University Export Controls 2019 Seminar

Comprehensive & Practical EAR, ITAR & OFAC Compliance Training Focusing on the Issues Relevant to Universities, Research Laboratories & Other Institutions of Higher Learning


Columbus, OH, United States

Universities and research organizations play a vital role in the development and advancement of our most critical and sensitive technologies. As the eye of the US Government has become more keenly focused on university export violations, the risks for these institutions have become significantly greater. No university wants to become the poster child for university export control violations, and many programs are increasingly challenged with making sure that their compliance is up to speed.

The realities of complex regulations, increased government scrutiny, and dramatic export control reform create a real challenge for those responsible for compliance at academic and research facilities. Balancing academic freedom for faculty and researchers with compliance - and factoring in the issues specific to foreign national students and faculty - can be overwhelming.

Join us for our four-day comprehensive training on the ins and outs of US export control rules from the perspective of universities and research organizations. While some conferences merely skim the surface, we will delve into the details of the ITAR, EAR, and OFAC rules as they affect the day-to-day operations of these organizations. The comprehensive curriculum is organized to examine the issues in a thorough and methodical manner. Novices will get comprehensive, detailed training on the key rules while experts will have a unique opportunity to master the critical nuances of the rules and hear the viewpoints of their peers on the most complex and daunting compliance challenges.

Private companies who sponsor or work with universities and research laboratories on research projects will also benefit from this training by gaining unique and invaluable insights into the special compliance issues faced by these organizations, facilitating mutually beneficial partnerships between the academic and private sector.

Professional export compliance instructors and a number of respected panelists from the university community will lead the training, discussions, and hands-on, practical exercises. Dynamic and methodic instruction - with emphasis on active learning and case studies - will provide compliance professionals from universities, research laboratories, and private enterprise with the complete details of US Export Controls as they apply to the academic and research community.

Who Should Attend:

  • University Export Compliance Officers / Contracts Administrators
  • Research Lab Export Compliance Officers / Contracts Administrators
  • Compliance Professionals from Private Industry Who Collaborate with Universities & Research Labs

CORE CONTENT INSTRUCTORS

SCOTT M. GEARITY is a Principal of BSG Consulting, bringing over a decade of consulting, training, and corporate export compliance program management experience to bear for his clients. Mr. Gearity has substantial experience in military, dual-use, and commercial export controls. His clients have ranged in size from small start-ups to some of the world's largest companies, with a particular focus on the information technology, telecommunications, networking, and software industries. Mr. Gearity joined BSG from Microsoft Corporation, where he was based in Ireland and managed the company's export compliance program for Europe, the Middle East, and Africa. Mr. Gearity holds a Bachelor of Arts degree in international studies and economics from American University. He is a licensed US Customs Broker.

MARC BINDER is a partner with ITC Strategies. Prior to joining ITC Strategies, Marc was the Director of Customs Compliance for Goodrich Corporation where he was responsible for managing the Corporate Customs Compliance program. Prior to that, Marc held trade compliance management positions at TRW and Lockheed Martin - Government Electronics Systems. Marc is a former two term member of the Department of Commerce Regulations and Procedures Technical Advisory Committee (RPTAC) and a former three term member of the Department of State, Defense Trade Advisory Group (DTAG). Marc is a member of the Board of Directors of the Society for International Affairs (SIA) where he is a Director of Planning and Education. Marc is a licensed Customs Broker and is certified in the field of Hazardous Materials Transportation. Marc holds a bachelor's degree from Villanova University and has graduated from the Wharton Management Program, University of Pennsylvania.


