-------- Original Message -------- Subject: Treasury Department Is Warning Publishers of the Perils of Criminal Editing of the Enemy Date: Sat, 28 Feb 2004 07:49:36 -0500 From: Chuck Mauthe <cmauthe@private> To: 'Politech' <declan@private> http://www.nytimes.com/2004/02/28/national/28PUBL.html?th=&pagewanted=print& position= February 28, 2004 Treasury Department Is Warning Publishers of the Perils of Criminal Editing of the Enemy By ADAM LIPTAK Writers often grumble about the criminal things editors do to their prose. The federal government has recently weighed in on the same issue — literally. It has warned publishers they may face grave legal consequences for editing manuscripts from Iran and other disfavored nations, on the ground that such tinkering amounts to trading with the enemy. Anyone who publishes material from a country under a trade embargo is forbidden to reorder paragraphs or sentences, correct syntax or grammar, or replace "inappropriate words," according to several advisory letters from the Treasury Department in recent months. [...] --- Subject: [Fwd: Gov't Enforced Rules Harm IEEE Editing Practices] Date: Mon, 01 Mar 2004 02:47:23 -0800 From: Robert Schlesinger <mathtech@private> To: Declan McCullagh <Declan@private> Dear Declan, This may interest you and your readers. Besr regards, Robert Schlesinger --- Date: Mon, 01 Mar 2004 02:29:09 -0800 From: Robert Schlesinger <mathtech@private> To: Econophysics Research Group <mathtech@private> Subject: Gov't Enforced Rules Harm IEEE Editing Practices Dear Friends, Attached find a set of recent articles from the IEEE, regarding a frightening form of scholarly censorship enforced by the U.S. government, that should concern us all. I have served as an editor of a couple of scholarly periodicals, and have served as a referee to some scholarly periodicals. Many outsiders don't realize how much pure and applied science originates from Iran. One prominent mathematics periodical that I refereed for, FUZZY SETS AND SYSTEMS, was founded by Iranian mathematician/electrical engineer Lofti Zadeh, now of UCB and the discoverer of fuzzy mathematics. Many of the submissions for FSS, supra, were from foreign mathematicians and their manuscripts required editing prior to publication in English. As I recall, a couple of years ago, a winner of the International Physics Olympiads was an Iranian student, and this wasn't their first time winning. Well, this government rule is petty and short-sighted, and only promotes ill will between two countries that should be mending their fences rather than further isolating themselves. Best regards, Robert Schlesinger Will U.S. Sanctions Have Chilling Effect on Scholarly Publishing? By Jean Kumagai Treasury Department ruling puts IEEE on the spot, but could affect other groups, too 15 October 2003—On 30 September, the U.S. Treasury Department (Washington, D.C.) informed the Institute of Electrical and Electronics Engineers (IEEE) that it must continue to limit members’ rights in four countries embargoed by the United States: Cuba, Iran, Libya, and Sudan. The ruling means, among other things, that the IEEE, the world’s largest engineering association (and the publisher of this magazine), cannot edit articles submitted by authors in those countries, making it effectively impossible for most such work to appear in IEEE publications. If IEEE wishes to edit and publish the work, the Treasury Department informed IEEE, it will need to apply for a special license. That ruling could in turn have far-reaching consequences for hundreds of other U.S.-based scholarly publishers and professional organizations. For nearly two years, IEEE has been negotiating with the Treasury Department’s Office of Foreign Assets Control (OFAC), a powerful division charged with enforcing U.S. sanctions on embargoed countries. The trouble began in summer 2001, when a bank flagged an attempted transaction between IEEE and an institution in Iran; this prompted IEEE to investigate the OFAC regulations. When it determined that members in Iran and other embargoed countries were indeed subject to sanctions, the organization’s leadership decided it had no choice but to comply—feeling, indeed, that failure to comply would be unethical. But that course of action has exposed IEEE to protests from IEEE members concerned about fairness and free speech, the indignation of members in sanctioned countries, and adverse press coverage. In an open letter published in the October issue of IEEE Spectrum, IEEE President Michael S. Adler addressed those concerns [see "On Serving Members in Embargoed Countries," p. 7]. Now, referring to the OFAC ruling of 30 September, Adler says he’s encouraged because it opens the door for IEEE to obtain licenses to be exempted from the normal rules. In the