This presentation discusses the FLIR Consent Agreement, which stemmed from violations of the International Traffic in Arms Regulations (ITAR). The presentation focuses on what went wrong (the Proposed Charging Letter) and touches on the mandatory requirements (Consent Agreement). This is Part 1 in a multi-part series.
The document discusses compliance procedures and voluntary disclosure criteria for export control violations. It provides an overview of how to conduct internal investigations of suspected violations and outlines the elements that should be included in a voluntary disclosure filing, such as a description of the violations and corrective actions. The document advises implementing thorough corrective actions and not trying to hide bad facts when filing a disclosure. It also summarizes a consent agreement between the United States and United Technologies for unauthorized exports and failure to maintain effective export controls.
The document discusses the International Traffic in Arms Regulations (ITAR), which control the export of defense articles and services. ITAR is authorized by the Arms Export Control Act and implemented by the State Department. Defense articles include any items on the US Munitions List, and defense services include military training. Senior management is responsible for ensuring their company complies with ITAR requirements such as registration, recordkeeping, and training employees. An effective compliance program includes organizational policies and procedures to properly handle any controlled defense articles or services.
This document provides an overview of export control laws and regulations for defense industry executives, focusing on the International Traffic in Arms Regulations (ITAR). It discusses that ITAR controls the export of military items on the U.S. Munitions List, including defense articles, technical data, software, and defense services. It also notes some key requirements for items on the USML, such as obtaining an export license, registration requirements, recordkeeping, and screening for prohibited parties. The document is intended to help defense industry executives understand and comply with ITAR regulations.
Raymond J. Castagnaro has over 20 years of experience in export compliance and is seeking a position as VP/Director of Export Compliance and Licensing. He has extensive experience as an Empowered Official and has established relationships with licensing officials at the Department of State and Department of Defense. His expertise includes developing comprehensive compliance programs, conducting audits, and obtaining necessary licenses and approvals for defense and aerospace companies.
This document summarizes a presentation about export compliance requirements for US companies. It provides an overview of the key regulatory agencies, including the State Department's Directorate of Defense Trade Controls (DDTC) and the Commerce Department's Bureau of Industry and Security (BIS). It also outlines the various licenses, classifications and lists that determine what items require export authorization and highlights the services available from the US Commercial Service to help companies navigate compliance.
February 15-17, 2011 - ITAR Boot Camp BrochureJohn Priecko
If you are looking for a first class beginner's conference and related workshops on the International Traffic in Arms Regulations (ITAR), this is it! It is also a GREAT refresher for seasoned trade compliance professionals! I am speaking in two sessions on the Do’s and Don’ts for Preparing and Submitting CJ Requests and The Risks and Rewards of Being an Empowered Official: When and How an EO Can Be Held Personally Liable for ITAR Violations. Check out the long list of hot topics and many other superb presenters at this conference in sunny San Diego, California. The American Conference Institute has a long history and acknowledged reputation for putting together very well organized and executed events.
This document discusses the requirements for registering with the U.S. State Department's Directorate of Defense Trade Controls (DDTC) under the International Traffic in Armaments Regulations (ITAR). It outlines who needs to register, exemptions to registration, the registration process including required documentation and fees, recordkeeping responsibilities, and other regulatory bodies to be aware of when dealing with defense articles or services.
The document discusses U.S. export controls and regulations administered by the Bureau of Industry and Security (BIS) within the U.S. Department of Commerce. It covers topics such as the Export Administration Regulations (EAR), controlled technologies and items, export license requirements, and compliance best practices for exporters.
The document discusses compliance procedures and voluntary disclosure criteria for export control violations. It provides an overview of how to conduct internal investigations of suspected violations and outlines the elements that should be included in a voluntary disclosure filing, such as a description of the violations and corrective actions. The document advises implementing thorough corrective actions and not trying to hide bad facts when filing a disclosure. It also summarizes a consent agreement between the United States and United Technologies for unauthorized exports and failure to maintain effective export controls.
The document discusses the International Traffic in Arms Regulations (ITAR), which control the export of defense articles and services. ITAR is authorized by the Arms Export Control Act and implemented by the State Department. Defense articles include any items on the US Munitions List, and defense services include military training. Senior management is responsible for ensuring their company complies with ITAR requirements such as registration, recordkeeping, and training employees. An effective compliance program includes organizational policies and procedures to properly handle any controlled defense articles or services.
This document provides an overview of export control laws and regulations for defense industry executives, focusing on the International Traffic in Arms Regulations (ITAR). It discusses that ITAR controls the export of military items on the U.S. Munitions List, including defense articles, technical data, software, and defense services. It also notes some key requirements for items on the USML, such as obtaining an export license, registration requirements, recordkeeping, and screening for prohibited parties. The document is intended to help defense industry executives understand and comply with ITAR regulations.
Raymond J. Castagnaro has over 20 years of experience in export compliance and is seeking a position as VP/Director of Export Compliance and Licensing. He has extensive experience as an Empowered Official and has established relationships with licensing officials at the Department of State and Department of Defense. His expertise includes developing comprehensive compliance programs, conducting audits, and obtaining necessary licenses and approvals for defense and aerospace companies.
This document summarizes a presentation about export compliance requirements for US companies. It provides an overview of the key regulatory agencies, including the State Department's Directorate of Defense Trade Controls (DDTC) and the Commerce Department's Bureau of Industry and Security (BIS). It also outlines the various licenses, classifications and lists that determine what items require export authorization and highlights the services available from the US Commercial Service to help companies navigate compliance.
