Webinar Highlight Topics

How to Implement and  Effective Compliance Program
Is your organization ready for a visit and what exactly does the Government Expect?
Have you implemented the 15 Elements of Compliance?

• Management Support and Compliance Infrastructure, State/DDTC Registration & Domestic Supplier Registration, Jurisdiction and Classification Decision Making, Denied Party Screening & Prohibited Exports and more.
  
  

How to Conduct an Audit
You Will Learn:

• Why audits are essential to the success of your program.
• Who should conduct your audit - internal or external resources.
• What to include --the importance of Audit checklists and Pre-audit questionnaires.
• The Audit Report and Follow-up.

You will gain overall guidance on program areas to cover and why it is important to audit your freight forwarders.

Overview of the Most Commonly Used EAR Exceptions
Are you taking advantage of all the EAR exceptions?  If not, you need to be aware of the 6 most commonly used exceptions plus an in-depth overview of the Strategic Trade Authorization (STA) exception.
Know the difference between List-Based and Transaction-Based exceptions and discuss and compare EAR exceptions to ITAR exemptions.
Join us for an in-depth review with real-life examples.

How to Submit a Voluntary Disclosure
Don’t be caught unaware—There are many elements of a Voluntary Disclosure and you want to make sure you have thoroughly covered them all so your case will be closed.  

• Timeline-Initial Notification
• Nuts & Bolts of Disclosure
• Supporting Documentation
• Government Response
• Common Sources of Violations
  
  

Top 10 Violations
Which U.S. Government agency issues the highest fines for export violations? Let’s take a look and see what they did and examine possible trends.
What are the aggravating factors and lessons learned?
How are companies caught?
What are the penalties for non-compliance?
Join us and see how you and your company can avoid costly fines in the future with tips for preventing violations.

ITAR Exemptions
Enhance your export compliance program –save months of possible processing time! Don’t waste limited resources on getting unnecessary licenses
Are you taking advantage of all the available ITAR exemptions? Examine general purpose and country specific exemptions.
What are the most commonly used ITAR exemptions?
Find out which exemption you can use to carry your laptop overseas
How do you deal with issues of re-export and re-transfer under the ITAR?
Be aware of the potential pitfalls and meet all the requirements!

• What are the commonly used exemptions
• When and how should I use them?
• What requirements must be met?
• What questions should I ask?
• What rules must I follow to be compliant?
  
  

How to Become an Effective Empowered Official

• Who is eligible to be an Empowered Official (EO)?
• What a perspective EO needs to know about the laws, regulations, and penalties:
       - How to be an effective EO—preparing yourself to take on the key responsibilities.  Let’s measure your personality traits to ensure they fit the job.
       - Work environment—how to handle marketing, foreign nationals, shipping, Voluntary Disclosures and more.
• Remember--the State Department/Defense Trade Controls Compliance (DTCC) sent an important message to industry about the qualifications of an EO.  Take that cue and learn what you need to know to establish your career path.
  
  

Submitting a Winning CJ
Draft a persuasive CJ to determine if your item or service is subject to the export licensing authority of the Department of State/DDTC or the Department of Commerce/BIS.

You will learn:

• Check the Order of Review & Specially Designed Catch & Release
• Cover letter & Information to Include on the DS-4076
• Supporting Documents Product Development, Funding, Sales Data
• Third Party Authorizations
• USML/CCL Determining Factors
• CJ Reconsideration

Having the correct product classification is one of the most important elements of a compliance program. Stay ahead of the game!

Introduction to the ITAR & EAR

• What are Export Controls and why are they important?
• Compliance challenges
• Review of the ITAR & the U.S. Munitions List (USML)
• A description of the various types of licenses/agreements
• The DSP-5 transaction and required documentation
• Applying for a limited defense service
• Important definitions
  
  

The EAR and the Commerce Control List (CCL)

• Classification--How to read the Export Classification Control Numbers (ECCN’s) & Reasons for Control
• Examining the Country Chart, Country Groups A, B, D & E
• EAR Definitions
• Ten General Prohibitions
• Appling for a License: The Letter of Explanation
• Supporting Documentation & End User Statements
• Sample License Conditions
• What happens if we violate the ITAR or EAR?
  
