exportingsnapshot

Couldn't confirm presence of Flash 8 or higher because JavaScript was disabled.Get FlashI really do have Flash installed.ul{margin-top:0px;margin-bottom:0px;list-style-type:none;padding-left:20px;}1. Export Compliance Snapshot - This snapshot deals with your company's compliance levels under the Export Administration Regulations (EAR), our nation's primary export law. The EAR are administered and enforced by the Bureau of Industry and Security within the US Department of Commerce. This snapshot does not cover munitions or weapons under the International Traffic in Arms Regulations (ITAR) administered and enforced by the US Department of State, although much of what you learn from this snapshot should be helpful.

This compliance snapshot is provided to you by GRVR Attorneys. We won't release your information to anyone outside of our law firm (your submission will be encrypted). The snapshot we create in response to your answers is designed to help your compliance program, but this is a free service and solely informative. It is not legal advice and cannot and should not take the place of a legal opinion from an experienced trade compliance lawyer. We have a whole team of such lawyers (indeed, the finest anywhere). Let us know if you are interested in retaining our legal services.

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2. Classification - Certain shipments of technology and goods require an export license before being exported. To determine whether a license is required, the correct Export Control Classification Number (ECCN) must be determined.

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Which of the following most accurately reflects how your company classifies its exports?
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[ ] a. We have a classification database that we mostly or completely generated internally.

[ ] b. We have a classification database that was created and is kept current by a contracted professional service.

[ ] c. We do not have such a database.

[ ] d. I do not know.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

3. How does your company determine whether it is exporting an item or technology subject to the Export Administration Regulations?
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[ ] a. We file a commodity jurisdiction request with the Bureau of Industry and Security.

[ ] b. We figure this out on our own.

[ ] c. I do not know.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

4. An exporter may request that the Bureau of Industry and Security classify items on the exporter's behalf. Which of the following best describes your company's practice?
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[ ] a. We request that the BIS classify our exported items.

[ ] b. We do not request that the BIS classify our exported items.

[ ] c. I do not know.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

5. Which of the following best describes how you determine your ECCNs.
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[ ] a. We have an internal, highly-formalized classification procedure with engineer(s)/technical experts assisting.

[ ] b. We do our best, but it's mostly ad hoc.

[ ] c. We usually use the Schedule B number as our ECCN.

[ ] d. We depend on someone outside of the company to provide our classifications.

[ ] e. I do not know.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

6. Which of the following best describes the items your company exports.
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[ ] a. Most or all of the items we export are classified under ECCN EAR99.

[ ] b. Most or all of the items we export are classified under an ECCN other than EAR99.

[ ] c. I do not know.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

7. Record Keeping - Exporters are required to keep or retain records on file.

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Which of the following most accurately reflects how your company retains export records?
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[ ] a. We have a centralized record-keeping system and keep all records as required by Section 764 of the Export Administration Regulations for at least 5 years.

[ ] b. Our record-keeping system is decentralized and we keep all records as required by the Export Administration Regulations for at least 5 years.

[ ] c. We have a good record-keeping program, but I'm not sure how or how long we retain records.

[ ] d. We depend on our forwarder or other agent to keep all our records.

[ ] e. We do not have much of a record keeping program.

[ ] f. I do not know.

[ ] g. None of the above. [if you wish to explain your answer, you may do so on the final slide].

8. Which of the following most accurately reflects how your company retains export records?
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[ ] a. Export records kept electronically so that exact copies of originals can be produced.

[ ] b. We keep records electronically, but the copies we can produce are not exact duplicates of the originals.

[ ] c. We do not keep export documents.

[ ] d. I do not know how we keep export records.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

9. Training

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Does your company provide regular (at least annual) training to all employees involved in export transactions?
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[ ] a. Yes.

[ ] b. No.

[ ] c. I do not know.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

10. Please describe the type of training you provide to your export personnel. Please include delivery method (webinar, in-person, seminar, in-house training, intranet lessons), how you keep record of the training, and topics covered.

11. Licensing - Sometimes an exporter must apply for and receive an export license from the BIS. Whether a license is required depends on the item's ECCN, the end-use, end-user, and country of destination. If a license is required, sometimes a license exception is available.

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Which of the following best describes your company?
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[ ] a. We review end-user, end-use, ECCN, and country of destination for all items we export.

[ ] b. We think we know the destination country, but we do not confirm it.

[ ] c. We do not know the destination country of our goods.

[ ] d. I'm not sure.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

12. Does you company ever ship (transship) through a foreign country that is not the final destination country?
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[ ] a. Yes.

