export compliance l.
Download
Skip this Video
Loading SlideShow in 5 Seconds..
Export Compliance PowerPoint Presentation
Download Presentation
Export Compliance

Loading in 2 Seconds...

play fullscreen
1 / 34

Export Compliance - PowerPoint PPT Presentation


  • 203 Views
  • Uploaded on

Export Compliance. Global California 2009 April 3, 2009 Santa Clara, CA. EXPORT CONTROL BASICS. Export Controls are based on item, destination, end-user and end-use. Export controls are designed to protect the national security, foreign policy and economic interests of the United States.

loader
I am the owner, or an agent authorized to act on behalf of the owner, of the copyrighted work described.
capcha
Download Presentation

PowerPoint Slideshow about 'Export Compliance' - blue


An Image/Link below is provided (as is) to download presentation

Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.


- - - - - - - - - - - - - - - - - - - - - - - - - - E N D - - - - - - - - - - - - - - - - - - - - - - - - - -
Presentation Transcript
export compliance

Export Compliance

Global California 2009

April 3, 2009

Santa Clara, CA

export control basics
EXPORT CONTROL BASICS
  • Export Controls are based on item, destination, end-user and end-use.
  • Export controls are designed to protect the national security, foreign policy and economic interests of the United States.

Source ; Bureau of Industry and Security Office of Export Enforcement

penalties
PENALTIES

Criminal: 20 years imprisonment

$250,000 fine ($1,000,000 corporation)

Civil: $250,000 max per violation

or 2 x value of export and potential

Denial of export privileges

Source ; Bureau of Industry and Security Office of Export Enforcement

penalties4
PENALTIES

Avoid becoming an Enforcement Statistic. Make export compliance a priority!

Requires top-down commitment from the CEO to the warehouse.

Look for Changes to the BIS Regulations

Example – September 22, 2008, 115 new entries to the BIS Entities List creating a license requirement for the export of all items subject to the EAR.

Source ; Bureau of Industry and Security Office of Export Enforcement

basic compliance tools
BASIC COMPLIANCE TOOLS
  • Have an Export Management and Compliance Plan.
  • Write clear operating guidelines, distribute to all personnel and provide training.
  • Identify and publish all export control functions, responsible personnel, and their contact information.

Source ; Bureau of Industry and Security Office of Export Enforcement

slide6

HOW TO DESIGN A COMPLIANCE PROGRAM

  • Compliance program design – there is no “one size fits all”
    • Use Export Management System Guidelines
      • Cited in 15 CFR sec 766 sup. 1
      • Described in detail on the BIS Web Site
    • Use Internal Compliance Plan Guidelines
      • 15 CFR sec 752.11
    • Industry Best Practices

Source ; Bureau of Industry and Security Office of Export Enforcement

slide7

PRINCIPLES OF AN EFFECTIVE COMPLAINCE PROGRAM

1. Whether the company has performed a meaningful risk analysis.

2. Existence of a formal written compliance program.

3. Appropriate senior officials responsible for compliance program.

4. Adequate training provided to employees.

5. Company effectively screens customers and transactions.

6. Company meets recordkeeping requirements.

7. Existence of internal system for reporting export violations.

8. Conducts and maintains results of export compliance audits.

9. Appropriate remedial activity taken in response to violations.

Source ; Bureau of Industry and Security Office of Export Enforcement

slide8

EVIDENCE OF EFFECTIVE COMPLIANCE

  • Documentation
    • Training records
    • Disciplinary records for violations of company policy
    • Due diligence/screening checklist
    • Evidence of record retention
    • Provide results of compliance audits
    • Clearly written designation of responsible personnel

Source ; Bureau of Industry and Security Office of Export Enforcement

slide9

WHAT THE EXPORTER MUST KNOW

  • Correct product classification: This is the exporter’s responsibility – classify, verify, and document!
  • Identify all parties to a transaction; verify legitimate intermediaries and name ultimate consignee on export records.

Source ; Bureau of Industry and Security Office of Export Enforcement

slide10

“KNOW YOUR CUSTOMER” GUIDANCE

  • Be Aware of Diversion Risks!
  • Lists you must check prior to export:
    • Denied Parties
    • Embargoed countries
    • BIS Listed Entities
    • BIS General Orders
  • Exercise due diligence where Red Flags are present; refrain from/report questionable transactions.

Source ; Bureau of Industry and Security Office of Export Enforcement

slide11

“KNOW YOUR CUSTOMER” GUIDANCE

  • Research customers – internet is a great place to start.
  • Whenever practical talk to new customers about their markets and product applications.
  • Learn to identify and recognize “Red Flags”.
  • If there are “Red Flags” inquire.

Source ; Bureau of Industry and Security Office of Export Enforcement

slide12
NUCLEAR WEAPONS

Centrifuge

High Speed Thermal Cameras

Mass Spectrometer

Vacuum Pumps

BIOLOGICAL WEAPONS

Bacterial Strains

Coated Valves and Pumps

Fermenters

Presses

Source ; Bureau of Industry and Security Office of Export Enforcement

CHEMICAL WEAPONS

Precursor chemicals

Coolers/Heat Exchangers

Mixing Vessels

MISSILES

Composites

Machine Tools

Filament Winding Equip

Accelerometers

Vibration Test Equipment

EXAMPLES OF DUAL USE ITEMS

slide13

HOW VIOLATIONS HAPPEN IN GOOD COMPANIES

  • Overwhelmed by end of quarter orders and processing.
  • New personnel using outdated go-by documentation.
  • Export manager on vacation (cross train back up personnel).
  • Lack of communication with sales staff and foreign distributors.

