Virtual Proficiency Series on Export Administration Regulations - DS by C5Group

EARN CLE CREDITS

VIRTUAL PROFICIENCY SERIES

Export Administration Regulations CALENDAR-ALT October 4 – 27, 2021 (Eastern Standard Time) Learn and connect at this immersive, practical 4-week masterclass on EAR essentials.

Your 1-Month Passport to EAR Proficiency:

Practical Learning with Leading Exporters:

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

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Substantive resource materials for your daily work

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4 weeks, 2 sessions weekly

cogs 5 in-depth modules

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28 hours of true professional development 4 hands-on, practical sessions with case studies and hypotheticals

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Certificate of completion + CLE credits globe clock

Schedule permits attendance in all time zones

Gulfstream Aerospace Boeing Oshkosh Media Partner:

video 8 session recordings for future reference REGISTER NOW

AmericanConference.com/Proficiency-EAR • 888 224 2480

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.

The Essential Passport to Proficiency for:

Your Building Blocks for EAR Proficiency

Empowered Officials

WEEK 1 Oct. 4th & 6th

WEEK 2 Oct. 12th & 13th

WEEK 3 Oct. 18th & 20th

WEEK 4 Oct. 25th & 27th

Roadmap and Classification

Deemed Exports and Technology Transfers Part I

Licensing Requirements and Exceptions Part I

EAR Enforcement & Compliance in Practice

The Military End Use/ Military End User Rule and the Direct Product Rule, with Hypothetical Exercises

Deemed Exports and Technology Transfers Part II

Licensing Requirements and Exceptions Part II

Review of Proficiency Assignment and 1:1 Q&A

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

True Professional Development for Success on the Job

• International Trade Compliance

Your Blueprint to Proficiency: Immersive and Practical

• Government Contracting

• Interactive format that encourages dialogue with attendees and speakers • Convenient and easy to follow: Fits around your schedule, 2 times 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

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

2 | #EARProficiency

twitter: @ACI_IntTrade linkedin: ACI: International Trade: Legal, Regulatory and Compliance Professionals

EXPERT INSTRUCTORS: Learn from Expert Instructors with Verified Subject-Matter Expertise and Proven Track Records: Laura Molinari Director, Licensing + Policy Global Trade Controls The Boeing Company Debbie Shaffer Senior Manager, Global Trade Compliance L3Harris Technologies Ken Nichol Director, International Trade Compliance Gulfstream Aerospace David Martell Director, Global Trade Compliance Oshkosh Corporation Bob Vander Lugt Partner Little, Rothwell & Vander Lugt, PLLC Gary Stanley President Global Legal Services PC

Melissa Duffy Partner Fenwick & West LLP

Jeremy Huffman Corporate Counsel Northrop Grumman

Thad McBride Partner Bass, Berry & Sims PLC

Alexandra S. Haney Senior Trade Counsel and Director Flex Ltd.

Lexia Krown Vice President, Global Trade Compliance Colfax.

John Tipton Senior Manager, Global Classification Flex Ltd.

Nate Bolin Partner DLA Piper LLP

Robert Duerr Executive Vice-President and Principal Consultant TechCEL LLC

Kay Georgi Partner Arent Fox LLP

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Peter G. Feldman Partner Dentons

Doris VanMilligan Export Compliance Manager Global Trade Compliance

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.

AmericanConference.com/Proficiency-EAR • 888 224 2480

Part of ACI’s PROFICIENCY SERIES

WEEK 1: October 4th, 2021 • 2:00 – 5:30pm EST MODULE 1: ROADMAP & CLASSIFICATION YOUR U.S. EXPORT CONTROLS ROADMAP: A Review of Key Concepts, Agencies, Their Jurisdictions and Roles – and Who to Contact for What Bob Vander Lugt Partner Little, Rothwell & Vander Lugt, PLLC

John Tipton Senior Manager, Global Classification Flex Ltd.

Robert Duerr Executive Vice-President and Principal Consultant TechCEL LLC

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-ACCL and CCC • What are EAR-controlled commodities, technology and software?

• Best practices for navigating CCL categories, product groups and series

• Understanding the 10 categories under the Commerce Control List (“CCL”) under 15 CFR §774, Supplement 1: EAR99, 600-Series, and other ECCNs

• 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

• 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?

• Determining the right ECCN for technology and software, including emerging technologies

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

4 | #EARProficiency

twitter: @ACI_IntTrade linkedin: ACI: International Trade: Legal, Regulatory and Compliance Professionals

WEEK 1: October 6th • 2:00 – 5:30pm EST MODULE 2: TWO TRICKY EAR AREAS The Military End Use/Military End User Rule and the Direct Product Rule, with Hypothetical Exercises 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”

• 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 • 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, • Regional Stability (RS) controls for certain items: “Y” paragraph of 600-series and repair, overhaul, refurbishing, ‘development,’ or ‘production,’ of military items.” 9×515 ECCNs • 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

• 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?

• How the EAR defines “knowledge”

• ECCNs that are subject to the rule

• Understanding BIS Know-Your-Customer (KYC) rules and guidance

• Determining if and when an item is a direct product of technology or software

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.