meantime, however, IEEE members in the four affected countries are prohibited from being elevated to a higher-grade membership; using IEEE e-mail alias and Web accounts; accessing online job listings; and conducting conferences under the IEEE name [see "Services in Dispute," p. 15]. They still receive printed journals and other publications. In January 2002, when the IEEE first imposed its restrictions, it had over 1700 members in the embargoed countries, nearly all of them in Iran; only about 200 are still members. IEEE has about 380 000 members worldwide. "Everyone at IEEE, top to bottom, is unhappy about the situation," says Adler. "We’ll do whatever it takes, for as long as it takes, to get these issues resolved." IEEE’s situation Although the IEEE is drawing heat for observing the sanctions, in fact the rules would apply to any professional society having exchanges with embargoed countries. An informal survey of a half-dozen other science and engineering organizations found wide variation in their compliance, and familiarity, with the sanctions. For example, one group refused to send any publications to embargoed countries but did allow researchers living there to publish in its journals. Another group said it placed no restrictions on members living in embargoed countries, but its online membership form did not allow Libya or Cuba to be selected as one’s country of residence. "OFAC’s authority is extraordinary, because it is grounded in presidential authority and national security…they’ve got remarkably broad discretion." — Wynn H. Segall At the moment, though, IEEE is having to negotiate a tricky course with the Treasury Department, and it finds itself dealing with a formidable interlocutor. Created during the Korean War to freeze Chinese and North Korean assets, OFAC now has an annual budget of US $22 million and a staff of about 130. Sanctions imposed by OFAC are extremely broad and can be difficult to interpret, according toWynn H. Segall, a partner with Akin Gump Strauss Hauer & Feld LLP (Washington, D.C.) and an expert on international trade. In general, exports of "goods, technology, and services" to embargoed countries are severely restricted, although the particulars differ from country to country. "There is a complete and universal ban on engaging in any kind of activity with an embargoed party or country, unless some exception has been provided," Segall says. OFAC issues exemptions in the form of a license, on a case-by-case basis; presidential or legislative actions can also create exemptions. For example, the so-called Berman Amendment of 1994 provided for the export of "information and informational material," which is why the IEEE can still send journals to Iran and other embargoed countries. Running afoul of the sanctions can bring fines of up to $10 million and even prison terms. "If you get it wrong, even if you think you acted in good faith, you can be found liable," Segall says. OFAC can and does penalize not just organizations but individuals within those organizations, and private citizens. "OFAC’s authority is extraordinary, because it is grounded in presidential authority and national security," Segall says. "Compared to other police agencies in the federal government, they’ve got remarkably broad discretion and authority." Although some of the sanctions, like those against Cuba, are long-standing, concerns about national security after 9/11 raised their profile anew. "The USA Patriot Act and subsequent regulations placed a greater burden for compliance on the private sector," Segall says. Where the trouble began Ironically, IEEE became aware of OFAC just before 9/11. IEEE staff were first alerted when the organization tried to pay for expenses related to the International Symposium on Telecommunications, a meeting that IEEE cosponsored in Tehran in the summer of 2001. "Our bank notified us—‘Do you realize this isn’t allowed?’—and we started looking at the regulations carefully," Adler recalls. IEEE rejected a court challenge as too time-consuming and costly, according to Adler. Members affected by the new restrictions were informed of them in a letter sent in early 2002. At the same time, the editors in chief of IEEE’s technical journals were told that manuscripts having at least one author from an embargoed country could no longer be edited; if reviewers deemed a manuscript publishable in its original form, though, it could be formatted before appearing in print. "We’ve been working with OFAC to better understand what services we can still provide," Adler says. "But [OFAC] drew the line very explicitly on editing." In his letter to IEEE, OFAC director R. Richard Newcomb stated that "U.S. persons may not provide the Iranian author substantive or artistic alterations or enhancement of the