An Export Management Compliance Policy (EMCP)

by Catherine J. Petersen 9/15/2015

At one of the first U.S. Bureau of Industry and Security (BIS) seminars I attended, someone said that "exporting is a privilege, not a right." At the same seminar, all of the attendees were encouraged to prepare an Export Management Compliance Policy (EMCP). An EMCP was promoted as a tool and policy to assist a firm in developing and implementing procedures to stay in compliance with the Export Administration Regulations (EAR).

If I were to now ask those who attended; "Did you proceed with preparing an EMCP?" their answer is likely to be: "No not yet. An EMCP is a priority for our firm, but we are too busy to tackle that project. We are in the midst of ____." You and I can fill in the blank with any number of answers.

An EMCP benefits an exporter by identifying where and when they have exposure to risk and liability. An EMCP does not need to be a hefty document; it needs to be a document that reflects the scale and scope of your export program. It can be succinct, and it can borrow from and reference other compliance activities being completed within your organization.

There are 9 elements that BIS wants you to address in your EMCP:

Management Commitment.
Continuous Risk Assessment of the Export Program.
Formal Written Export Management and Compliance Program.
Ongoing Compliance Training and Awareness.
Pre/Post Export Compliance Security and Screening.
Adherence to Recordkeeping Regulatory Requirements, 15 CFR 762.
Internal and External Compliance Monitoring and Periodic Audits.
Maintaining a Program for Handling Compliance Problems, including Reporting Export Violations.
Completing Appropriate Corrective Actions in Response to Export Violations.
Thomas Andrukonis, BIS' Director of Export Management and Compliance Division, and his team at BIS are available to answer your questions. Their contact information and the BIS' "Compliance Guidelines" are available at http://www.bis.doc.gov/index.php/compliance-a-training/export-management-a-compliance/24-compliance-a-training/export-management-a-compliance/227-core-elements-of-an-effective-export-management-and-compliance-program-emcp .

The worst EMCP is the one that has been composed merely in your mind.

When we next meet, I hope I hear you say "We moved this project to the front of the queue!"

On the trail towards compliance!