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Export & Technology Transfer Controls

Contacts

Stephan E. Becker
Partner, Washington, DC
T: +1.202.663.8277
Nancy A. Fischer
Partner, Washington, DC
T: +1.202.663.8965
Christopher R. Wall
Partner, Washington, DC
T: +1.202.663.9250
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Pillsbury’s International Trade lawyers are recognized authorities on export and technology transfer controls and are considered leaders in advising and defending clients regarding export controls and economic sanctions.

Pillsbury assists clients in interpreting the often complex requirements of the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR) to determine if proposed transactions require prior approval from the Commerce Department’s Bureau of Industry and Security (BIS) or the State Department’s Directorate of Defense Trade Controls (DDTC). As the U.S. export control reform effort proceeds, we are helping clients understand the changes and how they impact their businesses. In this evolving landscape, we help companies classify their products on the Commerce Control List (CCL) and the U.S. Munitions List (USML) and assist in preparing license applications and commodity jurisdiction requests. We advise clients on voluntary disclosures of export control law violations, conduct internal investigations, negotiate settlements and defend companies in both administrative enforcement proceedings and criminal prosecutions.

As a result of the firm’s prominence in this area, our lawyers have become recognized authorities and are often requested to serve as speakers and authors on export control subjects.

Representative Experience

  • Represented the U.S. subsidiary of a foreign manufacturing company raided by FBI and OEE agents, conducting an internal investigation, and negotiating with the U.S. Attorney’s office, which ultimately declined to prosecute, and OEE, which issued a warning letter.
  • Designed and implemented export control internal compliance programs for domestic and multinational clients in the aviation, technology, satellite services and other industries.
  • Took over day-to-day responsibility for all export control compliance functions associated with U.S. sourcing of a Swedish aerospace and defense firm when it unexpectedly lost its internal compliance personnel.

