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University Export Controls Seminar Program

REGISTRATION & Continental Breakfast**:  8:00 - 8:30 AM on October 2, 2017
COURSE INSTRUCTION:  8:30 AM - 5:00 PM on October 2-5, 2017
**Continental breakfast, lunch and snacks are included with seminar tuition


SEMINAR HOME PAGE & REGISTRATION

Included with your seminar tuition are continental breakfast, lunch and snacks each day.  Each participant will receive a paper reference manual as well as a USB drive e-Manual in searchable pdf format.  A certificate is issued to each attendee upon completion of the seminar.  Export Compliance Professional (ECoP®
) Accreditation testing is optional for registered participants.

CORE INSTRUCTORS:
John Black / BSG Consulting

Scott Gearity / BSG Consulting

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DAYS 1 & 2
October 2-3, 2017

Introduction to Export Controls in a University Environment

  • (EAR/ITAR/OFAC)

  • US Export Control Policy & Primary Regulations

  • Major Categories of University Export Control Concern

  • What Makes Institutions of Higher Learning Different

Controlled Items & Activities

  • Exports

  • Deemed Exports to Foreign Nationals

  • Internet Exports & Cloud Computing

  • Reexports & In-country Transfers

  • Non-US Origin Items Produced with US Origin content or Technical Data

  • Other Export Control Regulated Activities

  • Controlled Items: Hardware, Software, Technology

  • Definition of “technical data,” technology,” and “defense services”

Fundamental Research Exclusion – Legal, Funder and University Perspectives

  • The fundamentals of the Fundamental Research Exclusion

  • Statutory and regulatory basis of FRE

  • Collaborating with funders on compliance

  • Understanding the intersection of export controls and federal contracts

  • Working with sponsors who are unfamiliar with fundamental research — or with a different understanding

  • Helping faculty, staff and students meet goals and stay compliant

  • Approaches when research includes restricted or proprietary information

Fundamental Research Panel Discussion

 

Higher Education After Export Control Reform

KEVIN WOLF
Partner / AKIN GUMP

Exclusions from the EAR

  • Publicly Available Technology and Software

  • Published Exclusion & Educational Information Exclusion

  • Patent Applications

Jurisdiction & Classifications (Exercises Workshop)

  • Jurisdiction: Which List Applies? (CCL / NEML / USML)

  • How To Classify an Item: Determining and Reading the ECCN

  • New 600 Series and 9X515 ECCNs

  • “Specially Designed” Definition, Exclusions & Implications

  • Requesting an Official Classification

  • Technology and Software Classification

  • Meaning of the General Technology Note

No License Required (NLR) (Exercises Workshop)


License Exceptions (Exercises Workshop)

  • Restrictions on the use of License Exceptions

  • License Exceptions for Technology

  • License Exceptions TSU, TSR, CIV, STA, TMP, AVS

  • License Exceptions Issues for 600 Series and 9X515 Technology

Catch All Controls (Exercises Workshop)

  • Prohibited Parties/Embargoed Countries/Proliferation Activities

  • Military End-Use/User (China, Russia, Venezuela)

  • Red Flags & EAR General Prohibitions

Grappling with OFAC Sanctions and Compliance

JEANETTE MILLER
Licensing Division Chief / OFAC (invited)

  • Major OFAC sanctions programs affecting universities

  • Embargoed Country Destinations

    • Cuba, Iran, Sudan, Syria, North Korea, Crimea, Others

  • Transactions Subject to Embargo Controls

  • Working with academic institutions and service providers

  • Considerations when contemplating research in sanctioned countries

License Applications

  • When and How to Make a License Application to BIS

  • Technology Licenses

  • Deemed Export Licenses

  • Special Support Documents & Requirements

  • SNAP-R / Electronic Filing / License Review Process

Focus on Hardware & Shipping Documentation

  • Hardware License Exceptions (GBS, CIV, STA, RPL, GOV)

  • Foreign Trade Regulations (FTR) & Automated Export System (AES)

  • Harmonized Tariff Schedule & Schedule B

  • Export Documents & Destination Control Statements

  • Special Requirements for 600 Series and 9X515

DAYS 3 & 4
October 4-5, 2017

Software, Encryption and Cybersecurity

FELICE LAIRD (invited)
Managing Director / Export Strategies, LLC

  • Understanding EAR encryption controls and classifications

  • Proposals on intrusion software delivery platforms and related technical data

  • Implications of the proposed harmonization of definitions of “export”

  • Compliance considerations in cyber attacks

Internal Control Programs
JENNIFER SAAK (invited)
Managing Director / Traliance

  • Effective Compliance Plans & Core Elements (BIS)

  • Resources: Where Can I Go for Help?