February 15-17, 2011 - ITAR Boot Camp BrochureJohn Priecko
If you are looking for a first class beginner's conference and related workshops on the International Traffic in Arms Regulations (ITAR), this is it! It is also a GREAT refresher for seasoned trade compliance professionals! I am speaking in two sessions on the Do’s and Don’ts for Preparing and Submitting CJ Requests and The Risks and Rewards of Being an Empowered Official: When and How an EO Can Be Held Personally Liable for ITAR Violations. Check out the long list of hot topics and many other superb presenters at this conference in sunny San Diego, California. The American Conference Institute has a long history and acknowledged reputation for putting together very well organized and executed events.
This document discusses the requirements for registering with the U.S. State Department's Directorate of Defense Trade Controls (DDTC) under the International Traffic in Armaments Regulations (ITAR). It outlines who needs to register, exemptions to registration, the registration process including required documentation and fees, recordkeeping responsibilities, and other regulatory bodies to be aware of when dealing with defense articles or services.
The document discusses U.S. export controls and regulations administered by the Bureau of Industry and Security (BIS) within the U.S. Department of Commerce. It covers topics such as the Export Administration Regulations (EAR), controlled technologies and items, export license requirements, and compliance best practices for exporters.
12 02-14 information security managers - unannotatedwdsnead
The document discusses key legal and security considerations for cloud computing transactions. It addresses determining jurisdiction and choice of law, defining security responsibilities, handling data access and breaches, and disposing of data upon termination. Specifically, it emphasizes the need to understand data flows, split jurisdiction if possible, include enforceable security policies and breach notification requirements, limit third party access, and ensure deletion of data after termination.
3rd Party Risk: Practical Considerations for Privacy & Security Due DiligenceResilient Systems
This document provides an overview of 3rd party risk due diligence best practices for privacy and security. It discusses using questionnaires and on-site reviews to assess 3rd party vendors. It also addresses considerations for evaluating foreign service providers, such as the scope of services, data sensitivity, geographic factors, business continuity, local laws, legal risks, and security controls. The document provides examples of key questions to include in a questionnaire and areas to focus on during an on-site review.
We are leading GRC technology solutions provider offering Compliance Management, Internal Financial Control & Litigation management solutions.
In current regulatory framework an SME has to report ~ 3000+ compliance under ~90+ Central & State Acts applicable on them; complexities increase with size.
“LexComply.com” enables organizations to plan, report, monitor and execute its compliances with updates on any changes in acts governing them.
Pega, Capgemini and partner DLA Piper (a global law firm with extensive experience on FATCA regulations) explore how global financial institutions can fulfill their legal obligations to become FATCA compliant and navigate operational issues and technology requirements.
Presenter Information:
Alan W. Granwell, FATCA Team Leader, of Counsel, DLA Piper LLP
Gerald Francese, Partner, DLA Piper LLP
Reetu Kholsa, Global Director, Risk, Fraud and Compliance, Pegasystems
Erick Christensen, Vice President, Head of Compliance Practice Financial Services BU, Capgemini
This presentation was used as part of a live webcast. You can watch the full recording (with audio) at: http://www.pega.com/resources/webcast-the-state-of-fatca-compliance?utm_source=ss
Jw Uhd Strategic Issues Legal Challenges In Global Business Foreign Inv...Bridge360
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2017 07-26 Demystify the Government Contracting Challenges and Opportunities ...Raffa Learning Community
This document provides an overview of a seminar for non-profits on addressing challenges with government contracting. It introduces the presenters and provides an agenda for topics to be covered, including managed accounting services, keys for a successful DCAA audit, an ERP software called JAMIS Prime, an overview of Uniform Guidance versus FAR, cost accounting and indirect rates, and a Q&A session. Background is provided on Raffa as the hosting firm and their services. The document contains various slides with more details on the agenda items, such as differences between Uniform Guidance and FAR, areas with the most common findings in federal grants audits, and how Raffa can help with ensuring compliance with various requirements
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•Why is Continual Compliance a challenge in Vendor Management
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Digital Retail Africa 2023 hosted by IT News Africa - Carrie Peter speaks on Balancing User Experience and Security Compliance at Scale at the Digital Retail Africa 2023 conference. #retailtech #ecommerce #customerexperience #onlineshopping #securitycompliance
Inception Securities is a security consulting firm that began in 2002 providing database performance tuning and security services. It now employs 22 full-time staff, including 4 who would focus on a new state government contract. The firm holds relevant security certifications and has won 4 major contracts in the last 4 years. The document discusses the background and specialties of Inception Securities staff that would be assigned to the project, including their project manager, network administrator, database security expert, risk manager, and procurement/compliance officer. It provides an overview of Inception's approach to security across different domains including network administration, data administration, risk management, procurement, and compliance.
ORBCOMM (Nasdaq: ORBC) is committed to maximizing shareholder value. We continue to increase the number of subscriptions activated on our dedicated industrial IoT and M2M satellite constellation. We have an established global network and proven technology, a low-cost structure as well as key distribution and OEM customer relationships. We also have a comprehensive subscriber management platform that will further enhance our value to our customers and provide new ongoing revenue streams.
ORBCOMM (Nasdaq: ORBC) is committed to maximizing shareholder value. We continue to increase the number of subscriptions activated on our dedicated industrial IoT and M2M satellite constellation. We have an established global network and proven technology, a low-cost structure as well as key distribution and OEM customer relationships. We also have a comprehensive subscriber management platform that will further enhance our value to our customers and provide new ongoing revenue streams.