[ ] b. No.

[ ] c. I do not know.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

13. What is your company's policy regarding screening parties to an export transaction against the various prohibited party lists generated by federal enforcement authorities?
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[ ] a. We contract with a commercial service or use specialized software to screen our export transactions against all relevant lists.

[ ] b. We screen against the lists, but rely on the free resources offered by federal enforcement agencies.

[ ] c. We do not screen against these lists.

[ ] d. I do not know what we do.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

14. When applying for an export license with the Bureau of Industry and Security, which of the following best describes your procedures?
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[ ] a. We file electronically, using SNAP-R

[ ] b. We use and file the hard copy BIS forms. We do not use SNAP-R.

[ ] c. We do not file export license applications.

[ ] d. I do not know.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

15. When applying for an export license, which of the following best describes the BIS's typical reaction?
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[ ] a. The BIS's typically grants our license application without added delay.

[ ] b. Sometimes we get a "return without action" response and have to reapply and provide corrected or additional information.

[ ] c. We do not apply for export licenses.

[ ] d. I do not know what we do.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

16. When you receive an export license from the BIS, which of the following best describes what you then do?
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[ ] a. We make sure that we fulfill all terms and conditions of the license, including any need to renew before the license expires.

[ ] b. We file the export license away and will consult it only if formally required to.

[ ] c. We do not apply for export licenses.

[ ] d. I do not know what we do.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

17. What is your company's policy regarding license exceptions?
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[ ] a. We make sure that we meet all terms and conditions before taking advantage of them, and retain all documents showing our due diligence.

[ ] b. When we qualify, we note it on export clearance documents, but do not keep a document trail of our analysis.

[ ] c. I do not know what we do.

[ ] d. We do not take advantage of license exceptions.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

18. For any business dealings or contacts (not only exports) with Cuba, Iran, Syria, Sudan, or Burma/Myanmar, or individuals from any of those countries, which of the following best describes your company's policy?
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[ ] a. We review the latest restrictions and laws from the Office of Foreign Assets Control and request a license if needed.

[ ] b. We only review the licensing restrictions under the Export Administration Regulations for any licensing requirement.

[ ] c. We do not deal with these countries.

[ ] d. I do not know what we do

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

19. Has your company applied for or received a Special Comprehensive License (SCL) to export?
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[ ] a. Yes.

[ ] b. No.

[ ] c. I don't know.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

20. Do you have manufacturing, design, or assembly operations in a foreign country? If yes, do you incorporate any parts, components, or material that are US-origin?
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[ ] a. Yes, the amount of US-origin parts, components, or material is more than the de minimis level as defined under the Export Administration Regulations.

[ ] b. Yes, but the amount of US-origin parts, components, or material is below the de minimis level as defined under the Export Administration Regulations.

[ ] c. No. Either we do not have foreign manufacturing, design, or assembly operations, or if we do, we do not incorporate any US-origin parts, components, or material.

[ ] d. I do not know.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

21. China: If you export to China, do you use a validated end-user certified by the US Department of Commerce?
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[ ] a. Yes.

[ ] b. No.

[ ] c. We export to China, but I do not know whether we use a validated end-user.

[ ] d. We do not export to China.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

22. Deemed Exports: US law treats the release or sharing of any technology to a foreign national, even if the foreign national is in the US, as an export of the technology to the foreign national's country. If an export license would be required to the foreign national's country, an export license is required before releasing or sharing the technology with the foreign national. The foreign national can be an employee or someone outside the company. Release can be done visually, verbally, through training, allowing access to technology, email, sharing designs and blueprints, etc.

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Which of the following best describes your company?
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[ ] a. We release technology to foreign nationals, but do so under a Technology Control Program and obtain export licenses as needed.

[ ] b. We release technology to foreign nationals, but our technology is not the type that is controlled for export to the foreign national's country (no license is needed)

[ ] c. We do not have a formal Technology Control Program.

[ ] d. I do not know what we do with technology transfers to foreign nationals.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

23. Assume your company has manufacturing facilities or operations in a foreign country. How do you handle the release or sharing of technology to workers, visitors, or agents that are foreign nationals (i.e., not US citizens or US permanent residents)?
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[ ] a. We have a Technology Control Plan and apply for an export license if any controlled technology will be released to a foreign national.

[ ] b. We do not employ, use, or share technology with foreign nationals in our foreign operations.

[ ] c. We utilize foreign nationals, but since it is in a foreign country, we do not think it is an export compliance matter.

