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5. Who is responsible for maintaining the program and responding to questions related to the EMCP;
6. Where the EMCP will be maintained; and 7. How often the program is to be updated.
TEMPLATE
This template language is an example of how a Manual Introduction might read.
EMCP introduction language might read as follows:
The objective of this Export Management and Compliance Program (EMCP) is to ensure that our company’s exports, deemed exports, reexports, transfers, and activities are transacted consistent with the Export Administration Regulations (EAR). Various departments have a role in the management of our export transactions and compliance with U.S. export laws and regulations. It is this company’s expectation that each employee understands the standards described and the importance of creating a synergistic system to manage the overall export responsibilities. A vital part of an EMCP is the establishment of mechanisms within the company’s daily operational procedures that provide checks and safeguards at vulnerable points of the system. Such checks and safeguards help to ensure that the right questions are being asked to preclude making shipments that are contrary to U.S. export controls, and therefore inconsistent with this company’s best interests.
An EMCP soundly implemented, coupled with good judgment, can greatly reduce the risk of inadvertently exporting to a restricted end-user, or exporting for a prohibited end-use or activity.
To ensure the integrity of this system, individual feedback and suggestions for strengthening the procedures are encouraged. For questions and to send feedback and suggestions related to the EMCP procedures, please contact: (Named Person, Title, E-Mail, Phone Number, (maybe address, too).
The official, hard copy of this EMCP Manual will be maintained in the (Named Department) by (Named Person) and will be updated and distributed annually every (September). Also, the EMCP may be found posted on our company intranet site at: (named URL). Updates made prior to (September) will be distributed and posted as they become available.
IDENTIFYING PERSONNEL AND TASKS
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Formal lines of communication between the key personnel and others with export-related functions have been established. Generally, typical responsibilities that our company wants to assign to compliance personnel include, but are not limited to, the following:
1. Day-to-day management of the Export Management and Compliance Program; 2. Assessing the risk associated with export transactions;
3. Maintaining and distributing the EMCP Manual, including any compliance-personnel changes;
4. Developing and implementing export-control and compliance training to ensure all employees are knowledgeable about export law and our company’s compliance policies and procedures;
5. The license process and procedures -- handling all export related transactions from before sale to after shipment, including jurisdiction and classification of all company products, screening parties and activities regarding transactions, and monitoring compliance of license conditions;
6. All foreign national employees related to deemed export issues;
7. Maintenance of all export records, including shipping documents, and correspondence related to exports.
8. Internal and/or external audits/assessments of a company’s export management and compliance program; and
9. Handling, reporting, escalating, and taking corrective action regarding compliance problems and violations.
A compliance program is only as good as the personnel responsible for implementing that program. It is our Management policy to foster a culture where export compliance positions are valued, professional career positions in the company. Our Management provides
incentives to hire, train, and motivate quality export compliance personnel and structures pay scales, evaluations, and promotions accordingly. Our Management emphasizes the
importance of compliance positions within the organization in order to increase the
desirability of such positions to attract highly qualified personnel. Hiring standards are high and pre-employment screening stringent.
Compliance personnel must have a working knowledge of export control laws and
regulations and be able to competently ensure a company’s compliance through the effective management of its export management and compliance program. Export compliance
positions should have sufficient authority and discretion vested in them to garner the necessary respect to ensure compliance. Personnel given export control functions should have authority commensurate with their responsibilities, including the authority to stop export transactions when export control questions arise. Compliance personnel must be able to see beyond the immediate economic bottom line, to the long-range legal implications that a company risks by not instituting an effective export management and compliance program. Compliance personnel must not only posses the ability to discern the right thing to do but, most importantly, have the internal fortitude to do the right thing, on a daily basis.
While the actual number of designated export-specific personnel will vary based upon available resources and expertise, our company must establish a system of checks and
balances. This is particularly important within separate company divisions to ensure that all divisions work together to examine the sale or use of products, services, or technology. No commodity should be allowed to leave the company or the country for export unless all internal compliance procedures have been met, the proper signatures have been obtained, and the transaction is officially approved in accordance with the company’s Export Management and Compliance Program requirements.
Appendix X is a list of the responsible personnel, identified by name and title. In order to ensure ongoing compliance in cases of absence, alternate (backup) personnel are formally assigned for all key export control related functions. Telephone numbers, e-mail addresses and mailing addresses are provided for these individuals. General export control
responsibilities are summarized in the Appendix and explained in more detail within the appropriate procedures.
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