GUEST INSTRUCTORS AND PANELISTS

JESSA ALBERTSON is the Senior Export Control Officer at Ohio State University. In this role she is responsible for developing, implementing and leading programs and policies for the university export control compliance program. Jessa works with university administrators and faculty to develop institutional policies, procedures, training and educational materials to meet compliance requirements and improve education regarding the university's research objectives. Prior to coming to Ohio State, Jessa worked in the Office of Export Controls at the University of Oklahoma for 10 years, most recently as the Director. Jessa received her BA and MA in human relations from the University of Oklahoma. She holds professional accreditation as an Export Compliance Professional - EAR/ITAR (ECoP)

JAMES E. BARTLETT III
, J.D., LL.M, LCB, is the author of Bartlett's Annotated International Traffic in Arms Regulations ("BITAR"), Bartlett's Annotated Foreign Trade Regulations("BAFTR"), co-author of United States Export Controls (7th ed. 2018), editor of the Society of International Affairs Pocket ITAR, and editor of The Export/Import Daily Update newsletter ("The Daily Bugle"). Jim currently practices law in Washington, DC, and is a partner of the international trade advisory firm, Full Circle Compliance, BV, of Amsterdam and Washington, DC. Mr. Bartlett lectures at the University of Liverpool, the University LUISS law school, Rome, and the Netherlands MOD Defense Academy. He is certified by the Ohio State Attorney General as outside export/import counsel for Ohio colleges and universities. Jim was previously Assistant General Counsel of the Defense Intelligence Agency; Senior Counsel-Export/Import Law, Northrop Grumman Corporation; Director of Global Trade Controls, Harris Corporation; and served as a U.S. Navy JAG officer, including assignment as Assistant Professor of Military Law at the U.S. Naval Academy.

MARY M. BERAN is the Associate Director of Research Integrity Assurance at Georgia Tech Research Corporation at the Georgia Institute of Technology. She has responsibility for the compliance teams and oversight of programs involving Export Controls, Institutional Animal Care and Use Committee (IACUC), Institutional Biosafety Committee (IBC) programs, Institutional Review Entity (IRE) for the review of Dual-Use Research of Concern (DURC), and is an Empowered Official for GIT. Beran serves as a member of several committees including the Export Advisory Board. Externally, she has served as a past Chair of the Association of University Export Control Officers (AUECO) where she has been actively involved in monitoring U.S. Export Control Reform.

ALLEN A. DIPALMA, MBA, is currently the Director of Office of Export Control Services at the University of Pittsburgh and is responsible for the export controls program for all campuses and schools. He has been involved with export controls either as the Export Controls Official or Director of Export Controls Services since 2011. He is currently a member of the Board for the Association for University Export Control Officers (AUECO) and has served or presented over the years for other organizations such as the Council on Government Relations (COGR) and the National Council of University Research Administrators (NCURA).

CHRISTOPHER M. HADAD (invited) is the Dean of Natural and Mathematical Sciences (College of Arts and Sciences) and Professor of Chemistry and Biochemistry at The Ohio State University. He received his B.S. degree from the University of Delaware in 1987 and completed his Ph.D. as a Hertz Foundation fellow under the guidance of Professor Kenneth B. Wiberg at Yale University. After a NSF post-doctoral fellowship at the University of Colorado (Boulder) with Professor Charles H. DePuy, he joined the faculty of The Ohio State University as an assistant professor of Chemistry in 1994. In 2006, he was promoted to full professor, was the vice chair for undergraduate studies in Chemistry from 2006-2011, served the department as the interim chair in 2007, and then served as Associate Dean (2011-2014) and then Dean (2014-present) of the Natural and Mathematical Sciences division of the College of Arts and Sciences.

FELICE LAIRD has been helping companies comply with the US Export Administration and International Traffic in Arms Regulations since 1988. Ms. Laird is a faculty member of the Export Compliance Training Institute which provides live and in-house training, web training, and e-learning solutions to the trade compliance community. Ms. Laird is a recognized expert in encryption export controls and has helped both large and small firms navigate the complex restrictions on the export of cyber security technologies. Ms. Laird is a member of the Presidents Export Council Subcommittee on Export Administration. She has a BA from the University of New Hampshire and an MS in International Business from the American University.

JEANETTE MILLER (invited) is the Deputy Assistant Director for the Licensing Division at the Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury where she manages, among other things, the portfolios for Iran and Weapons of Mass Destruction licensing. Prior to joining OFAC in 2007, Jeanette served as a Special Assistant in the Executive Secretary's Office at the Treasury Department. Before joining the Treasury Department, Jeanette worked at the Penn State Dickinson School of Law as the Executive Director of the Arbitration Institute for Law and Practice. She is a graduate of Tulane University School of Law and Arizona State University. Jeanette plans to discuss licensing best practices as well as applicable general licenses and exemptions for higher education.