manuscript, and IEEE may not facilitate the provision of such alterations or enhancements." Such enhancements include "reordering of paragraphs or sentences, correction of syntax or grammar, and replacement of inappropriate words." Not surprisingly, journal editors have been "nearly unanimously opposed" to the new rules, says Douglas Verret, editor in chief of IEEE Transactions on Electron Devices. "It’s a serious damper on intellectual enterprise," says Verret. "And it doesn’t achieve the purpose for which it’s intended—to make the U.S. more secure against terrorism. Logically, it should be the other way around. We should publish everything they know, and not publish what we know." Nevertheless, says Verret, he has complied with the rules. His journal carried two papers by Iranian researchers this year, only because "the manuscripts came in in pretty good shape." IEEE members, particularly those in or from Iran, also expressed outrage. A petition circulated by a U.S.-based alumni group called the Sharif University of Technology Association garnered over 1200 signatures. Noting that a large number of the Sharif association also are members, senior members, and fellows of the IEEE and hold key positions in industry and academia, the petition complained that IEEE’s actions were "in direct violation of its code of ethics, vision, mission, and constitution." "From the Iranian point of view, the notion of being a restricted member flies in the face of their pride in being an IEEE member," says one person familiar with the controversy. "Membership is a symbol of status. And then suddenly they’re told they’re no longer part of the IEEE family. I can sympathize." The fundamental question, says Verret, is how the IEEE can remain an international organization when it has to exclude or single out for special treatment certain nationalities. "Will we be forced to relocate overseas? Become a U.S.-only organization? It could force major changes in the charter of IEEE," he says. What’s ahead for IEEE, others? In September 2002, IEEE leaders met with OFAC representatives to lay out how the sanctions were affecting its services to members. Three months later, IEEE sent a request seeking guidance from OFAC as to whether or not its publishing activities complied with existing sanctions. The recent ruling responds in part to that request, and it suggested that IEEE apply for a license to exempt manuscript editing. At press time, IEEE had just submitted its application but had not yet received a verdict. The fact that OFAC took 10 months to respond is not surprising, says attorney Segall. "When you ask them for interpretative guidance, that often raises fundamental questions of policy that fall beyond OFAC’s mandate. As a practical matter, when the sanctions regulations are ambiguous, it is generally better to apply for a specific license. Then they can just say yes or no or ssue a ‘no action’ letter, indicating that the activity in question fits into an existing exemption." If IEEE does get the nod from OFAC that manuscript editing is permitted, it won’t necessarily mean that other organizations are free to do the same, Segall added. One of his firm’s clients, whom he declined to name, was told by OFAC that academic institutions in Iran were allowed Internet access to publicly available scientific databases under certain circumstances. But, he warns, such rulings carry no "precedential authority"—they are specific to an organization and a particular set of facts. "Those who proceed on the basis of their own interpretation of the rules, without OFAC guidance, do so at their own risk," Segall says. In other words, other U.S. scholarly organizations that plan to publish papers by researchers in Iran, Cuba, and the like will need to seek their own OFAC exemption. Services in Dispute Access to editorial services related to publishing in journals Access to Web and e-mail alias accounts, online job listings Discounts on meeting registration fees Eligibility for awards and elevation of membership Use of IEEE logo and name to promote meetings and other activities http://www.spectrum.ieee.org/WEBONLY/wonews/oct03/1003ofac.html ********************************* IEEE Posts Policy for Handling of Manuscripts from Authors in Embargoed Countries Recently, some articles on OFAC restrictions on publishing have contained inaccuracies about IEEE’s publishing policy. Here is IEEE’s policy for handling of manuscripts from authors in embargoed countries. This policy is based on the ruling IEEE received from OFAC on 30 Sept 2003. The following activities MAY be done: Authors residing in Iran may submit their manuscripts to the IEEE. IEEE may send manuscripts written by authors residing in Iran to our member volunteers for peer review and comments or questions (no