May 4: General Conference

International Shipping and Logistics
University Suite

Terrence Rusch, Cornell University
Jen McCaw, Oregon Health & Science University

International Travel: Responding to JCORE Recommendations
William Penn I

Kelly Hochstetler, University of Virginia
Laura Provencher, University of Arizona
Scot Allen, Colorado School of Mines

Risks in Healthcare Research: Applying Export Controls to Medical Centers
William Penn II

Heather Little, St. Jude Children’s Research Hospital
Kate Stoan, University of Missouri

Helpful EC Resources for Medical Centers

Breakfast Roundtable with the Board: Learn More about Volunteering with AUECO
Chestnut

Marci Copeland, Chair
Susan Gasparro, Membership Chair
Josef Mejido, Secretary
Sarah Schlagter, Outreach Chair

Emerging and Foundational Technology Controls
8:15AM–9:45AM; Ben Ballroom 1–3

Tongele N. Tongele, US Department of Commerce, Bureau Of Industry and Security

There is significant interest in export controls of emerging and foundational technologies.  There are those that believe we should control more, unilaterally, and faster. There are those that believe we should take a hands-off approach, or else we risk all innovation. This talk is about outlining BIS’s approach to these technologies. First, the approach prior to enactment of the Export Control Reform Act of 2018 (ECRA). Second, what BIS has done and is doing since enactment of ECRA.  Third, ways in which emerging technology developers and stakeholders, including universities, and other partners can work with BIS collaboratively to advance our shared national security priorities, while also advancing U.S. technological leadership.

Emerging and Foundational Tech

The End of the China Initiative: Has Anything Really Changed?
10:00AM–11:30AM; Ben Ballroom 1–3

Frank Wu, Queens College
Jason Arterburn, Center for Advanced Defense Studies
Harvey Rishikof, University of Maryland
Robert Hardy, Council on Government Relations

Jason Arterburn, Program Director at the Center for Advanced Defense Studies (C4ADS), Harvey Rishikof, Director of Policy and Cyber Security Research at the University of Maryland, and Frank H. Wu, President, Queens College CUNY, will discuss varying perspectives on institutional relationships with China and Chinese collaborators, followed by a Q&A segment moderated by Robert Hardy, Council on Government Relations (COGR).

President Wu Presentation
C4ADS Presentation

BIS Cyber Rule and Encryption Regulations
10:00AM–11:30AM; Ben Ballroom 4–5

Anita Zinzuvadia, US Department of Commerce, Bureau Of Industry and Security
Darlene Pennington-Johnson, University of Michigan

This session reviews the recently published cyber tools rule and related controls in encryption.

Encryption and Cyber

Read Thea Kendler's Keynote Address

Thea D. Rozman Kendler was sworn in as the Assistant Secretary of Commerce for Export Administration at the Bureau of Industry and Security (BIS), following unanimous confirmation by the United States Senate.  In this role, Ms. Kendler leads Export Administration’s highly trained technical professionals in controlling the export of dual-use and military items for national security and foreign policy reasons, analyzing the impact of export controls, and supporting the U.S. defense industrial base.  Among other responsibilities, Ms. Kendler chairs the Advisory Committee on Export Policy (ACEP), which resolves interagency policy disputes related to export license applications submitted to BIS.  To advance U.S. national security and foreign policy interests, Ms. Kendler regularly engages with Congress, industry, academia, and other stakeholders on the nature and scope of BIS’s activities and the Export Administration Regulations (EAR).

Ms. Kendler joined BIS as an experienced export controls, sanctions, and national security attorney.  Before joining the Biden-Harris Administration, she was a prosecutor in the Department of Justice’s National Security Division, handling complex investigations and prosecutions affecting U.S. national security and strategic trade controls.  From 2004-2014, Ms. Kendler served in BIS’s counsel’s office, where she provided legal advice to BIS’s Export Administration and Export Enforcement branches, including during the initial years of Export Control Reform.  Before joining the federal government, Ms. Kendler practiced in the international trade group of a global law firm.

Ms. Kendler received her law degree from the University of Pennsylvania.  While in law school, she received a Foreign Language and Area Studies (FLAS) grant from the U.S. Department of Education to further her Chinese language study.  Ms. Kendler earned her undergraduate degree from Princeton University, with a concentration in the School of Public and International Affairs and certificates in East Asian Studies and Chinese Culture.  She has studied Chinese, Japanese, and Russian, and lived in Japan as a teenager.

