University Policies

Page tree

Versions Compared

Old Version 13

changes.mady.by.user Unknown User (kanchia1)

Saved on

compared with

New Version 14

changes.mady.by.user Rowan, James J.

Saved on

Key

  • This line was added.
  • This line was removed.
  • Formatting was changed.

...

  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 - Faculty/Staff Awareness Workshops
  7. Attachment 7 - Export Control International Travel Guidelines
  8. Attachment 8 - Frequently Asked Questions

...

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

...

  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 1338
      2. Iran and Syria Nonproliferation Ac
      3. Executive Order 12938 as amended
      4. Missile Sanction law
      5. Chemical and Biological Weapons Sanction Laws
      6. Iran, North Korea and Syria Nonproliferation Act Sanctions (INKSNA)
    6. Department of State International Traffic In Arms Regulations (ITAR) Munitions Export Orders (www.pmddtc.state.gov/regulations_laws/itar.html. ) (DDTC)
    7. Weapons of Mass Destruction Trade Control Designations [OFAC] http://www.treasury.gov/resource-center/sanctions/Programs/Documents/wmd.txt. •
    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 [OFAC] http://www.treasury.gov/resource-center/sanctions/Terrorism-Proliferation-Narcotics/Pages/index.aspx
    10. U.S. Federal Register General Order www.archives.gov/federal-register/index.html

  2. 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 www.treasury.gov/resource-center/sanctions/Programs/Documents/.
      4. List of Foreign Financial Institutions Subject to Part 561 http://www.iranwatch.org/sites/default/files/us-treasury-561list-073112.pdf.
      5. U.S. Treasury Department Foreign Sanctions Evaders List (FSE-IR, FSE-SY) http://www.treasury.gov/ofac/downloads/fse/fselist.pdf. (OFAC)
      6. 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.
      7. 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)
      8. 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)
      9. 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)

  3. 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 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.
    15. 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.
    16. U.S. Marshals Service – Top 15 Most Wanted http://www.usmarshals.gov/investigations/most_wanted/index.html.
    17. U.S. Marshals Service – Major Fugitive Cases 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.
    18. 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.
    19. 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.
    20. 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.
    21. U.S. Office of the Inspector General List of Individuals/Entities Excluded from Federal Health and Medicare Programs
    22. Department of State Arms Control Act Debarred parties http://pmddtc.state.gov/compliance/debar.html. (DDTC).
    23. Department of State Designated terrorist Organizations http://www.state.gov/j/ct/rls/other/des/123085.htm.
    24. Department of State Terrorist Exclusion list http://www.state.gov/j/ct/rls/other/des/123086.htm.
    25. U.S. Treasury Department Palestinian Legislative Council List http://www.treasury.gov/resource-center/sanctions/Terrorism-Proliferation-Narcotics/Documents/plc_list.txt. (OFAC)
    26. Specially Designated Nationals and Blocked Persons (OFAC).
    27. Department of Homeland Security Most Wanted Most Wanted Human Smugglers http://www.ice.gov/most-wanted/hsi.htm.
    28. U.S. Central Command Iraqi SS Most Wanted http://www.fact-index.com/u/u_/u_s__list_of_most_wanted_iraqis.html#.

  4. Politically Exposed persons and Office of Inspector general
    1. Politically Exposed Persons and Office of Inspector General 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.

