Re gis t an er by dS AV 4 Oc E £ tob 35 er 0
5th Advanced Forum on
Business Information In A Global Context
ITAR
Compliance for European Operations
22nd – 23rd January, 2014
St James Court London a TAJ Hotel
Keynote and Government Speakers:
Your comprehensive guide to ITAR, EAR and Export Control under the NEW Reform
Kevin Wolf, Assistant Secretary of Commerce, Export Administration, Department of Commerce (USA) Michael McGonigle, Assistant Attache, Department of Homeland Security I.C.E. (UK) Warren Bayliss, Assistant Head International Relations Group, Defence Equipment & Support UK Ministry of Defense (UK)
Pierre Cardin, Sr VP, Group Export Compliance Officer, Airbus Group Susan Griffiths, Head of Export Control UK MBDA
Get an Exclusive In-depth Guide to U.S. Export Control Reform:
Exclusive Opportunity to Discuss Benchmarking and Practical Strategies with Industry Experts: Kathleen Lockhard Palma Senior Counsel, GE Aviation (USA) Member of President’s Export Council Subcommittee on Export Administration (PECSEA) 2011 – 2013 Debi Davis Vice President, International Trade & Compliance, United Technologies Corporation (USA) Brinley Salzmann Director – Overseas and Exports ADS Group Ltd (UK) David Wilson Enterprise Services Export Compliance HP (UK) Sue Tooze Deputy Head of Trade Controls BAE Systems (UK) Darrell Coleman VP Trade Compliance DynCorp International LLP (USA) Member of President’s Export Council Subcommittee on Export Administration (PECSEA) 2011 – 2013 Laurence Carey Export Control and Offset Manager Marshall Aerospace (UK) Hakon Lindteigen Compliance Officer, Kongsberg Defense and Aerospace (Norway) Portfolio Sponsor:
Candace Goforth, former Director, Office of Defense Trade Controls Policy, Directorate of Defense Trade Controls, Department of State (USA) Steve Pelak, former Deputy Chief, Counter Espionage Unit, Department of Justice (USA)
Conference Co-Chairs:
» Understand the impact of current and impending reforms on key industries, from a European perspective » Learn how to prioritise and streamline your reclassification process as items move from the USML to the CCL » Prepare your organisation for the different challenges of dealing with ITAR and EAR items during the transition period
Walk away with Practical Techniques and NEW Takeaway Materials to Strengthen Your Compliance and Risk Management Strategy: » Fortify and integrate your export compliance programme to meet all requirements under ITAR, EAR, Anti-Corruption and local export controls » Mitigate the global export control risks in your supply chain and reduce the risk of data transfers » Develop best practices for managing your existing licenses and agreements during the transition period » Learn how to handle the changing definitions and application of existing rules such as “Specially Designed” items, the “De Minimis” rule, and “Brokering” activities » Know how to react when things go wrong: How, When and Who to disclose to, to mitigate fines
Enhance Your Experience by Taking Part in our Highly Interactive and in-depth Master Classes: A Fundamentals of ITAR and EAR Compliance in Practice: Key Concepts and Requirements under the Export Control Reform Act
Up to 25.0
CPD
B Technology Transfers and Deemed Export Compliance: Advanced Best Practices for Overcoming Complex Emerging ITAR and EAR Challenges C Survival Essentials: Developing a State of the Art Compliance Programme as a Small/Medium Sized Enterprise
Associate Sponsors:
Networking Drinks Sponsor:
To register call +44 (0) 20 7878 6888 or register online at www.C5-Online.com/ITAR
Export Control Reform Has Arrived — Are You Ready? Ensure Your ITAR & EAR Compliance Programme is Updated and Strengthened to Meet the Challenges of Regulatory Reform October 2013 and January 2014 see the initial categories of items move from the USML to the ‘600 series’ list and the CCL. This significant reclassification task coincides with a host of new challenges posed during the transition period, including modified licenses and agreements, revised definitions and new enforcement priorities. For many companies this will mean operating under the jurisdiction of the EAR for the first time, and it is essential to administer a robust implementation plan to deal with this new risk throughout your supply chain.