  • Export Compliance Transaction Checklists

  • Areas of Frequent Compliance Breakdown

UNIVERSITY COMPLIANCE ROUNDTABLE:  How Leading Research Universities Approach their Programs

  • MARY BERAN
    • Associate Director, Office of Research Integrity Assurance; Georgia Institute of Technology  
  • LAUREL DEAN
    • Associate Director & Export Compliance Officer;  The Ohio State University
  • ALLEN DIPALMA
    • Director, Office of Export Control Services; University of Pittsburgh
  • JENNIFER SAAK (invited)
    • Managing Director; Traliance

Engage with members of the university export controls community as they discuss different ways to approach export compliance at their respective universities including strategies for gaining senior administration buy-in, establishing and reconsidering compliance priorities, monitoring for violations, and building the most effective policies and procedures.
 

Export Controls & University Contracts

EMILY SCHRIVER
Assistant General Counsel / OSU

  • Recognizing key export control clauses in federal solicitations and contracts

  • Navigating agency interpretations of applicable clauses

  • Implementing internal processes to improve compliance on government contracts

Export Enforcement

JAMES BARTLETT
Full Circle Compliance, BV

  • EAR, ITAR, OFAC, and CBP Enforcement Methods

  • Dealing with Government Inquiries, Subpoenas, and Search Warrants

  • Investigating & Disclosing Violations – To Disclose or Not To Disclose?

  • Preventive and Corrective Actions for Violations

  • University Violation Case Studies

Collaborating with Faculty and Researchers

JENNIFER YUCEL
Director & Research Integrity Officer / Ohio State University

  • Who, what or why? – options for emphasis communicating with key faculty

  • Positive solutions to researcher concerns

  • Enforcing compliance policies in a university environment

Introduction to Defense Trade Controls

  • Key Governing Agencies & ITAR Compliance Resources

What Does the ITAR Control / Not Control?

  • ITAR Controlled Activities

  • Technical Data Releases to Foreign Persons & Defense Services

  • Easy To Forget Licensable Transactions

  • Public Domain Exclusion

  • Fundamental Research under the ITAR

  • Exclusion for Basic Marketing Information and General System Description

  • How the ITAR and EAR Exclusions Differ

  • Jurisdiction: EAR vs. ITAR

  • The New US Munitions List

  • ITAR “Specially Designed” Definition, Exclusions & Implications

  • Special Classification Issues & Commodity Jurisdiction Determinations

Registration and Empowered Official Issues

  • How to Register with the DDTC; Registration-Related Issues

  • Considerations for Designating “Empowered Officials”

ITAR Special Restrictions (Exercises Workshop)

  • Prohibited Countries; Prohibited /Ineligible Parties

  • SME “Significant Military Equipment”

  • Highly Restricted Items / Congressional Notification Issues / Red Flags

ITAR License Exemptions (Exercises Workshop)

  • What are Exemptions? / Excluded Items & Countries

  • ITAR Exemption for University Employees

  • Key ITAR Technical Data and Defense Services Exemptions

ITAR Licenses

  • Licenses vs. Agreements

  • The Art of the License Application

  • D-Trade / DSP-5 Applications

  • Foreign Person Employee and Marketing Licenses

ITAR Agreements (Exercises Workshop)

  • MLAs / TAAs / Warehouse & Distribution Agreements

  • Agreement Application & Agreement Guidelines

  • Drafting the Technical Scope for Agreements

  • Dual/Third Country National Employees

  • Sublicensing

  • Government Review Process & Checking License Status

ITAR Hardware and Shipping

  • Useful Hardware Exemptions

  • Shipping & Export Documentation

  • Temporary Licenses

  • AES: Filing Electronic Export Information (EEI)

  • Wait Times & AES Responses

  • Schedule B & HTS Classification

  • Certification Requirements, Reporting Requirements & Amendments