Oracle ACE Director Dan Morgan and Performance Tuning Corporation (PTC) Chief Strategy Officer Mark Swanholm present data security and the choices ahead for your organization. For more information about Performance Tuning Corporation, visit our website www.perftuning.com .
What is discussed in this presentation?
Security breaches and data theft have made big news headlines in recent months, from Target, to Home Depot and most recently Sony and Chick-Fil-A. Data is one of the most valuable assets in your business and organizations like yours need to be confident they are prepared for future security threats or risk loss of trust from customers and, possibly, unrecoverable financial losses.
But how do you approach security in your environment?
How confident are you that your data is secure?
And what are the objectives and right level of investment needed for the regulatory environment that exists today?
What about tomorrow – will the Security Wars leave your company devastated?
Oracle ACE Director Dan Morgan, an internationally recognized expert in database technology and former University of Washington lecturer, and Mark Swanholm, PTC’s Chief Strategy Officer and 22 year IT Veteran, address the issue of data security from the standpoint of what it is, how to approach it, and what is actually required to avoid being the next victim of hackers.
This Performance Tuning Corporation presentation is focusing on strategy, management, planning, and budgeting, and provides you and your management team the information they need to plan make the best possible decision with respect to an investment to secure your data.
Global Risk: How to Manage Corruption Risk for Your Investment in High-Risk R...Rachel Hamilton
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This webinar discusses remote deposit capture (RDC) risk management and FFIEC compliance. It provides an overview of the key aspects of the FFIEC guidance on RDC risks, including the three pillars of responsibility, risks, and mitigation. It summarizes various RDC risks and how financial institutions should assess and manage risks related to technology, operations, vendors, customers and more. The webinar emphasizes that RDC implementation requires involvement from many areas of a financial institution and strong risk management practices.
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For more information, please visit us at www.blackducksoftware.com
The document provides an overview of the rise and fall of WorldCom, a major telecommunications company that collapsed in 2002 due to accounting fraud. It discusses WorldCom's growth through acquisitions in the 1990s, the accounting investigation that revealed $3.8 billion in fraud, and the resulting bankruptcy. It then outlines recommendations to prevent future fraud, including strengthening corporate governance through independent boards and audits, implementing whistleblower policies, and securing financial reporting through controls and periodic reconciliations.
Frontier Backup & Recovery provides a managed backup and recovery service to address common business challenges. Data is critical for all industries but is at risk from hardware failures, human errors, and other issues. Regulations require stringent data security and compliance. Frontier's solution automates backups, allows fast recovery of files and servers, protects remote offices and laptops, and ensures security, compliance, and reduced costs through its managed service model. It aims to free up IT resources and provide expertise, automation, and validation to better protect critical business data.
Sangyun Lee, 'Why Korea's Merger Control Occasionally Fails: A Public Choice ...Sangyun Lee
Presentation slides for a session held on June 4, 2024, at Kyoto University. This presentation is based on the presenter’s recent paper, coauthored with Hwang Lee, Professor, Korea University, with the same title, published in the Journal of Business Administration & Law, Volume 34, No. 2 (April 2024). The paper, written in Korean, is available at <https://shorturl.at/GCWcI>.
Business law for the students of undergraduate level. The presentation contains the summary of all the chapters under the syllabus of State University, Contract Act, Sale of Goods Act, Negotiable Instrument Act, Partnership Act, Limited Liability Act, Consumer Protection Act.
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We are leading GRC technology solutions provider offering Compliance Management, Internal Financial Control & Litigation management solutions.
In current regulatory framework an SME has to report ~ 3000+ compliance under ~90+ Central & State Acts applicable on them; complexities increase with size.
“LexComply.com” enables organizations to plan, report, monitor and execute its compliances with updates on any changes in acts governing them.
Pega, Capgemini and partner DLA Piper (a global law firm with extensive experience on FATCA regulations) explore how global financial institutions can fulfill their legal obligations to become FATCA compliant and navigate operational issues and technology requirements.
Presenter Information:
Alan W. Granwell, FATCA Team Leader, of Counsel, DLA Piper LLP
Gerald Francese, Partner, DLA Piper LLP
Reetu Kholsa, Global Director, Risk, Fraud and Compliance, Pegasystems
Erick Christensen, Vice President, Head of Compliance Practice Financial Services BU, Capgemini
This presentation was used as part of a live webcast. You can watch the full recording (with audio) at: http://www.pega.com/resources/webcast-the-state-of-fatca-compliance?utm_source=ss
Jw Uhd Strategic Issues Legal Challenges In Global Business Foreign Inv...Bridge360
This document discusses the legal challenges and strategic issues companies face when conducting global business and foreign investments. It outlines various U.S. export control laws, anti-bribery laws like the Foreign Corrupt Practices Act, and other regulatory requirements companies must consider. It also discusses strategic issues like choosing a business structure for foreign market entry, protecting intellectual property rights abroad, and exit strategies. The document emphasizes the importance of thorough legal compliance and advance planning to avoid significant problems.