  5. 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 http://www.publicsafety.gc.ca/index-eng.aspx.
    4. Politically Exposed Persons in Money Laundering Risk Countries (CIA)
    5. Australia Department of Foreign Affairs and Trade Consolidated List http://www.dfat.gov.au/sanctions/consolidated-list.html.
    6. European Union (EU) Council Regulation on Restrictive Measures to Combat Terrorism [Designated Persons, Groups, and Entities http://www.consilium.europa.eu/uedocs/cmsUpload/080206_combatterrorism_EN.pdf.
    7. Interpol Recently Wanted http://www.interpol.int/notice/search/wanted.
      1. Lists person that are wanted by national jurisdictions
    8. Bank of England Consolidated List of Financial Sanctions Targets in the U.K https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/292041/terrorism.pdf.
    9. World Bank Listing of Ineligible Firms 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.
    10. OSFI Consolidated List – Entities http://www.osfi-bsif.gc.ca/Eng/fi-if/amlc-clrpc/atf-fat/Pages/default.aspx.
    11. 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.
    12. OSFI Warning List
      1. Issues entity names that may be of concern to the business community and the public.
    13. OCC List of Unauthorized Banks http://www.occ.gov/news-issuances/alerts/2010/alert-2010-12.html.
    14. Royal Canadian Mounted Police (RCMP)-Wanted Fugitives http://www.rcmp-grc.gc.ca/eng/wanted-by-the-rcmp.
      1. Kingdom of Saudi Arabia Wanted Militants
      2. HM Treasury Consolidated List https://www.gov.uk/government/publications/financial-sanctions-consolidated-list-of-targets.
      3. Canadian Border Services Agency Most Wanted List http://www.cbsa.gc.ca/wc-cg/menu-eng.html.
      4. Violations of human or international rights under the Crimes Against Humanity and War Crimes Act or under international law.

  6. 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] 

...

  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/Question
    2. What Faculty Need to Know
      1. Deemed Export
      2. What is a deemed export and how does it occur
      3. Handout and case studies
      4. Foreign National
      5. Definition of foreign national
      6. Transfer of controlled technology to foreign national
      7. International travel
      8. Case studies/discussion/questions
    3. 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.
    4. 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
    5. Discussion/Questions/Close.

 

ATTACHMENT 7

EXPORT CONTROL INTERNATIONAL TRAVEL GUIDELINES


Rowan University faculty and staff travelling out of the country must read the pre-briefing described below or meet with Rowan University Export Control Officer when planning to travel abroad., particularly when the employee:

  1. Has security clearance and is working on a classified contract.
  2. Working with unclassified but sensitive material which is deemed export controlled under federal regulations.
  3. Is traveling to any embargoed country -- currently Cuba, Iran, North Korea, Sudan, Syria and Crimea Region of the Ukraine

What should I do before travelling abroad even when not working with classified material?

  1. When travelling abroad consider the following to determine whether export control regulations apply:
    1. Where are you going?
    2. What are you taking?
    3. What will you be doing?
    4. With whom you will be interacting?*
  2. *Certain interactions may be considered as “deemed export”.  According to Export control regulations, deemed export is defined as the release of technology or source code having both military and civilian applications to a foreign national.

Is there a problem for Travelling Abroad?

  1. Not all travels abroad are regulated or a problem.  However, be aware that travelling to some foreign countries are subject to Foreign Assets Control (OFAC), Export Administration Regulations (EAR) or International Traffic in Arms Regulations (ITAR), particularly to sanctioned/embargoed countries.   If your travel includes going to or transiting through sanctioned countries such as Cuba, Iran, North Korea, Sudan, Syria and Crimea Region of the Ukraine, please contact the Export Control Officer in the Office of Research Compliance for assistance to mitigate the risks associated with traveling to such embargoed countries.  A specific license will be required before you travel or transit through those countries.

What am I allowed to take when travelling abroad? What needs to be done before you travel with certain items?

  1. Items such as laptops with no encryption, IPhones and IPads, Jump/Flash drive (unencrypted), Android Cell Phones/Tablets, Garmin GPS, Bitlocker encryption and GoPro Camera for routine use do NOT require a license so long as the travel does not include Cuba, Iran, Sudan, Syria or North Korea.
  2. Scientific equipment, computers, laptops, PDAs, iPads, drives, digital storage devices, cell phones,  and GPS units (they have pre-loaded encryption software subject to regulations)  – Verify that these items are not export-restricted based on your travel destination(s).  The Export Control Office can assist you in the process and provide an official memo on behalf of the institution indicating that your items and/or equipment have been cleared for export. It is highly recommended that you register when any items/equipment that you will be taking with you Use Form 4455 (https://www.pdffiller.com/en/project/71893221.htm?f_hash=5126ed) to register with U.S. Customs and Protection (CBP). Registration allows you to prove that you had the items before you left the U.S. and all CBP (Customs and Border Protection)-registered items will be allowed to return to the U.S. duty-free.
  3. Low-Tech, commercially available items - An export license is NOT required unless you are travelling to or travelling through sanctioned/embargoed countries.  If travel or transit includes sanctioned/embargoed countries, an export control license may be required even for every day or routine carry with items such as cell phones and laptop computers. Contact Export Control Office at Rowan for help in determining your export license requirements.
  4. Sharing, shipping, hand carrying, transmitting or transferring Rowan-developed non-commercial software with no source code or object code when travelling abroad – There may or may not be license exception under Export Control Regulations (EAR).  You must follow the following requirements even when a license is not required: 1) You must keep the item under your control all the time and 2) You must return the item within 12 months or consume or destroy within 12 months. 
  5. Items used in the design, development, production, stockpiling or nuclear explosive devices with chemical or biological agents – They may require export control license unless there is no publication restrictions for the data or Non-Disclosure Agreement for the item has no publication restriction.

