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John Pisa-Relli Legal Director – Trade Compliance Thales USA, Inc. November 2011 The Seven Habits of Highly Effective EOs (And ITAR Compliance Professionals Generally)
The ITAR Requirement
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],The EO Defined (ITAR § 120.25)
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],The EO Defined (ITAR § 120.25)
Empowering the Official ,[object Object],[object Object],[object Object],[object Object],Must appoint at least one EO but can have as many as advisable Document appointment and notify State Department in writing Restate ITAR criteria with emphasis on authority to carry out duties with impunity Document full range of EO qualifications, responsibilities, and organization
EO vs. Compliance Officer ,[object Object],[object Object],[object Object],[object Object],EO does not  have  to be in a compliance function Ideally, EO  should  be a senior compliance officer Less ideal is to have conflicting responsibilities; e.g., business development Least ideal is a junior person who does not command level of authority required
… and ITAR Compliance Professionals Generally The 7 Habits of Highly Effective EOs 1 2 3 4 5 7 6 ,[object Object]
Habit 1:   Turn Square Corners ,[object Object],[object Object],[object Object],[object Object]
Habit 2:   See the Big Picture ,[object Object],[object Object],[object Object],[object Object]
Habit 3:   Be Creatively Conservative ,[object Object],[object Object],[object Object],[object Object]
Habit 4:   Be Cheerfully Suspicious ,[object Object],[object Object],[object Object],[object Object]
Habit 5:   Be Unafraid to Say No ,[object Object],[object Object],[object Object],[object Object]
Habit 6:   Sell Compliance ITAR What We Do Compliance ,[object Object],[object Object],[object Object],[object Object]
Habit 7:   Be Clinically Detached ,[object Object],[object Object],[object Object],[object Object]
The Downside It’s  your  name on the dotted line, with all the fear and trepidation that rightly carries…. Are you personally accountable for violations? What if you’re asked to condone impropriety or look the other way? Will you be thrown under the bus if things go wrong?
Compliance Kevlar Protect yourself and your company – remember, your reputation precedes and follows you Document your actions – it’s not what you know, it’s what you can prove If you feel uncomfortable, it’s probably a sign that something is not right – remember the duck…. Never compound mistakes with a cover-up – good faith mistakes are highly survivable events
 

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Pisa-Relli Empowered Officials (November 2011)

  • 1. John Pisa-Relli Legal Director – Trade Compliance Thales USA, Inc. November 2011 The Seven Habits of Highly Effective EOs (And ITAR Compliance Professionals Generally)
  • 3.
  • 4.
  • 5.
  • 6.
  • 7.
  • 8.
  • 9.
  • 10.
  • 11.
  • 12.
  • 13.
  • 14.
  • 15. The Downside It’s your name on the dotted line, with all the fear and trepidation that rightly carries…. Are you personally accountable for violations? What if you’re asked to condone impropriety or look the other way? Will you be thrown under the bus if things go wrong?
  • 16. Compliance Kevlar Protect yourself and your company – remember, your reputation precedes and follows you Document your actions – it’s not what you know, it’s what you can prove If you feel uncomfortable, it’s probably a sign that something is not right – remember the duck…. Never compound mistakes with a cover-up – good faith mistakes are highly survivable events
  • 17.