2017 07-26 Demystify the Government Contracting Challenges and Opportunities ...Raffa Learning Community
This document provides an overview of a seminar for non-profits on addressing challenges with government contracting. It introduces the presenters and provides an agenda for topics to be covered, including managed accounting services, keys for a successful DCAA audit, an ERP software called JAMIS Prime, an overview of Uniform Guidance versus FAR, cost accounting and indirect rates, and a Q&A session. Background is provided on Raffa as the hosting firm and their services. The document contains various slides with more details on the agenda items, such as differences between Uniform Guidance and FAR, areas with the most common findings in federal grants audits, and how Raffa can help with ensuring compliance with various requirements
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ControlCase covers the following:
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•Why is Continual Compliance a challenge in Vendor Management
•How to mix technology and manual processes for effective Vendor Management
Digital Retail Africa 2023 hosted by IT News Africa - Carrie Peter speaks on Balancing User Experience and Security Compliance at Scale at the Digital Retail Africa 2023 conference. #retailtech #ecommerce #customerexperience #onlineshopping #securitycompliance
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Oracle ACE Director Dan Morgan and Performance Tuning Corporation (PTC) Chief Strategy Officer Mark Swanholm present data security and the choices ahead for your organization. For more information about Performance Tuning Corporation, visit our website www.perftuning.com .
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Security breaches and data theft have made big news headlines in recent months, from Target, to Home Depot and most recently Sony and Chick-Fil-A. Data is one of the most valuable assets in your business and organizations like yours need to be confident they are prepared for future security threats or risk loss of trust from customers and, possibly, unrecoverable financial losses.
But how do you approach security in your environment?
How confident are you that your data is secure?
And what are the objectives and right level of investment needed for the regulatory environment that exists today?
What about tomorrow – will the Security Wars leave your company devastated?
Oracle ACE Director Dan Morgan, an internationally recognized expert in database technology and former University of Washington lecturer, and Mark Swanholm, PTC’s Chief Strategy Officer and 22 year IT Veteran, address the issue of data security from the standpoint of what it is, how to approach it, and what is actually required to avoid being the next victim of hackers.
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Global Risk: How to Manage Corruption Risk for Your Investment in High-Risk R...Rachel Hamilton
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2. Matt Henson is an Export
Compliance Modernization
Specialist working to
address the gap between
the traditional approach to
trade compliance and
virtualization of business
processes. His focus is on
achieving Cyber
Compliance, or compliance
with laws, regulations,
standards and policies in
IT environments.
Scott Edwards is a national
expert and speaker on NIST
800-171, DFARS, and FAR
compliance and
implementation with Office
365 and Azure. Scott’s
technical experience was
honed at NASA as a Senior
Computer Engineer and
the Chief Engineer and
Engineering Manager for
the NASA Datacenter.
PRESENTERS
Follow us on Linked In.
5. REGULATING AUTHORITIES
• Export Compliance – the execution of business transactions in accordance
with the laws and regulations governing exports
EAA / IEEPA AECA
President
Congress
ITAR
USML
EAR
CCL
BIS DDTCRegulators
Regulations
Control Lists
Commercial
/ Dual Use
Items
Military
Items
8. What is a Consent Agreement?
www.pmddtc.state.gov
9. Anatomy of a Consent Agreement
Modern "Penalty and Oversight Agreements" typically include three documents:
• Proposed Charging Letter (PCL)
• The "what went wrong"
• A description of the alleged charges/violations
• Consent Agreement (CA)
• The “thou shalts"
• Commitment to compliance, applicability to mergers/acquisitions/divestitures, remedial measures,
Designated Official (DO) responsibilities (if applicable), audit requirements, whether or not the
Respondent has been debarred, and other legalese
• Order
• A summary of the PCL and CA
• Upon execution, the CA is effective and the alleged charges included in the PCL are addressed (so long as
the Respondent holds-up their end of the bargain)
10. HOW DO CONSENT AGREEMENTS HAPPEN?
AECA
ITAR
USML
DDTC
VSD
Directed Disclosure
• Multiple Repeat Violations
• 126.1 Countries
• SME/MDE
• Willful Violations
• Multiple Repeat Violations
• 126.1 Countries
• SME/MDE
• Willful Violations
• Multiple Repeat Violations
• 126.1 Countries
• SME/MDE
• Willful Violations
• Multiple Repeat Violations
• 126.1 Countries
• SME/MDE
• Willful Violations
DDTC perceives
systemic gaps
Risk
How do you know? Receipt of non-
standard response
BE EXTREMELY
ACCURATE &
FACTUAL IN YOUR
RESPONSES.
11. HOW’D THE FLIR CONSENT AGREEMENT HAPPEN?
• 18 VSDs
• Directed Disclosures
• Multiple corrective action failures
• Repeat discovery and disclosure of violations
• Disclosed activity continued in violation of the ITAR (1 instance of “willful
violation”)
• Significant Military Equipment (SME)
• 126.1 Countries (Iran, Cuba, Iraq*, Lebanon*, & Vietnam*)
• Issues are “not localized to a specific facility, product line, sales territory, or
authorization type. (i.e., “systemic gaps”)
• 347 alleged ITAR Violations “resulting from Respondent’s inadequate internal
controls and commitment to compliance”
• $30 million penalty
12. HOW’D THE FLIR CONSENT AGREEMENT HAPPEN?
In DDTC’s words:
•Significant compliance program and internal control
deficiencies that directly contributed to the violations
•Deficient ITAR expertise and senior leadership oversight
•Failure to effectively investigate, uncover, and disclose
violations
•Frequency and repetitive nature of the same violations
•Failure to implement remedial compliance measures
(“corrective actions”) represented to the Department
13. MITIGATING FACTORS
In DDTC’s words:
•Submitted 18 VSDs
•Entered into an agreement with DDTC
•Instituted a number of self-initiated compliance program
improvements during the course of DDTC’s review
If your company is in DDTC’s crosshairs, you must
stand-up a Trade Compliance Improvement Program
to mitigate Consent Agreement risk.
