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Program:  University Export Controls 2019

Where Can I Attend This Seminar?


Day 1:

8:00 AM – 8:30 AM:  REGISTRATION & Continental Breakfast
8:30 AM – 5:00 PM:  PROGRAM

Days 2, 3 & 4:

8:00 AM – 8:30 AM:   Networking & Continental Breakfast
8:30 AM – 5:00 PM:  PROGRAM

**Below is a preliminary list of topics to be presented.  Topics, days of presentation, and presenters are subject to change.

DAY 1:  October 14, 2019

Introduction to Export Controls in a University Environment

  • US Export Control Policy & Primary Regulations (EAR / ITAR / OFAC)
  • Major Categories of University Export Control Concern
  • What Makes Institutions of Higher Learning Different

Controlled Items & Activities

  • Exports
  • Deemed Exports to Foreign Nationals
  • Internet Exports & Cloud Computing
  • Reexports & In-country Transfers
  • Non-US Origin Items Produced with US Origin Content or Technical Data
  • Other Export Control Regulated Activities
  • Controlled Items: Hardware, Software, Technology
  • Definition of “Technical Data,” Technology,” and “Defense Services”

Exclusions from the EAR

  • Publicly Available Technology and Software
  • Published Exclusion & Educational Information Exclusion
  • Patent Applications

Fundamental Research Exclusion (Exercises Workshop)

  • Conceptual Basis: National Security Decision Directive 189
  • EAR Approach to the FRE
  • Boundaries to the Exclusion
  • Considering How the FRE Affects a Typical Research Effort

Fundamental Research Panel Discussion:  The Practitioner Perspective
  Jessa Albertson Ohio State University
  Missy Peloso University of Pennsylvania

Jurisdiction & Classifications  (Exercises Workshop)

  • Jurisdiction: Which List Applies? (CCL / NEML / USML)
  • How to Classify an Item: Determining and Reading the ECCN
  • New 600-Series and 9X515 ECCNs
  • “Specially Designed” Definition, Exclusions & Implications
  • Requesting an Official Classification
  • Technology and Software Classification
  • Meaning of the General Technology Note

Hot Topics in Export Controls:  University Focus
  Missy Peloso University of Pennsylvania
  Jen Yucel Ohio State University
  Mary Beran Georgia Institute of Technology
  Stacy Rastauskas Bretherton Ohio State University

  •  Foreign Influence
  • Institutional Disclosure Requirements


DAY 2:  October 15, 2019

No License Required (NLR) (Exercises Workshop)

License Exceptions (Exercises Workshop)

  • Restrictions on the Use of License Exceptions
  • License Exceptions for Technology
  • License Exceptions TSU, TSR, CIV, STA, TMP, AVS
  • License Exceptions Issues for 600-Series and 9X515 Technology

End-Use/User Controls (Exercises Workshop)

  • Prohibited Parties/Embargoed Countries/Proliferation Activities
  • Military End-Use/User (China, Russia, Venezuela)
  • Red Flags & EAR General Prohibitions

OFAC Sanctions and Compliance

  • Embargoed Country Destinations
    • Cuba, Iran, Syria, North Korea, Others
  • Transactions Subject to Embargo Controls
  • Major OFAC Sanctions Programs Affecting Universities
  • Working with Academic Institutions and Service Providers
  • Considerations When Contemplating Research in Sanctioned Countries

License Applications

  • When and How to Make a License Application to BIS
  • Technology Licenses
  • Deemed Export Licenses
  • Special Support Documents & Requirements
  • SNAP-R / Electronic Filing / License Review Process

Export Clearance

  • Hardware License Exceptions (GBS, CIV, STA, RPL, GOV)
  • Foreign Trade Regulations (FTR) & Automated Export System (AES)
  • Harmonized Tariff Schedule & Schedule B
  • Export Documents & Destination Control Statements
  • Special Requirements for 600-Series and 9X515
  • Destination Control Statements

*Timing and order of presentations subject to change

      DAY 3:  October 16, 2019

    Export Enforcement
      James Bartlett  Full Circle Compliance

    • EAR, ITAR, OFAC, and CBP Enforcement Methods
    • Dealing with Government Inquiries, Subpoenas, and Search Warrants
    • Investigating & Disclosing Violations – To Disclose or Not To Disclose?
    • Preventive and Corrective Actions for Violations
    • University Violation Case Studies

