inspector General List of Individuals/Entities Excluded from Federal Health and Medicare Programs

 

  1. International Terrorist, Blocked Person, Wanted, and Entity Lists
    1. European Union Consolidated List http://eeas.europa.eu/cfsp/sanctions/consol-list_en.htm.
    2. Japan Foreign End-Users of Concern
    3. Canada Public Safety and Emergency Preparedness Listed Entities

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    1. http://www.publicsafety.gc.ca/index-eng.aspx.
    2. Politically Exposed Persons in Money Laundering Risk Countries (CIA)
    3. Australia Department of Foreign Affairs and Trade Consolidated List

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    1. http://www.dfat.gov.au/sanctions/consolidated-list.html.
    2. European Union (EU) Council Regulation on Restrictive Measures to Combat Terrorism

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    1. [Designated Persons, Groups, and Entities

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    1. http://www.consilium.europa.eu/uedocs/cmsUpload/080206_combatterrorism_EN.pdf.
    2. Interpol Recently Wanted http://www.interpol.int/notice/search/wanted.
      1. Lists person that are wanted by national jurisdictions
    3. Bank of England Consolidated List of Financial Sanctions Targets in the U.K

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    1. https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/292041/terrorism.pdf.
    2. World Bank Listing of Ineligible Firms

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    1. http://web.worldbank.org/external/default/main?theSitePK=84266&contentMDK=64069844&menuPK=116730&pagePK=64148989&piPK=64148984.
      1. Lists names of firms and individuals that are ineligible to be awarded a World Bank-financed contract for the periods indicated because they were found to have violated the fraud and corruption provisions of the Procurement Guidelines or the Consultants Guidelines.
    2. OSFI Consolidated List – Entities

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    1. http://www.osfi-bsif.gc.ca/Eng/fi-if/amlc-clrpc/atf-fat/Pages/default.aspx.
    2. OSFI Consolidated List – Individuals
      1. Office of the Superintendent of Financial Institutions (OSFI) issues names subject to the regulations establishing a list of entities made under the Canada Criminal Code or the United Nations suppression of terrorism regulations. OSFI is the sole regulator of banks, and the primary regulator of insurance companies, trust companies, loan companies and pension plans in Canada.
    3. OSFI Warning List
      1. Issues entity names that may be of concern to the business community and the public.
    4. OCC List of Unauthorized Banks http://www.occ.gov/news-issuances/alerts/2010/alert-2010-12.html.
    5. Royal Canadian Mounted Police (RCMP)-Wanted Fugitives

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    1. http://www.rcmp-grc.gc.ca/eng/wanted-by-the-rcmp.
      1. Kingdom of Saudi Arabia Wanted Militants
      2. HM Treasury Consolidated List

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      1. https://www.gov.uk/government/publications/financial-sanctions-consolidated-list-of-targets.
      2. Canadian Border Services Agency Most Wanted List

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      1. http://www.cbsa.gc.ca/wc-cg/menu-eng.html.
      2. Violations of human or international rights under the Crimes Against Humanity and War Crimes Act or under international law.