What will you be doing abroad?

  1. These guidelines are provided to ensure that you do not accidentally export restricted information to foreign nations or nationals.
    1. Presentations:  When presenting data/information in an international setting limit your presentation to only information or data that is published, or is publicly available, or that qualifies as Fundamental Research. Be careful not to include or discuss any proprietary, unpublished, or export-restricted data or information as that may constitute an unauthorized export. 
      • ‘Fundamental research’ means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons.”
    2. Interaction with foreign nationals: You are free to openly discuss any published or publicly available information or information generated as the result of Fundamental Research as long as the recipient is not a sanctioned or specially designated entity. It is important to know that while the results/information resulting from Fundamental Research are not subject to export controls and can be shared without a license, any items, technology, or software generated under that Fundamental Research with publication restriction or protected information would be subject to export controls and may require an export license.
    3. Field work abroad:  Data collected during a field work abroad is not considered as fundamental research until the data is published or made publicly available.  Before publishing or making the data public, make sure that the collected data is not export controlled.

What must be done when travelling to Sanctioned/embargoed country?

  1. If you are traveling to a sanctioned country, you are required to obtain a country-specific pre-travel briefing, as well as a post-travel debriefing, from Rowan’s Export Control Office. Please be aware that international sanctions can be introduced or lifted at any time. You as the traveler, are ultimately responsible for determining if your destination is under sanctions. For further information on sanctions in place by the government of the United States, please refer to the Department of Treasury’s website at http://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx.  At the time of this writing, the following countries were subject to sanctions:

 

Comprehensively embargoed countries:  

OFAC:  Crimea region of Ukraine, Cuba, Iran, North Korea, Sudan and Syria

EAR: Crimea region of Ukraine, Cuba, Iran, North Korea and Syria

 

Targeted Sanction Countries:

OFAC: Libya, Lebanon, Somalia, Belarus, Iraq, Yemen, Myanmar (formerly Burma), Liberia, Zimbabwe, Balkans, the Cote D'Ivoire (formerly Ivory Coast

EAR:     Iraq

 

ITAR (International Traffic in Arms Regulations) prohibited countries:

Afghanistan, Belarus, Central African Republic, Cuba, Cyprus, Eritrea, Fiji, Iran, Iraq, Cote d'Ivoire, Lebanon, Libya, North Korea, Syria, Vietnam, Myanmar, China, Haiti, Liberia, Rwanda, Somalia, Sri Lanka, Republic of the Sudan (Northern Sudan), Yemen, Zimbabwe, Venezuela, Democratic Republic of the Congo.

 

Are there restrictions for International Collaborations?

In general, collaborations between Rowan University personnel and scholars at foreign institutions or organizations do not require export licenses unless they involve export controlled or restricted research or involve scholars in sanctioned countries.  Before engaging in an international collaboration, contact Export Control Office to determine if export licenses are required and to verify that the foreign individual and/or organization are not blocked or sanctioned entities.

 

When I travel abroad, can I have access to my department resources through VPN?

Yes.  However, employees need to be granted VPN access by Rowan IT before traveling if they wish to continue using Rowan University Software and connect to Department Resources while outside of the country.  Please Contact Rowan’s Information Resources and technology Office on using VPN abroad at iso@rowan.edu.

 

Export Control Office Contact Information:

Office of Research Compliance

Room 3106 James Hall

Telephone: (856) 256-5853

Email: murthy@rowan.edu

 

(Version 1: 8-17-2016)

 

ATTACHMENT 7
FREQUENTLY ASKED QUESTIONS

...