    FBI Perspective:  University Export Control Enforcement
      Supervisory Special Agent Elizabeth Silliman

    Internal Control Programs for Universities
      Jessa Albertson Ohio State University

    • Effective University Compliance Programs & Core Elements
    • Key Operational Processes
    • Export Compliance Checklists
    • Cross-Departmental Stakeholders
    • Areas of Frequent Compliance Breakdown

    How Leading Research Universities Approach their Programs
      Jessa Albertson Ohio State University
    Missy Peloso University of Pennsylvania
    Mary Beran Georgia Institute of Technology

    Export Controls & University Contracts
      Emily Schriver Ohio State University

    • Recognizing Key Export Control Clauses in Federal Solicitations and Contracts
    • Navigating Agency Interpretations of Applicable Clauses
    • Implementing Internal Processes to Improve Compliance on Government Contracts

    Present and Future Export Controls on Encryption and Artificial Intelligence
      Felice Laird Export Strategies

    • “Emerging and Foundational Technologies“ in the information technology space
    • Status of implementation of August 2018 Export Control Reform Act and outlook for new regulations
    • What’s Not Subject to US Controls: Understanding the Fundamental Research and “Publicly Available” Exceptions for information security technology
    • “Order of Review” for key technologies
    • Using Publicly Available Encryption Tool Kits and Libraries
    • Potential for new computational access restrictions for non-US persons

    DAY 4:  October 17, 2019

    Collaborating with Faculty and Researchers
      Elizabeth Wagner  Ohio State University
      Vish V. Subramaniam   Ohio State University

    • Who, What, or Why? – Options for Emphasis Communicating with Key Faculty
    • Positive Solutions to Researcher Concerns
    • Enforcing Compliance Policies in a University Environment

    Introduction to the ITAR

    • Key Governing Agencies & ITAR Compliance Resources

    What Does the ITAR Control / Not Control? (Exercises Workshop)

    • ITAR Controlled Activities
    • Technical Data Releases to Foreign Persons & Defense Services
    • Easy-to-Forget Licensable Transactions
    • Public Domain Exclusion
    • Fundamental Research Under the ITAR
    • Exclusion for Basic Marketing Information and General System Description
    • How the ITAR and EAR Exclusions Differ
    • Jurisdiction: EAR vs. ITAR
    • The New US Munitions List
    • ITAR “Specially Designed” Definition, Exclusions & Implications
    • Special Classification Issues & Commodity Jurisdiction Determinations

    Registration and Empowered Official Issues

    • How to Register with the DDTC; Registration-Related Issues
    • Considerations for Designating “Empowered Officials”

    ITAR Special Restrictions (Exercises Workshop)

    • Prohibited Countries; Prohibited / Ineligible Parties
    • SME “Significant Military Equipment”
    • Highly Restricted Items / Congressional Notification Issues / Red Flags

    ITAR License Exemptions (Exercises Workshop)

    • What are Exemptions? / Excluded Items & Countries
    • ITAR Exemption for University Employees
    • Key ITAR Technical Data and Defense Services Exemptions

    ITAR Licenses

    • Licenses vs. Agreements
    • The Art of the License Application
    • D-Trade / DSP-5 Applications
    • Foreign Person Employee and Marketing Licenses

    ITAR Agreements (Exercises Workshop)

    • MLAs / TAAs / Warehouse & Distribution Agreements
    • Agreement Application & Agreement Guidelines
    • Drafting the Technical Scope for Agreements
    • Dual / Third Country National Employees
    • Sublicensing
    • Government Review Process & Checking License Status

    ITAR Hardware & Shipping

    • Useful Hardware Exemptions
    • Shipping & Export Documentation
    • Temporary Licenses
    • AES: Filing Electronic Export Information (EEI)
    • Wait Times & AES Responses
    • Schedule B & HTS Classification
    • Certification Requirements, Reporting Requirements & Amendments

    *Timing and order of presentations subject to change