Developing an Export Control Awareness Program at a Predominantly Undergraduate Institution Michael Sanderson Assistant Director for Research Compliance

Nature of My Project Objective: Create an export control awareness program at UCCS, a Predominantly Undergraduate Institution using the five practices of successful leadership.

Status Update The project is currently a work in progress with a goal of creating a shared vision across the University.

Project Components Create an export control awareness program Prepare for the changing landscape for University: performing export controlled research Develop an export control manual with the help of various offices across the institution

Model the Way Engage my campus Worked with leadership to engage in a risk assessment for campus Became highly visible Via the risk assessment which included several departments and colleges across campus Attended the Association of University Export Control Officers conference and developed relationships to help me develop a better understanding of what other universities have done.

Inspire A Shared Vision Everyday I had to remind myself of my vision for the future related to export controls Held meetings with campus stakeholders to discuss export controls (a complex subject mater) in terms that relate to other offices Provided resources related to departments Continuing to show enthusiasm despite the challenges of developing a compliance program

Challenge the Process The changing landscape on campus with the increase in competition for Federal research dollars: campus may not be able to be only a fundamental research institution This has raised the need to develop an export control compliance program that allows my institution to accept sponsored programs with restrictions Performed a risk assessment of specific departments across campus (on going) Share a general philosophy that compliance programs are built on learning from failures

Enable Others to Act Encouraged others to act so that this compliance program uses their strengths to create a better process The goal was not to develop a process for other offices to follow, but have them develop processes (mixed success)

Encourage the Heart Encouraged others to take ownership of their office-specific processes that make up their role an export control compliance program This is still a work in progress. Change is challenging especially regarding compliance

Lessons Learned Overcoming challenges has been more difficult than I thought. –The myths that surround export controls especially in higher education have proven challenging Recognized a need to present information in several different formats and the need to engage employees across campus Surprised how difficult it is to encourage the heart especially around compliance To always assume first that people want to do the right thing, and that everyone tries to be in compliance, but they may need help to do a better job Vocabulary is important

Paying it forward NCURA, Style Be an advocate for the Lead Me program –I have provided two informal presentations to other schools within CU regarding the value of the LeadMe program for other employees. Be more active on the collaborate NCURA Communities Would like to explore volunteering for NCURA –During the past year I tried to help with a committee for the Salt Lake meeting, but had to step down.