[ ] d. We do not have foreign operations.

[ ] e. I do not know what we do with foreign nationals in our foreign operations.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

24. Antiboycott - It is illegal for any US company to discriminate against Israel or participate in any transaction that seeks to boycott or exclude Israel or an Israeli person or company. US companies must formally report to federal officials any attempt to influence a shipment to that prohibited end.

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Which of the following best describes your company's procedures upon receiving an order, a request for bid, or a contact that excludes or disfavors an Israeli party?
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[ ] a. Our company policy is not to engage in anti-boycott activity and to report any anti-boycott activity to federal officials.

[ ] b. If we are aware of antiboycott activity, we do not participate in it, but we do not report it to federal officials.

[ ] c. We do not have a formal antiboycott policy.

[ ] d. I do not know what our antiboycott policy is.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

25. Emergencies

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Which of the following best describes how your company handles notices, possibly regarding an investigation or a penalty, from a federal enforcement official?
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[ ] a. The notice is immediately forwarded to the proper company official and calendared for possible response/action.

[ ] b. We file it in our records, but take no action.

[ ] c. No real policy. More ad hoc than anything.

[ ] d. I do not know what we do.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

26. Voluntary Self-Disclosures: Export enforcement authorities claim that they will mitigate or reduce any penalty against a company violating an export law if the company turns itself in to enforcement authorities before a formal investigation is opened.

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What is your company's policy regarding voluntary self-disclosures of possible export violations?
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[ ] a. We do an internal investigation and file voluntary self-disclosures as needed.

[ ] b. We do not file voluntary self-disclosures even if we find possible export violations.

[ ] c. As far as I know, we've never had violations that would be subject to a voluntary self-disclosure.

[ ] d. I do not know what our policy is.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

27. If a federal enforcement officer showed up at your company's front door with a subpoena or search warrant, which of the following best describes what your company would do?
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[ ] a. Our contingency plan or emergency compliance unit would kick in.

[ ] b. We'd have to play it by ear.

[ ] c. We haven't much thought of it, but we're not worried.

[ ] d. We haven't much thought of it, but we ARE concerned.

[ ] e. I do not know.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

28. If your company is doing an internal investigation, and you are using an attorney to ask questions of your employees, which of the following best describes what happens?
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[ ] a. The attorney warns employees that the attorney represents only our company, that the attorney-client privilege belongs to our company, not to the employee, and that the employee may wish to hire his/her own attorney.

[ ] b. The attorney proceeds with the questioning without any such warning.

[ ] c. It is done ad hoc by the attorney.

[ ] d. We do not have attorneys performing internal investigations.

[ ] e. I do not know what we do.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

29. Assume your company knows it is being or will be investigated by federal authorities. Which of the following best describes what your company does?
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[ ] a. We immediately stop the destruction of all documents and emails that may be related to the investigation, even if we have a document destruction program that would otherwise require destruction.

[ ] b. We proceed with our document retention and destruction procedures until notified formally to do otherwise by enforcement authorities.

[ ] c. I do not know what our policy is.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

30. Management - This section seeks to understand how your company views and treats export compliance.

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Which of the following most accurately reflects your company?
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[ ] a. We have a business unit or department dedicated entirely to export compliance.

[ ] b. We do not have a business unit for export compliance, but we do have an export compliance director/officer.

[ ] c. We do not have a dedicated business unit, but we do have an administrative person handling our export compliance.

[ ] d. We do not have a dedicated business unit or assigned person, but deal with compliance on an ad hoc basis.

[ ] e. I do not know.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

31. What is your company's policy regarding the Destination Control Statement?
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[ ] a. We put the DCS on the invoice and on the bill of lading, air waybill, or other export control document that accompanies the shipment.

[ ] b. We do not put the DCS on any of these documents.

[ ] c. I do not know what our DCS policy is.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

32. Which of the following most accurately reflects your company?
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[ ] a. Management at its highest levels has clearly and widely mandated company-wide compliance with export laws.

[ ] b. Management promotes export compliance, but limited mostly or only to units/groups directly involved in exporting.

[ ] c. Our company is new to exporting or export compliance.

[ ] d. None of the above.

[ ] e. I do not know.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

33. Do you request and obtain advisory opinions (official interpretations) from the Bureau of Industry and Security to supplement your compliance efforts?
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[ ] a. Yes. We request advisory opinions and we have procedures ensuring that we comply with those advisory opinions.

[ ] b. Yes. We have advisory opinions, but we do not have procedures to ensure compliance.

[ ] c. Yes. We obtain advisory opinions, but I am not sure whether we comply with them.

