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NAFSA TRI-REGIONAL CONFERENCE
Denver, Colorado November 3-9, 2017 Understanding international programs’ role in ensuring export control compliance Kimberly Connelly, MAT Senior International Officer Office of International Programs, University of Kansas Medical Center Irina Aris, MPA Assistant Director of Inbound Programs
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presenters Kimberly Connelly Senior International Officer 913-588-1480
A life-long professional and ardent advocate of International Education, Kimberly Connelly currently leads the Office of International Programs as the Senior International Officer at the University of Kansas Medical Center managing both the inbound and outbound arms of international education. Ms. Connelly’s mission is to connect people to each other through international educational and cultural experiences. As Senator Fulbright said, “Educational Exchange can turn nations into people, contributing as no other form of communication can to the humanizing of international relations.” Prior to coming to KUMC in 2013, Ms. Connelly served as the Assistant Director of International Student Services and the interim Director at Park University for a stint of eight years. She has over 20 years of teaching and teacher-training experience having earned her Master of Arts degree in TESOL at The School for International Training in Brattleboro, Vermont, which she pursued after teaching on the island of Pohnpei, Federated States of Micronesia for three years. Ms. Connelly taught ESL and Culture and Diversity courses at the university level for years before transitioning into administration. She earned undergraduate degrees in Mass Communication and Political Science, with a minor in French from Regis University, Denver, Colorado. Irina Aris Assistant Director of Inbound Programs Irina Aris has been in the field of international education for over five years. In her role as the Assistant Director of Inbound Programs at the University of Kansas Medical Center’s Office of International Programs, she is designated as a Responsible Officer (RO), Designated School Official (DSO), and Training Program Liaison (TPL). Through these various roles, Ms. Aris strives to provide support and services to KUMC’s international students, scholars, employees, and clinical residents as well as fellows so that they can lawfully pursue their academic and professional goals at KUMC. Ms. Aris has been a member of NAFSA: Association of International Educators since In 2014, she completed the NAFSA Academy Training Program and she is part of Academy Class 11. Prior to joining KUMC, Ms. Aris worked for American Councils for International Education as initially a Recruiter and then a Program Associate for the FLEX high school student exchange program in Moscow, Russia. Aside from her professional experience, Ms. Aris has a Master’s degree in Public Affairs from Indiana University’s School of Public and Environmental Affairs (SPEA) with concentrations in Policy Analysis, Public Finance, and Economic Development.
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Why are you interested in export controls?
Why are you at this presentation? Why are you interested in Export Controls? What questions do you have/hope to answer?
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what are export controls?
Export Controls are the law. US laws that regulate the distribution to foreign persons and foreign countries of strategically important technology, services and information for reasons of foreign policy, national security, and other reasons. Export Control Laws apply to all activities
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what Agencies govern export controls?
There are three principal agencies: U.S. Department of State ITAR-International Traffic and Arms Regulations Govern the export of defense articles, services and ITRA controlled technology U.S. Department of Commerce EAR-Export Administrations Regulations Govern the export of commercial dual-use goods, software and technology U.S. Department of the Treasury OFAC- Office of Foreign Assets Control Enforces country-specific economic and trade sanctions includes restrictions and exports to targeted countries and persons
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DO YOU HAVE AN EXPORT COMPLIANCE OFFICE? OFFICER? ATTORNEY?
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why do we care about export control LAWS?
Why do we care about Export Control Laws? (We are concerned with immigration laws…) Failure to comply may result in serious criminal and civil penalties for both your university and individuals. The Federal government has increased enforcement and investigations of universities since 9/11/2001
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why do we care? On January 18, 2012, John Reece Roth, a former professor of electrical engineering at the University of Tennessee (UT) in Knoxville, began serving a four-year prison sentence for his September 2008 convictions. Roth was convicted after a jury trial in U.S. District Court in Knoxville, of conspiracy, wire fraud, and 15 counts of exporting “defense articles and services” without a license. As a UT professor, Roth obtained an U.S. Air Force (USAF) contract to develop plasma actuators to control the flight of small, subsonic, unmanned, military drone aircraft. During the course of that contract, he allowed two foreign national students to access export controlled data and equipment, and export some of the data from the contract on a trip to China. U.S. Attorney Bill Killian said, “This sentence communicates the importance of export compliance to academia and industry, especially in the research and development communities. It underscores the criminal consequences of non-compliance and what happens to those who knowingly and willfully violate export control laws.
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from larry dodson, director of export compliance
“If your area creates risk, then you own risk. If you own risk, then you have to manage the risk.” - Larry Dodson, director of export compliance
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from larry dodson, director of export compliance
“Export Control is a high risk complex compliance component for research Universities and the analysis requires a standard/consistent process that allows all appropriate stake holders and subject matter experts to evaluate risk and comply with federal laws.” - Larry Dodson, director of export compliance
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EXPORT CONTROL COMPLIANCE HISTORY at kumc
Our process was neither STANDARD NOR CONSISTENT. An evolution: New to the niche of Academic Health Care Institutions – I came to know about Export Controls, Deemed Export Questionnaire and review by our Export Control Officer, as a cog in the wheel for H1B’s processing only. Discovered inconsistencies: J’s, F1’s, etc. in labs for up to 5 years – no export questionnaire and no review.
