Passport to Proficiency on the Export Administration Regulations

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Building Blocks for Success on the Job: A new, immersive virtual series for mastering the essentials of US export controls

EARN CLE/CPE CREDITS

Passport to Proficiency on the

Export Administration Regulations CALENDAR-ALT November 2 to December 2, 2020

VIRTUAL SERIES

A 4-Week Deep Dive into Highly Technical, Complex and Key EAR Requirements

Your 1-Month Passport to EAR Proficiency: CALENDAR-ALT

4 weeks, 2X weekly

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28 hours of true professional development

PENCIL-ALT 4 hands-on, practical sessions with case studies and hypotheticals

video 8 session recordings for future

TE Connectivity

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Northrop Grumman

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cogs 6 modules

Build your “Brain Trust”, sounding board and global network

Substantive resource materials for your daily work

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Practical Learning with Leading Exporters:

Certificate of completion + CLE credits

AmericanConference.com/Proficiency-EAR • 888 224 2480

Zebra Technologies

General Dynamics L3Harris Technologies Raytheon

Leonardo DRS, Inc.

Part of ACI’s PROFICIENCY SERIES

Take a Deep Dive to Master the Essentials ACI’s highly anticipated Proficiency Series provides true immersion in the EAR with the objective of becoming proficient in four weeks.

Your Building Blocks for EAR Proficiency WEEK 1 Nov. 2 & 4 Roadmap and Classification Military User and EndUser Regulations, and Hypothetical Exercises

WEEK 2 Nov. 9 & 11

WEEK 3 Nov. 16 & 18

Deemed Exports and Technology Transfers

Licensing Requirements and Exceptions

WEEK 4 Nov. 30 & Dec. 2 EAR Enforcement & Compliance in Practice Review of Proficiency Assignment and 1:1 Q&A

True Professional Development for Success on the Job Your Blueprint to Proficiency: Immersive and Practical • Interactive format that encourages dialogue with attendees and speakers • Convenient and easy to follow: Fits around your schedule, 2X per week in easy to follow blocks focused on what you really need for your work

Real Life, Not Textbook • Expert speakers will take you through concrete experiences and “war stories” • Actionable takeaways for your work: Sharpen your knowledge and skills for success on the job

Connect: Build Your Network and "Brain Trust" • Build Your “Brain Trust” by connecting with likeminded professionals • Develop your sounding board and global network of community peers • Access a highly respected, diverse faculty with verified subject-matter expertise and track records • Join dedicated Q&A sessions with expert faculty

quote-left Provides in-depth, practical knowledge and experience that I will be able to take back to improve our processes and program. quote-right – OSHKOSH CORPORATION

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BUSINESS INFORMATION IN A GLOBAL CONTEXT

#EARproficiency twitter: @ACI_IntTrade linkedin: ACI: International Trade: Legal, Regulatory & Compliance Professionals

EXPERT INSTRUCTORS:

The Essential Passport to Proficiency for:

Learn from Expert Instructors with Verified Subject-Matter Expertise and Proven Track Records:

Empowered Officials

Greg Hill Vice President, Global Trade Compliance Leonardo DRS, Inc.

Debbie Shaffer Senior Manager, Global Trade Compliance L3Harris Technologies David S. Martell Director, Global Trade Compliance Oshkosh Corporation

Lexia B. Krown Head of International Trade Compliance, Global Responsibility Zebra Technologies

Bob Vander Lugt Partner Little, Rothwell & Vander Lugt, PLLC

Gary Stanley President Global Legal Services, PC

Nate Bolin Partner Faegre Drinker Biddle & Reath LLP

Laura J. Molinari Asisstant General Counsel, Global Trade Services TE Connectivity

Thomas Donovan Director, Global Trade Management Northrop Grumman Corporation Patty Dudley Corporate Director, Trade Compliance General Dynamics Melissa L. Duffy Partner Dechert LLP

Matt Doyle Former Deputy Director Lockheed Martin Kay Georgi Partner Arent Fox LLP Thad McBride Partner, International Trade Bass, Berry & Sims PLC

Dave Hardin Senior Manager, Trade Raytheon Lawrence R. Fink Vice President | Senior Asst General Counsel, International Regulatory Compliance Leidos

Jason Silverman Partner Dentons Ken Nichol Director, International Trade Compliance Gulfstream Aerospace

Export Compliance Specialists, Coordinators and Administrators Vice Presidents, Directors and Managers of: • Trade/Export Compliance • Export Administration • Export Controls • Trade/Export Policy • Export Licensing • International Trade Compliance • Government Contracting

General Counsel’s Office • Vice President, Legal Affairs/ Operations • International Trade Counsel • Export Controls Counsel

Consultants Engineering Professionals

Real-Life Benefits of Attending:

ADVANCE your career and professional development by becoming EAR proficient.

