EAR/OFAC Export Controls Agenda | ECTI

Introduction to the EAR

U.S. Export Control Policy & Primary Regulations (ITAR/EAR/OFAC)
Roadmap to Parts of the EAR

Regulated Activities

Exports, Reexports, In-country Transfers
Deemed Exports and Reexports
Certain Other Activities
Activities That are Not Regulated by the EAR

Classification

– with EXERCISES WORKSHOP

Jurisdiction: EAR vs. ITAR; Which Agency Has Authority?
How to Classify an Item
Items Subject to the EAR: Commodities, Technology, and Software
The Commerce Control List: EAR99, 600-Series, and other ECCNs
Order of Review / Determining and Reading the ECCN
“Specially Designed” Definition, Exclusions & Implications
ECCN Classification Tips
Requesting an Official Classification

Technology & Software Classifications

– with EXERCISES WORKSHOP

Determining ECCN for Technology & Software
Defining Technology and “Export” for Technology and Software
Examples of Exports for Technology and Software
Items Not Subject to the EAR; “Publicly Available”
Fundamental Research / Educational Information / Patent Applications
Determining the ECCN for Technology and Software

No License Required (NLR)

– with EXERCISES WORKSHOP

Steps to Arrive to NLR Determination
Using the Commerce Country Chart to Guide in Determination

License Exceptions

– with EXERCISES WORKSHOP

Two Types of License Exceptions / Restrictions On All License Exceptions
ECCN-based License Exceptions (STA, GBS, LVS)
Situation-based License Exceptions (RPL,TMP, GOV)
License Exceptions Issues for 600-Series and 9X515
Wassenaar Reporting
Technical Data & Software License Exceptions (TSU, TSR, ENC, TMP, STA)

End-Use & End-User Controls

– with EXERCISES WORKSHOP

Restricted Parties / Embargoed Countries / Proliferation Activities
Military End-Use/User (Belarus, Burma, Cambodia, China, Nicaragua, Russia, and Venezuela)
Red Flags, EAR General Prohibitions & Antiboycott

Licenses

When and How to Make a License Application to BIS
SNAP-R / Electronic Filing / Tell The Story of Your Application
Special Support Documents & Requirements
Dual and Third Country Nationals / License Review Process
License Conditions, Approval, and Issuance

Export Clearance

– with EXERCISES WORKSHOP

Foreign Trade Regulations (FTR) & Automated Export System (AES)
Who is Responsible for Compliance?
FTR: Parties to the Transaction
Standard and Routed Export Transaction
When AES is Required / AES Filing Exemptions and When Exemptions Do Not Apply
Export Documents & Shipping / AES Requirements for CCL Items
Staying Compliant with AES / Wait Times
Destination Control Statement
Special Requirements for 600-Series and 9X515

Compliance Programs

Why Have One? / Compliance Plans
Resources: Where Can I Go for Help? Does Your Company Already Have Resources? Where to Start?
Effective Compliance Plans & ECP Core Elements (BIS)
Key Consideration After Having all ECP Core Elements in Place
Automate Export Compliance, End-User/ End-Use Certifications, and Export Compliance Transaction Checklists
Keys to Long Term Success

Recent Developments

Latest Regulatory Changes
Other Recent Developments in the EAR
OFAC Sanctions Updates

Reexports: When Do U.S. Rules Apply Outside of the U.S.?

General Guidelines & Who is Responsible for Reexport Compliance
Two Questions to Analyze Controls / When U.S. Rules Apply
Foreign-made Items Incorporating U.S. Parts or Technology: De Minimis and Foreign Direct Product Rules
Special Rules for 600-Series and 9X515 US Content
Other Consideration When U.S. Rules Apply to Persons and Activities
When a Reexport License is Needed and Questions to Assess U.S. Jurisdiction

U.S. Embargo Controls

Embargoed Country Considerations and Destinations:
- Cuba
- Iran
- North Korea
- Syria

Applying for an OFAC License

EAR Export Enforcement

Enforcement Trends, Fines, and Penalties
Subpoenas, Investigations & Voluntary Self Disclosures
Preventing and Coping with Violations
Case Studies