15. FLIR OVERVIEW
•Positions itself as “the world leader in the design,
manufacture, and marketing of thermal infrared cameras”
•Founded in 1978
•Acquisitions in 1990, 1998 (Sweden), & 2003
•Total Revenue: ~$1.8 billion USD (2017)
•3,000+ employees
•3,740 licenses authorizing $9.9 billion in exports over 5 years
16. MY ASSUMPTIONS ABOUT FLIR
•Highly autonomous businesses
•Limited corporate resources (people/capabilities) and
governance
•Disparate networks and systems
•Decentralized policies, processes, and controls
18. HOW DDTC VIEWED THE VIOLATIONS
•DDTC’s Categorization:
• Foreign Person Employment
• License Management
• Part 130 Payments
• Additional charges for violations resulting from Respondent’s
inadequate controls and commitment to compliance
19. PROPOSED CHARGES
• Cyber Compliance – failures in IT systems
• Licensing – failures in obtaining, using, and
maintaining licenses & exemptions
• Shipping – failures in physical shipments of
items
• Part 130 – failures to provide required
reporting
• Trade Show Security – failure to physically
safeguard items
• Corrective Actions – failure to implement
20. PROPOSED CHARGES – CYBER COMPLIANCE
April 2008 – August 2012 – 4 VSDs
• Disclosed unauthorized exports to DN/TCN employees from over 15 countries (including
Iran, Iraq, and Lebanon)
• Violations occurred at domestic and overseas locations
• In reliance upon reported corrective actions, DDTC closed without further action
June 2014 - VSD
• Full scope of violations not previously reported (Cuba & Vietnam)
• Corrective actions not implemented (confirming nationalities and terminating unauthorized
access)
• Did not collect DN/TCN attributes of personnel at one subsidiary (FLIR AB of Sweden)
• IT Provisioning & Unauthorized Access
Background
21. PROPOSED CHARGES – CYBER COMPLIANCE
June 2014 VSD - IT Provisioning & Access Controls
US Persons Mixed Users
ITAR = No
ITAR = Yes
Low-Mod
Low Low-Mod
High
22. PROPOSED CHARGES – CYBER COMPLIANCE
Illegal Exports
• Unauthorized reexports of technical data in IT
Systems
• Continued to allow unauthorized reexports of
technical data
• Allowed 126.1 nationals to access technical data
Record Keeping
• Failure to maintain technical data
reexport records on IT systems (logs)
23. PROPOSED CHARGES – EXPORT LICENSING
License Application
• Misrepresented and/or omitted material facts
• Failed to disclose citizenship or permanent
Residency
• Attempted use of ineligible party
License Use
• Violation of terms & conditions
• Unauthorized reexport/change of end-use
License Maintenance
• Failure to reflect corporate restructuring
24. PROPOSED CHARGES – SHIPPING
Temporary Export Shipments
• Failure to obtain endorsements by U.S. Customs (temp)
Shipping Statements
• Misidentification as EAR
• Failure to properly incorporate export control statement
• Failure to ensure freight forwarder correctly identified
SME in EEI filings
Illegal Exports
• Exports to foreign person employees from 126.1
countries
• Exported without license
Record-keeping
• Failure to properly maintain records
25. PROPOSED CHARGES – PART 130
License Applications
• Failures to disclose fees & commissions
Record-keeping
• Failure to maintain records
Reporting
• Failure to provide required report updates
26. PROPOSED CHARGES – TRADE SHOWS
Loss or Theft
• Failure to properly safeguard
27. PROPOSED CHARGES – CORRECTIVE ACTIONS
Corrective Actions
• Failure to stop ongoing violation
• Inaccurate information concerning corrective actions
pertaining to foreign person employees
28. MY ASSUMPTIONS ABOUT FLIR’S COMPLIANCE PROGRAM
•Legacy export compliance program designed for
yesterday’s paradigm
•The focus is on Physical Domain Controls:
•Physical Location Controls – e.g. TCPs, Signage, etc.
•Physical Access Controls – e.g. Foreign Person Employment,
Visitor Controls, Badging, Locks, etc.
•Physical Transfer Controls – e.g. Freight Shipments, Courier
Shipments, and Hand-carry
28
29. •Characteristics of FLIR’s Legacy Export Compliance
Program:
•Paper policy dependent
•Tribal knowledge dependent
•User behavior dependent
•Manually executed
•Opaque
• Manual execution leads to lack of visibility, which leads to…
• Lack of oversight
•Geared for Physical Domain Controls
•Decentralized 29
MY ASSUMPTIONS ABOUT FLIR’S COMPLIANCE PROGRAM
30. •They generally don’t know:
• What their data is,
• Its value,
• Where it is located,
• Who has access,
• When it’s being transferred, and to whom, or
• Whether or not location, access, and transfers are export compliant
•They lack visibility into our cyber assets and transactions
•They lack cyber compliance capabilities
30
MY ASSUMPTIONS ABOUT FLIR’S COMPLIANCE PROGRAM
31. Legacy Approach to Export Controls
Business Cycle
Classify & control
time of export
shipment
Data exchanged with Customers
Data exchanged with Vendors
If your external data exchanges
look like this, you have significant
risk.
32. Legacy Approach to Export Controls
Business Cycle
Data exchanged internally
If your internal data exchanges
look like this, you have significant
risk.
Classify & control
time of export
shipment
33. If the previous slides described your compliance program,
you’re company is at risk of becoming the next FLIR.
