Export Controls Overview

• Primary Regulations (ITAR/EAR/OFAC)
• U.S. Export Control & Defense Trade Policy
• Compliance Resources & Information
• Directorate of Defense Trade Controls (DDTC)
• Arms Export Control Act (AECA)
• International Traffic in Arms Regulations (ITAR)

Controlled Items & Activities

• ITAR-Controlled Items
  • Defense Articles; Technical Data; Defense Services
  • United States Munitions List (USML) & Identifying ITAR vs. EAR-Controlled Items
  • The Meaning of “Specially Designed”
  • Significant Military Equipment (SME)
  • Commodity Jurisdiction (CJ) Requests
  • Controls on Non-U.S. Items Containing US Content
  • Controls on Non-U.S. Items Produced Using US Technology
• ITAR-Controlled Activities
• Exports, Reexports & Retransfers
• Manufacturing of Defense Articles Outside the U.S.
  • Brokering
  • Name Changes, Mergers & Acquisitions
• Prohibited Countries & Debarred Parties

Licenses

• Types of DDTC Licenses
• Supporting the US Exporter’s Licensing Efforts
• General Correspondence (GC) & Retransfer Approvals for Non-U.S. Companies

Agreements and U.S. Government Approval

• Manufacturing License Agreements & Technical Assistance Agreements
• Agreement Application & Agreement Guidelines
• Scoping Agreements
• Sublicensing
• Dual/Third Country National Employees
• Handling Hardware in Agreements
• Warehouse & Distribution Agreements
• Agreement Amendments
• Government Review Process
• Congressional Notification
• Checking License Status
• End-Use Checks
• Expedited Licensing Programs

Exemptions & Exclusions

• Exemptions Available to U.S. Exporters
• NATO+ Retransfer Exemption
• Country-Based Exemptions: Australia, Canada and the United Kingdom
• Exemption for Reexports to Dual and Third Country National Employees of Non-U.S. Entities
• Public Domain and Basic Marketing Information Exclusions

Special Issues

• Exporting Defense Articles to the U.S.
  • Permanent and Temporary Imports into the U.S. (Including Repairs)
• Procurement in the U.S.
  • Brokering; “Who is a Broker?”; Brokering Activities
  • Prior Approvals, Exemptions & Reporting
• Political Contributions, Fees & Commissions

Compliance Programs

• Key Elements, Considerations & Procedural Approaches
• Risk Assessment & U.S. Government Program Recommendations

Export Control Reform (ECR) & Recent Developments

• ECR and Existing License/Agreement Transition Rules
• Latest ECR Regulatory Changes
• Other Recent Developments in the ITAR

ITAR Export Enforcement

• Enforcement Agencies & Methods; Fines & Penalties
• Voluntary Disclosures
• Enforcement Case Studies

*Timing and Order of agenda items subject to change

Introduction to the Export Administration Regulations

• U.S. Export Control Policies & Key Control Concepts
• Comparison to International Regimes & Extraterritoriality of Rules
• Primary U.S. Export Control Regulations
  • Export Administration Regulations (EAR)
  • International Traffic in Arms Regulations (ITAR)
  • Office of Foreign Assets Control (OFAC) Sanctions Regulations

EAR Controls

• STEP 1: Controls on U.S. Persons & U.S. Subsidiary Activities
• STEP 2: Sensitive U.S. Content Always Subject to Controls
  • 600-Series and 9X515 ECCNs Sensitive Content
  • United States Munitions List (USML) Content
  • Foreign Direct Products of U.S. Technology
• STEP 3: U.S. Content De Minimis Rules
  • De Minimis Calculations for Hardware, Software, and Technology
  • Rule of Second Incorporation
  • Software Bundling & Technology Reports
  • “Publicly Available” Software & Technology
• STEP 4: Export Control Classification
  • EAR, Commerce Control List, and ECCNs
  • Meaning of “Specially Designed”
  • Understanding EAR99
  • Technology & Software Classification
  • Working with U.S. Suppliers for Classifications
• STEP 5: “No License Required” Determination
• STEP 6: License Exceptions
  • Understanding Country Groups
  • Restrictions on Using Exceptions
  • ECCN-based License Exceptions (GBS, CIV, LVS, ENC)
  • Situation-based License Exceptions (STA, RPL, TMP, GOV, APR)
  • Technology & Software License Exceptions (TSU, TSR, ENC, TMP, CIV)
• STEP 7: End-Use and End-User Controls
  • Prohibited Parties; Embargoed Countries; Proliferation Activities
  • Red Flags
  • China, Russia, & Venezuela Military End-Use/User Rule
  • Other Military End-Use/User Restrictions
  • General Prohibitions
  • Antiboycott
  • Applying for a Bureau of Industry & Security License

Sanctions

• Office of Foreign Assets Control
• OFAC Embargoed Countries: Cuba, Iran, North Korea & Syria
• OFAC Licensing & Approval Policies
• Other OFAC Sanctions Programs
• US Sanctions on Russia, the Crimea Region of Ukraine, and Sudan
• Specially Designated Nationals

Compliance Programs

• Considerations & Procedural Approaches
  • Internal & External Compliance Resources
• USG Compliance Program Recommendations & BIS Core Elements
  • Management Commitment
  • Risk Assessment
  • Formal Written Compliance Program
  • Ongoing Compliance Training & Awareness
  • Compliance Throughout the Export Cycle
  • Recordkeeping Regulatory Requirements
  • Compliance Monitoring & Audits

Export Control Reform & Recent Events