Attending this Essential ITAR Event will Equip Your Company with the Practical Tools to Mitigate Risks and Avoid Violations Whether you are a first tier exporter or a relatively small supplier, export control reform will affect your ITAR licensing and classification requirements. The reform creates an opportunity to streamline processes and improve efficiency, however it also exposes your organisation to a multitude of new risks if you fail to adapt to the required changes. C5’s exclusive Forum will bring together an international and regional faculty of U.S. and UK Regulatory Officials, Senior In-house Trade Control Experts and ITAR Compliance Specialists, to provide you with practical insights on: » The best step-by-step approach to reclassifying your items on the ‘600 series’ list » Reducing the downstream and upstream global export control risks in your supply chain » Best practices for managing your existing licenses and agreements during the transition period » How to handle the changing definitions of “Specially Designed” items, the “De Minimis” rule, and “Brokering” activities » Mitigating the risk of Data Transfers and Deemed Exports » Managing the conflicts between US screening requirements and EU privacy laws » New enforcement trends and how to prevent inadvertent violations » How to react to a discovered/potential violation: best approaches for voluntary disclosure
Customise and enrich your conference experience by engaging in our acclaimed Master Classes:
A B
NEWLY UPDATED! Fundamentals of ITAR and EAR Compliance in Practice: Key Concepts and Requirements under the Export Control Reform Act
C
Survival Essentials: Developing a State of the Art Compliance Programme as a Small/Medium Sized Enterprise
Technology Transfers and Deemed Export Compliance: Advanced Best Practices for Overcoming Complex ITAR and EAR Challenges
Designed to address your organisation’s regional ITAR & EAR compliance challenges, and featuring a world class faculty, this is the most comprehensive event of its kind on the market. Guarantee your seat today by calling: +44 (0) 20 7878 6888, faxing your registration form to +44 (0) 20 7878 6885 or registering online at www.c5-online.com/ITAR
WEBCAST
Media Partners:
£545
Can’t take time out of the office? Attend the conference from the convenience of your home or office. Save money on travel and view the conference according to your own schedule. This interactive live webcast allows you to participate in the sessions as they occur, download handouts, and ask speakers questions.
@C5Live #C5ITAR
International Trade Compliance Experts: Networking Group
If you can’t watch the live feed, the recorded archives of the presentations will also be available for you to view for 45 days after the conference is over, so you can re-watch sessions, or view any sessions you may have missed.
Global Sponsorship Opportunities
A Must-Attend Event For
C5 works closely with sponsors to create the perfect business development solution catered exclusively to the needs of any practice group, business line or corporation. With over 500 conferences held in Europe, Russia and the CIS, China, India, the US and Canada, C5, ACI and CI provide a diverse portfolio of first-class events tailored to the senior level executive. For more information about this program or our global portfolio, please contact: Evi Kartsouni on +44 (0)20 7878 6955 or email e.kartsouni@C5-Online.com
• Vice Presidents/Heads/Officers/ Directors/Managers of: - Export Controls - Export Compliance - Procurement/Purchasing - Marketing and Sales - Project/Programme - International Contracts Managers - Export Licensing - Classification - Internal Audit - Engineering
• In-House Counsel - International Trade Counsel - Import/Export Compliance - Trade and Regulatory Counsel • Export Control Lawyers and Consultants • Export Compliance Specialists
@C5Live #C5ITAR
Pre-Conference Master Class Tuesday 21st January 2014
A
9:00 – 17:00 Fundamentals of ITAR and EAR Compliance in Practice: Key Concepts and Requirements under the Export Control Reform Act Triplett Mackintosh Partner, Holland and Hart (USA) Steve Pelak Partner, Holland and Hart (USA) Former Deputy Chief, Counter Espionage Unit, Department of Justice (USA)
14:00
• • • • • • •
15:15 15:45
Back by popular demand but with a refreshed approach for 2014, featuring practical exercises and invaluable takeaway material: this exclusive and interactive master class guides you through the essential foundations of ITAR and EAR compliance.
