1. 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: wlmowery@psu.edu http://www.universityethics.psu.edu/UniversityEthics/Units/ExportControl/index.cfm 3 September 2014

2.  Sponsored Research  International Travel  Visiting Scientists  Foreign Visitors  Shipping (EHS)  Purchasing  MOOCs  Distance Learning  Human Resources  IT & Computer Security  Int’l Collaborations  Inventory Management  Physical Plant Issues  Educational Components of an ECMP  Global Programs  Institutional Oversight  Export Control Reforms 2

3.  Foreign Travel  Sponsored Research related  Other foreign travel  Foreign Shipments  Physical Shipments  Data/informational shipments  Foreign Collaborations  Visiting Scholars  Procurement Issues 3

4.  Foreign Travel  Sponsored Research related  Other foreign travel  Foreign Shipments  Physical Shipments  Data/informational shipments  Foreign Collaborations  Visiting Scholars  Procurement Issues KEY CONCEPT – ALL FOREIGN TRANSACTIONS SHOULD BE REVIEWED IN ADVANCE! 4

5.  Foreign Travel – Key Concepts  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)  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!) 5

6.  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. Export-OSP@psu.edu 6

7.  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 7

8.  Foreign Travel – Risk Management  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  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  For more information, please visit the Penn State Risk Management website. 8

9.  Increased Focus – Why?  Increase in travel to more highly controlled locations  Increase of combined travel activities  Business/personal  Conference/research/collaborative activities  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 9

10.  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  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 10

11.  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  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. 11

12.  Where do we go from here?  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 12

13. 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: wlmowery@psu.edu http://www.universityethics.psu.edu/UniversityEthics/Units/ExportControl/index.cfm 3 September 2014