33
WORD OF CAUTION
35. CONSENT AGREEMENT OVERVIEW
Consent Agreement Terms, Conditions, and Requirements are described in 27 paragraphs:
1. Parties to the CA
2. Department of State (DOS) has jurisdiction
3. Respondent's commitment to compliance & remedial
measures
4. Incorporation of CA requirements into new acquisitions
5. 60 day prior notification of sale/restructuring
/merger/divestiture
6. Ensure adequate staffing for ITAR compliance with clearly
defined lines of authority and career paths
7. Internal Review of ITAR compliance resources (120 days)
8. Appointment of Designated Official & DO Responsibilities
9. Strengthened corporate compliance procedures & training
10. Self-assessment of functional processes (60 day status
report, and final report 120 days after receiving DDTC input)
11. Implementing Policies & Procedures called for paragraph 8
12. Comprehensive automated export compliance system
13. Two external audits required
14. Audit 1 (within 12 months)
15. Audit 2 (within 36 months)
16. Penalty - $30 million
17. Can't charge back to the government or claim as tax
deduction
18. Misappropriation and/or failure to properly track funds
19. Debarment – fulfill CA provisions or face debarment
20. Onsite reviews by DOS
21. Understandings
22. Acknowledgement of nature and seriousness of alleged
offenses
23. Signing resolves civil penalties and administrative
sanctions with respect to civil violations
24. Waiver of rights and additional monetary penalty for
failure to implement CA
25. Written certification to DDTC
26. Documents made public
27. Effective upon execution of the Order
36. 16. PENALTY
$30 million total
• $15 million to be paid in installments
• $15 million to be reinvested in remedial measures
• $5 million credit for work performed
$10 million total / 3000 employees = $3,333.00 per employee
37. CONSENT AGREEMENT OVERVIEW
Consent Agreement Terms, Conditions, and Requirements are described in 27 paragraphs:
1. Parties to the CA
2. Department of State (DOS) has jurisdiction
3. Respondent's commitment to compliance & remedial
measures
4. Incorporation of CA requirements into new acquisitions
5. 60 day prior notification of sale/restructuring
/merger/divestiture
6. Ensure adequate staffing for ITAR compliance with clearly
defined lines of authority and career paths
7. Internal Review of ITAR compliance resources (120 days)
8. Appointment of Designated Official & DO Responsibilities
9. Strengthened corporate compliance procedures & training
10. Self-assessment of functional processes (60 day status
report, and final report 120 days after receiving DDTC input)
11. Implementing Policies & Procedures called for paragraph 8
12. Comprehensive automated export compliance system
13. Two external audits required
14. Audit 1 (within 12 months)
15. Audit 2 (within 36 months)
16. Penalty - $30 million
17. Can't charge back to the government or claim as tax
deduction
18. Misappropriation and/or failure to properly track funds
19. Debarment – fulfill CA provisions or face debarment
20. Onsite reviews by DOS
21. Understandings
22. Acknowledgement of nature and seriousness of alleged
offenses
23. Signing resolves civil penalties and administrative
sanctions with respect to civil violations
24. Waiver of rights and additional monetary penalty for
failure to implement CA
25. Written certification to DDTC
26. Documents made public
27. Effective upon execution of the Order
38. 4. & 5. MAD IMPLICATIONS
4. Acquisitions
• CA requirements incorporated into any acquisition within 6
months
5. Mergers
• CA requirements apply to any merger, restructuring, or
acquisition
• 60 days prior notice with signed acknowledgement of purchaser
39. CONSENT AGREEMENT OVERVIEW
Consent Agreement Terms, Conditions, and Requirements are described in 27 paragraphs:
1. Parties to the CA
2. Department of State (DOS) has jurisdiction
3. Respondent's commitment to compliance & remedial
measures
4. Incorporation of CA requirements into new acquisitions
5. 60 day prior notification of sale/restructuring
/merger/divestiture
6. Ensure adequate staffing for ITAR compliance with clearly
defined lines of authority and career paths
7. Internal Review of ITAR compliance resources (120 days)
8. Appointment of Designated Official & DO Responsibilities
9. Strengthened corporate compliance procedures & training
10. Self-assessment of functional processes (60 day status
report, and final report 120 days after receiving DDTC input)
11. Implementing Policies & Procedures called for paragraph 8
12. Comprehensive automated export compliance system
13. Two external audits required
14. Audit 1 (within 12 months)
15. Audit 2 (within 36 months)
16. Penalty - $30 million
17. Can't charge back to the government or claim as tax
deduction
18. Misappropriation and/or failure to properly track funds
19. Debarment – fulfill CA provisions or face debarment
20. Onsite reviews by DOS
21. Understandings
22. Acknowledgement of nature and seriousness of alleged
offenses
23. Signing resolves civil penalties and administrative
sanctions with respect to civil violations
24. Waiver of rights and additional monetary penalty for
failure to implement CA
25. Written certification to DDTC
26. Documents made public
27. Effective upon execution of the Order
40. 6. & 7. TC RESOURCES
6. TC Resources
• Ensure adequate resources are dedicated to ITAR compliance
• Establish policies and procedures governing TC resources
• Ensure lines of authority, performance evaluations, and career paths
7. Resource Study
• Within 120 days, Respondent and Designated Official (DO) shall
conduct a review and establish an action plan for addressing
resource issues.