Fundamental Elements of Building an Effective ITAR / EAR / Anti-Corruption Compliance Programme
• Key compliance elements from the corporate statement of commitment, to execution of order • Importance of incorporating ITAR into a broader compliance programme -- Integrating ITAR, EAR, anti-corruption, anti-boycott and other controls • Management of training to the processes • Internal audits and updates • Generating defensive data • Establishing a process for reporting concerns
10:15 10:45
Morning Refreshments
More Essential Elements: Jurisdictions and Technology Control Plans
• Commodity Jurisdiction -- Working out who has jurisdiction -- Understanding the guidelines for determining jurisdiction -- Jurisdictional reviews as defensive strategy • Classification -- Distinguishing ITAR and EAR analyses -- Executing self-assessment procedures to accurately classify items and technology -- The “See Through Rule” versus the “De minimis Rule”: when and how they apply -- Introduction to “Specially Designed” items -- Duty to classify: assigning responsibility between the supplier and importer • Technology Controls -- Implementing an effective Technology Control Plan (TCP)
12:00 13:00
Networking Lunch
Strategies for Protecting Your Company from Unsophisticated U.S. Parties
• How to keep unauthorised data out, and deal with it when it comes in • The importance of being involved in the process to apply for DSP-5 and other authorisations • Importance of ensuring that all specification and information relevant to manufacturing, and relevant data are taken into consideration when the license is submitted • Execution of authorisations, monitoring and record-keeping • Checklist of key clauses with direct impact on European Companies’ conduct • Failure protocol
Who should conduct ITAR and EAR risk assessments? When and how to make risk assessments effective What controls to put in place when you identify a high risk How to structure and conduct an internal investigation Immediate remedial measures if you find a suspected violation Internal control and disclosure requirements The value of defensive data
Afternoon Refreshments
Roundtable on Enforcement and Best Practices for Disclosure • Overview of enforcement trends -- New priorities under EAR and ITAR -- Lessons learned from recent cases -- Common at-risk areas and ‘red flags’: what triggers U.S. government investigation? • Disclosure -- When, how and who to disclose to when you discover an unintentional breach -- Opportunities for voluntary disclosure and their role in prosecutions -- Understanding your legal obligation to disclose information -- Best practices for dealing with the DDTC, BIS, OFAC and DOJ
16:45 17:00
Question and Answer Session Workshop Ends
Main Conference Day One: Wednesday 22nd January 2014
8:00 8:45
Registration Begins and Continental Breakfast Opening Remarks from the Chair
Pierre Cardin, Sr VP, Group Export Compliance Officer, Airbus Group Susan Griffiths, Head of Export Control UK, MBDA 9:00
US EXPORT CONTROL REFORM ROUNDTABLE
9:00
ITAR / EAR Risk Assessments and How to React When Things Go Wrong: Management of Internal and Government Investigations
US Export Control Reform Roundtable: How to Prioritise Your Compliance Approach to Handle the Latest Reforms
Alexander Groba Coordinator U.S. Export Control Regulations Airbus Group Kathleen Lockhard Palma Senior Counsel, GE Aviation (USA) Member of President’s Export Council Subcommittee on Export Administration (PECSEA) 2011 – 2013 Darrell Coleman VP Trade Compliance, DynCorp International LLP (USA) Member of President’s Export Council Subcommittee on Export Administration (PECSEA) 2011 – 2013 Candace Goforth Managing Director, Goforth Trade Advisors LLC (USA) Former Director, Directorate of Defense Trade Control (DDTC) Join U.S. Government officials and respected industry experts as they examine the impact of the current and impending reform changes, from a European perspective, and assess how companies should prioritise their Compliance approach. • Reform Timeline Updates -- October 2013 Categories -- January 2014 Categories -- Upcoming changes • Impact on major affected industries — Impact Risk Assessments and lessons learned from the October changes • Overview of biggest challenges
To register call +44 (0) 20 7878 6888 OR fax +44 (0) 20 7878 6885
10:00
ITAR Enforcement Overview: What Impact Does the Reform Have on Enforcement Priorities?
