Screening Procedures

PIs or assigned department personnel must check the classification of the product, software, or technology to be shipped to determine if it requires a license. If the item has not yet been previously classified and reviewed by ECO, the ECO must be contacted. If the product or technology falls under a classification requiring a license, the ECO will determine whether a license exemption or exception is available. If not, OEC will apply for the required license. Export of a licensable product, software, or technology may not take place until the license has been granted. Controlled technical data may not be released until a license is obtained. Foreign nationals may not have access to controlled technical data until a license and Technology Control Plan (“TCP”) is in place. The ECO can provide additional information and assist in technology control planning.

If screening results using Visual Compliance identifies embargoes, sanctions, or other alerts, the ECO must be contacted to conduct an export analysis and seek the appropriate US government authorization.

To ensure that OHIO does not engage with unauthorized parties, personnel must conduct export screening processes to include all entities involved in the transaction against the Denied Persons List (“DPL”), the Entity List, Unverified Parties List, the List of Specially Designated Nationals List (“SDN List”), and the State Department’s list of debarred parties, before OHIO enters into a contract; relationship or effects a transaction with that party. These lists are collectively referred to in this Manual as the “Restricted Parties Lists.” In addition, freight forwarders, vendors, banks and issuers of letters of credit, foreign visitors, and consultants must be screened against the Restricted Parties Lists. If a party’s name is found on one of the Restricted Parties Lists at any point, the ECO must be notified immediately. Any order or further action with respect to that party must be suspended pending the outcome of consultations with the ECO and legal counsel, if required.

The export or re-export of U.S. origin products to unauthorized destinations, or end-uses may trigger licensing requirements (even for EAR99 items). Therefore, all transactions are subject to diversion risk screening. To assist in determining when a transaction may not be authorized or may lead to an illegal diversion, the Department of Commerce has published a list of red flags (Export Administration Regulations, Supplement 3 to Part 732). The screener must check potential customers/transactions against the red flags. While this list is not all-inclusive, these indicators should be used as a guide for identifying suspicious or unusual transactions that warrant further scrutiny before going forward.

The following are red flags:

• The recipient or end user is reluctant to offer information about the end-use of material being transferred.
• The item or material being transferred does not fit the recipient’s end use. For example, shipment of a toxic reagent being sent to a liberal arts department.
• The material being transferred is incompatible with the technical level of the recipient to which the material is being shipped. For example, semiconductor material and prototypes would be of little use if the recipient is involved in sociology.
• The recipient is unknown to OHIO researchers.
• The recipient does not want to document the material or information transfer.
• The recipient is an intermediary (“middle person”) for the end user of the material or information to be transferred.
• Installation, training, or maintenance services are declined by the end user.
• Delivery addresses are not associated with the end user, or deliveries are planned for outof-the way destinations.
• A freight-forwarding firm or post office box is listed as the product’s final destination.
• A requested shipping route is abnormal for the material and destination.
• Packaging requirements are inconsistent with the stated method of shipment or destination.

OHIO personnel will review the terms and conditions and all other pertinent information when planning an export and take note of these or any other abnormal circumstances that indicate the export is intended for an inappropriate end-use, end-user, or destination. If the planned export raises any red flags, the ECO must be notified immediately.

U.S. law prohibits the export and re-export of items or technology if they are destined for certain activities or projects in countries of concern. Proliferation concerns include activities involving nuclear production or technology, missile technology, and chemical and biological weapons.

If there is doubt as to whether proliferation concerns exist, the ECO or ECC should be contacted. If any OHIO employee has any reason to suspect that a recipient is involved in a prohibited end-use, the employee must notify the ECO immediately. No export or re-export to the recipient should occur unless and until the ECO obtains a license or determines that a license is not required.

The anti-boycott rules were implemented to prevent U.S. business from participating directly or indirectly in the Arab League’s boycott of Israel. The laws prevent U.S. persons from doing business under terms that would restrict that person’s ability to do business with other countries under a boycott not recognized by the U.S. The Arab League’s boycott has lessened over the years but remains in effect in some countries. These restrictions are enforced by BIS and OFAC. The applicable regulations can be found within 15 C.F.R. § 760.

Anti-boycott restrictions are most likely to appear in dealings with entities in certain Arab League countries. There are strict reporting requirements even where the U.S. person refuses to participate in a requested boycott action. U.S. law prohibits OHIO from complying with certain foreign boycotts. Prohibited activities include refusing to do business with a boycotted country, responding to boycott questionnaires, and providing negative certificates of origin.

Contracts and Purchasing personnel must screen letters of credit, purchase orders, and all other documentation for boycott language. If a potential boycott request is discovered, the Department should contact the ECO regarding the request, and provide the ECO with a copy of the document(s) in question. No action should be taken on the request until the ECO has reviewed the language in question and a determination is made with assistance from the Office of Legal Affairs. More information on reporting requirements is available from the U.S. Office of Antiboycott Compliance (OAC).

If the planned export was initially screened more than thirty (30) days before it is ready to be shipped, the shipper must ensure the recipient and or end user is re-screened against the SDN list and the Restricted Parties Lists prior to the shipment/release.

Screening of international visitors includes the screening of the foreign institution or company where the international visitor is employed. Screening is needed whenever a written or verbal invitation to visit OHIO is made to an international visitor regardless of whether the international visitor is present or not in the United States.

OHIO is committed to enhancing the global education, research, and creativity of its faculty, staff, and students. As such, OHIO hosts international students and scholars from around the world. OHIO seeks to enhance the opportunities for its community members while complying with U.S. laws and regulations.

In the event that a foreign visitor will be participating in university research, a laboratory course, training or other activity, the PI is responsible for submitting this survey so the ECO can evaluate the compliance risk associated with the visitor’s participation. The questions to be answered are:

1. Faculty Sponsor’s Name
2. Faculty Sponsor’s E-mail Address
3. What is the Visitor’s Name?
4. List the current country of citizenship or permanent residency (whichever was obtained
   most recently)
5. Other past and current countries of citizenship or permanent residency
6. Institution/Company the visitor is associated with
7. Dates of visit
8. What is the purpose of the visit?
9. What source (government agency, institute, organization, etc.) is providing the funding for the beneficiary’s visit?
10. While at OHIO, what locations will the visitor be accessing?
11. Will the visitor participate in research? If yes, please provide scope of work, need for access, and location where research will be performed.
12. Do you have a current Technology Control Plan (TCP) in place with ORSP?
13. Does your research have any publication restrictions, restrictions on hiring of foreign nationals, or confidentiality requirements?
14. Is any of your research funded by the Department of Defense or one of its offices, NASA, DOE, or the defense industry?
15. If you answered yes to one or more of the last four questions, please explain each answer.
16. Please list/describe the equipment that the beneficiary will have access to as a part of the visit.
17. I attest that, to the best of my knowledge and ability, I have truthfully answered all of the above questions, and I have full knowledge of the scope of the activity of the visitor while at Ohio University.

The results of the questions outlined above will directly impact the screening process and an export license may be required before the foreign national can participate in the exportcontrolled activity. Therefore, to assist in answering the above questions and effectively evaluate the associated compliance risk, it is required that the OHIO personnel hosting the foreign national complete the International Visitor Pre-Screening Form.

Additionally, screening will occur when OHIO needs to sponsor a foreign national for immigration purposes (H-1B, J-1, B-1/B-2, O visa, nonimmigrant visa status, etc.). The Office of Legal Affairs is responsible for H-1B and O screening while the Office of Global Opportunities handles all other visa requirements.