Resources
WorkloadsRisks
Conduct a time study
41. CONSENT AGREEMENT OVERVIEW
Consent Agreement Terms, Conditions, and Requirements are described in 27 paragraphs:
1. Parties to the CA
2. Department of State (DOS) has jurisdiction
3. Respondent's commitment to compliance & remedial
measures
4. Incorporation of CA requirements into new acquisitions
5. 60 day prior notification of sale/restructuring
/merger/divestiture
6. Ensure adequate staffing for ITAR compliance with clearly
defined lines of authority and career paths
7. Internal Review of ITAR compliance resources (120 days)
8. Appointment of Designated Official & DO Responsibilities
9. Strengthened corporate compliance procedures & training
10. Self-assessment of functional processes (60 day status
report, and final report 120 days after receiving DDTC input)
11. Implementing Policies & Procedures called for paragraph 8
12. Comprehensive automated export compliance system
13. Two external audits required
14. Audit 1 (within 12 months)
15. Audit 2 (within 36 months)
16. Penalty - $30 million
17. Can't charge back to the government or claim as tax
deduction
18. Misappropriation and/or failure to properly track funds
19. Debarment – fulfill CA provisions or face debarment
20. Onsite reviews by DOS
21. Understandings
22. Acknowledgement of nature and seriousness of alleged
offenses
23. Signing resolves civil penalties and administrative
sanctions with respect to civil violations
24. Waiver of rights and additional monetary penalty for
failure to implement CA
25. Written certification to DDTC
26. Documents made public
27. Effective upon execution of the Order
42. 8., 9., & 11 POLICIES, PROCEDURES, & TRAINING
8. Establishes Designated Official (DO) Requirement
• Appointment within 60 days
• Areas of responsibility
• Specific Duties – oversight of remedial measures/expenditures and
incorporation into business plans at the senior executive level
• Reporting – tracking of violations, 6 mo. status reports, including accounting
• Policies & Procedures
43. POLICY & PROCEDURE
As described in Paragraph 8:
• Staffing
• Integration into business planning
• Supplier vetting (foreign manufacturing facilities)
• Identity management (Foreign Person & DN/TCNs)
• Restricted parties screening
• Identification & classification of defense articles & services
• Identification & classification of technical data
• Export authorization management (scope, terms, conditions,
provisos, & temporary exports)
• Part 130
• Maintenance & protection of and access to technical data on
computer networks or other electronic method of storage or
transfer
• Physical security controls
• Shipping (exports, reexports, and retransfers)
• Record-keeping
• Detect, prevent, & report violations
44. 8., 9., & 11 POLICIES, PROCEDURES, & TRAINING
9. Strengthened Compliance Program & Training (12 months)
• Instituted strengthened corporate compliance procedures
• Training
• All employees engaged in ITAR-regulated activities
• All personnel responsible for supervising employees, including managers of business
units
• Training records (who, what, when, where, how)
11. Requires the company to implement PP8 policies & procedures
45. CONSENT AGREEMENT OVERVIEW
Consent Agreement Terms, Conditions, and Requirements are described in 27 paragraphs:
1. Parties to the CA
2. Department of State (DOS) has jurisdiction
3. Respondent's commitment to compliance & remedial
measures
4. Incorporation of CA requirements into new acquisitions
5. 60 day prior notification of sale/restructuring
/merger/divestiture
6. Ensure adequate staffing for ITAR compliance with clearly
defined lines of authority and career paths
7. Internal Review of ITAR compliance resources (120 days)
8. Appointment of Designated Official & DO Responsibilities
9. Strengthened corporate compliance procedures & training
10. Self-assessment of functional processes (60 day status
report, and final report 120 days after receiving DDTC input)
11. Implementing Policies & Procedures called for paragraph 8
12. Comprehensive automated export compliance system
13. Two external audits required
14. Audit 1 (within 12 months)
15. Audit 2 (within 36 months)
16. Penalty - $30 million
17. Can't charge back to the government or claim as tax
deduction
18. Misappropriation and/or failure to properly track funds
19. Debarment – fulfill CA provisions or face debarment
20. Onsite reviews by DOS
21. Understandings
22. Acknowledgement of nature and seriousness of alleged
offenses
23. Signing resolves civil penalties and administrative
sanctions with respect to civil violations
24. Waiver of rights and additional monetary penalty for
failure to implement CA
25. Written certification to DDTC
26. Documents made public
27. Effective upon execution of the Order
46. 10. SELF-ASSESSMENT
10. Self-Assessment
• Internal assessment of functional processes to evaluate compliance
• Conducted under the review of a functional/process expert who is
independent of Trade Compliance
• Plan do within 60 days of the date of the Order
47. 10. SELF-ASSESSMENT - FUNCTIONS
HR IT Finance Legal
Executive
Mgmt.
Trade
Compl.
Property
Operational Functions
Support and Management Functions
Business
Development
Supply
Chain
QualityProduction Logistics
Aftermarket
Support
Marketing SalesEngineering
48. SUPPORT & MANAGEMENT PROCESSES
Hiring
Onboarding
Recruiting
Job Formulation
Promotions
Transfers
Deployment
Termination
Network Admin
Server Admin
App Admin
Admin Admin
User Admin
Cyber Security
AR
Payments
AP
Bus. Ptnr. Mgmt.
Receipts
Mergers
Acquisitions
Divestitures
JVs
Legal Entity Mgmt.
Support
Comms
Planning
Strategy
Structure Mgmt.
Property Mgmt.
Physical Security
Facility Mgmt.
EAM
TVP
JCM
RPL
IIED
AAM
CAM
TPM
TCPM
HR IT Finance Legal
Executive
Mgmt.