• How do items moved to the ‘600 series’ need to be treated differently? • Application of the de minimis rule for items on the ‘600 series’ compared to ‘regular’ CCL items -- When you need to apply it -- Practical examples of how to apply it • ITAR congressional notification requirements and Special Reporting • Strategic Trade Authorisation (STA) Exceptions for ‘600 series’ items -- Understanding when to apply STA’s. -- Duty to log shipments and record written assurances from consignees -- Limitations of the exception: circumstances where it may be easier to obtain a license • Special requirements for Automated Export System (AES) filing • What information needs to be recorded on the Destination Control Statement (DCS)? • How to determine export and re-export license requirements for items on the ‘600 series’
Michael McGonigle Assistant Attache, Immigration and Customs Enforcement (ICE), Homeland Security (USA)
Prevent your organisation from repeating others’ mistakes with a ‘lessons learned’ approach to the latest ITAR enforcement cases and insights from the major Enforcement agencies about how the reforms will change the focus and thresholds of Enforcement, during and after the transition period. • How will the different agencies approach enforcement during the Transition period? • What are the major red flags that alert agencies to wrongdoing? • Personal Liability — under what circumstances will personal criminal prosecution be sought? -- What roles within the company are at-risk and the best practices to protect these people -- How to protect yourself when: ▪▪ You know a violation may have occurred ▪▪ You had the responsibility for knowing that a violation may have occurred • Extradition: changes arising from the Christopher Tappin, Hawk Air Defense Missile Batteries to Iran case • Key lessons learned from other recent prosecutions including: Raytheon, (Visali Tsishuk) Thermal Imaging Equipment to Belarus, Precision Image Corporation • The Aeroflex Consent Agreement — implications for automated compliance solutions • Deep dive case study to be announced
10:45 11:00
12:30 13:45
This session will be delivered via Webcast Receive practical guidance from the U.S. Department of Commerce in terms of how to apply the new definition of “specially designed” when classifying items : • How has the definition changed • Remaining differences of the definition under ITAR and EAR • How to treat a ‘specially designed’ item that has moved from the USML to the ‘600 series’ list or the CCL • Streamlined Approach to applying the Specially Designed Test: -- Identifying the different approaches for “End items and material” versus “parts, components, accessories, attachments and software” -- When should you look to Paragraph B first? -- Understanding commodity/software exclusions based on paragraphs b (4), (5), or (6) ▪▪ What documents are needed to establish the exclusion? -- Interpreting use of the term “reasonable expectation” in paragraphs (b)(4) and (b)(5) -- What action to take if you are still unsure of whether something is “specially designed” after applying the test -- Critiques of the new definition — where confusion is likely to arise
Reclassifications Part One: A Step-by-Step Approach to the Reclassification of Goods
Debi Davis Vice President, International Trade & Compliance, United Technologies Corporation (USA)
11:45
Reclassification Part Two: Applying the New “De minimis” Rule and Managing the Key Challenges of Items on the CCL ‘600 series’
Candace Goforth Managing Director, Goforth Trade Advisors LLC (USA) Former Director, Directorate of Defense Trade Control (DDTC) Recognising which items are moving during reclassification is just part of the challenge, the next step is grasping the intricate differences between the way that items are handled under the different systems. This session examines the nuances of items on the ‘600 series’ list, including:
Unraveling the Confusion Around “Specially Designed” Items — A Practical Approach to Applying the New Definition(s)
Kevin Wolf Assistant Secretary of Commerce, Export Administration, Department of Commerce (USA)
Morning Refreshments
The most labor intensive aspect of the reform is the reclassification of items, and without proper implementation many companies will fail,, potentially leading to sanctions. This session provides a step-by-step approach to apply the new classifications, and work with your supply chain during the transition period: • Understand the core differences between a USML category classification and a CCL, ECCN classification • Overview of which items are being re-classified under the reform and when? • What control measures should be put in place during the reclassification? • How to work with US suppliers during the reclassification period -- What information to request, and what are US suppliers now legally obliged to provide? -- What to do if suppliers don’t cooperate? • Are your Commodity Jurisdictions still valid? -- When can you rely on self-determinations based on existing C’s -- How to react if your supplier is no longer in business • Introduction to the catch-all provisions of the USML • Practical examples of reclassification • Lessons learned from reclassification challenges posed by Categories XIII and XiX
Networking Lunch
14:45
Managing Export Authorisations during the Transition Period: How to Maximise Efficiency While Minimising Risk Emily Cromwell Senior Manager, Customs & Global Trade, Deloitte (UK) Darrell Coleman VP Trade Compliance, DynCorp International LLP (USA)
A key aspect of your response to Export Control Reform will be your approach to the management of existing Licenses. Ensure you maximise your efficiency and minimise risk by understanding: • What effect the October and January changes have on existing licenses -- Specific action that needs to be taken -- Enacting monitoring provisions to ensure compliance doesn’t expire -- Practical advice on how to manage: ▪▪ DSP-5 licenses with all items transitioning to the CCL ▪▪ DSP-5 licenses with some items transitioning to the CCL and some items remaining in the USML ▪▪ DSP-61 and DSP-73 licenses
To register call +44 (0) 20 7878 6888 OR fax +44 (0) 20 7878 6885
• How will different agencies handle license applications post-reform? -- Overview of the EAR licensing process and exceptions -- Bulk licenses — what types will the Department of Commerce allow? • What is the effect on existing Commodity Jurisdictions? • What are your ITAR registration requirements if your items no longer fall under the USML? • To what extent do the terms and conditions of contracts, licenses, agreements and authorisations need to be adhered to after items move from the USML to the CCL -- What to do when you’re half way through an agreement that will fundamentally change as a result of the Reform • When and why to keep existing authorisations from the State Department in place for the permitted time period • Anticipated changes to re-export and re-transfer authorisations following the reform: what authorisations will be required?
