Compliance - Rudi du Bois

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Masterclass ronde 2 Export Compliance EVO SCM-congres Nyenrode, 3 juni 2015 Rudi Du Bois Customs & Trade Compliance Manager EMEA, DuPont

Transcript of Compliance - Rudi du Bois

Masterclass ronde 2

Export Compliance

EVO SCM-congres

Nyenrode, 3 juni 2015

Rudi Du Bois

Customs & Trade Compliance Manager EMEA, DuPont

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3 juni 2015 Export Compliance (RDB)

Agenda

Risico-profiel van je bedrijf in relatie tot export compliance

Waar ligt de verantwoordelijkheid voor export compliance binnen je organisatie?

Wat moet je minimaal geregeld hebben binnen je organisatie?

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Wat is export compliance?

3 juni 2015 Export Compliance (RDB)

Controle

strategische

goederen

Eindgebruik

Eindgebruiker

controle Sanctielanden

Export

Vergunning

Risico-profiel van je bedrijf in

relatie tot export compliance

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Je risico profiel bepaalt de omvang van je export compliance programma

• No controlled items/technologies

• US-origin items are only EAR99

• Trade limited to the EU and Annex II countries

• Product portfolio contains small number of dual-use items/technology

• Few licenses

• Trade with restricted countries/sensitive regions

• Low diversion risk

• Product portfolio contains substantial number of dual-use items/technology

• Products specially designed for military applications

• Heavy licensing obligations

• Trade with restricted countries/sensitive regions

• High diversion risk because of potential for WMD or military end-use

• Controlled US-origin items/technology

• US subsidiary or non-US company active in the US

• Global market presence

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Waar ligt de verantwoordelijkheid voor

export compliance binnen je organisatie?

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Het management is de eindverantwordelijke

Board of

Directors

CEO

Other managers

3 juni 2015 Export Compliance (RDB)

Senior Management

committment

Company policy

statement

Ultimate

responsibility

Set targets

Enforcement actions

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De stakeholders in de onderneming

Management Board

CEO Finance director (CFO)

Sales director

General Counsel

Compliance director

IT director (CIO)

Supply chain director

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In praktijk is de hele supply chain betrokken

3 juni 2015 Export Compliance (RDB)

Exporter

Manufacturer

Suppliers Client/Consigne

e Raw materials

Consumables

Parts,

components

Carrier Customs

Outbound : cross-border shipments Inbound : purchased material

ECCN classification

Denied party check

suppliers

Check origin

US re-export

Customs declaration Denied party check

carriers

End-user checks

Ship to / Sold To ECCN classification

End-use check

Destination country

check

Export license

Prevent diversion

Wat moet je minimaal geregeld

hebben binnen je organisatie?

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Geen export zonder voorafgaande screening

Is checking if orders or deliveries are in compliance with the export control and sanctions regulations

Helps to determine if an export is restricted or prohibited

Helps to determine if an export license is required

Requires export control compliance procedures and processes

When to check?

• Each delivery?

• Each order + delivery?

• Spot checks?

3 juni 2015 Export Compliance (RDB)

12 Wat moet er gescreend worden?

What are you exporting?

Product Classification

Where are you exporting?

Destination Country Screening

Who will receive your item?

End-user Screening

What will your item be used

for?

End-use Screening

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Determine if an export licence is required

Export Compliance (RDB)

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Check of je product op een controlelijst staat

Control lists

Dual-us list

EU US National

Military List

EU US National

Not Listed

3 juni 2015 Export Compliance (RDB)