The Research Security Office (RSO) was created by Indiana University to address the security risks posed to the research environment at Indiana University and to assist researchers with efforts to protect themselves, their research data and methodologies, publication rights, and intellectual property.
Addressing security risks and assisting researchers
What is Research Security?
The U.S. Government has defined research security as "safeguarding the research enterprise against the misappropriation of research and development to the detriment of national or economic security, related violations of research integrity, and foreign government interference."
The National Science Foundation has stated, "Ultimately, research security is about ethical behavior, regardless of background or origin. Ethical behavior is foundational to the conduct of research, and it can only be achieved when everyone can collaborate in an open environment, shielded from the threats of dishonest and unethical behavior."
Why is IU focusing on Research Security?
The U.S. academic community's current focus on research security can be traced back to then NIH Director Francis Collins' "Dear Colleague Letter" to various NIH funding recipients noting that "foreign entities have mounted systematic programs" to "inappropriately influence" federally funded research, noting concerns of diversion of intellectual property and failure of researchers to disclose substantial resources from other organizations, including foreign governments" which would inappropriately influence funding decisions. In the years since, Congress, the White House, and federal funding agencies have increased the number of research security requirements and guidance with which we must contend. Ensuring a research environment that is both secure and compliant with these requirements is key to the continued success of IU students, faculty, and staff, and to achieving the goals of the IU 2030 Strategic Plan, Pillar Two.
Webinar on Export Control for Universities
This session is a great opportunity for research administrators, fiscal officers, and any staff involved in research or campus operations. This webinar provides valuable insights into how export control impacts various campus functions and how you can effectively navigate this important topic in your role.
Why Watch?
- Learn how export control regulations affect research, procurement, and other campus operations.
- Understand key compliance requirements and best practices.
- Gain tools and resources to ensure your department stays compliant.
Whether you're already familiar with export control or just getting started, this session will equip you with the knowledge you need to support the IU research enterprise.
Description of the video:
Klokker, Kathryn Ann 0 minutes 6 seconds
All right, everyone.
Klokker, Kathryn Ann 0 minutes 10 seconds
Thank you for coming today.
Klokker, Kathryn Ann 0 minutes 14 seconds
And I want to first of all thank the research administrator team for letting us.
Klokker, Kathryn Ann 0 minutes 22 seconds
Come here and chat with you guys today about export control.
Klokker, Kathryn Ann 0 minutes 26 seconds
So thank you research administrator team.
Klokker, Kathryn Ann 0 minutes 29 seconds
My name is Kathryn Klokker.
Klokker, Kathryn Ann 0 minutes 30 seconds
I'm the director of the Export Control program here and I will be giving a presentation on export control and how it affects the university.
Klokker, Kathryn Ann 0 minutes 39 seconds
I know you have all probably been dying to hear about this.
Klokker, Kathryn Ann 0 minutes 44 seconds
Topic.
Klokker, Kathryn Ann 0 minutes 47 seconds
But I think it is just after 10, so I will.
Klokker, Kathryn Ann 0 minutes 54 seconds
Start.
Klokker, Kathryn Ann 25 minutes 12 seconds
If you subscribe to our.
Klokker, Kathryn Ann 25 minutes 14 seconds
Listserv and we won't bombard you, because then I would have to, you know, produce content all the time.
Klokker, Kathryn Ann 25 minutes 22 seconds
But we will send you important updates and maybe interesting things about export control and research security in general.
Klokker, Kathryn Ann 25 minutes 30 seconds
And I just want to thank you for joining us today.
Klokker, Kathryn Ann 25 minutes 34 seconds
As I said, I'm Kathryn.
Klokker, Kathryn Ann 25 minutes 35 seconds
I'm the director and I've also got my friend Jim who is here watching as well.
Klokker, Kathryn Ann 25 minutes 40 seconds
But you can contact either of us or you can contact our general inbox, which is export at iu.edu with any questions you might ever have as it relates to export control.