15:45 16:00
Day Two: Thursday 23rd January 2014 8:30 9:00
9:15
Reducing the Risk of Data Transfers and Deemed Exports/Re-exports
Chairs Closing Remarks and Networking Drinks Reception
Fortifying Your Compliance Approach: Integrating ITAR, EAR and Anti-Corruption Risk Analysis and Utilising the US/UK Defense Treaty to Strengthen Your Compliance Programme Jeffrey W. Cottle Partner, Steptoe and Johnson LLP (UK) Joshua Fitzhugh Head of Trade Controls, BAE Systems (UK) Warren Bayliss Assistant Head, International Relations Group Defense Equipment and Support UK Ministry of Defense
Drawing on the experiences of various industry perspectives, this roundtable considers the best practices and key challenges of integrating ITAR as part of your broader compliance approach, including: • Recognising the different challenges of ITAR, EAR, OFAC and Anti-Corruption -- What is expected at each stage of the reform? • Understanding where the challenges are inter-related -- Understanding and applying ITAR and EAR as one regulation -- Synthesising your Compliance programme to handle all risks -- Ways to streamline — Avoiding duplication of requirements • ITAR Part 130: Monitoring bribery and anti-corruption concerns as part of your ITAR compliance -- Ensure that you don’t face parallel ITAR sanctions/debarment for violations -- How to establish a comprehensive monitoring programme • Implementing US Embargo and EAR Special Country Controls -- Office of Foreign Assets Controls (OFAC) licensing and approval -- Specially Designated Nationals and Country Controls • How to Use the UK/US Treaty to gain a Competitive Advantage -- What transactions and programs are eligible -- Adapting your compliance programme to become a member of the ‘Approved Community’ -- Contrasting requirements, risks and penalties for non-compliance of Treaty vs ITAR • Essential aspects of your Compliance Approach -- Key factors that different agencies look for when assessing the effectiveness of a programme -- Lessons learned from Enforcment actions — what steps have companies been asked to take? • Top strategies for creating a culture of corporate export control compliance • Internal Audit Approach -- Recommended changes under the reform
David Lorello Partner, Covington & Burling LLP (USA) Sue Tooze Deputy Head of Trade Controls, BAE Systems (UK)
17:00
Opening Remarks from the Chairs
Susan Griffiths, Head of Export Control UK, MBDA
Afternoon Refreshments
Understand how your approach to data and IT needs to be factored into your ITAR compliance strategy, and learn how to utilise best practices and compliance solution programmes to mitigate a range of risks associated with Data transfer and Deemed exports: • Ensuring proper (re)classification of technical data, software and classified info under EAR and ITAR -- Top tips for working with your IT team to get internal systems (e.g. SAP) reconfigured to incorporate the reclassification and movement of items • How to manage access to and disclosure of sensitive data -- Implementing Technology Control Plans -- Handling email data, server access and downloads -- What can be disclosed to insurers -- How to conduct self-audits and risk assessments of your systems to detect potential weaknesses • Managing the risk of deemed exports -- Completion of the I-129 form -- How to determine when a foreign national would be subject to the “deemed export” rule -- Understanding how to apply exemptions -- Best practices for working with deemed ‘re-export’ licenses • The future of Cloud Storage for ITAR Data -- Does ITAR apply to data stored in the cloud, if the cloud servers are located outside the U.S.? -- Will the definition of “export” be revised to exclude encrypted data? • Regulatory Updates and Enforcement Developments -- What the Precision Image Corporation case teaches us about enforcement -- Implications of the 2014 National Defense Authorisation Act ▪▪ Control of “cyber weapons” and the impact on Dual-use software • How can System Compliance Solutions be incorporated into your strategy to enhance compliance -- Impact of the Aeroflex consent agreement: Requirement to introduce automated compliance systems throughout supply chain and subsidiaries
Morning Refreshments
10:30 10:45
Morning Refreshments
Mitigating Global Export Control Risks in Your Supply Chain: How to Manage the Major Upstream and Downstream Challenges Emily Cromwell Senior Manager, Global Trade and Customs, Deloitte (UK) Jim Huish, EMEA Trade Management, Eaton Corporation (UK)