matter where they are located). IEEE editors may collect the peer reviewer comments and communicate those comments or questions on those manuscripts to authors residing in Iran. IEEE is free to publish such papers, once they pass peer-review, but no editing may been done on these papers. (Editors may consider adding a footnote to those papers noting that they were not edited.) Until further notice, the following is still NOT allowed: IEEE reviewers and IEEE editors (both volunteer and staff) may NOT do any editing or otherwise revise manuscripts written by authors residing in Iran. Editing of manuscripts submitted by persons in Iran or another embargoed country includes activities such as the reordering of paragraph or sentences, correction of syntax, grammar and the replacement of inappropriate words prior to publication. OFAC says this is prohibited unless specifically licensed. IEEE has provided additional information and requested that OFAC reconsider this ruling and declare our copy and style editing exempt. We have also requested a license if the activity is not ruled exempt. In working with these papers it is important to note that it doesn't matter where the reviewers or editors are located when applying these rules. OFAC says that since they are acting on behalf of an entity located in the US, they are all subject to OFAC restrictions. IEEE continues to work to remove the remaining restrictions on our scholarly publishing process. ********************** Another set of articles from the IEEE web site: IEEE & OFAC - Information Update Here is information on the IEEE compliance with the regulations of the United States Department of the Treasury’s Office of Foreign Assets Control (OFAC). In January 2002, IEEE informed members residing in Cuba, Iran, Libya and Sudan -- countries sanctioned by OFAC -- that, because of OFAC regulations, those members would not be able to take advantage of member benefits and services except for print subscriptions to IEEE publications. Certain aspects of editing of papers and manuscripts submitted to IEEE publicatins (please see Q&A below) also were affected by these regulations. After many months of discussions and providing information to OFAC, on 30 Sept. 2003, OFAC informed IEEE that some of the activities are entirely "exempt" from the Iranian embargo rules. On 6 Oct. 2003, IEEE applied to OFAC for a license to resume the normal paper submission process, which allows anyone an opportunity to submit articles to IEEE publications and have those papers go through the normal editing process. As of Dec. 22, IEEE has not yet received a ruling on its license request. IEEE Posts Policy for Handling of Manuscripts from Authors in Embargoed Countries Recently, some articles on OFAC restrictions on publishing have contained inaccuracies about IEEE’s publishing policy. Here is IEEE’s policy for handling of manuscripts from authors in embargoed countries. This policy is based on the ruling IEEE received from OFAC on 30 Sept 2003. (more) News Update: OFAC Licensing Chief Addresses IEEE Summit of Scholarly Publishers Washington, D.C., 11 Feb – In a meeting initiated by the IEEE, scholarly publishing leaders discussed critical issues about restrictions on articles submitted by authors in embargoed countries with a representative from the U.S. Department of Treasury’s Office of Foreign Assets Control. The meeting was held on Monday, 9 February in Washington D.C. (more) Members' Petition on OFAC Prompts Response from President Winston 3 Feb. 2004 -- Members of the IEEE Control System Society initiated a petition in December 2003 in reaction to the IEEE Board of Directors' response to the OFAC regulations. The email summarized the motivation for the group's actions as being that "many IEEE members are deeply concerned about preserving the international nature of the IEEE." The IEEE Board members also are deeply concerned with the impact of the OFAC regulations on its members and the engineering and scientific community at large. Here is a PDF copy of the response sent to the originator of the petition by 2004 IEEE President Arthur Winston. IEEE to Hold OFAC Regulations Summit 23 Dec. 2003 -- IEEE is taking a leading role to help other scholarly publishers understand its experience with OFAC regulations at a special summit of scientific, technical and medical publishing organizations that will be held on 9 February in Washington, D. C. IEEE also hopes this event will help determine if there is a natural coalition of such organizations that could collectively address with the U.S. government the impact of the restrictions on the scientific community in the United States and abroad. This meeting is by invitation only. In the News 15 Oct. 2003 -- IEEE Spectrum Magazine Reports: Will U.S. Sanctions Have a Chilling Effect on Scholarly Publishing? 