How to Develop an Effective

Export Management & Compliance Program:

AGENDA

7:30 – 8:00 Continental Breakfast

8:00 – 8:15 Welcome, Opening Remarks, & Program Overview

8:15 – 9:30 Theoretical Construct of Compliance & Getting Started

§ Why Bother? What’s in it for you?

§ Effective Compliance Defined

§ Cycle of Compliance

§ What’s an ECCN? Why is it important?

THE COMMERCE COMPLIANCE PERSPECTIVE: NINE CORE ELEMENTS

9:30 – 10:00 Management Commitment (1)

The Most Critical Compliance Component

§ The TMC Principle

§ Compliance Culture

§ Obtaining Management Buy-in

10:00 – 10:15 BREAK

10:15 – 10:35 Continuous Risk Assessment (2)

Assessing Your Compliance Needs & Vulnerabilities

§ Evaluating Impact, Defining Needs, & Taking Action

§ Assessment Tool

10:35 – 11:00 A Formal Written EMCP (3)

Power of the Written Word

§ Your Compliance Mantra

§ Operational Plan vs. Policy Document

11:00 – 11:20 Ongoing Compliance Training & Awareness (4)

Investing in Your Most Critical Compliance Asset

§ Elements of an Effective Training Program

§ Keys to Raising Awareness

11:20 – 12:00 EMCP Business Case Exercises

12:00 – 1:00 LUNCH

1:00 – 1:30 JPEARODY Review

1:30 – 2:15 Pre & Post Export Compliance Security & Screening (5)

§ Item Jurisdiction, Classification, & License Determination

§ Screening Based on Lists, Activities, & Red Flags

§ Deemed Exports

2:15 – 2:35 BREAK

2:35 – 2:50 Recordkeeping Requirements [EAR Part 762] (6)

Your Compliance Story

§ Creating an Audit Trail

§ Records’ Life Cycle

§ Areas Not to Overlook

2:50 – 3:15 Export Compliance Monitoring & Auditing/Assessing (7)

§ Structuring Your Compliance Audit Program

§ Anatomy of an Audit

3:15 – 3:45 Handling & Reporting Compliance Problems,

& Taking Corrective Actions (8) & (9)

§ A Company’s Best Defense

§ Notification & Escalation

§ Corrective Action

3:45 – 4:30 Wrap-up, Final Thoughts & Individual Q &A

§ Evaluations, please