Ms. Kendler’s public service is inspired by gratitude to the United States for enabling her family’s immigration as post-World War II refugees.  Originally from New Jersey, Ms. Kendler now lives in Maryland.

Russia-related Sanctions and Export Control Restrictions
1:15PM–2:30PM; Ben Ballroom 1–3

Alexander Lopes, US Department of Commerce, Bureau Of Industry and Security
Kevin Wolf, Akin Gump Strauss & Feld

This session will address sanctions and export controls restrictions resulting from Russian Aggression in Ukraine.

BIS Russia-Belarus Export Sanctions

Effects of Foreign National Reporting Requirements on the Spirit of Fundamental Research
1:15PM–2:30PM; Ben Ballroom 4–5

Janet Johnston, Massachusetts Institute of Technology
Gregory Moffatt, Massachusetts Institute of Technology
Matthew Fucci, Massachusetts Institute of Technology
Steve Eisner, Stanford University
Jules Blyth, Brown University

When US Government agencies require a university to report foreign nationals that are assigned to sponsored research does this automatically negate the fundamental research status of the work? What contingencies might universities plan for if a sponsor rejects a potential participant? What considerations are important for equity purposes and US anti-discrimination regulations?
In this interactive panel we’ll discuss:

• What strategies may be used to avoid international researchers feeling singled out by extra personally identifiable information required to be supplied?
• How successful and what are the pitfalls of carving out a fundamental Research portion of and otherwise export controlled project?
• What about collaborations in which one or more parties declare their results/discussions off limits to certain nationalities on export control or national security grounds?

We will solicit ideas and best practices from the attendees on approaches universities have tried in dealing with Federal, or Federal flow-down, restrictions and extra reporting requirements on fundamental sponsored research.

Spirit of Fundamental Research

Considerations for Effective International Visitor Reviews

2:45PM–3:45PM; Ben Ballroom 1–3

Marsha Pesch, University of Florida
Allen DiPalma, University of Pittsburgh
Aaron Melville, Pacific Northwest National Laboratory

This session will discuss the importance of having an effective international visitor review process.  Speakers from three institutions with varying research portfolios, policies and approaches to risk will cover their institutions’ processes and risk considerations.  The JCORE Research Security Recommendation #20 “Managing Potential Risks Associated with Foreign Visitors and Visiting Scholars” will be used as a guiding principle for this discussion.

Effective International Visitor Review

ITAR Compliance: Using a Compliance Risk Matrix to Assess Risks and Enhance Compliance Programs

2:45PM–3:45PM; Ben Ballroom 4–5 

Jessa Albertson, Stanford University
Michelle Avallone, Columbia University
Jeffrey Trettin, US Department of State, DDTC

A compliance risk matrix is a valuable tool that universities can use to assess their regulatory risks and enhance their compliance programs. The Department of State’s Directorate of Defense Trade Controls (“DDTC”) has expressed interest in creating a compliance risk matrix as part of its long-term goal to improve compliance guidelines for universities. In this session, DDTC will discuss ITAR challenges for universities and key elements of an ITAR compliance program.  This discussion will be followed by a brief introduction to the Defense Trade Advisory Group’s ITAR Compliance Risk Matrix, using real-life examples to illustrate how the risk matrix can be used to identify and mitigate ITAR compliance risks at universities and enhance existing compliance programs.

ITAR Compliance - DDTC
ITAR Compliance - University

How to Become a Cleared Facility

2:45PM–3:45PM; University Suite

Mary Millsaps, North Carolina State University
Scot Allen, Colorado School of Mines
Patrick Fields, Defense Counterintelligence and Security Agency (DCSA)

Before a university decides to do classified work, there are a lot of questions to consider.  University leaders often direct those questions to the Export Control Officer, assuming that classified work is similar to export controlled work. (Short answer: It is not.)  The goal of this session is to help attendees answer those questions for their leadership by providing them with a basic understanding of the regulatory framework for classified work, how the decision to do classified work might impact the university, and what the facility clearance process entails.  The presenters include 2 AUECO members who have served in various roles related to classified work and an Industrial Security Specialist from the Facility Clearance Branch of the Defense Counterintelligence and Security Agency.

How to Become a Cleared Facility

The Role of Export Controls in Research Security

4:00PM–5:00PM; Ben Ballroom 1–3

Kevin Wolf, Akin Gump  Strauss Hauer & Feld

Kevin Wolf, former Assistant secretary of Commerce for Export Administration, now with Akin Gump, will wrap up the conference with a discussion  on export controls and how they play a role in the broader landscape of research security.

Presentation