Elizabeth (Missy) Peloso is the Associate Vice Provost and Associate Vice President for Research Services at the University of Pennsylvania. She previously served as the Director of Export Compliance and retains oversight responsibility for the export compliance program at Penn. She is an empowered official for the University. In addition to export controls, Missy has responsibility for research administration at Penn including pre award activities related to federally and non-profit sponsored research, post-award activities for all sponsored projects at Penn, academic material transfer agreements, and research reporting. Before joining Penn in 2011, Missy was the Director of Research Compliance at the University of Delaware, where she was responsible for a broad range of research compliance areas including export controls. Prior to moving to research administration, Missy was an active researcher in behavioral neuroscience. Missy is a past Chair of AUECO and currently serves on the Board of the Council on Governmental Relations (COGR). Missy is a graduate of Duke University (BSE in biomedical engineering), Carnegie-Mellon University (MS in biomedical engineering) and the University of Delaware (MBA with a concentration in international business).

EMILY SCHRIVER is Associate General Counsel at The Ohio State University, Ohio's flagship land-grant institution. OSU is one of the largest public AAU research universities and its research expenditures top $980 million annually. Emily provides counsel to the university's Office of Research on all areas of research compliance, including export compliance and sponsored research. Prior to joining the OSU legal staff, Emily was an associate at Hogan Lovells US LLP, in Washington, D.C., practicing in the firm's government contracts and federal research group. Emily graduated from The Ohio State University and the Northwestern University Law School, and clerked for the Honorable Richard C. Tallman on The United States Court of Appeals for the Ninth Circuit.

JENNIFER ''JEN'' YUCEL joined the Ohio State University in 2004 and is the Associate Vice President, Research Compliance and Director of the Office of Research Compliance. In this role, Jen oversees all research compliance activities across the university, with the office specifically focusing on export controls, research misconduct, conflicts of interest, human gene transfer, human stem cell, facility security clearance and various other compliance areas. Born and raised in Southern California, Jen received her Ph.D. in Cellular Biology from the University of California, San Diego and completed her post-doctoral work at the Ludwig Institute for Cancer Research in La Jolla, California.

**invited guest panelists; speaker panel is subject to change

Day 1*
8:00 AM - 8:30 AM: Registration
8:30 AM - 5:00 PM: Program

Days 2 - 4*
8:30 AM - 5:00 PM: Program

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

Recent Developments in Export Controls: University Focus

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
Catch All 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
Focus on Hardware & Shipping Documentation
  • 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

DAY 3: October 16, 2019

Software, Encryption and Cybersecurity
  • Order of Review - USML or CCL?
  • What's Not Subject to US Controls: Understanding the Fundamental Research and "Publicly Available" Exceptions for Information Security Software
  • Use of Publicly Available Encryption Tool Kits and Libraries
  • Understanding EAR Encryption Controls and Classifications
  • Cybersecurity for US Government Contractors
Internal Control Programs for Universities
  • Effective University Compliance Programs & Core Elements
  • Key Operational Processes
  • Export Compliance Checklists
  • Cross-Departmental Stakeholders
  • Areas of Frequent Compliance Breakdown
UNIVERSITY COMPLIANCE ROUNDTABLE: How Leading Research Universities Approach their Programs

Export Controls & University Contracts
  • 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
Export Enforcement
  • 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

DAY 4: October 17, 2019

Collaborating with Faculty and Researchers
  • 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 Defense Trade Controls
  • 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

Venue

The Blackwell Inn & Pfahl Conference Center
2110 Tuttle Park Place
Columbus, Ohio 43210

GUEST ROOM RESERVATION
*The cost of accommodation is not included in the seminar tuition.

A limited block of guest rooms at the venue hotel is reserved for seminar participants.  Group rate available until September 24, 2019. Rooms are available on a first-come / first-served basis. Book early to ensure availability.

GUEST ROOM RATE
: $145/night: Run of House

To book your room call 1-866-247-4003 and mention ECTI - University Export Controls Program room block.