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ADD VALUE to your organization with a practical roadmap for compliance.

CONNECT with a global community of export controls peers.

HANDSHAKE Virtual Sponsorship Opportunities

With conferences in the United States, Europe, Asia Pacific, and Latin America, the C5 Group of Companies: American Conference Institute, The Canadian Institute, and C5 Group, provides a diverse portfolio of conferences, events and roundtables devoted to providing business intelligence to senior decision makers responding to challenges around the world.

Don’t miss the opportunity to maximize participation or showcase your organization’s services and talent. For more information please contact us at: SponsorInfo@AmericanConference.com

AmericanConference.com/Proficiency-EAR • 888 224 2480

Part of ACI’s PROFICIENCY SERIES

WEEK 1

MODULE 1: Roadmap & Classification November 2 • 2:00 pm – 5:30 pm EST

Bob Vander Lugt Partner Little, Rothwell & Vander Lugt, PLLC

Greg Hill Vice President, Global Trade Compliance Leonardo DRS, Inc.

Thomas Donovan Director, Global Trade Management Northrop Grumman Corporation

YOUR U.S. EXPORT CONTROLS ROADMAP: A Review of Key Concepts, Agencies, Their Jurisdictions and Roles – and Who to Contact for What During this practical, opening session, the expert instructors will take you through the key agencies, their roles, as well as tips for how to contact the agencies and leverage online resources for keeping current.

• Jurisdiction: EAR vs. ITAR

• Defining “dual-use,” “technical data” and “technical assistance”

• BIS, DDTC, DTSA, OFAC, DOJ and HSI: Which agency does what?

• What is a “re-export”?

• How the EAR defines “export” for technology and software vs. items

• What is the Entity List?

CLASSIFICATION: EAR Parts 732, 736, 738, 742, 744, 746, 772 and 774-A CCL and CCC • What are EAR-controlled commodities, technology and software?

• Understanding the 10 categories under the Commerce Control List (“CCL”) under 15 CFR §774, Supplement 1: EAR99, 600-Series, and other ECCNs • Best practices for navigating CCL categories, product groups and series • What is the Commerce Country Chart (“CCC”)

ECCNs • Navigating ECCNs » how to identify the right ECCN for an item » how to match specific characteristics of your item to an ECCN » determining the right ECCN for technology and software, including emerging technologies • What to do once you obtain your ECCN, and how to determine if an export license is required • What do you do if no ECCN fits your product?

Military Items and the 600 Series • Military items controlled under the EAR and the 600 Series • How to successfully “catch” and “release” – navigating paragraph (a) and (b) • The most common pitfalls in the “catch” and “release” process • Classifying non-U.S. origin items produced with U.S. origin content or technical data • Questions to ask when classifying new technologies, and conducting market and IT functionality analyses • When to contact the manufacturer, producer or developer • Documentation and appropriate record keeping to support your determination

“Specially Designed” • Tips and tricks for self-determining items as “specially designed” and understanding exemptions • How to apply the “specially designed” criteria in the CCL

CCATs • Submitting a Commodity Classification Request to BIS: When and how to submit a CCATS

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BUSINESS INFORMATION IN A GLOBAL CONTEXT

#EARproficiency twitter: @ACI_IntTrade linkedin: ACI: International Trade: Legal, Regulatory & Compliance Professionals

WEEK 1

MODULE 2: Military User and End-User Regulations, and Hypothetical Exercises November 4 • 2:00 pm – 5:30 pm EST Speakers Include: Gary Stanley President Global Legal Services, PC

Ken Nichol Director, International Trade Compliance Gulfstream Aerospace

15 CFR Part 744-Military User and End-User Regulations: Need-to-Know Concepts, Recent Changes and Their Practical Impact • Defining “military end-user” • EAR Section 744.21 restrictions on the export, reexport, and transfer of certain items for “military end uses” • How and why the Commerce Department expanded the “Military End-User” definition to include: any item “that supports or contributes to the operation, installation, maintenance, repair, overhaul, refurbishing, ‘development,’ or ‘production,’ of military items.”

