Proviso Compliance Panel Discussion - siaed.org Compliance.pdfPanel Discussion. PANEL MEMBERS...
Transcript of Proviso Compliance Panel Discussion - siaed.org Compliance.pdfPanel Discussion. PANEL MEMBERS...
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Society for International Affairs
Proviso Compliance
Panel Discussion
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PANEL MEMBERS
Moderator
• Debi Davis – Vice President, DC Operations & International Trade Compliance – Moderator
Panel Members
• Anthony Dearth, Chief of Staff, Office of Defense Trade Controls
• MAJ Patrick Reimnitz, Office of Defense Trade Controls, Licensing
• Susan Daoussi, Division Chief, Licensing Directorate, Defense Technology Security Administration
• Benjamin Turkel, Raytheon CompanySIA Proprietary
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WHAT IS A PROVISO?
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PROVISOS VERSUS CONDITIONS
• A rose by any other name is still a rose….
• Provisos = Department of State Licenses = Conditions of Approval
• Conditions = Department of Commerce Licenses
• The license is only approved based on the limitations that are added to the license (Provisos or Conditions)
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WHO DO THE PROVISOS APPLY TO?
• The Provisos are issued as part of the license to the applicant
• HOWEVER, there may be provisos that are focused specifically on the actions of the foreign party
• Need to review closely
• Should share the provisos with foreign party so they understand the requirements
• May have a proviso REQUIRING that you share with the foreign party
• In some cases may have a proviso requiring that you NOT share with the foreign party (e.g., Classified)
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STANDARD CONDITIONS
Commerce
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State
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COMMON PROVISO QUESTIONS FOR DISCUSSION
• What do I do if I receive a proviso that drastically restricts my proposed statement of work?
• How can I determine where the restrictive proviso came from?
• Was the restrictive proviso caused by lack of details in the export application?
• (Too much info or phraseology – including but not limited to)
• How should I address the restrictive proviso with the USG point of contact?
• What should I do if I think a proviso may have been issued in error?
• Should I submit a proviso reconsideration request?SIA Proprietary
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COMMON PROVISO QUESTIONS FOR DISCUSSION
• Can I have a case reissued due to a USG error in provisos?
• What do I do if the Proviso is really complicated and I don’t understand it?
• How do I handle classified provisos?
• What about Classified reconsideration requests?
• What if the proviso impacts the program’s ability to perform work?
• What sort of measures should I put in place to adhere to the proviso?
• How do I track compliance with provisos and audit/assessment requirements?
• Useful tools to setup proviso complianceSIA Proprietary
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COMMON PROVISO QUESTIONS FOR DISCUSSION
• What are some practical tips for conducting self-assessments of Proviso compliance?
• What are my obligations for Provisos that apply to the Foreign Parties? (e.g., equipment must be locked up; logs must be maintained of access….)
• What do I do with provisos that require me to provide additional documentation or records?
• What about self-imposed provisos?
• If you say it you need to do it – approval is based on the totality of the information submitted
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So How Do I Request a Proviso Reconsideration?
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SUBMITTING A PROVISO RECONSIDERATION
• Licenses
• Submit a new license application (DSP-5, DSP-61, DSP-73…)
• Information must match the original license
• Purpose Block
• Identify “Proviso Reconsideration” as the purpose of the submission
• Identify the license to which it pertains
• The applicant should restate the purpose from the original license
• Attach an explanatory letter
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SUBMITTING A PROVISO RECONSIDERATION
• Agreements
• Submit a new DSP-5 application. Include all information required for an amendment ($1 value)
• Purpose Block
• Identify “Proviso Reconsideration” as the purpose of the submission
• Identify the agreement number
• The applicant should also restate the overall purpose from the agreement
• Attach an explanatory letter
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Submit a new DSP-5 application. Include all information required for an amendment
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EXPLANATORY LETTER
• Provide the original wording of the proviso as issued in the DTCL approval
• Provide a recommendation on how the proviso should be revised or a recommendation to delete the proviso
• State the problem with the original proviso (“too restrictive,” “in error,” “not applicable,” etc.)
• Provide justification to the Government to support the change or deletion of the proviso
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Submit a new DSP-5 application. Include all information required for an amendment
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Questions?
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