One of the most significant challenges for ITAR compliance is mitigating the risk of non-compliance in your supply chain. It is essential that you have robust controls in place throughout every stage of the chain, and know exactly what information needs to be requested to ensure due diligence. This session will cover: • Best practices for assessing supply chain weaknesses -- What you can do to remedy identified weaknesses • How to perform effective third party liability assessments -- Red flags to watch out for -- Specific considerations for suppliers versus freight forwarders • How to collaborate with your supply chain to control ITAR Licensing issues
Fax order form to +44 (0) 20 7878 6885 or register online at www.C5-Online.com/ITAR
• • • •
11:45
What you need to request from U.S. suppliers Best practices for establishing clear lines of communication Management of liability assessment records What to do if you discover a violation by a third party: -- What are your audit rights? -- When/what to disclose -- What action to take — how to get out of a contract if you discover supplier non-compliance -- Assessment of potential liability
• How to interpret the new definition of defense services • Licensee and sub licensee considerations
15:00
Peter Lichtenbaum Partner, Covington & Burling LLP (USA)
Ensure that your organisation can react quickly to a potential/ discovered violation with this practical guide to conducting effective investigations and disclosure, including: • Understanding which department to contact and when -- Weighing the risks of non-disclosure -- What should be disclosed in the initial period -- How do the disclosure expectations of the Treasury, Commerce and State Departments differ? • When to launch an internal investigation -- Steps to take internally before disclosing -- When to contact outside counsel • Best practices for disclosure: -- How to “wipe the slate clean” -- Best ways to mitigate liability ▪▪ How to demonstrate the effectiveness of your compliance programme to mitigate penalties • Reacting to Corrective Actions -- Expectations depending on whether violations are one-off or part of a pattern -- Setting up effective monitoring • Lessons from recent cases of disclosure: Pratt Whitney, Raytheon
Brokering: Interpret the State Department Final Rules on Part 129 and Understand how they Affect Your Organisation Jack R. Hayes Of Counsel, Steptoe and Johnson LLP (USA) Joshua Fitzhugh Head of Trade Controls, BAE Systems (UK)
The long-awaited interim final rules on Brokering have a broad range of implications throughout the ITAR supply chain. Recognise how these will impact your organisation with an advanced analysis of: • How the new definitions of “broker” and “brokering activities” effect the supply chain -- Removal of the principal-agent requirement -- What type of activity will be encompassed by the new definitions? -- Types of activity no longer covered -- New Certification requirements for parent companies and subsidiaries • When will the DDTC be able to apply jurisdiction over foreign persons? -- Broadening the scope of jurisdiction -- Understanding what is meant by “foreign broker”? -- How will this be applied in practice? • How to apply the modified exemptions -- “End users”, “registration” and “prior approval” -- Should the exemptions apply to customs brokers? -- Updating standard agreements and contracts/licenses to meet the new requirements • What is the impact of the elimination of the “prior notification” requirement? • Conducting effective due diligence of third party brokers • How do you handle the amended reporting and procedural requirements -- Estimated burden hours to complete Annual Brokering Report and Brokering Prior Approvals • Lessons learned from the State Department Examples and BAE Systems case
12:45 14:00
15:45 16:00
Afternoon Refreshments
U.S. Screening Requirements and Exemption 126.18 — How to Reconcile the Conflicts between ITAR Screening and European Data Protection/ Anti-Discrimination Laws Brinley Salzmann Director – Overseas and Exports, ADS Group Ltd (UK) Matthias Rubner Partner, Latham & Watkins LLP (France) Laurence Carey Export Control and Offset Manager, Marshall Aerospace (UK)
Utilise our expert’s knowledge to navigate you through the conflicting requirements of ITAR screening and EU data protection and antidiscrimination laws, as we examine: • What are the key differences between ITAR and EAR screening requirements? -- How to identify areas where you can streamline processes • Which individuals and companies are candidates for Exemption under 126.18? • Balancing ITAR with UK/EU Data Protection directives -- Utilising the U.S.-UK Export Treaty ▪▪ How and when to apply the self-exemption rules ▪▪ Marking requirements ▪▪ How to use in the context of a multilateral programme -- Understanding the European Council Directive • Application of the ‘substantive contacts’ rule • How to approach recruitment for ITAR affected projects — ways to screen applicants without compromising local employment, data protection and discrimination laws -- Internal Company Screening — requests for voluntary info -- U.S. government/Host government screening -- Treating ITAR projects as Classified -- The draft EU data protection regulation: timeline and new sanctions • Lessons learned from recent litigation, including Segor v. Goodrich Actuation Systems
