Scenarios

Example Scenarios

The issue: A European post doc working in the lab of a Penn faculty member has support from the 1000 Talents Recruitment program from an institution in China

The action: Contact the export control office to determine if the organization is on the restricted party list.

If not:

• PI must immediately disclose the support to the NIH/NSF
• PI must disclose the support on any DoD proposals
• Current or future funding from DoE could be at risk

If so:

• ORS will determine if licenses are required to carry out the research
• School will assess whether research on sensitive topics in the labs must be restricted or require additional licensing
• PI must immediately disclose the support to the NIH/NSF
• PI must disclose the support on any DoD proposals
• Current or future funding from DoE could be at risk
• Potential scrutiny by FBI

The issue: A faculty member plans to attend a conference in Iran

The action: Contact the export control office well ahead of time so that the appropriate license can be obtained (licensing can take several months and a license is even required when giving a virtual presentation).

Travel with a ‘clean’ computer to  in order to avoid unintended export control violations.

Do not access sensitive information on campus networks remotely while traveling.

If the faculty member attends the conference without the appropriate licenses contact the Export Control Office.

This is a violation of U.S. export control laws, even if the information presented at the conference is already published or the area is not a sensitive technology, and even if the faculty member is traveling on a non-U.S. passport.

The issue: A for profit company from a sensitive country expresses interest in sponsoring research or research related activities or giving a gift to the University.

The action: Contact ORS who will determine if the company is on the Department of Commerce Entity List, has been found to be in violation of US sanctions or is a subsidiary of a company on the List or in violation.

VPR will consult with other Penn offices if the proposed activity poses large institutional risk, including reputational risk.

The issue:  A foreign post doc comes to Penn to work with a faculty member.

The action:  If the topical content includes sensitive technology, ensure screening occurs to determine if the institution that the student/post doc was previously affiliated with is on the restricted party list or will be funded by a restricted entity while at Penn.

The issue:  A foreign institution wants to establish a relationship on the basis of an academic MOU.

The action:

• Contact Penn Global Support Services for assistance including agreement review and restricted party/institution screening
• Route agreements through Penn’s Research Inventory System (RIS) if this is a research agreement
• Deans have signatory authority for academic MOUs;
• ORS/PCI/OCR are signatories to research related agreements

If the partner is on the restricted party list and the topical content is related to sensitive technology, export control office will  assess whether visitor access to  export controlled  information/equipment/software requires licensing or must be restricted.

If the latter, develop security measures to ensure compliance.

The issue: I am a Principal Investigator on an NIH grant and have an appointment and a lab at a foreign university. The research being done at the foreign lab is unrelated to my NIH project.

The action: Since resources are made available to you in support of your research, this must be reported as Other Support,  however, this would not qualify as a foreign component of the NIH research, as the foreign work is not part of the NIH-funded project.

The issue: I am a Principal Investigator on a federal award to a domestic university and have an unpaid appointment at a foreign university. At the foreign site I have access to lab space, research materials, and staff.

The action: This appointment must be reported as Other Support. While monetary compensation is not received, the lab space, materials, and staff are resources provided in support of and/or related to the research efforts and must be disclosed. Other payments, such as travel or living expenses must also be reported. NIH, NSF, and DoD require applicants to list all positions and scientific appointments, both domestic and foreign, that are held by senior/key personnel that are relevant to an application.  This includes affiliations with foreign entities or governments, such as titled academic, professional, or institutional appointments, whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary).

The issue: A faculty member has a 9-month appointment. S/he spends two months at a University outside of the United States during the summer conducting research under a foreign award.

The action: This should be disclosed to Penn through the extramural activity disclosure process.  It should also be reported as Other Support.  Available resources in support of and/or related to an investigator’s research endeavors should be disclosed, even if they relate to work that is performed outside of a researcher’s appointment period.