EAR/OFAC Controls on Non-US Transactions Agenda
Daily Schedule
- 8:30 AM Registration & Continental Breakfast
- 9:00 – 12:00 PM Seminar
- 12:00 PM Lunch
- 1:00 – 5:00 PM Seminar
*Timing and Order of agenda items subject to change
Introduction to the Export Administration Regulations
- US Export Control Policies & Key Control Concepts
- Comparison to International Regimes & Extraterritoriality of Rules
- Primary US 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 US Persons & US Subsidiary Activities
- STEP 2: Sensitive US Content Always Subject to Controls
- 600-Series and 9X515 ECCNs Sensitive Content
- United States Munitions List (USML) Content
- Foreign Direct Products of US Technology
- STEP 3: US 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 US 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
- Latest ECR Regulatory Changes
- Existing License & Agreement Transition Rules
- Other Recent Developments in the EAR
- Recent OFAC Sanctions Updates
EAR & OFAC Export Enforcement
- How US Rules are Enforced Outside the US
- US Export Enforcement Agencies
- Statutory & Other Penalties
- Enforcement Case Studies
- Preventing Violations
- Voluntary Self-Disclosures to the US Government