Networking Lunch
How to Initiate the Most Effective Approach to Your Pre-Existing Agreements and Programmes Debi Davis Vice President, International Trade & Compliance, United Technologies Corporation (USA) Kathleen Lockhard Palma Senior Counsel, GE Aviation (USA) Member of President’s Export Council Subcommittee on Export Administration (PECSEA) 2011 – 2013
All companies need to take a bespoke approach to the management of pre-existing agreements and programmes, based on a thorough analysis of their obligations and risks during the transition period. This session examines: • The Pro’s and Con’s of utilising the full transition period versus updating agreements • Specific guidance on how to handle: -- AG’s with all items transitioning to the CCL -- AG’s with some items transitioning to the CCL and some remaining on the USML ▪▪ Applying necessary amendments -- AG’s for the export of Defense Services ▪▪ When amendments to “re-scope” the agreement are required. • Different Agreement Considerations -- Technical Assistance Agreements (TAA’s) ▪▪ Clauses to carefully consider before amending these agreements -- Manufacturing License Agreements (MLA’s) -- Non-Disclosure Agreements (NDA) Requirements
How to React to an ITAR Violation: Key Considerations and Best Practices for Disclosure
17:00 17:15
Chairs’ Closing Remarks Conference Ends
To register call +44 (0) 20 7878 6888 OR fax +44 (0) 20 7878 6885
Post-Conference Master Classes FRIDAY 24th January 2014
B
9:00 – 12:30 Technology Transfers and Deemed Export Compliance: Advanced Best Practices for Overcoming Complex ITAR and EAR Challenges Sue Tooze Deputy Head of trade Controls, BAE Systems (UK) David Wilson Enterprise Services Export Compliance, HP (UK)
ITAR violations can occur with just one inadvertent click. The threats of potentially damaging violations are everywhere: from the sending of controlled information via emails, to forgetting to ask unauthorised parties to leave the room during ITAR sensitive meetings. This Master Class will provide you with a complete tool kit of best practices for safeguarding your ITAR and CCL controlled intangibles internally, and when working with third parties. • Scope of the rules governing the transfers of technology under ITAR: What technology is controlled • How to get the correct authorisations to legally transfer technology -- How to ensure IT service providers are covered on your TAA’s • Scope of rules governing deemed exports under ITAR -- language to use in contracts and agreements to clearly state that ‘deemed exports’ are prohibited • US Export Control Reform changes: -- differences of ‘deemed exports’ under ITAR and the EAR? • Working with your IT team to build a technology compliance programme that meets ITAR requirements -- reconciling data protection laws with your ITAR technical compliance programme -- Best practices for keeping your IT team up to date with the latest ITAR security measures • Ensuring technology is not inadvertently transferred without a license when working with third parties: Drafting contracts with watertight protections in place -- what to include in contracts as to who can and cannot access technology -- what clauses to include in a contract to ensure test reports are not sent without a licence -- training your contract teams on engineering terms and terminology as to avoid misunderstandings • Best practices for creating contractual obligations for suppliers to accurately mark all controlled exports • The future of Cloud Storage for ITAR Data -- Does ITAR apply to data stored in the cloud, if the cloud servers are located outside the U.S.? -- Are encrypted services such as CipherCloud a legitimate alternative for data storage -- Will the definition of “export” be revised to exclude encrypted data? -- What to do before switching the locations of servers • Putting policies into action to ensure compliance in everyday life -- enacting strategies into the work environment • Key considerations when using offshore call centres and service locations • Mitigating risks of ‘deemed exports’ in the work place: strategies to make avoiding ’deemed exports’ less onerous
Portfolio Sponsor: The Deloitte Customs & Global Trade (C&GT) practice has a worldwide network of over 500 international trade professionals, and over 1,500 Indirect Tax professionals, in over 90 countries. The team works seamlessly together to provide strategic and cost-effective customs, export control, supply chain and trade solutions to clients across the globe.
