Director of Logistics & Compliance James Hall

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1 Minimizing Risk Exposure While Fully Utilizing Freight Forwarders Expertise To Effectively Apply Compliance In Challenging Locations Director of Logistics & Compliance James Hall

2 What is Compliance Adherence to the rules and regulations set forth CFR 15 Export Licensing Export Control Classification Numbers CFR 19 Customs Duties HTS Classification FCPA / Anti-boycott Regulation Sanctions Due Diligence Reasonable decision making process Training, Auditing, Improvement, Disclosures Import/export manual Compliance Software or Process Internal Controls Defensible Compliance Program Which Mitigates Fines and Penalties 2

3 Where Does Compliance Start? USPPI (U.S. Principal Party and Interest) FPPI (Foreign Principal Party in Interest) Freight Forwarder 3

4 Responsibility For Compliance 15 CFR > All parties that participate in transactions subject to the EAR must comply with the EAR. Parties are free to structure transaction as they wish, and to delegate functions and tasks as they deem necessary as long as the transactions comply with the EAR. > Acting through a forwarding agent, or other agent or delegation or re-delegation of authority, does not relieve anyone of responsibility for compliance with the EAR. 4

5 Global Trade Compliance Four Phase Approach Policies & Procedures (Gap Analysis) Audit For Compliance (Proper Application) Communication & Training (Knowledge transfer & understanding) Implementation (Rollout)

6 Who Are The Responsible Parties? > Don t leave it up to the forwarding agent! > Properly classify your product > Know the final destination (embargo country) > End-User (denied person, screening elements) > End-Use (What is the product being used for?) 6

7 Selection Of Forwarder To Reduce Risk In Challenging Locations Typical Freight Forwarder Export Filings Import Brokerage Activity Reporting Compliant Freight Forwarder Export Filings Import Brokerage Activity Reporting Document Retention Post Entry Review Consulting Services Restricted Party Screening Global Compliance Team Compliance Training 7

8 Selection Of Freight Forwarder to Effectively Reduce Exposure in Challenging Locations Freight Forwarder s Foot Print Customers in the industry Similar products Familiar with Customs at destination Familiar with US Export impact on the items shipped Does the Freight Forwarder have a Global Compliance Team 8

9 Reducing Risk Exposure While Utilizing The Freight Forwarder s Expertise Trade Compliance Document Develop an import and export procedures document for all countries where you transact business Invite the forwarder to be jointly responsible for updating the document with all importing and exporting compliance procedures that will impact your business (Area Managers & US Freight Forwarder) Document must contain the respective country requirements: SASO, Import license requirements, commodity description issues gun, etc. 9

10 Selection of Freight Forwarder To Reduce Risk > Forwarder s Broker Agent List Worldwide > Quarterly Reviews with the Forwarder along with the Customs Broker > Compliance Action Items should be assigned to the customs broker, i.e. contact agent in X country and determine what import requirements are needed; what specific documentation is likely to cause customs delays > What is the average time to clear the exported item through customs of the respective nation > Hours of operation Overtime, Weekends Cost FCPA / Facilitation Payments 10

11 Effective Management of a Global Supply Chain to Reduce Risk > Requires communication and collaboration with Shipper manufacturer, distributor, Forwarders Brokers > Engage the freight forwarder Invite the forwarder to manage the supply chain (not liable, but empowered to be responsible) Bonuses when the freight forwarder helps to reduce inventory bottlenecked at customs ports, (new customs broker, informal green light Russia pictures of computer software and machines with explanations) Bonuses All import and export documents collected for temporary import shipments. Reduces likelihood of fines

12 Compliance in the Land Rig Space > Land Rig Compliance Concerns Temporary Imports Exporting Rigs on temporary basis to nations requires correct customs declaration to be made upon entry of the Rig Timely filing for an extension All spare parts to remain with the respective rig (fines occur when spare parts are missing) Huge costs in North Africa Ensure the Freight Forwarder walks your team through the temporary import process for the destination country

13 Compliance in the Land Rig Space > Temporary Imports Exporting the Land Rig and re-importing the Land Rig as required Failure to timely respond to Customs and ignoring the fine Court cases ensue Rigs become nationalized Invite forwarder to help manage the temporary import process monthly reports > Documentation Retention Rig personnel often believe the freight forwarder is paid to keep import and export records for the Importer of Record No understanding of how to retrieve their import and export records to create compliance program; Engage the freight forwarder to help

14 Compliance in the Land Rig Space North American Free Trade Agreement Research and development equipment is exchanged between Canada and the US regarding land rig drilling No true verification of the bill of materials and whether or not regional value content is met in the NAFTA determination of the goods CF28 s are issued CF29 s result with a higher rate of duty assigned Potential Focus Assessment from US Customs Voluntary Disclosures may be needed Engage forwarder to scrutinize the entry Do not declare the shipment as NAFTA

15 Compliance in the Land Rig Space Export Compliance Export Control Classification Numbers (ECCN) Dual use items may be supplied by suppliers, sold to the US company domestically and set up for export Communicate with freight forwarder about holding all shipments where the sales order, or purchase order list an EECN Assign an Engineering team to ECCN classification Documentation retention

16 Cursory and Objective Ways To Measure Supply Chain s Trade Compliance Vulnerability Automated Customs Environment - ACE A good starting point to examine duty free classifications and verify if the duty free classifications were correct Contact the broker and determine if an HTS database had been supplied to the broker; request a copy and review Record retention Based on the ACE report attempt to locate the previous 5 years worth of import records, or submit a FOIA request to the Customs Office of Strategic Trade Review Powers of Attorney submitted to Customs brokers (signed by officers of the company).

17 Measuring the Supply Chain s Trade Compliance Vulnerability Automated Export System - AES Contact freight forwarder and request a record of the AES filings covering the last year Review the filings to determine if a routine schedule B number is being used for all exported shipments Review to determine if any export control classification numbers have been listed Determine if the freight forwarder is making unilateral decisions on the export control classification numbers and schedule B numbers, and act accordingly to correct any AES errors.

18 Global Supply Chain and Compliance Software > JDA Software Inc. March 2015 reports that only 50% of global supply chains are adequately staffed to support their global operations. > Compliance Software must be used by the company to create a proactive trade compliance corporate culture Freight forwarders are beginning to offer compliance solutions, (software, and consulting services) Third party providers of compliance tools: Amber Road, IntegrationPoint, Oracle, SAP, etc. EDI solutions: Dicentral - allows users to monitor the status of orders every step of the way-from order fulfillment, transportation of goods, order matching and invoice history as well as automating the production of commercial invoices and export documentation.

19 Remaining Compliant Effective Compliance Program Good Legal Counsel Senior Management Commitment Compliance Officer Compliance Manual Training and Development

20 Comments, Questions, Concerns

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