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  1. Export Risk Country Alerts
    1. Department of Commerce, EAR Part 736 General Prohibition Three (Foreign-produced direct product re-exports)
    2. Department of Commerce, EAR Part 736 General Prohibition Eight (In transit shipments and items to be unladen from vessels or aircraft)
    3. Department of Commerce, EAR Part 740, Country Group E:1, Terrorist Supporting Countries
    4. Department of Commerce, EAR Part 744, Subject to military end-user and end-use based control policy for specified ECCN dual-use items
    5. Department of Commerce, EAR Part 746, Embargoes and Other Special Controls (embargoes, sanctions, or special controls on specified items)
    6. Department of State U.S. Arms Embargoes
    7. Department of State, Restricted export destinations under the ITAR (126.1) including denial policy
    8. Department of State, DDTC policy restrictions, limitations, or delays on license applications for the export of USML items
    9. Department of State, State Sponsors of Terrorism
    10. Department of State, Countries Not Cooperating Fully with United States Antiterrorism Efforts
    11. Department of Treasury Office of Foreign Assets Control (OFAC) Sanctions or Specially Designated Nationals under OFAC Sanctions
    12. United Nations (UN) Sanctions or Arms Embargoes
    13. BIS India and Pakistan Export Restrictions, including Atomic Energy blocked entities and nuclear activities
    14. Exports and reexports under restriction to Afghanistan
    15. Countries that may require participation in, or cooperation with, an international boycott [Section 999(b)(3) of the Internal Revenue Code of 1986]
    16. Government of Canada Economic Sanctions
    17. U.S. Department of Commerce EAR Country Group E:1, Terrorist Supporting Countries
    18. ("T-7 Countries")
    19. Office of Foreign Assets Control (OFAC) Sanctions
    20. United Nations (UN) Sanctions
    21. U.S. Department of State, List of State Sponsors of Terrorism
    22. Export destination for defense articles and defense services prohibited under the ITAR
    23. (126.1)
    24. BIS India and Pakistan
    25. Exports and Reexports to Afghanistan Restrictions
    26. Countries that may require participation in, or cooperation with, an international boycott
      [Section 999(b)(3) of the Internal Revenue Code of 1986] 

ATTACHMENT 5
TRAINING AND

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EDUCATION 

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 CITI training is the official site for obtaining training. To obtain training, employees are directed to go to CITI training site. Trainees can use their university user's name and password to obtaining. Additional information on how to obtain training is posted on Office of Research Website.

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 The Office of Research can also schedule educational sessions on export and training module through a power point training tool available to all employees. To implement this training program, the Office of Research will send communications to the entire RU community of faculty, staff and those students who participate in RU research or work activities. The Office of Research, Deans, Chairs and Department Chairs will decide who must obtain training. The Office of Research will provide training on a request basis to small interested groups in labs, departments, colleges the one?on?one training required for Faculty and Staff involved in projects subject to export controls. To further complement these training programs, the Office of Research has established a website that hosts a number of documents (i.e., directive/training memorandum, Fundamentals of Export Controls Training Outline and foreign collaboration and travel screening form) developed by the Office of Research and the Compliance Team.

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 In addition employees are directed to additional training material posted on the following websites:
FBI Export control enforcement site at:

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http://export.gov/ecr/eg_main_027618.asp.

The U.S. Department of Commerce's Bureau of Industry and Security (BIS) provide seminars on export controls related to commodities covered by the EAR. For a schedule of export control seminars available through BIS, please visit: http://www.bis.doc.gov/SeminarsAndTraining/elsem.htm.

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BIS also offers a series of online training seminars that may be accessed at: http://www.bis.doc.gov/seminarsandtraining/seminar-training.htm. 

ATTACHMENT 6
FACULTY/STAFF AWARENESS

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WORKSHOPS 

The presentation and an additional tutorial are also available on the web site.

  1. Workshop Format:

 

    1. Export Control Basics
      1. Purpose of U.S. export control laws
      2. Regulatory agencies controlling exports
      3. The effect of U.S. export controls on universities
      4. Fundamental research/education/employment exclusions
      5. Examples of the exclusions
      6. Enforcement: violations and penalties
      7. Discussion/

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      1. Question
    1. What Faculty Need to Know
    :
      1. Deemed

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      1. Export
      2. What is a deemed export and how does it occur

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      2. Handout and case studies
      3. Foreign

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      1. National
      2. Definition of foreign national
      3. Transfer of controlled technology to foreign

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      1. national
      2. International travel
      3. Case studies/discussion/questions

 

    1. Key Issues for the University: Determining Whether or Not the Export Control Laws Apply to Research
      1. Visas-Country of Origin
      2. Identifying and securing all controlled equipment
      3. Chart/ case studies/ Gray areas of research/Best practices
      4. University departments that warrant export attention
      5. The responsibility of the P.I.