• Understanding the six elements of the “use” definition in the EAR • Recent expansion of restrictions on the provision of items to “Military End-User” to China • Supplement No. 2 to Part 744: Items subject to the military end use/end user restrictions: » products, software, and technology, including lower-level encryption items, semiconductor equipment and technology, and aircraft parts and components » EECNs 2A290, 2A291, 2B999, 2D290, 3A991, 3A992, 3A999, 3B991, 3B992, 3C992, 3D991, 5B991, 5A992, 5D992, 6A991, 6A996, and 9B990 • Regional Stability (RS) controls for certain items: “Y” paragraph of 600-series and 9x515 ECCNs • Exports or re-exports to China or in-country transfers within China of items covered by § 744.21 • What recordkeeping is necessary throughout the product development of a 600 Series item?

Foreign Direct Product Rule: General Prohibition 3 Under the EAR • What is (and isn’t) captured by the rule?

• ECCNs that are subject to the rule • Determining if and when an item is a direct product of technology or software • How the EAR defines “knowledge” • Understanding BIS Know-Your-Customer (KYC) rules and guidance

Hypothetical Exercises, Q & A and Review: Classification, Military User and End-User Regulations The expert instructors will take you through three scenarios, and how to apply key definitions and requirements. A helpful way to solidify your grasp of key concepts and understand their practical application.

As a closing segment, instructors will provide additional clarification and guidance, and take your questions.

About us:

BUSINESS INFORMATION IN A GLOBAL CONTEXT The C5 Group, comprising American Conference Institute, The Canadian Institute and C5 in Europe, is a leading global events and business intelligence company.

AmericanConference.com/Proficiency-EAR • 888 224 2480

For over 35 years, C5 Group has provided the opportunities that bring together business leaders, professionals and international experts from around the world to learn, meet, network and make the contacts that create the opportunities.

Our new Proficiency Series continues to be guided by our unifying philosophy: we believe that growth and success occur when the power of people and the power of information come together.

Part of ACI’s PROFICIENCY SERIES

MODULE 3, Part I: Deemed Exports and Technology Transfers

WEEK 2

November 9 • 2:00 pm – 5:30 pm EST

Laura J. Molinari Asisstant General Counsel, Global Trade Services TE Connectivity

Kay Georgi Partner Arent Fox LLP

Debbie Shaffer Senior Manager, Global Trade Compliance L3Harris Technologies

734.13(b) of the EAR: The Nuts and Bolts of Deemed Export and Re-Export Compliance • Key definitions, including “deemed export”, “re-export” and “foreign national” • Understanding the “deemed export” rule governing transfers of U.S.- origin technology and technical data to foreign nationals • When is a BIS license required for a foreign national?

• Practical tips for interpreting deemed export rules • Minimizing the risk of sharing controlled technical data with suppliers, customers, and business partners • What is permissible when screening for nationality to satisfy export control requirements: Anti-discrimination laws and their intersection with export controls • Working with HR to on how to properly communicate and document nationality and export control issues with job candidates • Practical tips for detecting, mapping and evaluating risk • Instituting proper controls for the sharing of information between foreign parties, parent companies, subsidiaries, and affiliates • Determining administrator and user access based on identity, location, and rights

MODULE 3, Part II: Deemed Exports and Technology Transfers

WEEK 2

November 11 • 2:00 pm – 5:30 pm EST Lawrence R. Fink Vice President | Senior Asst General Counsel, International Regulatory Compliance Leidos

Matt Doyle Former Deputy Director Lockheed Martin

Melissa L. Duffy Partner Dechert LLP

Sections 734.2(b), 734.15 and 734.20: Technology Transfers Under the EAR • How to define “technology” and “technical data” under the EAR • EAR definitions of a “release” of “technology” or source code under Section 734.15 • Activities that are not “deemed” re-exports under Section 734.20 • Exemptions to technology regulation: Published technology, fundamental research, nonproprietary systems descriptions

Technology Control Plans: Core Elements • What is a technology control plan (“TCP”)?

• Examples of IT controls and network access rights • Risks associated with R&D, JV, and other business partners: How to assess if they are complying with export control rules when handling your technology?

Hypothetical Exercises, Q & A and Review Toward solidifying your understanding of deemed exports, re-exports and technology transfer rules, the instructors will discuss a case study, how to put theory into practice and take your questions. A helpful way to solidify your grasp of key concepts and understand their practical application.

