Virtual Proficiency Series on Export Administration Regulations 2023 - WEB

Export Administration Regulations

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

Practical Learning with Leading Exporters:

Boeing

Comcast

SEKO Logistics

Google

L3 Harris Technologies

Your 1-Month Passport to EAR Proficiency:

Northrop Grumman

Textron Systems Corporation

TransDigm Group Inc.

CALENDAR-ALT Four weeks, Two sessions weekly cogs Five in-depth modules clock 28 hours of professional development

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

video Eight session recordings for future reference

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

File-Alt Substantive resource materials for your daily work

Certificate of completion + CLE credits

Schedule permits attendance in all time zones globe clock

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

September 12 & 14

Roadmap and Classification

The Semiconductor, MEU, and the Direct Product Rules

WEEK 2

September 19 & 21

Deemed Exports and Technology Transfers

WEEK 3

September 26 & 28

Licensing Requirements and Exceptions

WEEK 4

October 3 & 5

EAR Enforcement & Compliance in Practice

Review of Proficiency Assignment and Open 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, 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

• 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

#ACIConferences linkedin: ACI: International Trade: Legal, Regulatory and Compliance Professionals

The Essential Passport to Proficiency for:

Empowered Officials

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

EXPERT INSTRUCTORS:

Learn from Industry Professionals with Verified Subject-Matter Expertise and Proven Track Records:

Richard Baldwin

Director of International Trade Compliance

TransDigm Group Inc.

Nate Bolin Partner

DLA Piper LLP

Melissa Duffy Partner

Fenwick & West LLP

Michael Gershberg Partner

Fried, Frank, Harris, Shriver & Jacobson LLP

Alexandra Landis

Senior Director

Ankura

Lila Landis

Director, Global Compliance and Import Services

SEKO Logistics

Real-Life Benefits of Attending:

Laura Molinari

Executive Director, Licensing, Policy, Sanctions, and Compliance

Boeing Company

Luiz Prado

Program Manager, Legal Specialist, Global Trade Compliance

Google

Renata Rice Director, International Trade Compliance

Northrop Grumman

Lori E. Scheetz Partner

Wiley Rein LLP

Anne Scheinfeldt

Assistant Deputy General Counsel

Comcast Cable

Debbie Shaffer

Senior Manager, Sector Lead Commercial Aviation Solutions Sector

L3Harris Technologies

Jason Silverman Partner

Dentons US LLP

Mollie Sitkowski Partner

Faegre Drinker Biddle & Reath LLP

Bob Vander Lugt Partner

Little, Rothwell & Vander Lugt, PLLC

Clinton Yu Partner

Barnes & Thornburg LLP

WEEK

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

Laura Molinari Executive Director, Licensing, Policy, Sanctions, and Compliance Boeing Company

Michael Gershberg Partner Fried, Frank, Harris, Shriver & Jacobson LLP

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 and work with the agencies, and leverage online resources for keeping current.

JURISDICTION: EAR vs. ITAR

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

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

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

• What is a “re-export”?

• 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?

• Understanding the 10 categories under the Commerce Control List (“CCL”) under 15 CFR §774, Supplement 1

• EAR99, 600-Series, and other ECCNs

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

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

“SPECIALLY DESIGNED”

• Tips and tricks for self-determining items as “specially designed” and understanding exemptions

CCATs

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

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

• What is the Commerce Country Chart (“CCC”)

• 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?

• 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

• How to apply the “specially designed” criteria in the CCL

WEEK 1: September 14th, 2023 • 1:00–4:30pm Eastern/ 10:00am–1:30pm Pacific

MODULE 2: Tricky EAR Areas

The Semiconductor Rule, MEU and the Direct Product Rules

Lila Landis Director, Global Compliance and Import Services SEKO Logistics

Richard Baldwin Director, International Trade Compliance TransDigm Group Inc.

Clinton Yu Partner Barnes & Thornburg LLP

15 CFR Part 744-Military User and End-User Regulations: Need-to-Know Concepts for Semiconductor Equipment and Technologies, MEUs, 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

• EAR Section 744.22 restrictions on the export, reexport, and transfer of certain items for military-intelligence end uses

• Supplement No. 2 to Part 744: Items subject to the military end use/end user restrictions

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

15 CFR Part 744-Superconductor and Semiconductor Manufacturing End Use

• Product scope - what ECCNs are affected?

• End use scope - what activities are affected?

• 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, 5A002, 5D0002, 5A992, 5D992, 6A991, 6A996, and 9B990

• New ECCNs 3A090, 4A090

• Regional Stability (RS) controls for certain items: “Y” paragraph of 600-series and 9×515 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?

• How the EAR defines “knowledge”

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

• What territories are affected?

• Can license exceptions be used?

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 question .

WEEK 2: September 19th, 2023

• 1:00–4:30pm Eastern/ 10:00am–1:30pm Pacific

MODULE 3

Part I: Deemed Exports and Technology Transfers

Luiz Prado

WEEK 2: September 21st, 2023

• 1:00–4:30pm Eastern/ 10:00am–1:30pm Pacific

MODULE 3

Part II: Deemed Exports and Technology Transfers

Alexandra Landis

Program Manager,

Legal Specialist, Global Trade Compliance Google

Lori E. Scheetz Partner Wiley Rein LLP

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 effectively 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

Senior Director

Ankura

Melissa Duffy Partner

Fenwick & West 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.

linkedin: ACI: International Trade: Legal, Regulatory and Compliance Professionals

Provides in-depth, practical knowledge and experience that I will be able to take back to improve our processes and program.

OSHKOSH CORPORATION

WEEK 3: September 26th, 2023 • 1:00–4:30pm Eastern/ 10:00am–1:30pm Pacific

MODULE 4

PART I: Licensing Requirements and Exceptions

Debbie Shaffer

Senior Manager, Sector Lead Commercial Aviation Solutions Sector

L3Harris

Technologies

Jason Silverman Partner Dentons US 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

• 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

• 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

WEEK 3: September 28, 2023 • 1:00–4:30pm Eastern/ 10:00am–1:30pm Pacific

MODULE 4

Part II: Licensing Requirements and Exceptions

Renata Rice

Director, International Trade Compliance

Northrop Grumman

Nate Bolin Partner

DLA Piper LLP

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.

EAR Enforcement & Compliance in Practice and Perspectives on the Great Enforcement Shift

Anne Scheinfeldt Assistant Deputy General Counsel Comcast Cable

The Essentials of an Effective Export Compliance Program (ECP)

• What are the core elements of an effective export management and compliance program?

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

Mollie Sitkowski Partner Faegre Drinker Biddle & Reath LLP

• 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

• Screening based on the Denied Persons List and Entity List

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

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

• 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

The Great Enforcement Shift: Key EAR Enforcement Actions and Compliance Lessons Learned

• The New Disruptive Technologies Strike Force: Enforcement impacts

• How do enforcement agencies work together to enforce the EAR?

• What kinds of EAR violations trigger an enforcement response?

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

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

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

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

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.

VICE PRESIDENT – GLOBAL TRADE COMPLIANCE, LEONARDO DRS

MODULE 6

Review of Proficiency Assignment and 1:1 Q&A

Bob Vander Lugt Partner

Little, Rothwell & Vander Lugt, PLLC

pencil 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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