 

    1. The Far Reaching Impact of Export Controls on Universities
      1. Current Issues
      2. Proposed changes in "use" technology
      3. Proposed DoD changes, badging of foreign nationals

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    1. Discussion/Questions/Close

ATTACHMENT 7
FREQUENTLY ASKED QUESTIONS

  1. If a researcher has an award with no export control language and his/her funding agency begins providing export controlled documents, etc., what should the researcher do?
    This action is a good indication that the direction of the research or some other factor has changed the project in some way to render the export control regulations applicable to this project and that, more than likely, the ROWAN researcher's work will now be export controlled. He/she should reexamine his/her research, checking the USML and CCL lists to see if the research falls under either of these lists. If he/she makes the determination that the research does now fall under export control restrictions, the information/technology must be protected from intentional (or inadvertent) export or "deemed export." The researcher should also notify his/her Contract Administrator in the Office of Sponsored Programs that the export control status has changed so this can be noted in the database. The ROWAN Export Control Policy requires that a Principal Investigator re-evaluate his/her project's export control determination prior to changes in scope of work or hiring foreign nationals to work on the project, including graduate and undergraduate students.
  2. How should a Rowan University employee handle the use of information gained from past or present research in classroom discussions if foreign nationals are present?
    The Rowan employee should first ascertain the source of the information and if the contract or grant under which it was discovered, invented or obtained is under export control restrictions. Lack of contractual designation of "export controlled" is not an exclusively sufficient determination. The employee should also make self-determination of the applicability of export control regulations to the particular information or technology he/she wishes to discuss in the classroom. If this information or technology is now considered export controlled, it should not be presented in the classroom.
  3. What is our guidance for determining if non-sponsored program activity should be export controlled?
    A Rowan employee should check the Department of State's U.S. Munitions List and the Department of Commerce's Commerce Control List to ascertain if the information or technology falls under the information or technology areas covered by the lists. As this research would not be under a sponsored program, the fundamental research exemption would not apply. 
  4. Are individuals with dual citizenship (one of which is U.S.) allowed unlicensed access to export controlled information?
    We have been told that some funding agencies regard the non-U.S. citizenship as the primary citizenship status. If there is any doubt, check with your funding agency and with ROWAN's Office of Research & Engagement.
  5. I teach a class which involves information about encryption using standard published textbooks. Do I have a problem if foreign nationals are in my class?
    If you are providing information which is already in the public domain (e.g., published text books, excerpts from professional journals, newspaper articles, etc.), it is acceptable to present this information in a class. 
  6. We send documents to Quick Copy for reproduction and I believe foreign nationals might work there. Can we send documents that contain export controlled information?
    No, this would be a "deemed export" and would violate the export control regulations. 
  7. What are the practices that I should employ for protecting the export controlled information

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    1. Laboratory work should be physically shielded from observation by operating in secured laboratory spaces or during secure time blocks when observation by un authorized persons is preventable.
    2. Data, lab notebooks, hard copy reports, and research materials are held in locked, fireproof cabinets which are located in rooms with key-controlled access.
    3. Electronic communications and all databases are managed via a type of virtual private network specifically a Secure Socket layer (SSL) which limits access to authorized users only and facilitates exchanges between those authorized users while encrypting (128 bit encryption) any data sent via Internet.
    4. Discussions about the project or work products are limited to the identified contributing investigators and are held only in areas where unauthorized persons are not present.
    5. Discussions with third-party subcontractors, such as identified manufacturing sites, are only conducted under signed confidentiality agreements and fully respecting the non-US citizen limitations for such disclosures.
    6. Third-party communications are conducted only under valid Confidentiality Agreements with prior consent of the Government.
  2. Some of these requirements will cost me money that I didn't request in my proposal because I didn't know that this would be export controlled. How do I handle this?
    Check first with your Department Dean or Center Director to see if they can provide the funds for the separate computer, special storage facilities, separate work space, etc. It may be necessary for you to bring the matter to the Vice President for Research. The information or technology must be protected; this is not an option.
  3. What are my responsibilities as a Principal Investigator/researcher/faculty member and what are the responsibilities of the Office of Sponsored Programs in complying with export control laws and regulations?
    1. Principal Investigator/researcher/faculty:
    2. As a Principal Investigator, researcher or faculty member you are responsible for determining if the research you are performing, the information you are developing, receiving or disseminating, or the technology you are developing, receiving or disseminating is restricted by export control laws and regulations.
    3. If it is restricted, you have the responsibility of protecting the information or technology from export or deemed export, either intentionally or inadvertently.
    4. You have the responsibility of informing graduate students, undergraduate students, and administrative staff who are likely to come into contact with this information or technology of the proper protection regulations and procedure.
    5. You have the responsibility to periodically review your research to ascertain if its status relative to export control regulations has changed.
    6. You have the responsibility to inform the Office of Sponsored Programs when the export control status of your research changes.
    7. You have the responsibility to report to the Vice President for Research any violations of export control laws and regulations of which you might become aware

