Transcript EXPORT COMPLIANCE INTRO - Vice President for Research

Wayne L. Mowery, Jr., Esq., ECoP®
University Export Compliance Officer
Empowered Official
Office of Ethics and Compliance
Office of Sponsored Programs
The Pennsylvania State University
190 The 230 Building
University Park, PA 16802-7000
Phone: 814.867.2379
Fax: 814.865.3377
Email: [email protected]
http://www.universityethics.psu.edu/UniversityEthics/Units/ExportControl/index.cfm
3 September 2014
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Sponsored Research
International Travel
Visiting Scientists
Foreign Visitors
Shipping (EHS)
Purchasing
MOOCs
Distance Learning
Human Resources
IT & Computer Security
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Int’l Collaborations
Inventory Management
Physical Plant Issues
Educational Components
of an ECMP
Global Programs
Institutional Oversight
Export Control Reforms
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Foreign Travel
Sponsored Research related
 Other foreign travel
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Foreign Shipments
Physical Shipments
 Data/informational shipments
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Foreign Collaborations
Visiting Scholars
Procurement Issues
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Foreign Travel
Sponsored Research related
 Other foreign travel
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Foreign Shipments
Physical Shipments
 Data/informational shipments
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Foreign Collaborations
Visiting Scholars
Procurement Issues
KEY CONCEPT – ALL FOREIGN TRANSACTIONS
SHOULD BE REVIEWED IN ADVANCE!
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Foreign Travel – Key Concepts
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Foreign Travel in the export world is any non-U.S.
destination
 U.S. Territories or possessions are not foreign travel
 May differ from sponsor (NSF) or ERS determinations of
foreign travel (CONUS – OCONUS)
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Concerns with foreign travel can be based on:
 Destination
 Restricted destinations
 Export trigger destinations
 Foreign laws and restrictions on entry/exit
 People involved
 Equipment, products, information to be taken abroad
 Nature of the work to be performed, if any. (No FRE!)
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Foreign Travel – Sponsored Research Programs
Reviewed as a part of export review of project award
 Use caution to complete information in IAF and/or
Export Control Review Checklists correctly
 All foreign travel destinations, including interim
stops, should be reviewed
 Updates or changes to foreign travel plans during
life-cycle of the sponsored project should be
provided to export staff in OSP.
[email protected]
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Foreign Travel – Non-Sponsored Research
All Foreign Travel is of concern – these are complex
rules and it is best practice to clear in advance
 Certain destinations are prohibited for all travelers
 Certain items or activities are prohibited for U.S.
travelers to some destinations
 Certain items are restricted for entry to some
sovereign countries – e.g. Encryption Technology
 Current/future PSU policies, procedures or
guidelines may restrict travel for faculty, staff or
students unless approved by a cognizant office
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Foreign Travel – Risk Management
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Certain travel restrictions for students
 Undergraduates – Undergraduate Policy R-7
 Graduate Students - Graduate Student Policy on
International travel
 Additional concerns and reviews related to student foreign
travel may be required from Office of Global Programs
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Faculty or staff pre-approval for “Dangerous
Destinations”
 OFAC issues and Insurance coverage concerns
 Requires completion of a form and acceptance of risks by
Unit Representative
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For more information, please visit the Penn State Risk
Management website.
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Increased Focus – Why?
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Increase in travel to more highly controlled locations
Increase of combined travel activities
 Business/personal
 Conference/research/collaborative activities
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Increase in the types of information/technology that
is being taken on foreign travel by
faculty/staff/students
All these increases create a greater risk for
export control violations
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Types of Foreign Travel 
Conference only travel
 Need to screen the hosting institution/group against SDN
Listings (OFAC)
 Need to provide guidance on temporary exports of technology
and technical data (ITAR & EAR)
 Need to provide information on destinations
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Collaboration Travel
 Need to screen the foreign collaborators against SDN Listings
(OFAC)
 Need to provide guidance on temporary exports of technology
and technical data (ITAR & EAR)
 Need to provide information on destinations
 Also may need to evaluate the topic/focus of the collaboration
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Types of Foreign Travel 
Field Work – Research, Studies or Site Work
 Need to screen any foreign collaborators against SDN Listings
(OFAC)
 Need to provide guidance on temporary exports of technology
and technical data (ITAR & EAR)
 Need to consider the nature of the Field Work – is this a
restricted are of research? (EAR/ITAR/NRC/DOE)
 Need to provide information on destinations
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Combined Business/Personal Travel
 Usually ok, but depending on all destinations involved there
may be restrictions on activities/hand-carry items during
personal travel status.
 Greatest concern is when the personal travel is to a highly
controlled or embargoed destination.
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Where do we go from here?
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In Sponsored Research – expect at least a cursory
review of all foreign travel if indicated on the project
budget
Expect increasing and, hopefully, improving
centralized processes to review all foreign travel
prior to travel occurring
Remind faculty that this is not just an administrative
burden, but that we are trying to help them stay out
of trouble. Be aware of loss of export privileges!
QUESTIONS
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Wayne L. Mowery, Jr., Esq., ECoP®
University Export Compliance Officer
Empowered Official
Office of Ethics and Compliance
Office of Sponsored Programs
The Pennsylvania State University
190 The 230 Building
University Park, PA 16802-7000
Phone: 814.867.2379
Fax: 814.865.3377
Email: [email protected]
http://www.universityethics.psu.edu/UniversityEthics/Units/ExportControl/index.cfm
3 September 2014