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Navigating Export Compliance Controls

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Beth lisanti

on 26 August 2013

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Transcript of Navigating Export Compliance Controls

Navigating Export Compliance Controls
Understanding the Export Regulations and staying compliant
Perform a meaningful risk analysis
Transaction and Customer Due Diligence Screening
Item Classification:
Screening Elements
End-user and all parties involved in transaction

You are responsible to making sure any suspicious circumstance are properly checked out
Export Compliance is a collaborative Effort!
An ECCN must be determined prior to shipping
The ECCN is a key factor in determining whether you need a license to export dual-use items outside of the US
Item Classification
Go to the source
official request to BIS
Know Your Customer Guidance
"Know Your Customer"
knowing your customer is an essential element to comply with US Export Regulations
Gain an understanding of who you are doing business with
due diligence is a critical process -an anaylsis of the "all parties to the transaction" (e.g., end-user, purchaser, I/E etc.)
conduct a meaningful risk assessment
Screening Elements
customer & transaction
Pre & Post Compliance Screening
employees, contractors, consultants, third-parties, products and transactions
Restricted Party Screening-a process of cross -referencing the parties in a transaction against the multiple and ever-changing list or restriced parties
RED FLAGS-a signal that things don't make sense. We must not ignore any suspicious circumstances surrounding an export
what will the item be used for?
specific end-use details are required
R&D or Production?
what is the nature of research: commerical or miltary projects ? what type of projects?
Is there a end-use & marking plan?
do they own any other equipment?
who will use the equipment?
where is the item shipping?
is the end destination an embargoed, sanctioned, or high risk country?
Does the end-user have a facility to support the equipment?
Who will perform the install?
is the end destination on the current list of Travel Warnings?
Screen on MK Denial
Confirm end-use plan
Gain an understanding of who you are doing business with
Are there any Red Flags?
any concerns
Know the facts before you ship
Don't Self Blind
Full transcript