We have 3 key areas of focus — customs and excise, export controls and trade automation and approach international trade from a commercial perspective, helping clients to enhance their business operations through more effective management of import/export issues. We specialise in leading practice methodologies, developing global trade programs that address both international and local requirements and embed international trade controls into dayto-day business operations. This approach maximizes risk management, cost reduction and in turn, drives improved business performance.
C
13:30 – 17:00 Survival Essentials: Developing a State of the Art Compliance Programme as a Small/Medium Sized Enterprise Hakon Lindteigen Compliance Officer, Kongsberg Defense and Aerospace (Norway)
An in-depth and interactive master class specifically designed to tackle the challenges faced by small/medium sized businesses, when looking to establish an Export Control (inc. ITAR & EAR) Compliance programme. Join our experts as they provide the practical tools for strengthening your compliance, and guide you through real life examples of how to turn common SME obstacles into assets. • Core Elements to include in any ITAR compliance programme: what is actually necessary? -- what to include in the compliance manual -- What IT procedures are necessary -- Defining export control life-cycle project plans -- How to design robust training programmes • Understanding the crucial requirements and application procedures for licenses & agreements -- TAA’s, MLA’s and NDA’s -- Retransfer Approval Requirements • Documenting self-jurisdiction decisions and preparing commodity jurisdiction requests • How to overcome cost and manpower constraints: realistically determining how much money and manpower is needed to run a successful compliance programme that meets your company’s needs -- How to get management buy-in for a robust compliance programme -- Utilising the limited size of your firm to improve Reform and reclassification efficiency • Managing your supply chain: how to get very small and rural suppliers to recognise the significance of ITAR compliance • How to build upon compliance once compliance is achieved: -- What to do once you have your compliance programme established -- How to keep up to date on new regulations, cases, etc • Address the challenges of operating as a sub-licensee -- Re-export licenses • Challenges for Handling Electronics/PCB Items -- Impact of proposed changes to Category XI (Military Electronics) ▪▪ New licensing procedure -- Why inadvertent violations occur and how to mitigate the risk -- The danger of sourcing ITAR-controlled PCBs from non-ITAR facilities outside of the U.S. -- Application of the “specially designed” rules to PCB’s Associate Sponsors: AmberRoad, is the leading provider of Global Trade Management (GTM) solutions that improve the performance of global supply chains for importers, exporters, logistics service providers, and carriers. Combining an expansive trading partner network, enterprise class software and specialized trade content resources, our solutions address mission critical business challenges for all companies involved in global trade. These solutions include automating export processes, providing order and shipment visibility, calculating tariffs, duties and taxes, ensuring regulatory compliance (including Restricted Party Screening) and simplifying the financing, sourcing and transporting of goods across international borders. Visit www.amberroad.com for more information.
Covington & Burling LLP maintains one of the world’s leading Compliance and Securities Enforcement Practices. From its offices in Beijing, Brussels, London, New York, San Diego, San Francisco, Silicon Valley and Washington, Covington & Burling lawyers have developed cutting edge compliance policies and programs for its clients. The firm’s lawyers have also conducted gap analyses for leading companies in a variety of industries and taken the lead on many sensitive internal investigations globally.
With more than 500 attorneys in Europe, Britain, China and the US, Steptoe provides counsel and representation in a wide range of legal fields that cross borders and industries. We have one of the largest international law practices in the world, working with clients to seise opportunities, minimise risks and successfully navigate ever-changing regulations. We focus on international trade litigation and market access, EU law, export controls and international regulatory compliance, customs, global arbitration and international business transactions. Steptoe’s comprehensive international practice strives to devise consistent, creative and sophisticated solutions to advance the strategic goals of our clients.
Networking Drinks Sponsor:
Content Enablers is the world’s leading online provider of export compliance training. You can configure CE content into a targeted, global program:
• EAR, ITAR, FCPA and Customs content • Country modules • Translated and localized versions • Company-specific content
Fax order form to +44 (0) 20 7878 6885 or register online at www.C5-Online.com/ITAR
©C5, 2013
5th Advanced Forum on
ITAR Compliance for European Operations Your comprehensive guide to ITAR, EAR and Export Control under the NEW Reform
22nd–23rd January, 2014 | St James Court London a TAJ Hotel Priority Service Code 650X14.WEB
5
Business Information In A Global Context
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Administrative details Date: 22 – 23 January, 2014 Time: 8:00am – 5:00pm Venue: St James Court London a TAJ Hotel Address: 45 – 51 Buckingham Gate, London SW1E 6AF Telephone: 00 44 (0) 207 834 6655
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