As a closing segment, instructors will provide additional clarification and guidance, and take your questions.

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BUSINESS INFORMATION IN A GLOBAL CONTEXT

#EARproficiency twitter: @ACI_IntTrade linkedin: ACI: International Trade: Legal, Regulatory & Compliance Professionals

MODULE 4, PART I: Licensing Requirements and Exceptions

WEEK 3

November 16 • 2:00 pm – 5:30 pm EST

Patty Dudley Corporate Director, Trade Compliance General Dynamics

Nate Bolin Partner Faegre Drinker Biddle & Reath LLP

When and How to Submit an EAR License Application: The Fundamentals of Form BIS-748P, Using SNAP-R and Reducing the Risk of RWAs This segment will consist of a deep dive into when an EAR license is required-and how to submit an application that meets BIS expectations.

As part of this session, instructors will analyze sample license applications to highlight the essential do’s and don’ts.

• Essential elements of Form BIS-748P and the SNAP-R system

» statement of ultimate consignee and purchaser

• 600 Series licensing and associated challenges

» Technology Control Plans and other detailed information for deemed export applications

• How to draft effective license applications: BIS requirements and expectations • Supplemental information required in the application • Developing data sheets, end-user statements and cover letters • Preparing supporting documentation » verification of ECCNs » end-use of items to be exported » documents supplied by the prospective purchaser » international import certificate

• The approvals process, expected timeline and how to reduce the risk of delay • Requests for additional information: How are licensing determinations made by BIS? • What triggers a Return Without Action (RWA)?

• Accepting and implementing conditions • Process for amending a license • Re-export licenses and license responsibility for foreign parties

MODULE 4, Part II: Licensing Requirements and Exceptions

WEEK 3

November 18 • 2:00 pm – 5:30 pm EST Lexia B. Krown Head of International Trade Compliance, Global Responsibility Zebra Technologies

Thad McBride Partner, International Trade Bass, Berry & Sims PLC

The Ins and Outs of EAR Licensing Exceptions: How to Determine If, When and How They Apply » Technology and Software Unrestricted (TSU)

• Key exceptions and their scope of application, including:

» Temporary Imports, Exports, Re-Exports, and Transfers (TMP)

» Limited Value Shipment (LVS) » Servicing and Replacement of Parts and Equipment (RPL)

• Significant developments:

» Strategic Trade Authorization (STA) » Technology and Software Restricted (TSR)

» removal of License Exception CIV (Civil End Users) for eligible D:1 countries » anticipated changes to Additional Permissive Reexports (APR)

Hypothetical Exercises, Q & A and Review on the Do’s and Don’ts Toward solidifying your understanding of licensing requirements and exceptions, the instructors will take you through a series of hypothetical scenarios, sample license applications-and how to put the “rubber to the road.” Ample time will be left for Q&A. As a closing segment, instructors will provide additional clarification and guidance, and take your

AmericanConference.com/Proficiency-EAR • 888 224 2480

Part of ACI’s PROFICIENCY SERIES

MODULE 5: EAR Enforcement & Compliance in Practice

WEEK 4

November 30 • 2:00 pm – 5:30 pm EST

Dave Hardin Senior Manager, Trade Raytheon

David S. Martell Director, Global Trade Compliance Oshkosh Corporation

Jason Silverman Partner Dentons

The Essentials of an Effective Export Compliance Program (ECP) • What are the core elements of an effective export management and compliance program?

• Screening based on the Denied Persons List and Entity List

• Concrete examples of the changes that exporters are making to stay compliant in the wake of recent developments

• Key EAR requirements for freight forwarders and other third parties throughout the supply chain

• How exporters are upgrading their tracking of classification and re-classification • Recordkeeping do’s and don’ts • BIS "Know Your Customer" Guidance, Supply Chain-Screening and Red Flags: The Essentials of Vetting Third Parties, End-Users and End-Uses • What are the most important risk areas to consider when screening, vetting, and choosing suppliers?

• How can companies identify and resolve third party risks early on?

• Overview of BIS “Know Your Customer” Guidance

• “Red Flags” that should trigger suspicion at the due diligence phase

• Where the exporter’s responsibility for third party compliance begins and ends • Vetting and due diligence of third parties, including subcontractors, freight forwarders, distributors, customs brokers, customers, re-sellers and others • Contractual safeguards to implement for orders and shipments, nature and extent of audit rights, and when to terminate the relationship due to export enforcement risks • How to monitor supplier and other third party outsourcing activities

Key EAR Enforcement Actions and Compliance Lessons Learned • How do enforcement agencies work together to enforce the EAR?

