EAR Compliance & Licensing Masterclass

Part 1: The Semiconductor Rule, MEU, and Foreign Direct Product Rules

• 15 CFR Part 744-Military User and End-User Regulations: Need-to-Know Concepts for Semiconductor Equipment and Technologies, MEUs, and Their Practical Impact
• Defining “military end-user”
• EAR Section 744.21 restrictions on the export, reexport, and transfer of certain items for “military end uses”
• How and why BIS expanded the “Military End-User” definition to include: any item “that supports or contributes to the operation, installation, maintenance, repair, overhaul, refurbishing, ‘development,’ or ‘production,’ of military items.”
• Understanding the six elements of the “use” definition in the EAR
• Recent expansion of restrictions on the provision of items to “Military End-User” to China
• EAR Section 744.22 restrictions on the export, reexport, and transfer of certain items for military-intelligence end uses
• Supplement No. 2 to Part 744: Items subject to the military end use/end user restrictions
• Products, software, and technology, including lower-level encryption items, semiconductor equipment and technology, and aircraft parts and components
• EECNs 2A290, 2A291, 2B999, 2D290, 3A991, 3A992, 3A999, 3B991, 3B992, 3C992, 3D991, 5B991, 5A002, 5D0002, 5A992, 5D992, 6A991, 6A996, and 9B990
• New ECCNs 3A090, 4A090
• Regional Stability (RS) controls for certain items: “Y” paragraph of 600-series and 9×515 ECCNs
• Exports or re-exports to China or in-country transfers within China of items covered by §744.21
• What recordkeeping is necessary throughout the product development of a 600 Series item?


• The Essentials and Nuance of the FDPR:
• What is and isn’t captured by the rule
• How to determine when an item is a direct product of technology and software
• Best practices for complying with BIS KYC rules

Part 2: Putting Theory into Practice

• How the expanded definition of “Military End User” impacts your export compliance strategy for dual use items
• Key updates and advanced FAQs for classifying encryption, semiconductor, and supercomputer products, software, and emerging technologies (e.g., AI): the affected ECCNs, what defines an “end use,” which territories are affected, and which license exceptions are available?
• FDPR: Exploring recent “creative” uses of FDPR and key pitfalls to avoid
• Case Study: Enforcement Story and Lessons Learned

Part 3: Interactive Session: Hypothetical Scenario Breakout Groups (Not Recorded)

• Attendees will break out into smaller-group roundtables to work on a hypothetical scenario -with each one led by one of the expert instructors
• Attendees will reconvene and each roundtable will be asked to share their solutions and the outcomes of their discussions. The speakers will also provide input and guidance

Part 4: Open Q&A and Networking (Not Recorded)

• An extended session for live Q&A and networking, during which attendees may pose questions to the presenters on camera/audio or through the chat. This session is not recorded to encourage an open, candid discussion of hot button questions!

Part 1: Navigating the Grey Areas of Deemed Export and Re-Export Compliance

• Section 734.13(b) of the EAR
  • Key definitions, including “deemed export,” “re-export” and “foreign national”
  • Understanding the “deemed export” rule governing transfers of U.S.- origin technology and technical data to foreign nationals
  • When is a BIS license required for a foreign national?
  • Practical tips for interpreting deemed export rules
  • Minimizing the risk of sharing controlled technical data with suppliers, customers, and business partners
  • What is permissible when screening for nationality to satisfy export control requirements: Anti-discrimination laws and their intersection with export controls
  • Working with HR to on how to effectively communicate and document nationality and export control issues with job candidates
  • Practical tips for detecting, mapping, and evaluating risk
  • Instituting proper controls for the sharing of information between foreign parties, parent companies, subsidiaries, and affiliates
  • Determining administrator and user access based on identity, location, and rights


• Sections 734.2(b), 734.15 and 734.20: Technology Transfers Under the EAR
  • How to define “technology” and “technical data” under the EAR
  • EAR definitions of a “release” of “technology” or source code under Section 734.15
  • Activities that are not “deemed” re-exports under Section 734.20
  • Exceptions: Published technology, fundamental research, nonproprietary systems descriptions


• Strengthening Technology Control Plans: Best Practices
  • What is a technology control plan (“TCP”)?
  • Examples of IT controls and network access rights and upgrades
  • Risks associated with R&D, JV, and other business partners: How to assess if they are in compliance when handling your technology?