Klokker, Kathryn Ann 25 minutes 55 seconds
And thank you guys so much.
Klokker, Kathryn Ann 26 minutes 1 second
If you have any questions, I'm going to look at the Q&A and I will.
Klokker, Kathryn Ann 26 minutes 11 seconds
Address some of these. OK, I've got a question here that says, would you please define level of control a little bit more?
Klokker, Kathryn Ann 26 minutes 19 seconds
Yes, I would be happy to.
Klokker, Kathryn Ann 26 minutes 22 seconds
So I think this might have been before my level of control slide, but that's alright.
Klokker, Kathryn Ann 26 minutes 29 seconds
I'll just, you know, quickly sort of go over it.
Klokker, Kathryn Ann 26 minutes 31 seconds
I know at the beginning we talked about the different regulators, right? And in the context of export control, there are two main lists.
Klokker, Kathryn Ann 26 minutes 38 seconds
There's the United States munitions list, and there's the commerce control list, as you could probably tell by the name munitions that would have.
Klokker, Kathryn Ann 26 minutes 48 seconds
Usually a higher level of control and more license requirements.
Klokker, Kathryn Ann 26 minutes 51 seconds
And we've also got the commerce control list, which is under the Department of Commerce, right and so?
Klokker, Kathryn Ann 26 minutes 58 seconds
Things that are on the usml are usually related to space or the military and have a higher level of control.
Klokker, Kathryn Ann 27 minutes 6 seconds
Things that are on the commerce control list, which ranges from my cell phone.
Klokker, Kathryn Ann 27 minutes 14 seconds
To different space technologies to microelectronics have different levels of control.
Klokker, Kathryn Ann 27 minutes 21 seconds
You know, depending on where they are on this commerce control list.
Klokker, Kathryn Ann 27 minutes 25 seconds
So when I'm talking about levels of control, I'm talking about these lists, and I'm also talking about. It could be maybe federal contract restrictions related to how you do research.
Klokker, Kathryn Ann 27 minutes 36 seconds
And I hope that addresses your question, but if not please you can comment in the chat.
Klokker, Kathryn Ann 27 minutes 43 seconds
We've got another comment here.
Klokker, Kathryn Ann 27 minutes 47 seconds
Can you explain what a clean device is?
Klokker, Kathryn Ann 27 minutes 48 seconds
So yeah, so a clean device would be, you know, a computer with basic operating software on it or, you know, the colloquial colloquial phrase burner phone, right?
Klokker, Kathryn Ann 28 minutes 2 seconds
So something that is not, you know your device with all of your research information or special software installed.
Klokker, Kathryn Ann 28 minutes 9 seconds
It's just a best practice.
Klokker, Kathryn Ann 28 minutes 10 seconds
You know when you're traveling.
Klokker, Kathryn Ann 28 minutes 12 seconds
To travel with these devices just in case you know, there are certain countries that might.
Klokker, Kathryn Ann 28 minutes 19 seconds
In customs, look at your devices.
Klokker, Kathryn Ann 28 minutes 22 seconds
It's also obvious it's possible here in the US, right for, you know, Customs and Border Patrol to look at your research information to look at what's on your device.
Klokker, Kathryn Ann 28 minutes 31 seconds
So it's just it's a good practice to travel with a clean device in general, but for export control reasons, if you have controlled research and you're taking it to another country, that could be.
Klokker, Kathryn Ann 28 minutes 41 seconds
At risk for in export control violation.
Klokker, Kathryn Ann 28 minutes 46 seconds
Will the slides be sent out?
Klokker, Kathryn Ann 28 minutes 48 seconds
Yes, we will send out these slides.
Klokker, Kathryn Ann 28 minutes 52 seconds
I'm happy to share these slides and we're also happy to share recording.
Klokker, Kathryn Ann 28 minutes 56 seconds
Thank you, Colin, for saying that. And I think that is all of the questions I see here in the chat. But if you have other questions, oh, new post, sorry.