[ ] d. No. We do not request advisory opinions, but don't need them.

[ ] e. No. We do not obtain advisory opinions, but I do not know why we don't have them or it is a compliance area that needs attention.

[ ] f. I do not know the policy on advisory opinions.

[ ] g. None of the above. [if you wish to explain your answer, you may do so on the final slide].

34. Which of the following most accurately defines your end-users?
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[ ] a. We export mostly or only to a related company (parent company, sister company, joint venture partner).

[ ] b. We export mostly or mainly to companies not related to our company.

[ ] c. We export both to companies that are and are not related to our company.

[ ] d. I do not know.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

35. Which of the following most accurately captures why you export:
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[ ] a. We mostly or only sell our exported products to companies and consumers.

[ ] b. We mostly or only export equipment, tools, or machinery to be repaired in a foreign country, possibly to be returned to the USA or shipped to another country after repair.

[ ] c. I do not know.

[ ] d. None of the above. [if you wish to explain your answer, you may do so on the final slide].

36. Which of the following most accurately reflects your company's written export compliance procedures?
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[ ] a. We have written procedures, including desktop procedures, that are updated periodically and that are easily accessible by all relevant employees.

[ ] b. We have written procedures, but no desktop procedures, that are updated periodically and that are easily accessible by all relevant employees.

[ ] c. We have written procedures, but they are not updated periodically or easily accessible by all relevant employees.

[ ] d. We do not have written procedures.

[ ] e. I do not know.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

37. Which of the following reflects how your company audits its export compliance programs?
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[ ] a. Someone from outside the company periodically audits our internal controls and produces a report with findings and recommendations.

[ ] b. We periodically audit our internal controls. The periodic audit is performed by someone within the company.

[ ] c. Our audits of our export controls are more limited than described above.

[ ] d. We do not audit our export procedures.

[ ] e. I do not know.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

38. Which of the following most accurately reflects how your company's written export compliance procedures were developed?
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[ ] a. Our written procedures are specifically tailored to our company's needs.

[ ] b. We mostly or solely used someone else's template.

[ ] c. We do not have written procedures.

[ ] d. I do not know.

[ ] e. None of the above. [if you wish to explain your answer, you may do so on the final slide].

39. Which of the following best describes your role and responsibilities in regards to trade compliance for your company?
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[ ] a. I have the authority to make compliance improvements as needed, including hiring outside professionals to help.

[ ] b. I have the authority to make compliance improvements as needed, but someone else hires outside professionals.

[ ] c. I work with others to make compliance improvements and to hire outside professionals.

[ ] d. I work with others to make compliance improvements, and our company does not hire outside professionals.

[ ] e. Someone above me or in another department makes needed compliance improvements.

[ ] f. We are currently trying to figure out who is responsible for what.

[ ] g. None of the above. [if you wish to explain your answer, you may do so on the final slide].

40. Which of the following most accurately reflects your company?
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[ ] a. We have a pretty good and established export compliance program and are looking for minor tweaking.

[ ] b. We are trying to overhaul an established program.

[ ] c. We barely have a program at all, but are committed to jump starting our compliance efforts.

[ ] d. We barely have a program, and maybe want to take some tentative, modest compliance steps.

[ ] e. I don't know.

[ ] f. None of the above. [if you wish to explain your answer, you may do so on the final slide].

41. Which of the following best reflects your company?
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[ ] a. We have a law firm helping us with compliance and are not looking for a new firm.

[ ] b. We have a law firm helping us with compliance, but are open to possibly contracting with other law firms.

[ ] c. We do not have a law firm helping us with export compliance issues, and are actively looking for one.

[ ] d. We do not have a law firm helping us, but we are open to maybe hiring a firm.

[ ] e. We do not have a law firm helping us with export compliance and we are not interested in hiring a law firm.

[ ] f. I do not know.

[ ] g. None of the above. [if you wish to explain your answer, you may do so on the final slide].

42. When would you like us to contact you? What time during the business day is best for you? What day of the week?

43. Here is more space if you would like to tell us anything else about your company or your export compliance program that would help us prepare a snapshot.

Thank you for your answers. We appreciate your patience as we process your trade compliance snapshot. In the meantime, here is our contact information.

GRVR Attorneys
214.720.7720
info@exportimportlaw.com

Main Business Address:

Park Place Center
Suite 300
2911 Turtle Creek Boulevard
Dallas, Texas 75219

Mailing Address:

Post Office Box 131587
Dallas, Texas 75313-1587

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