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Export Control Compliance Workshop - Risk Assessment Framework for Logistics Companies

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The Cluster for Logistics is inviting its members to a full day workshop moderated by its member RespectUs.

The workshop aims to help you mitigate your risks on your export shipments.

Keep up with the everchanging foreign country taxes, laws and import modifications.

About the Moderator: Patrick Goergen, CEO, RespectUs

Patrick Goergen has a 20 years long experience in working as a lawyer in European and international law, and serving as an Associate Professor in the MBA program of a U.S. university, teaching “Legal Environment of Business”. He is a book author (on media law), speaker (The Export Control Expert & Explainer, www.patrick-goergen.com) and trainer notably on trade compliance questions. He has founded and acts as CEO of the Luxembourg based start-up RespectUs (www.respectus.space) which has built a digital one-stopshop platform for export control compliance. He has provided external export control officer and consulting services for exporting companies and institutions for more than 15 years.

Full Program:

Export Control Compliance Workshop

Risk Assessment Framework for Logistics

Companies

Workshop Overview

Duration: Full-day session (6 hours)

Target Audience: Freight forwarders, logistics operators, compliance officers, and operational staff


Detailed Agenda:

Part 1: Foundation and Context (90 minutes)

1. Introduction to Export Control Regulations

  • Key regulatory frameworks (e.g., EAR, ITAR, EU Dual-Use Regulation)
  • Recent enforcement trends and case studies
  • Specific obligations for freight forwarders and logistics providers

2. Understanding Your Role

  • Responsibilities in the supply chain
  • Liability exposure
  • Common misconceptions and pitfalls


Part 2: Risk Assessment Framework (90 minutes)

A. Operational Risks

1. Customer Screening

  • Risk: Inadequate customer due diligence
  • Risk: Dealing with denied parties
  • Risk: Shell companies and front organizations
  • Mitigation strategies and red flags

2. Product Classification

  • Risk: Misclassification of goods
  • Risk: Reliance on customer-provided information
  • Risk: Overlooking catch-all controls
  • Best practices for verification

3. Documentation and Declarations

  • Risk: Incomplete or incorrect documentation
  • Risk: Missing licenses or authorizations
  • Risk: Falsified documents
  • Documentation verification protocols

B. Geographic Risks

1. Restricted Destinations

  • Risk: Sanctioned countries and regions
  • Risk: Transhipment points and diversion
  • Risk: Complex routing structures
  • Country-specific compliance requirements

2. Route Risk Assessment

  • Risk: High-risk transit countries
  • Risk: Unauthorized trans-shipment
  • Risk: Changes in routing
  • Route monitoring and control measures

C. Process Risks

1. Internal Controls

  • Risk: Inadequate compliance procedures
  • Risk: Lack of systematic screening
  • Risk: Poor record-keeping
  • Control framework development

2. Training and Awareness

  • Risk: Insufficient staff knowledge
  • Risk: Inconsistent application of procedures
  • Risk: High staff turnover
  • Training program requirements


Part 3: Interactive Risk Assessment Exercise (60 minutes)

  • Case study analysis
  • Risk mapping exercise
  • Group discussion and presentation
  • Best practice sharing


Part 4: Risk Mitigation Strategies (60 minutes)

1. Technology Solutions

  • Screening tools and systems
  • Documentation management
  • Audit trail maintenance
  • Integration with existing systems

2. Process Implementation

  • Standard Operating Procedures (SOPs)
  • Escalation procedures
  • Internal audit programs
  • Compliance metrics and KPIs

3. Partnership Management

  • Agent/partner due diligence
  • Contractual safeguards
  • Ongoing monitoring
  • Communication protocols


Part 5: Action Planning (60 minutes)

1. Risk Assessment Template Development

  • Company-specific risk factors
  • Risk scoring methodology
  • Review and update procedures

2. Implementation Roadmap

  • Priority actions
  • Resource allocation
  • Timeline development
  • Success metrics


Workshop Deliverables

  1. Risk Assessment Matrix
  2. Action Plan Template
  3. Red Flags Checklist


Follow-up and Support by Patrick Goergen, CEO, RespectUs

  1. Post-workshop consultation
  2. Implementation review
  3. Updates on regulatory changes
  4. Networking opportunities