Trade
Compl.
Property
49. SUPPORT & MANAGEMENT SYSTEMS
HR IT Finance Legal
Executive
Mgmt.
Trade
Compl.
Property
EMS
Entity Mgmt.
System EMS
Entity Mgmt.
SystemAR
Accounts
Receivable
AP
Accounts
Payable
HCM
Human
Capital Mgmt.
REM
Real Estate
Mgmt.
AD
Active
Directory
DMZ
De-Militarized
Zone
IDM
Identity
Mgmt.
EPE
Electronic Policy
Engine
EAM
Export Authorization
Mgmt.
JCM
Jurisdiction,
Classification & Marking
RPL
Restricted Party
List Screening
51. OPERATIONAL SYSTEMS
CRM
Customer Rel.
Mgmt.
CMS
Contract
Mgmt.
IWS
Internet
Website ERP
Ent. Res.
PlanningERP
Ent. Res.
Planning
RFX
Request
For X
SRM
Supplier Rel.
Mgmt.
MES
Mfg. Exec.
System
ERP
Ent. Res.
Planning
ERP
Ent. Res.
Planning
QAS
Qual. Ass.
System
LMS
Log. Mgmt.
System
ERP
Ent. Res.
Planning
BPS
Business Purs.
System
QBP
Quotes, Bids,
& Proposal
Business
Development
Supply
Chain
QualityProduction Logistics
Aftermarket
Support
Marketing SalesEngineering
ERP
Ent. Res.
Planning
PLM
Product
Lifecycle
Mgmt.
52. CONSENT AGREEMENT OVERVIEW
Consent Agreement Terms, Conditions, and Requirements are described in 27 paragraphs:
1. Parties to the CA
2. Department of State (DOS) has jurisdiction
3. Respondent's commitment to compliance & remedial
measures
4. Incorporation of CA requirements into new acquisitions
5. 60 day prior notification of sale/restructuring
/merger/divestiture
6. Ensure adequate staffing for ITAR compliance with clearly
defined lines of authority and career paths
7. Internal Review of ITAR compliance resources (120 days)
8. Appointment of Designated Official & DO Responsibilities
9. Strengthened corporate compliance procedures & training
10. Self-assessment of functional processes (60 day status
report, and final report 120 days after receiving DDTC input)
11. Implementing Policies & Procedures called for paragraph 8
12. Comprehensive automated export compliance system
13. Two external audits required
14. Audit 1 (within 12 months)
15. Audit 2 (within 36 months)
16. Penalty - $30 million
17. Can't charge back to the government or claim as tax
deduction
18. Misappropriation and/or failure to properly track funds
19. Debarment – fulfill CA provisions or face debarment
20. Onsite reviews by DOS
21. Understandings
22. Acknowledgement of nature and seriousness of alleged
offenses
23. Signing resolves civil penalties and administrative
sanctions with respect to civil violations
24. Waiver of rights and additional monetary penalty for
failure to implement CA
25. Written certification to DDTC
26. Documents made public
27. Effective upon execution of the Order
53. 12. AUTOMATED SYSTEM
12. Comprehensive Automated Export Compliance System
• Strengthen internal controls and enhance oversight
• Track decision from initiation to conclusion of a request for export,
reexport, or retransfer
• Initial identification of technical data and technical assistance proposed to
be disclosed to any Foreign Persons
• Means of alerting users to ITAR requirements on electronic transmissions of
controlled data
• Training to all employees to ensure all technical data exports are authorized
in accordance with compliance policies & procedures
54. 12. AUTOMATED SYSTEM
There is no silver bullet
System of systems approach is required
• Business Partner Management
• Identity Management
• Restricted Parties Screening
• Jurisdiction, Classification, & Marking
• Export Authorization Management
• Export Transaction Management (visitors, travel, shipments, tech data
transfers, access controls)
• Incident Management
• Corrective Action Management
• Business Intelligence
Export Administration Act (EAA) - International Emergency Economic Powers Act (IEEPA) – Export Administration Regulations (EAR) – Bureau of Industry Security (BIS) - Commerce Control List (CCL)
Arms Export Control Act (AECA) – Directorate of Defense Trade Controls (DDTC) – International Traffic in Arms Regulations (ITAR) – United States Munitions List (USML)
§120.7 Significant military equipment.
(a) Significant military equipment means articles for which special export controls are warranted because of their capacity for substantial military utility or capability.
(b) Significant military equipment includes:
(1) Items in §121.1 of this subchapter which are preceded by an asterisk; and
(2) All classified articles enumerated in §121.1 of this subchapter.
[58 FR 39283, July 22, 1993, as amended at 62 FR 67275, Dec. 24, 1997]
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§120.8 Major defense equipment.
Pursuant to section 47(6) of the Arms Export Control Act (22 U.S.C. 2794(6) note), major defense equipment means any item of significant military equipment (as defined in §120.7) on the U.S. Munitions List having a nonrecurring research and development cost of more than $50,000,000 or a total production cost of more than $200,000,000.
U.S. export compliance regimes were designed to address the proliferation threats and risks of the Cold War. Thus, they are geared to enforce controls in the physical domain.
U.S. export compliance regimes were designed to address the proliferation threats and risks of the Cold War. Thus, they are geared to enforce controls in the physical domain.
In summary, the community is ill-equipped to meet either the business or export compliance challenges of our globally-networked, information-driven economy.
In summary, the community is ill-equipped to meet either the business or export compliance challenges of our globally-networked, information-driven economy.