ITAR and EAR Compliance Review and Investigations

Conducting Internal Audits and Evaluating Whether to Disclose Potential Violations to Mitigate Penalties

Recording of a 90-minute CLE webinar with Q&A

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Conducted on Wednesday, June 26, 2013

Recorded event now available

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Course Materials

This CLE course will provide guidance for counsel to export companies on conducting reviews and investigations of ITAR and EAR compliance programs and determining whether and when to voluntarily disclose potential violations.

Description

Companies involved in exporting recently received a harsh reminder of the importance of ITAR and EAR compliance systems when Raytheon agreed to settle alleged ITAR violations and pay $8 million in civil penalties and remedial expenditures.

Even the best compliance programs cannot prevent every export violation.  It is therefore essential to have an effective monitoring system so that potential and actual violations can be identified, reviewed appropriately, and addressed.

In addition to regular oversight of compliance, the most compliant companies commit significant resources to the audit and investigative function. Those companies also understand the important factors that must be weighed when deciding whether and when to voluntarily disclose violations to the government.

Listen as our authoritative panel discusses conducting compliance reviews and investigations under the EAR and ITAR, including when a review or investigation is warranted and the steps to take when conducting a review, whether initiated internally or pursuant to a government inquiry.  Drawing on extensive experience in conducting compliance investigations and reviews, the panel will offer guidance on the steps that should—and should not— be taken.

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Outline

  1. Identifying a potential violation
    1. Internal audit
    2. Self-report
    3. Whistle-blower
    4. Government inquiry
  2. Commencing the investigation
    1. Document preservation
    2. Containment
    3. Investigation plan
    4. Stakeholder buy in
  3. Conducting the investigation
    1. Document review
    2. Interviews
    3. Site visits
    4. Targeted transaction audits or reviews
    5. Memorializing findings
  4. Disclosure
    1. The decision of whether to disclose
    2. EAR considerations
    3. ITAR considerations

Benefits

The panel will review these and other key questions:

  • What is the impact for an export control investigation of the source of the reported potential violation: employee report, internal audit, whistleblower's tip, or government investigation?
  • What factors should a company consider in deciding whether and when to voluntarily disclose a potential violation to the government?
  • How can counsel prepare clients to reduce noncompliance and mitigate penalties for export violations?

Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.

Faculty

Thaddeus R. McBride
Thaddeus R. McBride
Partner
Sheppard Mullin Richter & Hampton

Mr. McBride represents companies and individuals in international trade regulatory, compliance, investigative, and...  |  Read More

Whitten, Reid
Reid Whitten
Partner
Sheppard Mullin Richter & Hampton

Mr. Whitten's practice focuses on international trade compliance and investigation work. He advises clients on...  |  Read More

Randall H. Cook
Randall H. Cook
Senior Atty.
Sikorsky Aircraft

He supervises a team of 10 attorneys and export control professionals with responsibility for export control...  |  Read More

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