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

AmericanConference.com/Proficiency-EAR • 888 224 2480

Part of ACI’s PROFICIENCY SERIES

WEEK 2: October 12th, 2021 • 2:00 – 5:30pm EST

WEEK 2: October 13th, 2021 • 2:00 – 5:30pm EST

MODULE 3

Part I: Deemed Exports and Technology Transfers

Part II: Deemed Exports and Technology Transfers

Laura Molinari Director, Licensing + Policy Global Trade Controls The Boeing Company Debbie Shaffer Senior Manager, Global Trade Compliance L3Harris Technologies Kay Georgi Partner Arent Fox LLP

Melissa Duffy Partner Fenwick & West LLP

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Alexandra S. Haney Senior Trade Counsel and Director Flex Ltd.

Doris VanMilligan Export Compliance Manager Global Trade Compliance

Sections 734.2(b), 734.15 and 734.20: Technology Transfers Under the EAR • How to define “technology” and “technical data” under the EAR

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: Antidiscrimination 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

• 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.

quote-left I had fun and it was nice to engage with others in the field who are having similar challenges. It was a great session. I plan to dial in to future sessions. quote-right – GULFSTREAM AEROSPACE CORPORATION

6 | #EARProficiency

twitter: @ACI_IntTrade linkedin: ACI: International Trade: Legal, Regulatory and Compliance Professionals

WEEK 3: October 18th, 2021 • 2:00 – 5:30pm EST

WEEK 3: October 20th, 2021 • 2:00 – 5:30pm EST

MODULE 4

MODULE 4 Part II: Licensing Requirements and Exceptions

PART I: Licensing Requirements and Exceptions Nate Bolin Partner DLA Piper LLP

Lexia Krown Vice President, Global Trade Compliance Colfax.

Jeremy Huffman Corporate Counsel Northrop Grumman

Thad McBride Partner Bass, Berry & Sims PLC

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 • 600 Series licensing and associated challenges • 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 » statement of ultimate consignee and purchaser » Technology Control Plans and other detailed information for deemed export applications • The approvals process, expected timeline and how to reduce the risk of delay

The Ins and Outs of EAR Licensing Exceptions: How to Determine If, When and How They Apply • Application and significant developments related to key exceptions, including: » Additional Permissive Reexports (APR) » Shipments of Limited Value (LVS) » Servicing and Replacement of Parts and Equipment (RPL) » Shipments to Country Group B Countries (GBS) » Strategic Trade Authorization (STA) » Technology and Software Under Restriction (TSR) » Technology and Software Unrestricted (TSU) » Aircraft, Vessels and Spacecraft (AVS) » Temporary Imports, Exports, Re-Exports, and Transfers (TMP) » Encryption Commodities, Software, and Technology (ENC)

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 to help you apply and take advantage of license exceptions in a practical manner. Ample time will be left for Q&A. As a closing segment, instructors will provide additional clarification and guidance, and take your questions.

• 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

AmericanConference.com/Proficiency-EAR • 888 224 2480

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Part of ACI’s PROFICIENCY SERIES

WEEK 4: October 25th, 2021 • 2:00 – 5:30 pmEST MODULE 5: EAR ENFORCEMENT & COMPLIANCE IN PRACTICE David Martell Director, Global Trade Compliance Oshkosh Corporation

Peter G. Feldman 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

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

• How exporters are upgrading their tracking of classification and re-classification

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

• Recordkeeping do’s and don’ts

• Where the exporter’s responsibility for third party compliance begins and ends

• BIS “Know Your Customer” Guidance, Supply Chain-Screening and Red Flags: The Essentials of Vetting Third Parties, End-Users and End-Uses

• Vetting and due diligence of third parties, including subcontractors, freight forwarders, distributors, customs brokers, customers, re-sellers and others

• What are the most important risk areas to consider when screening, vetting, and choosing suppliers?

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

• How to monitor supplier and other third-party outsourcing activities

• Overview of BIS “Know Your Customer” Guidance

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

quote-left Already the first module was a great opportunity to get to work with seasoned trade compliance professionals in an in-depth discussion of very complex trade compliance subjects with the upcoming generation of trade compliance leaders. The presentations were challenging and the very thought-provoking questions from the audience were even more so. All in all, it was an excellent way to spend an afternoon. quote-right – LEONARDO DRS

8 | #EARProficiency

twitter: @ACI_IntTrade linkedin: ACI: International Trade: Legal, Regulatory and Compliance Professionals

WEEK 4: October 27th, 2021 • 2:00 – 5:00pm EST MODULE 6: REVIEW OF PROFICIENCY ASSIGNMENT AND 1:1 Q&A Nate Bolin Partner DLA Piper LLP

PENCIL-ALT

Ken Nichol Director, International Trade Compliance Gulfstream Aerospace

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 the 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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ACI certifies this activity has been approved for CLE credit by the New York State Continuing Legal Education Board. 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. For more information on ACI’s CLE process for virtual events visit: www.americanconference.com/accreditation-instructions-for-virtual-attendance/

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