Part 2: Putting Theory into Practice

• How current or anticipated policy and regulatory changes impact your compliance program
• How to identify and assess new, emerging compliance risks
• Best practices for designing a TCP for your organization and individuals (no matter where on the org chart)
• Practical guidance to minimize the risk of sharing controlled technical data with suppliers, customers, and business partners
• Case Study: Protecting a Research Institution from Deemed Export and Technology Transfer Risk

Part 3: Interactive Session: Hypothetical Scenario Breakout Groups (Not Recorded)

• Attendees will break out into smaller-group roundtables to work on a hypothetical scenario -with each one led by one of the expert instructors
• Attendees will reconvene and each roundtable will be asked to share their solutions and the outcomes of their discussions. The speakers will also provide input and guidance

Part 4: Open Q&A and Networking (Not Recorded)

• An extended session for live Q&A and networking, during which attendees may pose questions to the presenters on camera/audio or through the chat. This session is not recorded to encourage an open, candid discussion of hot button questions!

Part 1: Key Missteps to Avoid in Your EAR License Application: Form BIS-7849, SNAP-R, and Reducing the Risk of RWAs

• When is an EAR license required and how to submit an application that meets BIS expectations: New, heightened layers of review
• 600 Series licensing and associated challenges
• How to draft effective license applications: BIS requirements and expectations
• Supplemental information required in the application
• Developing data sheets, end-user statements and cover letters
• Preparing supporting documentation verification of ECCNs
  • end-use of items to be exported
  • documents supplied by the prospective purchaser
  • international import certificate
  • statement of ultimate consignee and purchaser
• Technology Control Plans and other detailed information for license applications
• The approvals process, expected timeline and how to reduce the risk of delay
• Requests for additional information: How are licensing determinations made by BIS?
• What triggers a Return Without Action (RWA)?
• Accepting and implementing conditions
• Process for amending a license
• Re-export licenses and license responsibility for foreign parties
• How to reduce the risk of delay in the approval process – common pitfalls to avoid

Part 2: Putting Theory into Practice

• Unpacking the impact of new, heightened layers of BIS license reviews
• How to identify when a license is needed and how to ensure your team is prepared to handle requests for information
• Common mistakes to avoid when applying for a license

Part 3: Interactive Session: Hypothetical Scenario Breakout Groups (Not Recorded)

• Attendees will break out into smaller-group roundtables to work on a hypothetical scenario -with each one led by one of the expert instructors
• Attendees will reconvene and each roundtable will be asked to share their solutions and the outcomes of their discussions. The speakers will also provide input and guidance

Part 4: Open Q&A and Networking (Not Recorded)

• An extended session for live Q&A and networking, during which attendees may pose questions to the presenters on camera/audio or through the chat. This session is not recorded to encourage an open, candid discussion of hot button questions!

Part 1: Application and Significant Developments Related to Key Licensing Exceptions

• Additional Permissive Reexports (APR)
• Shipments of Limited Value (LVS)
• Servicing and Replacement of Parts and Equipment (RPL)
• Shipments to Country Group B Countries (GBS)
• Strategic Trade Authorization (STA)
• Technology and Software Under Restriction (TSR)
• Technology and Software Unrestricted (TSU)
• Aircraft, Vessels, and Spacecraft (AVS)
• Temporary Imports, Exports, Re-Exports, and Transfers (TMP)
• Encryption Commodities, Software, and Technology (ENC)

Part 2: Putting Theory into Practice

• Case studies from various industries that demonstrate how export compliance teams solved a complex export compliance scenario
• Benchmarking via audience polling

Part 3: Interactive Session: Hypothetical Scenario Breakout Groups (Not Recorded)

• Attendees will break out into smaller-group roundtables to work on a hypothetical scenario -with each one led by one of the expert instructors
• Attendees will reconvene and each roundtable will be asked to share their solutions and the outcomes of their discussions. The speakers will also provide input and guidance

Part 4: Open Q&A and Networking (Not Recorded)

• An extended session for live Q&A and networking, during which attendees may pose questions to the presenters on camera/audio or through the chat. This session is not recorded to encourage an open, candid discussion of hot button questions!

Part 1: BIS “Know Your Customer” Guidance, Supply Chain-Screening and Red Flags: The Essentials of Vetting Third Parties, End-Users and End-Uses

• What are the most important risk areas to consider when screening, vetting, and choosing suppliers?
• How can exporters identify and resolve third party risks early on?
• Refresher on BIS “Know Your Customer” Guidance
• Screening based on the Denied Persons List and Entity List
• “Red Flags” that should trigger suspicion at the due diligence phase
• Key EAR requirements for freight forwarders and other third parties throughout the supply chain
• Where the exporter’s responsibility for third party compliance begins and ends
• Vetting and monitoring third parties, including subcontractors, freight forwarders, distributors, customs brokers, customers, re-sellers and others
• Contractual safeguards to implement for orders and shipments, nature and extent of audit rights, and when to terminate the relationship due to export enforcement risks
• How to monitor supplier and other third-party outsourcing activities

