Federal Compliance and Defense Representation for Importers

Developing and Implementing an Import Compliance Program

For U.S.-based companies that import tangible and intangible products (including software and technology licenses) from businesses in other countries, compliance is essential. We offer full-service compliance representation, from needs assessments to training and implementation:

1. Import Compliance Needs Assessment

Before you can implement an import compliance program, you need to know what compliance measures are required. Companies’ import compliance obligations are heavily circumstantial, and what is essential for one company could be completely inapposite for another. Before we take any steps toward developing a compliance program, we first conduct a comprehensive needs assessment in order to ensure that we are doing everything that is necessary without doing anything that isn’t required.

2. Import Compliance Policies and Procedures

Once we know what your company needs, then we can get to work developing compliance policies and procedures that are specifically tailored to your company’s import operations. Our federal import compliance lawyers will draft clear and practical compliance documents that your company can use to avoid unwanted federal scrutiny. Your company’s compliance documents will address all applicable import laws and regulations; and, if desired, we can integrate these documents with your company’s other policies and procedures.
 

3. Third-Party Due Diligence and Contracting

Third-party due diligence is a key aspect of import compliance. Companies in the United States need to ensure that the foreign entities from which they are purchasing, their import brokers, and the other third parties with which they do business are not putting them at risk for federal enforcement action. Our lawyers can conduct efficient and comprehensive due diligence before your company does business with a new third-party supplier or broker, and we can review and negotiate the terms of your company’s commercial agreements to ensure that they do not omit key terms or otherwise raise import compliance concerns. 

4. CBP, OFAC, and Other Federal Agency Compliance Matters

Our attorneys can assist your company with CBP rulings, OFAC general and specific licensing, and other federal agency compliance matters as well. In many circumstances, prior to importing products into the United States, it is necessary to notify federal authorities and seek advance approval. We can help you understand when these types of measures are required, we can help you adopt protocols designed to ensure that these requirements are not overlooked, and we can seek the necessary rulings, licenses, and approvals on your company’s behalf. 

5. Import Compliance Program Training and Implementation

Once we have thoroughly addressed your company’s import compliance obligations through policy documentation, the next step is to train your company’s personnel and implement your new compliance program on a company-wide scale. The amount of effort this entails will depend on your company’s size and the scope of its import operations, and we can custom-tailor or training and implementation efforts to meet your company’s specific needs. 

6. Import Compliance Program Reevaluation and Reinvigoration 

Import compliance is not a one-time event. Once your company has implemented a compliance program, in order for the program to remain effective, companies must constantly monitor their personnel’s adherence to the program, and they must continually reassess their needs on an ongoing basis. Due to the specific nature of many import compliance regulations, even slight shifts in business can potentially have drastic compliance implications; and, as a result, companies must be prepared to update and modify their import compliance programs as well. 

7. Internal Compliance Audits and Event Response

In order to determine whether an import compliance program is effective (and whether there are any gaps in documentation or implementation that need to be filled), companies must audit their compliance efforts. Our attorneys conduct internal compliance audits on behalf of our clients (which ensures that the audit is protected by the attorney-client privilege); and, when necessary, we assist our clients with responding to and remedying import compliance violations. 

Addressing All Federal Import Laws and Regulations that Apply to Your Business

Determining what your company needs in terms of an import compliance program isn’t easy. Companies must navigate a complex web of federal rules and regulations, and they must abide by the rules of multiple federal administrative and law enforcement agencies. At Oberheiden, P.C., our attorneys rely on extensive federal experience to comprehensively identify the issues that are pertinent to our clients’ businesses, which may include:

• Customs Rulings, OFAC General and Specific Licenses, and Other Necessary Authorizations and Approvals
• Customs-Trade Partnership Against Terrorism (C-TPAT) Certification 
• Duty Reduction, Exemptions, and Reconciliation 
• Exemptions and Exclusions Under Tariff Statutes and Various Federal Import Laws and Regulations
• Harmonized Tariff Schedule (HTS) Classification Compliance
• NAFTA (USMCA) and Other Free Trade Agreement Compliance 
• Software Licensing, Technology Transfers, Importer of Record (IOR), and Other Special Compliance Issues 

Federal Import Control Audits and Investigations: What Does it Take to Avoid Administrative, Civil, and Criminal Penalties?

Despite their best efforts to comply, companies can still find themselves at the center of federal audits and investigations targeting alleged statutory and regulatory violations. These audits and investigations can arise in various contexts, from routine agency reviews to whistleblower claims and criminal fraud allegations.

In addition to assisting importers with federal compliance, we also provide strategic representation for federal import control audit and investigation defense. If your company is being targeted, or if one of your trade partners or competitors is being targeted and you are concerned that your company might be next, we encourage you to contact us right away. 

For companies that are facing federal import control audits and investigations, we offer services including:

1. Preliminary Risk Assessment

Import control audits and investigations can target a multitude of administrative, civil, and criminal violations. Our first step will be to determine the scope, nature, and severity of the issue(s) at hand. 

2. Intervention in the Audit or Investigation

Our attorneys will promptly intervene in the audit or investigation to let the agency (or agencies) involved know that your company is represented. This will also slow down the process and give us time to implement a strategic and targeted defense. 

3. Proactive Defense Representation 

While the audit or investigation remains ongoing, our focus will be on resolving the matter without further law enforcement action being taken. We will work with the relevant agency(ies) to address any deficiencies, demonstrate your company’s good-faith compliance efforts, and show that your company is committed to compliance going forward. 

4. Preventing Federal Charges and Indictments

No matter what, we want to try to make sure that your company, its owners, and executives are not charged with civilly or criminally. To date, we have resolved the vast majority of our clients’ audits and investigations without charges being filed. 

5. Defending Against Charges in Administrative and Judicial Proceedings

If necessary, however, we will rely on our attorneys’ centuries of combined experience on both sides of federal law enforcement matters to defend your company, its owners, and executives in court. We will continue to work toward a favorable pre-trial resolution while also preparing for the possibility of trial. 

Contact the Federal Import Compliance and Defense Lawyers at Oberheiden, P.C.

If you need legal advice regarding a federal import compliance issue, audit, or investigation, we encourage you to get in touch. To speak with one of our attorneys in confidence, call 888-680-1745 or request a free case assessment online now.