Source ; Bureau of Industry and Security Office of Export Enforcement

slide14

INCOMPLETE/INCORRECT EEI INFORMATION

  • Incorrect ECCN
  • Improper use of NLR (No license required)
  • Incorrect Ultimate Consignee
  • If your forwarder completes your AES filing, ensure shipping instructions are clear and defined

Source ; Bureau of Industry and Security Office of Export Enforcement

slide15

FAILURE TO INFORM ON LICENSE CONDITIONS

  • Identify all license conditions and identify any conflict with the sales transaction.
  • Resolve any conflicts before proceeding with transaction. Even if this means amending the license!
  • Notify intermediate and ultimate consignees of all BIS license conditions.
  • Submit all reporting as required by BIS license.

Source ; Bureau of Industry and Security Office of Export Enforcement

summary
Summary
  • If you identify a violation, immediately assess and contain problem, work with your management to evaluate the benefits of voluntary disclosure to BIS/OEE.
  • Disclosures related to failure to obtain one-time review for use of the ENC exemption receive favorable treatment and are encouraged.

Source ; Bureau of Industry and Security Office of Export Enforcement

fedex global trade manager

FedEx® Global Trade Manager

Your free, online shipping assistant

common challenges international shippers encounter
Common Challenges International Shippers Encounter:  

Missing, incorrect or improperly completed documents

Complying with regulations and laws

FedEx Global Trade Manager

September 2008

fedex global trade manager solutions
FedEx Global Trade Manager Solutions

With FedEx Global Trade Manager, you can:

Find the proper documents required for international shipping

Prepare, store and reuse customs documents online

View advisories concerning your shipment

Research country profiles

Search an up-to-date international denied-party-screening database

Use product profiles to manage your commodity information

FedEx Global Trade Manager

September 2008

find international documents
Find International Documents

This tool helps you determine and print the documents needed to accompany your international shipments, both express and ground, thereby helping to ensure a smooth customs clearance

FedEx Global Trade Manager

September 2008

find international documents21
Find International Documents

Enter your origin and destination countries

Select whether you’d like FedEx® Global Trade Manager to help you find the particular documents you need for this shipment or to show you all the available documents pertinent to the import and export countries and shipment type you specified

FedEx Global Trade Manager

September 2008

find international documents22
Find International Documents

Enter the product information, including:

The name of the product

The Harmonized System Code (you can search for this right on FedEx® Global Trade Manager)

The customs value

The country of manufacture

You have the option to save the product information in a product profile for fast and easy access at a later time

FedEx Global Trade Manager

September 2008

find international documents23
Find International Documents

View the list of recommended documents for your shipment, or a document list based on the import and export countries

Some of the most frequently used documents are available for online completion, including the Commercial Invoice, the Pro Forma Invoice, the NAFTA Certificate of Origin, the Certificate of Origin and the packing list

FedEx Global Trade Manager

September 2008

document preparation center
Document Preparation Center

Prepare, store and manage customs documents online. Save time avoiding duplicate entry of information when you save document profiles and reuse documents for future shipments.

FedEx Global Trade Manager

September 2008

document preparation center25
Document Preparation Center

To begin, select one or more documents from to complete them online, and either print or click Ship to prepare your shipment.

Save document profiles for international shipments to edit and reuse a set of documents when you repeat similar shipments. Also initiate a similar shipment with your document profiles.

Each document profile relates to an international shipment you have already prepared. You can easily search and sort to access your profiles efficiently. You can also customize your view.

FedEx Global Trade Manager

September 2008

document preparation center26
Document Preparation Center

Save partially completed documents to come back and finish at a more convenient time.

Select a pending document profile to resume preparation and complete or to delete as needed.

  • Prepared customs documents are stored in the Document Archive for complete visibility.
  • View and modify each document or create a document profile to reuse the document for future shipments.
  • Upload your company lettered to be used with your Commercial invoice and also upload a signature image for customized and professional documents.

FedEx Global Trade Manager

September 2008

document preparation center27
Document Preparation Center

All prepared customs documents are stored in the Document Archive for complete visibility.

View and modify each document or create a document profile to reuse the document for future shipments.

Upload your company lettered to be used with your Commercial invoices and also upload a signature image for customized and professional documents.

FedEx Global Trade Manager

September 2008

advisories
Advisories

This feature gives you important regulatory information for the import and export side of your transaction, as well as for the commodity you are shipping

FedEx Global Trade Manager

September 2008

advisories29
Advisories

Enter your origin and destination countries, transaction currency, and shipping and insurance charges

Enter the product information, including:

The name of the product

The Harmonized System Code (you can search for this right on FedEx® Global Trade Manager)

The customs value

The country of manufacture

You have the option to save the product information in a product profile for fast and easy access at a later time

FedEx Global Trade Manager prepares a report containing the applicable shipping advisories that you need to know about

FedEx Global Trade Manager

September 2008

country profiles
Country Profiles

Provides an overview of essential, country-specific shipping information and regulatory requirements, including demographics, business information and statistics

This resource enables you to research a country upfront for sourcing decisions before you ship

FedEx Global Trade Manager

September 2008

denied party screening
Denied Party Screening

Identifies individuals, companies and other parties that have been denied the privilege of engaging in international business transactions

FedEx Global Trade Manager

September 2008

international resource center
International Resource Center

Here you’ll find several useful tools and resources designed to make international shipping accessible and straightforward, including:

International shipping checklist

International shipping reference guide

Global trade links

FedEx international shipping resources

FedEx Global Trade Manager

September 2008

fedex global trade manager33
FedEx Global Trade Manager

FedEx Global Trade Manager is just one more way FedEx can help simplify your shipping, saving you time and money and boosting your productivity

Log in today at https://gtm.fedex.com/GTM to see how easy it is!

FedEx Global Trade Manager

September 2008