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Import Compliance Manual template, IMPORT MANUAL

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Export Compliance Manual template, EXPORT MANUAL

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ITAR Compliance Manual template, ITAR MANUAL

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C-TPAT Manual template, C-TPAT MANUAL

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Foreign Corrupt Practices Act Manual template, FCPA MANUAL

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Customs Broker Manual template, CUSTOMS BROKER MANUAL

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CBP CUSTOMS BONDED WAREHOUSE MANUAL - CLASS 2

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Overview of our EXPORT MANAGEMENT SYSTEM (EMS Manual)

An EMS can be a useful tool to help companies comply with export control requirements. The implementation of EPCI and the changing world situation have increased the need for such systems. The regulations require the exporter to assume greater responsibility in screening export transactions against the prohibitions of exports, re-exports, and selected transfers to certain end users and uses:

  • Denied Persons List (General Prohibition Four) - Engaging in actions prohibited by a denial order.
  • End-Use/Users (General Prohibition Five) - Export or re-export to prohibited end-uses or end-users.
  • Activities of U.S. Persons (General Prohibition Seven) - Activities of U.S. Persons in relation to proliferation activities.

Exporters should also have a procedure in place to screen transactions to ensure that they do not conduct business with persons/firms where BIS has “informed” the exporter or the public at large that the transaction involves an unacceptable risk of use in, or diversion to, prohibited proliferation activities anywhere in the world.

Firms/Persons that act contrary to General Prohibitions could lose their export privileges, be fined, or even be criminally prosecuted.

An EMS is not a U.S. Government mandated requirement. However, in a changing export control environment, it is a program that companies should consider establishing to ensure their actions are handled in a way that is consistent with the EAR.

The establishment of an EMS, in and of itself, will not relieve an exporter of criminal and administrative liability under the law if a violation occurs. However, the implementation of an EMS, coupled with good and sound judgment can greatly reduce the risk of inadvertently exporting to an unauthorized party or for an unauthorized end-use.

PRELIMINARY STEPS TO CONSIDER IN DEVELOPING AN EMS

There are certain steps that firms will need to address as they begin to develop an EMS.

Know the Customer: A key objective of an effective EMS is to be able to detect and react to information that raises questions about the legitimacy of a customer or transaction. The “Know Your Customer Guidance” help all persons avoid an illegal activity under the EAR. The EAR also prohibits specific activities with “knowledge” that a violation is about to occur. These duties require a certain standard of care. The optional screening suggestions in the Guidelines can help the exporter understand his/her responsibilities.

Know Your Customer; Guidance as defined in Supplement 1 to Part 732 of the EAR is included in the booklet as Appendix II. This Guidance refers to the provisions in the regulations that require a license when an exporter “knows” that a proscribed end-use, end-user, destination, activity or other violation is involved. It is important that the exporter have an established procedure for reviewing proposed transactions in accordance with this Guidance. For your convenience, a Checklist of the Red Flag indicators is included with Element 3.

Understanding the EAR: Companies should have a clear understanding of the EAR

Exporters, as well as firms that facilitate exports or engage in other controlled activities, need a working knowledge of the regulations and their applications. It is strongly recommended that to develop such an understanding that you send company personnel responsible for Export Controls to one of the many seminars offered by BIS. (For further information, contact the Export Seminar Staff.

Identifying the Factors that will Form the Foundation for the System: Each firm should provide examples, i.e., steps, scope, prohibitions, recordkeeping, etc. of the export regulations that apply to the firm’s specific activities. The company’s management team should look at a number of factors as it plans the development of its EMS.

A company’s EMS should be appropriate to the scope of its export and re-export markets and to its business situation. Several factors can affect how an EMS can be structured. All of the factors noted below are important to consider; however, the most significant are Exporter Size, Location of Customers, Product Sensitivity or Restrictions, and Order Processing System.

A. Exporter Type -- Manufacturer -- Trading company -- Purchasing agent -- Original equipment manufacturer (OEM)

IMPORT

1.4 Purpose of Manual

This manual has been designed to aid employees in ensuring Customs compliance and is not intended to be a substitute for Customs laws and regulations. This manual outlines Customs processes to be used in conjunction with applicable laws and regulations. The policies and procedures outlined in this manual are supported by all levels of management and are expected to be followed by all employees. Noncompliance with Customs laws and regulations may expose PTC to fines, penalties, and liquidated damages.

The following topics are included in this manual: import/entry process, record keeping, classification, quantity, transaction value, basis of appraisement, American goods returned, U.S. articles assembled abroad, antidumping/countervailing duties, generalized system of preferences (GSP), post entry processes, staff training, and reference materials Following are the primary departments involved in the importation/exportation of merchandise:

  • Management
  • Import Department
  • Accounting
  • Warehouse (Shipping/Receiving)
  • Purchasing
  • Engineering Services

If you have any suggestions for improving the contents of this manual or find any inaccuracies, contact the Import/Customs Compliance Manager. Any questions regarding procedures described in this manual should also be addressed to the Import/Customs Compliance Manager.

1.5 Periodic Review and Update of Procedures

It is the responsibility of the Import/Customs Compliance Manager to review this manual and update it, as necessary, on an annual basis to ensure that Customs regulation cites are current and to incorporate any procedural changes. This annual review and update (the paperback volume of the CFR is revised each year as of April 1) will take place during the second quarter of the fiscal year. If no updates are considered necessary, the Import/Customs Compliance Manager will write a memo indicating the date of the review and attach it to the back of the Manual. Interim updates or additions to the procedures will be made on an as needed basis. The Import Manager will forward a copy of the revised manual or no change memo to each Department Manager involved in the importation/exportation of merchandise as well as the Personnel Department.