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  • Aerospace
    • Advised a major aerospace manufacturer on classification and licensing issues related to the incorporation of ITAR-controlled content in civil aircraft.
    • Advised a non-U.S. company on Commerce Department license exceptions relating to aircraft, the overlap of U.S. sanctions and export control policies, and obtaining licenses authorizing exports to a jurisdiction subject to U.S. sanctions.
    • Prepared Commodity Jurisdiction (CJ) request to determine the ITAR or EAR control of sophisticated adaptive optics equipment for aerospace communications project.
    • Conducted an internal investigation for a major aerospace manufacturer of ITAR Part 130 reporting of fees and commissions, analyzed Part 129 broker registration and licensing requirements, and reporting to DDTC.
    • Drafted export compliance policy to assist U.S. and Canadian aerospace company with trade and security compliance, including preparing and submitting a Technical Assistance Agreement (TAA) related to its foreign affiliate company.
    • Counseled aerospace software client regarding both U.S. government and self-classifications of aircraft and spacecraft-related software products, involving a CJ reconsideration in light of export control reform, as well as engagement with government officials during dispute resolution procedures when CJ reviewing agencies disagreed.
    • Advised defense and commercial companies on cybersecurity attacks and guided them on voluntary disclosures resulting from potential export control violations.
    • Structured and prepared Technical Assistance, Manufacturing License and Distribution Agreements as well as export and temporary import licenses submitted to DDTC for U.S. and foreign defense manufacturers, aerospace and software companies.
    • Advised European small satellite manufacturer with voluntary self-disclosure, services and support authorization, and de minimis calculation regarding satellite component.
    • Designed and implemented export control internal compliance programs for domestic and multinational clients in the aviation, technology, satellite services and other industries.
    • Assisted a U.S. manufacturer with obtaining favorable CJ determination in connection with drone detection software. Further advised on compliance with State Department regulations in connection with sales of ITAR-controlled items.
    • Assisted a European aircraft ground system manufacturer in obtaining CCATS determination for its product.
    • Prepared industry comments on behalf of a satellite client in connection with export control reform, contributing substantially to revised rules on spacecraft.
    • Advised satellite company reorganization-related registration and license filings before the Department of State.
    • Advised satellite company on compliance with ITAR and EAR rules, including transition to EAR due to Export Control Reform.
    • Advised on TAA and strategic export planning and registration for a satellite services company relating to plans in Europe and Australia, including preparation of an export compliance plan.
    • Served as an expert witness in UK litigation concerning the financial interests of various parties in U.S.-manufactured aircraft illegally leased to Iran, addressing EAR and ITAR prohibitions on aircraft exports to Iran and License Exception AVS.
    • Drafted Know Your Customer Compliance Manual for an aircraft leasing and financing company.
    • Advised an aviation technology company on export control classification and technology transfer issues in connection with the company’s development activities.
    • Assisted in the preparation of requests to determine the export licensing jurisdiction of commodities between DDTC and BIS and appeals of such determinations.
    • Obtained BIS classification determinations for semiconductor, telecommunications, pharmaceutical and other products.
    • Successfully obtained EAR jurisdiction result in Commodity Jurisdiction for aircraft modeling software, navigating interagency dispute resolution and questions.
    • Counseled a company manufacturing satellite communications payload prototype through EAR classification and licensing compliance, including presentation to BIS Sensors and Aviation Division.
    • Advised a major foreign aircraft manufacturer on engine classification question, de minimis calculation and licensing policy for destination subject to anti-terrorism controls.
    • Assisted a U.S. manufacturer obtain favorable commodity jurisdiction determination in connection with drone detection software. Further advised on compliance with State Department regulations in connection with sales of ITAR-controlled items.
    • Counseled an aerospace software client regarding both U.S. government and self-classifications of aircraft and spacecraft-related software products, involving a commodity jurisdiction (CJ) reconsideration in light of export control reform, as well as engagement with government officials during dispute resolution procedures when CJ reviewing agencies disagreed.
    • Advised a major aerospace manufacturer on classification and licensing issues related to the incorporation of ITAR-controlled content in civil aircraft.
  • Defense
    • Advised an eminent foreign investor/consultant on ITAR brokering and Part 130 fees and commission risks in connection with working with U.S. defense consultants.
    • Advised a major UAS manufacturer by designing and leading a full audit of its ITAR compliance program and in advance of DDTC Company Visit Program visit, reviewing voluntary self-disclosure issues, classifying aircraft and related articles, and counseling on end-use requirements and license conditions.
    • Advised a producer of nuclear propulsion systems on projects involving the export of technical data for vessels and submarines.
    • Helped a major defense company update export control compliance procedures in light of organizational changes and U.S. export control reform.
    • Supported preparation and filing of bulk license for items on military aircraft platform subject to the EAR following export control reform changes.
    • Provided long-term on-site export control support to a major defense company for implementation of ITAR consent agreement requirements, including ITAR (brokering, technical data, classification issues), EAR and the impact of export control reform on compliance.
    • Conducted an extensive internal investigation related to alleged ITAR and EAR criminal and civil violations for a private security contractor and preparing comprehensive voluntary disclosures to DDTC, BIS and Census regarding exports of controlled items and provision of potential defense services.
    • Assisted global defense manufacturers in evaluating the application of the ITAR to technology exported under the U.S. Foreign Military Sales (FMS) program.
    • Advised a Danish company on export control and related due diligence in connection with proposed acquisition of ITAR-registered entity.
    • Provided support in multiple locations to internal audit and assurance exercises focused on export control and technology transfer controls for a global defense company.
    • Provided training sessions and internal assessments for a global defense manufacturer on control of technology, technical data and derived data in the wake of U.S. export control reform.
    • Prepared comments for regulatory changes by DDTC and BIS under export control reform and other regulatory updates.
    • Assisted clients in assessing export control requirements applicable to intelligence and surveillance products and technologies.
    • Advised a global defense and intelligence technology services provider on DSCA and ITAR compliance in connection with the acquisition of a U.S. software engineering firm.
    • Advised brokers of U.S. defense articles on revisions to licensing and registration requirements relating to activity in the Middle East.
    • Prepared M&A trade due diligence questionnaire for a U.S.-headquartered security services provider.
  • Energy
    • Prepared white paper for a nuclear energy industry group for the DOE to address theoretical access and advocate for harmonization of DOE with EAR and ITAR approaches to export control policy.
