Lombardo LawPC

U.S. Export Controls. The Firm has extensive experience handling issues arising from the U.S. export control regulations, including the International Traffic in Arms Regulations (ITAR), Export Administration Regulations (EAR), and the regulations imposed by the Office of Foreign Assets Control (OFAC).  We work closely with our clients in all aspects of export regulation, and other related areas, which are listed below. 

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• Jurisdiction & Classification:  The first step in U.S. export controls is determining the proper jurisdiction (ITAR or EAR) of the products or services at issue.  From there, one must determine the specific classification within the applicable jurisdiction, i.e., the specific category on the United States Munitions List (USML) or Export Control Classification Number (ECCN) on the Commerce Control List (CCL).  We assist clients in making these determinations, including self-classifications as well preparing Commodity Jurisdiction (CJ) requests to the Directorate of Defense Trade Controls (DDTC) or Commodity Classification (C-CATS) Requests to the Bureau of Industry and Security (BIS). 

 

• Licensing/Authorizations: Once the proper jurisdiction and classification is determined for a particular product/technology, we assist clients with the entire spectrum of export compliance needs, including authorizations.  We help determine whether an export license is required, or whether an export exception/exemption is available.  We help prepare export license requests or properly document the use of license exceptions/exemptions.  The Firm helps clients draft and submit to DDTC Manufacturing License Agreements (MLA), Technical Assistance Agreements (TAA), and Warehouse and Distribution Agreements (WDA).  We assist clients in the execution of these authorizations to properly maintain compliance with the licensing terms.​

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• Auditing & Compliance:  The Firm conducts audits (whether initiated by the company or mandated by the government) related to compliance with applicable regulations, including the ITAR and EAR (as well as compliance with the OFAC regulations, the Foreign Corrupt Practices Act (FCPA), and the Anti-Boycott regulations).  We will help companies develop effective export compliance programs, and effectively manage any regulatory infractions that are revealed during an audit.   

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• Due Diligence:  The Departments of State and Commerce have no qualms about imposing successor liability and penalizing companies for past export violations committed prior to a merger or acquisition (M&A).   As a result, export compliance due diligence is not only mandatory, but it must be conducted well in advance of the purchase or sale decision.  The Firm has significant experience with the unique issues that arise with export compliance due diligence reviews in furtherance of an M&A.

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• Investigations & Enforcement:  We represent clients before the range of federal agencies responsible for overseeing and administering export controls, including the Departments of State, Commerce, and Treasury.  In this capacity, we assist clients with investigating potential violations and, if necessary, drafting and submitting voluntary self-disclosures.  Further, the Firm will liaise with appropriate agency officials regarding export or licensing violations and penalties, compliance/training/audit issues, as well as settlement negotiations.

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• Academic/University Research: We are acutely aware of the distinct export control issues that arise in an academic/research institution context.  In institutional cultures where collaboration is critical, we have helped clients navigate the unique issues they face related to: (i) the employment of, and collaboration with, foreign scholars and associated “deemed export” issues; (ii) EAR and ITAR university-specific exceptions/exemptions; and (iii) the general academic sharing of research and technology. 

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U.S. Economic Sanctions: The U.S. Treasury Department's Office of Foreign Assets Control (OFAC) administers and enforces economic and trade sanctions against certain foreign countries, entities, companies and individuals.  Lombardo Law assists clients in navigating these complex regulations and avoiding potential violations.

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Foreign Corrupt Practices Act (FCPA).  The Firm assists U.S. and multi-national corporations in successfully meeting their obligations under the FCPA, as well as the ever-growing list of international anti-corruption laws.   

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Anti-boycott Regulations.  The Firm regularly counsels our clients on compliance with the Department of Commerce’s anti-boycott regulations, including analyzing potential boycott requests (and submitting reports to the government), as well as assisting clients with preventing violations, and conducting investigations of potential violations. 

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CFIUS Investigations.  The Committee on Foreign Investment in the U.S. (CFIUS), located in the Treasury Department, is an inter-agency body established to review the impact of foreign acquisitions of U.S. companies.  The enabling legislation and regulations for CFIUS’ oversight of these activities requires a thorough investigation and presentation of acquisition activity to avert possible future divestment demands from the U.S. Government.  Lombardo Law has experience with counseling clients with analyzing the applicability of these regulations and submitting CFIUS filings (if necessary).

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Representative Matters in International Trade

• Conducted internal investigation for major defense contractor regarding alleged violations of the ITAR, drafted voluntary disclosures to DDTC and worked with company to implement corrective action.

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• Lead attorney on a DDTC-mandated ITAR audit of a manufacturing company, represented company before the State Department and assisted the company in establishing a comprehensive compliance program that resulted in a cautionary letter in lieu of fines or penalties.

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• For a medium-sized software company being acquired by a larger defense contractor, performed emergency due diligence review of export violations; investigated violations and worked with the company to file disclosure with DDTC; and assisted the company in establishing export compliance program, all of which resulted in a warning letter from DDTC (with no fines or penalties), allowing the deal to move forward.

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• Led the export classification analysis for an aerospace company, including the preparation of commodity jurisdiction requests, and the development of procedures for determining the commodity jurisdiction of thousands of aircraft parts.

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• Represented several companies before OFAC in civil enforcement proceedings involving alleged violations of various economic sanctions regulations; all matters were either terminated without action or settled on favorable terms for the client.

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• Lead attorney conducting an internal investigation and assisting in preparation of voluntary disclosure involving manufacturing company that had more than one thousand potential violations of the ITAR, and represented the company before the State Department, and worked with the company to design and implement a comprehensive export compliance program.

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• Designed, developed and implemented global compliance programs (including export controls and FCPA) for companies ranging from start-ups to Fortune 500 companies, as well as nonprofit and academic institutions.