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Export Management Systems

The requirements described in the Export Administration Regulations (EAR) may seem overwhelming without a system to capture analysis, decisions, accountability and implementing procedures. An EMS takes individual decisions and pieces of information and builds them into an organized, integrated system. It is a program which can be established to manage export-related decisions and transactions and to ensure compliance with the EAR and license conditions.

An EMS can:

• Reinforce senior management commitment to comply with U.S. export laws and regulations to all parts of the company.

• Provide management structure and organization for the processing of export transactions.

• Enhance accountability for export control tasks by identifying who is responsible for performing each part of the process and who is responsible for overall effectiveness of the system.

• Provide a map of the order processing flow and export control safeguards to ensure consistent compliance with export decisions.

• Provide written instructions for employees to blend into their daily responsibilities to "screen" export transactions against general prohibitions of exports, reexports and selected transfers to certain end-uses and end-users.

• Serve as a vehicle to communicate red flag indicators that raise questions about the legitimacy of a customer or transaction.

• Provide personnel with tools to help them ensure they are performing their export control functions accurately and consistently.

• Identify transactions that could normally be exported without a license, but because of the end-use or end-user, require a license.

• Streamline the process and reduce time spent on compliance activities when employees have written instructions, tools and ongoing training.

• Protect employees through training and awareness programs from inadvertently violating the EAR.

• Be your company’s program of vigilance against terrorism and proliferation of weapons of mass destruction.

• Protect a company through ongoing compliance against inadvertent violations of the EAR.

Export Management Systems (EMS) Guidelines

The Office of Exporter Services publishes Export Management System (EMS) Guidelines to help exporters develop EMS programs tailored to companies’ unique export-related transaction requirements.

EMS Summary Brochure

This brochure provides a brief summary of the EMS Guidelines and serves as a useful training tool.

EMS Reviews

This is a description of a service offered to exporters to help establish EMS programs.

EMS Seminars and Workshops

A schedule of EMS seminars and workshops may be found on the seminar pages of this web site.

EMS Tools

The EMS Tools include information on ordering the free "Due Diligence" red flags awareness training CD and other examples of best practices that help companies enhance their compliance efforts and are used to train others in the company.

Audit Module

Once you establish an EMS, you will want to implement a method to verify that all written procedures are updated as necessary and adhered to operationally. This option offers you a sample EMS module that you should customize to reflect your company requirements. This is meant to be a draft tool to get you started, not a final product. For further guidance on developing this EMS procedure, see the EMS Guidelines, Element 6, internal reviews [pdf].

The Sample Audit Module is available in the following formats:

PDF	WordPerfect	MS Word
View On Line	Download	Download

 

            

                          

 

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