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University Export Controls 2018 AGENDA

Introduction to Export Controls in a University Environment

  • US Export Control Policy & Primary Regulations (EAR / ITAR / OFAC)

  • Major Categories of University Export Control Concern

  • What Makes Institutions of Higher Learning Different

Fundamental Research Exclusion
 

Higher Education after Export Control Reform


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”

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

OFAC Sanctions and Compliance  

  • Embargoed Country Destinations

  • Cuba, Iran, Syria, North Korea, Others

  • Transactions Subject to Embargo Controls

  • Major OFAC Sanctions Programs Affecting Universities

  • 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

  • Destination Control Statements

Software, Encryption and Cybersecurity

  • Understanding EAR Encryption Controls & Classification

  • 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

  • Effective University Compliance Programs & Core Elements

  • Key Operational Processes

  • Export Compliance Checklists

  • Cross-Departmental Stakeholders

  • Areas of Frequent Compliance Breakdown

Export Controls & University Contracts

  • 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

  • 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

  • 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? (Exercises Workshop)

  • 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 & 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