• What can mitigate versus increase your company’s exposure?

• What kinds of EAR violations trigger an enforcement response?

• How do you handle law enforcement requests for help in the investigation of a third party?

• What pushes a case from a warning letter to a penalty – and what can lead to criminal prosecution

• What is a voluntary disclosure? How BIS approaches them – and the impact on enforcement

MODULE 6: Review of Proficiency Assignment and 1:1 Q&A

WEEK 4

December 2 • 2:00 pm – 5:30 pm EST

PENCIL-ALT Review of Proficiency Assignment In advance of this last unit, participants will complete an assignment on the life cycle of an export. The questions will be based on a case study of an export transaction from A to Z. During this last session, participants will share their responses to the assignment questions, followed by feedback from the expert instructors.

Award of “Passport to Proficiency” Participants who have completed all Units will receive a certificate reflecting their proficiency in the essentials of the Export Administration Regulations.

Comments 1:1 and Smaller-Group Q&A Each participant will benefit from the opportunity to engage in 1:1 and smaller-group Q &A with instructors.

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BUSINESS INFORMATION IN A GLOBAL CONTEXT

#EARproficiency twitter: @ACI_IntTrade linkedin: ACI: International Trade: Legal, Regulatory & Compliance Professionals

quote-left ACI leads in enabling and facilitating excellent conferences, active interaction, and speakers who are willing to describe and offer legal advice and best practices. quote-right – TYCO The international trade community relies on ACI to train their teams, including legal and compliance professionals from: • Boeing

• Cisco

• Leonardo DRS

• Oshkosh

• Spirit Aerosystems

• 3M

• Exxon

• Lockheed Martin

• Pfizer

• AECOM

• FedEx

• Magpul Industries

• Pratt & Whitney

• Umicore Optical Materials

• ASML US

• General Dynamics

• Merck

• Raytheon

• Cartridge Actuated Devices

• Google

• Microsoft

• Robert Bosch

• Honeywell

• Nokia

• L3Harris

• Northrop Grumman

• Rolls Royce North America

• Chevron

EARN CLE CREDITS

Continuing Legal Education Credits

• UTC Aerospace Systems • Varian Medical Systems

Continuing Professional Education Credits

Accreditation will be sought in those jurisdictions requested by the registrants which have continuing education requirements. This course is identified as nontransitional for the purposes of CLE accreditation.

American Conference Institute (ACI) will apply for Continuing Professional Education credits for all conference attendees who request credit. There are no pre-requisites and advance preparation is not required to attend this conference.

ACI certifies this activity has been approved for CLE credit by the New York State Continuing Legal Education Board.

Course objective: Update on EAR policies and procedures to ensure compliant business conduct. Prerequisite: None. Level of knowledge: Beginner/Intermediate. Teaching Method: Group-Live presented online due to COVID-19. Advanced Preparation: None.

Delivery method: Group-Live presented online due to COVID-19..

ACI certifies this activity has been approved for CLE credit by the State Bar of California.

ACI has a dedicated team which processes requests for state approval. Please note that event accreditation varies by state and ACI will make every effort to process your request.

To learn more about how to apply, please visit www.AmericanConference.com/accreditation-instructions-for-virtualattendance/ or email ACI-CLE@AmericanConference.com for further information.

3 Ways to Register 

Please refer to the information in this brochure for outline, course content and objectives.

Final approval of a course for CPE credits belongs with each states’ regulatory board.

Recommended CPE Credit: 4.0 hours for each module.

ACI is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417 or by visiting the web site: www.learningmarket.org.

ONLINE:

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PRICING All Inclusive (4 weeks, 6 modules)

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Register & Pay by September 28, 2020

Register & Pay by October 26, 2020

Register & Pay after November 2, 2020

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REGISTRATION CODE:

B00-125-125L21.WEB CONFERENCE CODE:

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All program participants will receive an online link to access the conference materials as part of their registration fee.

Additional copies of the Conference Materials available for $199 per copy.

To update your contact information and preferences, please visit https://www.AmericanConference.com/preference-center/.

Refund and cancellation policies can be found at https://AmericanConference.com/company/faq/.

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