Klokker, Kathryn Ann 29 minutes 9 seconds
Is this being provided to the researchers? Good question. We always.
Klokker, Kathryn Ann 29 minutes 15 seconds
Try to do outreach and I am trying to do more outreach to researchers. We have some researchers who are absolutely well versed in export control.
Klokker, Kathryn Ann 29 minutes 23 seconds
They work with control technologies.
Klokker, Kathryn Ann 29 minutes 25 seconds
They have technology control plans and they know about this, but then of course you know, there are other people that may not have worked on an export control project before and might not know.
Klokker, Kathryn Ann 29 minutes 35 seconds
So yes, we always, you know, try and liaise with the researchers.
Klokker, Kathryn Ann 29 minutes 39 seconds
But we like to have everyone on campus educated.
Klokker, Kathryn Ann 29 minutes 43 seconds
So if maybe a researcher comes to you, you can point them to our office.
Klokker, Kathryn Ann 29 minutes 47 seconds
Maybe it's someone who hasn't been able to attend.
Klokker, Kathryn Ann 29 minutes 49 seconds
Or maybe someone who's a new researcher and isn't aware.
Klokker, Kathryn Ann 29 minutes 53 seconds
But yes, we always try to work with our researchers on campus and we work with a lot of researchers who do export controlled work.
Klokker, Kathryn Ann 30 minutes 6 seconds
Colin, did I miss anything here?
Rich, Collin
30 minutes 11 seconds
Rich, Collin 30 minutes 11 seconds
I don't.
Rich, Collin 30 minutes 11 seconds
I don't think so.
Rich, Collin 30 minutes 12 seconds
Looks like we got all the questions I tried to ping back at at some of them, but I think you've gotten.
Rich, Collin 30 minutes 21 seconds
I think you've gotten all of them.
Rich, Collin 30 minutes 23 seconds
Thank you for the for the overview of export control and I hope that that was helpful.
Rich, Collin 30 minutes 29 seconds
We've to our our team assembled here.
Rich, Collin 30 minutes 33 seconds
We were getting really close to to almost 200 attendees and so I can't thank everyone enough for joining and and being part of this and and just to reiterate what Kathryn said.
Rich, Collin 30 minutes 46 seconds
We are are striving to be a resource to our researchers and to our colleagues within the administrative space.
Rich, Collin 30 minutes 51 seconds
To the university, so please feel free to reach out to us either directly or our general inbox any anytime we can be of assistance to you or to our our faculty.
Klokker, Kathryn Ann
31 minutes 4 seconds
Klokker, Kathryn Ann 31 minutes 4 seconds
Absolutely. And if you have any more questions, you know, please feel free to follow up via e-mail.
Klokker, Kathryn Ann 31 minutes 11 seconds
You can teams us anything that you know makes you feel comfortable. Please follow up with questions. And I just wanna apologize.
Klokker, Kathryn Ann 31 minutes 17 seconds
I think I my camera might not have been on.
Klokker, Kathryn Ann 31 minutes 19 seconds
I just realized that, but I'm here.
Klokker, Kathryn Ann 31 minutes 21 seconds
I'm a person and thank you so much for joining my presentation today.
Rich, Collin
31 minutes 33 seconds
Rich, Collin 31 minutes 33 seconds
Thanks everyone.
Klokker, Kathryn Ann
31 minutes 34 seconds
Klokker, Kathryn Ann 31 minutes 34 seconds
We'll see you guys later.
Klokker, Kathryn Ann 31 minutes 35 seconds
Thank you so much.
Protecting you
Protecting you, the research environment and your research from potential risks
Learn more about RSO
Best practices
Mitigating security risks that threaten research integrity
Learn more about best practices
Malign Influence
Threats against you - Research security challenges and malign influence
Learn more about potential threatsCollaboration vs. malign influence
The current regulatory landscape informing the research enterprise includes serious growing concerns by the US government concerning undue influence by foreign entities over federally funded research.
