Export Control and Sanctions Compliance Programs
Companies can easily violate export control laws and sanctions regimes as they are often imposed by other countries. These violations can result in large fines, prohibitions on the import or export of certain goods or technology, placement of firms and individuals on restricted lists, or even a prohibition on the use of the US Dollar in international transactions.

Pacific E Compliance offers a range of programs to meet your Export Control Compliance and Sanctions Compliance needs. These programs will be tailored to your business to help you reduce the risk of violating these often complex rules and regulations.

Export Compliance Programs

Pacific E Compliance will work with your trade professionals to create an Export Compliance Program (ECP) to meet your specific needs. We will meet with you to understand your operations and risk profile. We will then design an ECP that meets current industry and regulatory standards and helps you reduce risk.

Your ECP will include preparation of a manual with the following elements:

  • Statement of Management Commitment – Assistance in drafting a statement of Management Support, a simple but vital component of any ECP;
  • Company risk assessment – Including risks of exporting goods or technology without a license or the unauthorized release of sensitive technology. Advice on “deemed exports” can also be included (important for the USA, China, and Japan);
  • Procedure for Obtaining Export Authorizations – Development of a high-level procedure for exporting goods or technology beginning with identification of need, obtaining appropriate licenses or other needed authorizations, and end use/end user certificates. Third party screening and classification requirements will be included.
  • Record Keeping – Guidelines for the establishment of a required record keeping system with roles and responsibilities.
  • Training Requirements – Guidelines for training based on need including senior management, the export team, employees with export responsibility and for a general audience.
  • Audit Requirements – Detailed audit requirements will be stated.
  • Managing any Export Violations and Corrective Actions – An internal procedure for responding to any export violations will be provided, consistent with similar company procedures. Guidance on cooperation with investigations, including dawn raids, will be included.
  • Maintenance and Improvement of the ECP – Rules and regulations change. The company will grow and evolve; relevant regulations will evolve as well. We will provide guidelines on how to keep the ECP current and the company in compliance.

Additional services can be provided including the creation of business level operational procedures, a Technology Control Plan, training for staff involved in exporting, etc.

Fees will be based on a number of factors including company size and complexity, amount of exports, whether any goods or technology are listed on the military or dual use lists, sophistication of the company, extent of training required, etc.

Contact us for more information.

Sanctions Compliance

Sanctions compliance is becoming increasingly important in a world where commerce and foreign policy are often mixed. In the US, the Obama and Trump administrations both increased the use of sanctions as a tool of US foreign policy. The Biden administration will bring its own priorities. The EU has been far more active in the past decade. With Brexit, the UK is creating a third significant regime. Many other jurisdictions are becoming more active in sanctions, including China.

If your company is engaged in international transactions or deals with foreign companies in your business transactions, this is a compliance area you need to address. Failure to do so can result in crippling fines, exclusion from trading in certain jurisdictions or even possible criminal charges in far away countries.

Although this is an area where legal advice is often needed for specific transactions, Pacific E Compliance can help you manage your risk with a robust Sanctions Compliance Program. We can help you create a program with the following components to meet OFAC’s current framework guidance:

  • A risk assessment to help you determine your risk exposure. This will include not only your products and services, but also risks created by your customers, clients, counterparties and even your geographic location.
  • Statement of management commitment – Compliance begins at the top with a recognition of the risk, delegation of sufficient authority, and providing sufficient resources to the compliance function including people, IT and screening, expertise, etc.
  • We will help establish internal controls including policies and procedures, an adequate counterparty screening program, record keeping, and internal communication.
  • Pacific E Compliance will also help you create testing and audit mechanisms to provide assurance about the adequacy of your Sanctions Compliance Program.
  • Finally, Pacific E Compliance will help you establish a training program using our trainers or a train the trainer program to enhance the capabilities of your internal resources. The training program will be tailored to your organization to take into account job functions, communication of sanctions responsibilities, and employee accountability.

Fees will be based on a number of factors including the size and complexity of the company, locations where the company operates or transacts business, whether you have a current sanctions compliance program, training required, etc. Fees can be quoted on a fixed fee basis or an hourly basis.

Contact us for more information.


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