  

Introduction to Export Controls & the Elements of the ITAR

• A quick review of the Defense Export Control Compliance System-DECCS
• View the various types of licenses
• The DSP-5 transaction and required documentation
• Applying for a limited defense service
• The life of a license: How licenses are staffed throughout the U.S. Government agencies
• How to amend a license and How to avoid a Return Without Action (RWA) 
• Licensing Tips
• Agreements-Various types & Elements of a Submission
  
  

Introduction to the EAR & Export Authorizations

• A quick review of the EAR
• Classification--How to read the Export Classification Control Numbers (ECCN’s) & Reasons for Control
• Examining the Country Chart, Country Groups A, B, D & E
• EAR Definitions
• Ten General Prohibitions
• Appling for a License: The Letter of Explanation
• Supporting Documentation & End User Statements
• Validated End Users (VEU)
• Sample License Conditions
  
  

Recordkeeping
The following topics will be covered:

• Regulatory requirements for recordkeeping for export control agencies – what do the regulations say?
• What is the government recommending with regard to compliance automation?
• What transactions and which persons are subject to recordkeeping requirements?
• Export control documents vs. general commercial records
• Best practices for recordkeeping in the paperless era
• Challenges of auditing electronic records
• Advice for maintaining files for shipping documents, classification, and licensing determinations
• Recordkeeping for reform-related reclassification decisions
• Internal mini-audits of export paperwork
• Challenges of dealing with freight forwarders, air couriers, and other third parties who generate documents on your company’s behalf
  

Legal considerations: investigations, discovery, attorney-client privilege

3D Systems Corporation

• Company background
• Breakdown of fine between 3 U.S. Government regulatory agencies:
       - State/DDTC
       - Commerce/CIS
       - Department of Justice
• What Happened and Why
• Lessons Learned
• Why compliance programs are an effective tool
• Elements of a compliance program
  
  

How to Avoid Forced Labor Penalties in Your Sourced Goods

If you are in the CTPAT program, it is a requirement that Importers should have a comprehensive and transparent social compliance system in place.

This course provides an overview of the steps of a Corporate Social Responsibility audit process and the guidelines to be prepared for a CBP review.

But how can you know if your suppliers are social compliant? What do we mean with human rights and what are social compliance standards that are available to support you?

Do you want to learn valuable strategies for identifying and mitigating risk in your organization?

This workshop will give you a comprehensive look at how to perform better compliance risk assessments—an essential element of any compliance and ethics program. Whether your organization already has a mature model in place or is just beginning its risk assessment journey, you’ll learn how to conduct a thorough assessment that will help you identify inherent risks to your organization or issues within your system of processes and procedures.

Fundamentals of Jurisdiction & Classification

How can you be compliant with the rules and regulations if you have not properly classified your items? We will review the following:

• Order of Review
• Specially Designed
• “Catch” Criteria
• “Release” Criteria (b1-b5)
• How to Classify on the Commerce Control List (CCL)

The Role of the Empowered Official

• Who is eligible to be an Empowered Official (EO)?
• What a perspective EO needs to know about the laws, regulations, and penalties:
  • How to be an effective EO—preparing yourself to take on the key responsibilities. Let’s measure your personality traits to ensure they fit the job.
  • Work environment—how to handle marketing, foreign nationals, shipping, Voluntary Disclosures and more.
• Remember--the State Department/Defense Trade Controls Compliance (DTCC) sent an important message to industry about the qualifications of an EO. Take that cue and learn what you need to know to establish your career path.

How to Use the STA Exception Effectively

If you aren’t using STA, you need to review the requirements and get on board. Why waste time with licensing when you can use STA!

• Background use and STA Limitations
• Requirements for Use
• Various Conditions to Satisfy
• Getting the Consignee Statement
• Conditions to Meet for 600 Series Items Eligibility
• IS Notice to Applicants