Licensing Requirements and Exemptions

Calendar-alt Tuesday, October 31, 2023  Clock 1:00 p.m.–4:30 p.m. (ET)

Kelly McCorkle Senior Trade Advisor Schulz Trade Law PLLC

Darren Riley Partner Riley Trade Law PLLC

How to Prepare and Secure an ITAR License, TAA and MLA, and Reduce the Risk of RWAs: A Deep Dive into the Electronic Filing Process, License Application and Supporting Documentation

I. ITAR Licenses: A Deep Dive into Requirements for Securing a DSP-5, DSP-73, or DSP-61 and DSP-85

• When a DSP-5, DSP-73, or DSP-61, DSP-85 is required: The approvals process, how to expedite the process, timeframes and how to reduce the risk of delay

• Ensuring you get hardware and tech data included on a single license

• Returns: Special considerations

• Licenses in furtherance of agreements

• Constructing an accurate scope of export in your license application

II. ITAR Agreements: Demystifying TAAs, MLAs and WDAs

• Overview of the different types of ITAR agreements, what is required, the timeline, and how to reduce the risk of delay

• When and how to get TAAs, TAA Amendments, Re-Baselined TAAS and MLAs

• When to cover foreign nationals under MLAs and TAAs

• Drafting a license application: What to include, how to fill out the forms using DTrade2, and how to submit the application

• When to use a letter of intent to support a license request

• What DDTC expects beyond the written guidelines

• Structuring and valuing license authorizations

• Key reasons for RWA (Returns without Action) or license denials, and how to prevent them

• Degree of information expected by DDTC and DTSA in TAA scope of export and statement of work

• What DDTC and DTSA expect beyond the written guidelines

• Analysis of sample TAAs and MLAs

Hypothetical Exercises, Mock License Applications, Q&A and Review on the Do’s and Don’ts

Toward solidifying your understanding of licensing requirements and exemptions, 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 questions.

Vice President – Global Trade Compliance, Leonardo DRS

WEEK 3 MODULE 3 | PART 2

Licensing Requirements and Exemptions

Calendar-alt Thursday, November 2, 2023 Clock 1:00 p.m.–4:30 p.m. (ET)

Dilan Wickrema Foreign Affairs Officer Directorate of Defense Trade Controls (DDTC)

Open General Licenses (OGLs)

• What types of transfers do OGLs No. 1 & No. 2 authorize?

• How to use OGLs No. 1 & No. 2

• How to interpret the requirements of OGLs No. 1 & No. 2

• What you can’t use OGLs No. 1 & No. 2 for

• When a separate DDTC authorization is required for exports by US companies to the ultimate consignees under the OGLs

• When parties using the OGLs must notify all end-users and consignees that the defense articles are subject to US export control laws and regulations and include the destination control statement specified in the ITAR

Brokering Requirements

• Which activities constitute “brokering”? Who is considered a “broker”?

• When and how to register as a broker

• When and how to get brokering approval

• How to comply with reporting requirement

Kimberly A. Strosnider Partner Covington & Burling LLP

• Recordkeeping Requirements:

» How to maintain records of all reexports and retransfers, and identifying the OGL in any export documentation

» Description of the defense article, including technical data and more required records

» When DDTC may request to see your records to verify proper use of the OGLs

• How to interpret and use brokering exemptions

• Best practices for broker agreements and activities

• Monitoring compliance by agents and representatives

The Lengths and Limits of ITAR Exemptions – and the Costs of Getting Them Wrong

• U.S. person abroad/U.S. subsidiary

• U.S. Government exemption

• Canadian exemption

• Return and repair exemption

• Temporary Imports

• FMS exemption

Open Q&A with Faculty and Review of ITAR Licensing & Exemptions

• Re-exports to NATO, Australia or Japan

• UK and Australia ITAR exemptions

• University fundamental research exclusion

Toward solidifying your understanding of licensing requirements and exemptions, 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 questions.

ITAR Compliance in Practice: The Core Elements of an Effective Program, Due Diligence and Supply Chain Management

Calendar-alt Tuesday, November 7, 2023  Clock 1:00 p.m.–4:30 p.m. (ET)

Denise Lester Manager, International Trade Compliance Northrop Grumman

Olga Torres Founder and Managing Member Torres Trade Law, LLC

Review of ITAR Enforcement Cases and Practical Takeaways

Jack Hayes Of Counsel Steptoe & Johnson LLP

Experts will take you through the most important compliance lessons learned from key enforcement actions, and how exporters are updating their ITAR compliance programs and supply chain management in response.

The Nuts and Bolts of an ITAR Compliance Program

• Key elements and best practices for effective ITAR compliance

• Identifying and empowering the right internal resources and personnel

• Developing and updating your compliance manual, procedures and processes, including policy statements and message from senior management

• Creating an anonymous reporting tool and compliance hotline

• Ensuring that your program can adapt to new, evolving ITAR compliance risk factors

Third Party Due Diligence and Exporters’ Liability Risks: Supply Chain, End-Use and End-User Screening

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

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

• What to look for and ask at the due diligence stage

• Monitoring ITAR compliance of third parties

• Recordkeeping: What documents/information to collect from foreign third parties, and how to review them

• Building an effective end use/end user screening program

• Safeguards to implement for orders and shipments, and when to terminate the relationship because of export enforcement risks

What to Do If You Suspect or Discover an ITAR Violation: Real-World Guidance

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

• Top mistakes to avoid during a government and internal investigation

• Examples of how to strengthen an ITAR compliance program to meet agency expectations

Review of Proficiency Assignment and Q&A

Calendar-alt Thursday, November 9, 2023 Clock 1:00 p.m.–4:30 p.m. (ET)

Jahna Hartwig Senior Counsel Wilson Sonsini Goodrich & Rosati PC

Chris Stagg Counsel Miller & Chevalier Chartered

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 ITAR 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. There will also be ample time for additional, extended

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