We offer a variety of consulting services including training, compliance assessment, and compliance audit. Please contact us to learn more for your specific needs.
MK Data Services offers 1/2 day and full day training on the following topics:
- Classification (any category of the CCL)
- Encryption Classification
- License Exception ENC
- Encryption Import/Export Requirements of Foreign Countries
- Deemed Export
- Screening (RPL, EPCI, Diversion Risk, Embargo)
- Sanctions (BIS/OFAC)
- Special Controls (e.g., Iraq)
- Export Documents & Recordkeeping
- Process & Procedure Documentation
An export compliance assessment is a qualitative examination of the efficiency and effectiveness of a company's compliance processes. There are typically 16 standard processes associated with an export compliance program. Since most of these processes are executed prior to the event - the export - they can only be qualitatively assessed. An assessment would look at each process, not only to measure the level of compliance achieved by the process (its effectiveness), but also the efficiency of the process implementation through the deployment of procedures, work instructions, and associated training. The output from the assessment consists of an overall compliance program evaluation, and a process-by-process assessment, typically represented in stoplight (red, yellow, green) format, along with process "gaps" and recommendations for improvement and/or corrective actions.
An export compliance audit is a detailed analysis of the output of the compliance processes. An audit looks at the results of the execution of the processes post event - after the export. The objective of an audit is to determine if the compliance processes have failed; permitting unintended and undesirable outcomes. Most of the process output is reflected in the export documentation; commercial invoices, letters of credit, shipper's letter of instructions, AES filings, etc. Hence, an audit would look at a statistically significant sample of such documents. However, other process output would also be examined; e.g., record retention, notification and reporting, training, and others. The output of an audit would identify specific process failures and associated errors, and recommended corrective actions if feasible without further process analysis. An audit will identify potential export violations.
Both assessments and audits require, at a minimum, one day on site (per location) for interviews with key operational and compliance personnel, though the objectives of the interviews differ. Both would look at all manners of exports; physical systemic exports, hand-carries, manual, electronic, and deemed exports or technology transfers. Both would require some number of days post-assessment or post-audit to analyze the data and produce the report. In both cases, up-front client planning and coordination, plus data gathering, is essential for an efficient and effective assessment or audit.
For more information on MK Data's Consulting Services, please contact Ken Harris on 410-992-DATA.