Part 2: Putting Theory into Practice

• An overview of the key components of an effective third-party screening system
• What are the techniques and resources used by seasoned export compliance professionals to identify and monitor third party risks in transactions before they “appear on the list?”
• Looking beyond the lists to vet your organization’s stakeholders (shareholders, leaders, employees, suppliers, and customers)
• Case studies of where enhanced screening methods identified a risk before it emerged, and horror stories where enhanced screening methods could have prevented an issue

Part 3: Interactive Session: Hypothetical Scenario Breakout Groups (Not Recorded)

• Attendees will break out into smaller-group roundtables to work on a hypothetical scenario -with each one led by one of the expert instructors
• Attendees will reconvene and each roundtable will be asked to share their solutions and the outcomes of their discussions. The speakers will also provide input and guidance

Part 4: Open Q&A and Networking (Not Recorded)

• An extended session for live Q&A and networking, during which attendees may pose questions to the presenters on camera/audio or through the chat. This session is not recorded to encourage an open, candid discussion of hot button questions!

Part 1: Strengthening Your Export Management and Compliance Program (EMCP)

• The core elements of an effective export management and compliance program (EMCP) that account for both export and sanctions risks?
• Concrete examples of the changes that exporters are making to stay compliant in the wake of recent developments
• How exporters are upgrading their tracking of classification and re-classification
• Recordkeeping do’s and don’ts
• How sanctions can overlap with export controls and how to manage it
• The anatomy of an effective training and internal communications plan for to drive export compliance across an organization (benchmarking poll)
• Making the business case: How to measure and communicate the positive impact of your program to leadership

Part 2: Key EAR Enforcement Actions and Compliance Lessons Learned

• The Disruptive Technologies Strike Force: Enforcement impacts
• How do enforcement agencies work together?
• What kinds of EAR violations trigger an enforcement response?
• What pushes a case from a warning letter to a penalty – and what can lead to criminal prosecution?
• What can mitigate versus increase your company’s exposure?
• How do you handle law enforcement requests for help in the investigation of a third party?
• What is a voluntary disclosure? How BIS approaches them – and the impact on penalties

Part 3: Putting Theory into Practice

• Best practices for upgrading your program to identify and mitigate new compliance risks
• Case Study: “I have a license to export– but can I sell to this entity?”
• Best practices for designing employee training and internal communications programs for export compliance, and how to work with other stakeholder groups in your organization
• How to get buy-in from leaders, moving them from seeing compliance as a cost and a barrier to business to understanding its value

Part 4: Interactive Session: Hypothetical Scenario Breakout Groups (Not Recorded)

• Attendees will break out into smaller-group roundtables to work on a hypothetical scenario -with each one led by one of the expert instructors
• Attendees will reconvene and each roundtable will be asked to share their solutions and the outcomes of their discussions. The speakers will also provide input and guidance

Part 5: Open Q&A and Networking (Not Recorded)

• An extended session for live Q&A and networking, during which attendees may pose questions to the presenters on camera/audio or through the chat. This session is not recorded to encourage an open, candid discussion of hot button questions!

Part 1: Roadmap of Global Export Control Regimes

• EU, US, UK: Comparing and contrasting the US export control regime to the EU and UK export compliance regimes, reviewing critical changes and updates—demystifying grey areas, points of intersection and divergence, and key agencies and contacts
• Export Control Regimes to Watch: Canada, Mexico, China: How will retaliatory trade policies impact your export compliance program and what can you do to protect your organization from risk? What other global regimes are making moves, and how will they impact your compliance program and your organization?
• Other Export Control Regimes to Watch in Asia and the Middle East
• The Wassenaar Arrangement: An overview of the history, current state, and future of this crucial multilateral trade control agreement and how it effects global trade regimes – and where members are pulling away
• Benchmarking via audience polling

Part 2: Putting Theory into Practice

• Where do global export control regimes overlap, and where do they leave gaps, and what are the policies that drive them?
• What are the best practices for multi-jurisdictional export compliance in today’s environment?
• What resources, including key contacts, can you use to leverage to strengthen your compliance program and avoid costly errors?

Part 3: Interactive Session: Hypothetical Scenario Breakout Groups (Not Recorded)

• Attendees will break out into smaller-group roundtables to work on a hypothetical scenario -with each one led by one of the expert instructors
• Attendees will reconvene and each roundtable will be asked to share their solutions and the outcomes of their discussions. The speakers will also provide input and guidance

Part 4: Open Q&A and Networking (Not Recorded)

• An extended session for live Q&A and networking, during which attendees may pose questions to the presenters on camera/audio or through the chat. This session is not recorded to encourage an open, candid discussion of hot button questions!