3 Oct. 2003 -- OFAC Rules IEEE Needs License for Editing Papers from Authors in Embargoed Countries 1 Oct. 2003 -- Letter from 2003 IEEE Pres. Mike Adler in IEEE Spectrum Magazine 1 May 2002 -- 2002 Pres. Findlay Responds to Member Inquiries about OFAC in The Institute Some recent questions and answers: --What is the purpose of the OFAC license for editing? --How did "editing" qualify as a "service" under the OFAC restrictions? --Why isn't providing Iranian members with print subscriptions considered a service if providing them electronic access is? --Why is the OFAC ruling on 30 Sept. such a big step forward in resolving the difficult issues imposed by the OFAC regulations? Q: What is the purpose of the OFAC license for editing? A: To understand the license being sought by IEEE, it is first necessary to understand that IEEE has just persuaded the Office of Foreign Assets Control (OFAC) that most of IEEE's editorial process for submission and processing of manuscripts is actually "exempt" from any regulation by OFAC under its embargo rules and thus does not require any license whatsoever. In its September 30 letter to IEEE, OFAC confirmed that all of the following activities are entirely "exempt" from the Iranian embargo rules, exactly as IEEE has argued for several months: authors residing in Iran are free to submit their manuscripts to the IEEE; IEEE is free to send Iranian-origin manuscripts to our member volunteers for peer review and comments or questions; our IEEE member volunteers, as peer reviewers, are free to communicate their comments or questions on those manuscripts directly to authors residing in Iran; IEEE is free to facilitate this dialog between peer reviewers and authors residing in Iran, as long as these communications are not of the type prohibited by OFAC; and IEEE is free to publish such Iranian-origin papers (including any author-incorporated comments from the peer reviewers), as long as IEEE does not itself edit or revise the manuscripts for the authors residing in Iran or direct their editing or revision. In light of these OFAC rulings, IEEE is applying for a license solely to deal with the editing and revision of submitted manuscripts from authors who reside in Iran (and, presumably, in other embargoed countries), which OFAC still deems a "service" to such persons. The editing and revision process is a vital step in peer reviewed journals, and IEEE wants to handle manuscripts submitted from authors residing in Iran (or any other embargoed countries) in exactly the same manner that it treats manuscripts from authors in any other jurisdictions. For that reason -- that is, to ensure uniform and non-discriminatory treatment of all authors -- IEEE is seeking OFAC permission to edit and revise manuscripts from such authors in exactly the same way it would treat papers received from authors in any other countries. IEEE is seeking a kind of license that would grant a blanket permission to handle specific situations in a generic way, and, if such a license is granted to IEEE, IEEE expects there will NOT be any individual specific notice to or permission from OFAC (which is in the Treasury Department) before any particular article is to be accepted and published. As noted above in the activities that OFAC has declared "exempt," OFAC has ruled that it has no legal power to bar the submission of manuscripts to IEEE from authors residing in Iran or to block their publication by IEEE. Q: How did "editing" qualify as a service under the OFAC restrictions? A: This position comes from repeated statements by OFAC in its discussions with IEEE, and it has just been reiterated by OFAC in its September 30 ruling sent to IEEE. However, IEEE has argued AGAINST this position very strenuously for more than a year and, at present, is still discussing that aspect of the ruling with OFAC staff. Why isn't providing Iranian members with print subscriptions considered a service if providing them electronic access is? Q: Why isn't providing Iranian members with print subscriptions considered a service if providing them electronic access is? A: To understand "electronic access" within the IEEE information technology system, one has to understand that, at present, IEEE members receive ALL services available on-line from IEEE by means of a "web account." IEEE has no means to separate out "publications services" from all the other services offered through a member's web account, such as discounts on conference fees, job search services, and support for organizing conferences. The OFAC rules bar U.S. persons from providing "services" to persons residing in Iran, but they do not bar providing publications, either in print or electronically. In fact, the OFAC rules make clear that "publications" are a form of "information" and, as such, are "exempt" from regulation by OFAC under its embargo rules. To illustrate this point, IEEE sends CDs and DVDs of its publications to persons residing in Iran, just as it sends printed materials topersons residing in Iran. Thus, it is not electronic access to or provision of publications per se that is the heart of IEEE's difficulty here. As IEEE's IT system is currently configured, to offer electronic accessto publications to persons residing in Iran through a web account, IEEE would then also be offering all its other services -- which are NOT "exempt" from the OFAC rules because they are not just forms of information -- to those same persons in Iran, and doing so could violate U.S. law. To prevent that broader potential violation of law, IEEE has taken an interim step to suspend all IEEE web accounts for members residing in Iran. However, IEEE does not believe this is a satisfactory situation for its Iranian members, and so IEEE is exploring ways to alter its IT system to enable persons residing in Iran to have special, more limited web accounts that would enable them full access to IEEE publications but that would not be able to access IEEE's other non-exempt services. In the meantime, because IEEE can and does provide printed, CD and DVD access to all of the same material, IEEE believes that no member in Iran is being denied access as such to that information. If and when IEEE's IT system can be so modified, then members in Iran will also have restored full electronic access to these materials as well as access through printed, CD and DVD formats which we continue to provide. Q: Why is the OFAC ruling on 30 Sept. such a big step forward in resolving the difficult issues imposed by the OFAC regulations? A: As noted above, IEEE has just secured a formal, written confirmation from OFAC that the vast bulk of its procedures for handling manuscripts from authors in Iran is actually totally "exempt" from federal regulation by OFAC. That is a position that has never been officially acknowledged before and that has no legal precedent, to IEEE's knowledge, and it is a position that will benefit IEEE and its entire membership, including its members in Iran and possibly in other embargoed countries. (Other scholarly organizations in the United States who may be similarly situated.) Moreover, the September 30 ruling OFAC requires only that editing and revision activities be subject to OFAC licensing and also indicates an explicit willingness to grant a license to cover such activities. If IEEE obtains a license for the editing and revising process that is prohibited by OFAC, then IEEE will have secured a result that would mean non-discriminatory treatment of all authors, world-wide, without regard to OFAC's national embargo rules. For these reasons, Michael Adler (not "Alder"), IEEE's 2003 president, believes the September 30 ruling is both a significant achievement in its own right and a good sign that the few remaining issues can be resolved promptly with OFAC in a manner that will be entirely consistent with IEEE's long tradition of open, unfettered international scholarly exchange. IEEE News Briefs on OFAC OFAC Rules IEEE Needs License for Editing Papers from Authors in Embargoed Countries 3 Oct 2003 -- The IEEE has learned from OFAC this week that some of IEEE’s activities relating to publishing papers from authors residing in Iran are allowed under current regulations, including submitting papers for review. However OFAC has confirmed that other elements of the editing process are prohibited and would require a license. OFAC has asked IEEE to submit additional information to support its request for a license. OFAC also indicated it will expedite our license request. IEEE has immediately responded to the license request, and will resume the editing process for all papers in question at the moment the license is granted. In the meantime, the IEEE is continuing to pursue resolution of several other issues resulting from the OFAC regulations. “We are encouraged by this decision,” says Michael S. Adler, IEEE President. “IEEE has always been committed to preserving the rights of its members and of the scientific and technical community worldwide to engage in open scholarly research and communications. This (OFAC ruling) is a big step forward in resolving the difficult issues imposed by the OFAC regulations.” In its October issue, IEEE Spectrum has published an open letter to Members from President Adler to explain IEEE’s position and actions regarding the U.S. Treasury’s restrictions on serving members in embargoed countries. This letter is also available online at www.ieee.org/openletter. Read the communication from OFAC.
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