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    1. The Office of Research is charged with the responsibility of developing and monitoring an effective compliance program sufficient to insure that the ROWAN research and academic community have the knowledge and tools to understand and abide by export control laws and regulations. Toward that end, the Office of Sponsored Programs will:
      1. coordinate and maintain a University policy regarding compliance with export control laws and regulations;
      2. post information, forms and Internet links to relevant U.S. government Internet sites to insure that the Rowan employees have as much current information as possible;
      3. conduct education/information sessions for Rowan researchers, faculty and staff to make them aware of the export control laws, regulations and penalties for failure to abide by them;
      4. review new awards for obvious export control language and bring this to the Principal Investigator's attention;
      5. note known export controlled awards in the Office of Sponsored Programs' contract database to assist in locating laboratories or work areas that might need internal audits or special attention to insure adequate protection of information and technology;
      6. attend training sessions to learn more about export control and provide updates of regulations and procedures to the ROWAN researchers via the OSP webpage, written notices and workshops, as needed.
  1. Some of this information is vague and seems to change a lot. How am I supposed to keep up with all of this?
    This law and its supporting regulations are quite complicated and the international political, military and economic situation changes daily. This is, in turn, reflected in the information and technology which is placed on the controlled lists as well as the various funding agencies' procedures in addressing the export control issue. Our best advice is to revisit your information and technology periodically relative to the government's controlled lists, keep an open dialogue with your funding agency technical counterpart, and bring your questions and concerns to the Office of Sponsored Programs, Office of Export Controls, to your Dean/Center Director or to the Vice President for Research.
  2. My award has no restriction on foreign nationals working on it and no publication restrictions except the funding agency wants to review a publication prior to distribution. Does this cancel my fundamental research exemption?
    No, this kind of review, even when requested, is considered a courtesy rather than a restriction. If the award required "review and approval" we would consider it a restriction as this language implies the potential of denying approval to publish or requiring changes to the report, presentation or article prior to publication. A publication approval requirement would cancel your fundamental research exemption.
  3. I download software that I use in my classes and usually just click "yes" without reading the license agreement. I've heard that some of these licenses have export control restrictions. What should I do?
    First, read all license agreements because clicking "yes" is agreeing to the conditions of the agreement. Second, notice if there are options concerning the type of software you can download. Most license agreements do contain some export control language. In many instances, there is an "educational" version of the software which does not contain export controlled information and is suitable for classroom use.
  4. I have heard that Microsoft operating software is or may be export controlled. I've already been warned about Rowan not taking my laptop out of the country if it has obvious export controlled data on it but can I have a problem with the basic operating software?
    Possibly. Microsoft provides information on their web site at http://www.microsoft.com/exporting/ (or at the home page, search for "export control") that lists their different hardware and software products along with the DoC ECCN (export control classification number) and the status of this item relative to requirement of a license for export.