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note from larry dodson, director of export compliance
“As important as the review process, is the training needed when activity involves foreign nationals so that all participants involved are aware of the information (technology) that cannot be discussed within their areas of responsibility (the process and checklists help with this awareness)….always a challenge for Universities with a mission to share and mentor a new generation.” Larry Dodson, director of export compliance
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EXPORT CONTROL COMPLIANCE- EDUCATION AND PROCESS
What are you doing on your campuses? What are your processes? How are you educating?
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EXPORT CONTROL COMPLIANCE- EDUCATION AND PROCESS
WE EMBARKED ON CREATING PROCESS AND PROVIDING EDUCATION: We include Export and IT security information in our OIP monthly Visa update meetings. We present at departmental meetings, Administrator’s monthly meetings, Dean’s meetings, Senior Leadership meetings, etc. We use information from the questionnaires to perform Visual Compliance. We refer to the Export Compliance Officer for a review If “Deemed Export” is a concern
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EXPORT CONTROL COMPLIANCE- use questionnaires
We created Deemed Export Questionnaires for every inbound international registration and every outbound international educational experience or professional experience registration. Recently included IT signature on the Deemed Export Questionnaire Share monthly lists to the Export Compliance Office and Information Security of all inbound internationals to the university as well as all outbound KUMC faculty, staff and students
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EXPORT CONTROL COMPLIANCE- perform VISUAL COMPLIANCE
We use information from the questionnaires to perform Visual Compliance All inbound and outbound individuals including J-1 Exchange Visitors, F-1 International Students, Visitors, Observers, Clinical Electives Students: OIP advisor reviews deemed export questionnaire Search Visual Compliance database by prospective J-1’s name, place of birth, current residence, and home institution/current employer or outbound institutions/hosts/organizations Send to the Export Compliance Officer for a review If “Deemed Export” is a concern H-1B Employees: Send completed deemed export to Export Compliance Officer for review
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EXPORT CONTROL COMPLIANCE- DOCUMENT THE PROCESS
KEY: Documentation and Information Storage All deemed export questionnaires, reviews, and Visual Compliance checks results are stored with OIP for a minimum of 5 years Documents are stored on an internal network and in paper form
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EXPORT CONTROL COMPLIANCE – RISKS AND NON-COMPLIANCE CONSEQUENCES
The University of Kansas-Lawrence hired a Sudanese national on a J-1 research scholar visa. The position involved work in petroleum. A deemed export compliance review was not conducted. When the university wanted to transition the employee from a J-1 to an H-1B, as part of the H-1B process, a deemed export review was conducted and it was discovered at this point that there were deemed export compliance issues. Sudan is on the U.S. sanctions list and the petroleum industry does controlled technology and research. The university had to self-report the deemed export compliance issues. Even with the recent lifting of sanctions on Sudan, the investigation is still on-going and a decision is pending on the consequences the university and individuals involved will face.
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EXPORT CONTROL COMPLIANCE – RISKS AND NON-COMPLIANCE CONSEQUENCES
The University of Massachusetts at Lowell was charged by the Bureau of Industry and Security (“BIS”) for violating export control laws in connection with the export of an atmospheric testing device and related equipment. Specifically, the University was charged with violations of Sec (a) of the Export Administration Regulations (“EAR”) for exporting items classified as EAR99 to a party on the BIS Entity List[1]. This case reinforces the important point that even universities engaged in fundamental research are required to comply with export control laws. It also reinforces the importance of prohibited party list screening as a mandatory part of export compliance efforts.
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EXPORT CONTROL COMPLIANCE –RISKS AND NON-COMPLIANCE CONSEQUENCES
This case is significant for two reasons. First, the University of Massachusetts was the target of the enforcement action and charged with committing the violation. The second major significance of the case is the increased importance of checking prohibited party lists as an integral part of the export compliance process. In this case, the products exported by the University were classified as EAR99. This denotes the lowest level of export control and normally does not require a license for any destination except the embargoed or prohibited countries. Yet, even when selling EAR99 items, exporting to parties on one of the Government’s prohibited parties lists is a violation unless the requisite license is obtained (and often these are subject to a policy of denial). The U.S. Government has been placing an increasing emphasis on controls and sanctions programs targeting specific individuals and entities rather than country-based or product-based controls, and, hence, list checking has become of particular importance. As a result, it is imperative for exporters to conduct prohibited party screening for each export transaction as a routine part of their export compliance function.
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EXPORT CONTROL COMPLIANCE –new developments and trends
Export Compliance reforms have continued under the new administration Universities are the only non-federal agencies that encounter export control regulations No sympathy for universities in matters of deemed export control violations Export compliance is a matter of national security which leads to a formal investigation, if found culpable, both the institution and individuals involved can face jail time and monetary fines Information on export control compliance will be transferred to a single portal or platform (1 website for information) This will result in stricter implementation Push to make export control compliance to become intrinsically integrated into the culture
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additional resources and information on export control compliance
ECTI: Export Compliance Training Institute ( Offers seminars, webinars, e-seminars, and many other tools and resources Upcoming training seminars:
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EXPORT CONTROL INFORMATION – PRESENTATIONS, QUESTIONNAIRES ETC.
Export Control Information and Deemed Export Control Questionnaires available:
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Questions
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PLEASE EVALUATE THIS PRESENTATION.
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