    • Prepared strategic CCATS clarifying EAR99 treatment of equipment used in relation to a nuclear power plant, helping regulators understand that the item did not include technology relating to core or balance of plant equipment.
    • Advised an energy research institution on export compliance in relation to technology and software for assessment of nuclear EMP events on electrical infrastructure.
    • Advised an energy research institution on export compliance in relation to government contracts with the U.S. military and private parties.
  • Financial
    • Performed due diligence on export control compliance in connection with private equity acquisitions.
    • Assisted a major global financial institution and media company on the classification of a wide range of proprietary software applications, including the application of EAR controls on cryptographic.
    • Advised companies seeking delisting from OFAC’s SDN list.
  • Manufacturing
    • Provided guidance on de minimis rules and related export control issues for a Chinese manufacturer.
    • Represented the U.S. subsidiary of a foreign manufacturing company raided by FBI and OEE agents, conducting an internal investigation, and negotiating with the U.S. Attorney’s Office, which ultimately declined to prosecute, and OEE, which issued a warning letter.
    • Counseled Chinese manufacturer of telecommunications chipsets on various export control matters, including the direct product rule.
    • Advised a marine manufacturer on export control matters including obtaining CJs and CCATS, and reviewing EAR and ITAR licenses in connection with its customers.
    • Worked with a major electronics manufacturer to navigate the overlap of U.S. export controls and evolving sanctions policies for Iran, which permit certain sales of consumer electronics and services to enable internet access and communication.
    • Conducted an internal investigation of a major international oil field services company resulting in BIS voluntary disclosure and advised on logistics processing and supply chain management issues.
    • Advised a multinational petroleum company on encryption import requirements of non-U.S. jurisdictions including China, Singapore, Russia and South Korea and obtaining import licenses where necessary.
  • Medical
    • Advised a major health company on due diligence of a medical device manufacturer, including preparation of voluntary self-disclosures in connection with Entity List issues and representation during site visit by BIS Office of Export Enforcement.
  • Semiconductors
    • Successfully obtained encryption CCATS authorizing exports for potentially thousands of chip models using encryption for semiconductor manufacturer.
    • Obtained EAR advisory opinion for a semiconductor manufacturer in connection with chip export to an aerospace end-user in a country subject to military end-use and other restrictions.
  • Technology, Software and Outsourcing
    • Performed due diligence on export control matters in connection with the acquisition of a video streaming company.
    • Prepared export control policies and conducted export control training for a company dealing in autonomous navigation software.
    • Conducted multiple deemed export license and classification assessments for cutting-edge research and development for virtual reality and augmented reality in computer vision, robotics, liquid crystal and other technologies.
    • Assisted a social media and technology company on directed Homeland Security disclosure, DDTC voluntary self-disclosure, and ITAR and EAR compliance issues.
    • Conducted an internal investigation and designed a strategy of complementary licensing, CCATS and voluntary disclosure filings to address the export of encryption software and potential prior violations.
    • Utilized administrative procedures to appeal denial of license filing with BIS and the Department of Commerce.
    • Advised a social media and technology company on export control laws in connection with a global satellite and UAV communications project.
    • Obtained EAR99 CCATS ruling under recently revised encryption rules for network management software with encryption call functionality based on decontrol for Operations, Administration or Maintenance.
    • Performed due diligence on export control matters in connection with the acquisition of a video streaming company.
    • Advised an Asian chip manufacturer with a product having U.S. content on U.S. reexport rules as well as encryption and Wassenaar export rules for Asian markets — Malaysia, Singapore, Korea, etc.
    • Conducted an internal investigation on a printer manufacturer and its subsidiaries concerning Iran and Syria transactions, and prepared disclosures to OFAC and BIS.
    • Helped lead effort by a social media and technology company on a companywide update of export control and technology control plans.
    • Advised a software developer regarding encryption controls, prepared BIS voluntary disclosure, and obtained services and support authorization in advance of potential acquisition.
    • Prepared M&A procedures and questionnaires for a social media and technology company to address trade compliance issues for targets.
    • Reviewed and analyzed export control issues in connection with the acquisition of a semiconductor company.
    • Advised on and drafted export control provisions in master service agreements for outsourcing applications development and maintenance functions to offshore entities.
    • Advised electronics and semiconductor companies on compliance with encryption regulations under the EAR, and related filings including registration, classification and reporting.
    • Advised a software company on compliance with encryption regulations under the EAR.
    • Advised on BIS export licenses for new focal place array sensor technology for use with augmented reality devices.
  • Life Sciences & Research
    • Advised major national research universities on ITAR registration issues and the scope and application of the fundamental research exclusion to space-related research projects.
    • Conducted a comprehensive review of a life sciences company’s export control compliance matters, including drafting policies and procedures, enhancing the company’s export classification database and submitting a voluntary self-disclosure.
    • Reviewed and analyzed export control issues in connection with potential acquisition of a U.S.-based medical optics company by a publicly traded Japanese corporation.
    • Advised a consultant management company on export control compliance of potential target companies.
  • Travel & Transportation
    • Advised a European airline in connection with proposed wet lease to Cuban airline and assisted with BIS license application submission.
    • Represented a transportation company on settlement with BIS in connection with alleged violations of the EAR.
  • Telecommunications
    • Advised a software developer in connection with export compliance related to software for telecommunications ground systems in connection with satellites and high-altitude platforms.
  • Tri-D
    • Advised a startup manufacturer of spacecraft-related engines on ITAR and EAR classification and compliance requirements.

Practice Area Highlights

  • Pillsbury’s International Trade practice is nationally ranked by Chambers USA and internationally recognized by Chambers Global for our Export Controls & Economic Sanctions, CFIUS, and Trade Remedies & Trade Policy work.

  • Pillsbury received U.S. News/Best Lawyers recognition for International Trade & Finance.
  • Recognized in 2023 by The Legal 500 U.S. for the breadth of our International Trade capabilities across three categories: CFIUS; Customs, Export Controls and Economic Sanctions; and Trade Remedies and Trade Policy. Client testimonial hails the Pillsbury International Trade team as “…a well-unified, collaborative team that leverages each other’s knowledge based to demonstrate ‘big picture’ understanding as well as specialized advice within categories of issues.”

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