Global Export Controls

What are the emerging barriers to getting your team up to speed on evolving China export compliance decision-making? What are the mission-critical points to address when upskilling your team around the needs for continuous updating control programs? Using hypothetical scenarios and audience feedback, this session will leave you with the management tools needed to fulfill compliance needs while at the same time increasing your team’s understanding of the compliance landscape as a whole. FDPR:

• Avoiding key pitfalls when applying the FDPR
• Foreign Direct Product Rule (FDPR)/advanced computing export controls rules
• de minimis threshold decision-making
  • How do you tighten up compliance oversight around third-party due diligence procedures?
  • Conducting gap analysis: Updating your compliance program protocols to make sure legal, engineering, and trade compliance are all in the loop
• Employee training and monitoring<
  • Has the company provided tailored training for high-risk and control employees?
  • What resources have been available to employees to provide guidance?
• Conducting gap analysis: Updating compliance programs to make sure legal, engineering, and trade compliance are all in the loop with new controls
• Third-party management
  • What to do with information uncovered during the third-party vetting process: How to evaluate red flags

• In-house data analytics
  • How to know if the data captured is clean and accurate
  • How not to use actual trade data or metrics to make trade determinations
• Analytics and AI for export controls
  • New ECCNs
  • New countries
  • Licenses applied correctly
  • Reporting/license discrimination
• Analytics for sanctions: Reviewing countries
  • Denied parties
    • How long will it take to decide?
    • Documentation
    • Potential match rate – Too high/low – Self binding

During this interactive session, hear from leading practitioners on the most pressing, big-ticket corporate and individual liability risks. Through hypothetical scenario exercises and audience polling, take away best practices for re-positioning yours or your clients’ risk profiles in response to newfound challenges and government enforcement priorities.

• Audience polling: Corporate and individual liability export control risk pain points
• Using recent OFAC, DDTC and BIS settlements to reveal the nuances to your team of new penalties and risks
• How to minimize your exposure to rising individual liability risks for export violations: Making sure your team understands the anticipated increased enforcement arena
• First-hand insights on how to cooperate with DDTC, BIS and OFAC, and establish positive relationships
• Evaluating whether the conduct at issue in the prior and current matters reflects broader weaknesses in a corporation’ s compliance culture or practices
• Corporate cooperation credits: Preserving, collecting, and disclosing relevant documents located both within the United States and overseas

Case Study #1: Compliance Program Resource Buy-In: Aid Budgetary Pressures

• Proving to senior management how a compliance culture can:
• Help improve company reputation/strategic investment/competitive advantage
• Prevent delays in business processes (i.e., preventing licensing delays, seizure of shipments, freezing of funds)
• Avoid potential public procurement/state restrictions
• Ensure compliance with contractual requirements imposed by banks, insurance companies, and other third parties via representations and avoid contract breaches
• Reduce potential exposure to significant penalties for violations (civil and criminal penalties, and suspension/denial of export privileges
• Knowing violations around strict liability and personal liability

Case Study #2: Staffing Your Compliance Team and Avoiding INA Pitfalls

Amid continued DOJ enforcement of the Immigration Reform and Control Act anti-discrimination provisions, how can companies comply with U.S. export control laws?

• Intricacies and process pointers for compliance managers around export control and sanctions-related staffing and resourcing using best-in practice industry case examples
• Minimizing the risk of conflating employment-eligibility verification efforts with export control compliance
• Employment verification: HR, Legal
  • USCIS I-9
  • Export assessment: Legal/compliance, key functions within the company

Case Study #3: Upskilling Your Team Around Managing Authorizations, Provisos, and Limitations

• Adherence to requirements
  • Ensuring that scope and restrictions can be implemented as contemplated
  • Avoiding “death by proviso”
  • Determining which conditions can be automated (e.g., access controls) and what needs to be manual (e.g., training, compliance plans)
• Assigning key compliance tasks to organizational structures to implement as applicable, including:
  • Accounting, credit, finance
  • Logistics/supply chain
  • Purchasing
  • Contract manufacturing
  • Marketing, sales, contracts, customer service
  • Human resources
  • Legal
  • Engineering/R&D
  • Information technology

During this session, benefit from advanced-level case studies and cross-industry perspectives on current and anticipated export control enforcement in the U.S., EU and UK. Understand the current global export control landscape and assess common misunderstandings around how to customize your compliance program for different global jurisdictions through peer-to-peer, cross-industry benchmarking exercises.

• Incorporating the multitude of recent global export controls developments into your program
• Identify the tools that your team can use to best identify significant non-multilateral compliance risks
• Identifying how U.S. export control reform and developments overlap/impact with UK and EU regulatory frameworks and how this intersection might derail compliance protocol updates

AERO/DEFENSE SECTOR FOCUS

This roundtable will feature discussion of the critical EAR, ITAR, anti-boycott, and OFAC export and sanctions control compliance approaches that are working for today’s aerospace and defense leaders.

LIFE SCIENCES FOCUS

During this sector-specific session, industry players share best practices around screening entities, conducting business in sensitive regions, pre-approval licensing requirements, and the high stakes risk factors that are specific to the life sciences companies.

FINANCIAL SECTOR AND EXPORT FINANCE

Leverage this working group to benchmark with your financial-sector peers around the newest export controls and economic sanctions risks affecting financing and transaction approvals.

TECHNOLOGY & TELECOM

The Advanced Semiconductor Rule, the new “Cyber Rule” for intrusion software, new EAR rules on Russia and Belarus, cloud and cyber controls, and multilateral technology export controls are just a few of the tech sector-specific compliance speedbumps. Featuring case study examples and peer-to-peer roundtable benchmarking, this discussion will leave you with new tools to add to your compliance toolbox.

ENERGY SECTOR

Join this roundtable discussion to learn how your energy sector peers are managing export compliance operations and the broader business implications.