WPC 'xj%3W 7=xu|Sg$kWQK,jxE9-~?7D?aG")?v9-8uq t'h S_V-3.eοiW1.IH%R#<cObOJ*4GP0HOe؜.'IquWS[^ωK}t^h65Fbl_O hER F+!-ze7 ~i!:1ZV) >XE="cOaqSSL.ͮ u)Ak8P,׀ΚHH >Y'dm=,Oh}eS'AMs:`<$*jyr' ZmRQ 081=[M55䁴z1=&$ȍ~ e z eRYр#,#!hUN % 0(fafw@4]qafaaffafafaf a f a"a6fJfLaNb md^ {{{{{{ B NAcrobat PDFWriter,,,,0(hH  Z 6Times New Roman RegularX($TABLE A _- D`-Da-Ub-Uc-Ud-Ue-f-Dg-h-Iu%*3|xh-TABLE BTABLE CTABLE ETABLE ETABLE FTABLE G TABLE HTABLE ITABLE DTABLE JU?* d !  _*'ddd Xdd Xdd X(#(#,Ldd +      U.S.DEPARTMENTOFCOMMERCEBUREAUOFEXPORTADMINISTRATIONOFFICEOFEXPORTERSERVICESXXEXPORTMANAGEMENTSYSTEMS  REVIEWMODULE#XgXc# F eXXgDRAFTDOCUMENT T XgXe  AtoolcreatedforexporterstousetoverifyongoingperformanceofEMSresponsibilities.ThisisanexampletobuilduponanddoesnotincludeallExportAdministrationRegulationsrestrictionsandprohibitions._  May2000  ԍ̎_  #*-z((0  #_XXg*e'wddLdd L'(#(#e,udd ,,dd ,,dd ,dd +     AdministrativeElement 󀀀0  Written d Review   Element1:ManagementPolicy Statement 󀀀0 0  Date________x Clearcommitmenttoexportcontrolfromuppermanagementtoallemployeesinvolvedwithexportrelatedactivities.̀___________________________________________________________π DX1.0  Aretherewrittenprocedurestoensureconsistent,ongoing    maintenanceofthisElement?  0  A.0cIsaresponsiblepersondesignatedtoupdatethestatementwhen  L  managementchangesoratleastannually? cc 0  B.0cIsthepolicyincludedinemployeetrainingin:\  cc 0  0c1)0ccOrientationprograms? \  0  0c2)0ccRefreshertraining?  0  0c3)0ccElectronictrainingmodules?l  0  0c4)0ccEmployeeproceduresmanuals?l  0  C.0cIsthestatementdistributedtoallexportrelatedpersonnel? cc 0  D.0cIsthestatementcommunicatedonanongoingbasisby:| cc 0  0c1)0ccCompanypublications?,|  0  0c2)0ccCompanyawarenessposters?, 0  0c3)0ccDailyoperatingprocedures? 0  0c4)0ccOthermeans,i.e.bulletinboards,inmeetings,etc.?< 2.0  Isthereastatementfrommanagementthatcommunicatesclear  commitmenttoexportcontrol?  0  A.0cIsitfromcurrentseniormanagement?Signed?Dated?Lcc 0  B.0cDoesitexplainwhycorporatecommitmentisimportant?cc 0  C.0cDoesitindicatethatnosaleswillbemadecontrarytotheUS \ EAR? cc 0  D.0cDoesitconveythedualuseriskoftheitemstobeexported? cc 0  E.0cDoesitaddressweaponsofmassdestructionactivities l  concerns? cc 0  0c1)0ccnuclearproliferation?" 0  0c2)0ccmissiletechnologyproliferation?|# Ѐ0  0c3)0ccchemicalandbiologicalproliferation?,|$ 0  F.0cDoesitcontainadescriptionofpenaltiesappliedininstancesof ,% compliancefailure? cc 0  0c1)0ccImposedbyDepartmentofCommerce?<' 0  0c2)0ccImposedbyyourcompany?<( 0  G.0cDoesitincludethename,position,emailaddress&telephone  ) numberofthepersontocontactwithquestionsconcerningthelegitimacyofatransactionorpossibleviolations? cc 0    3.0  AreadequateresourcesdedicatedtothemaintenanceoftheEMS \#- program?  4.0  Didexportrelatedpersonnelhaveacopyofthestatement?l% 0 5.0  Isthestatementpartofthenewemployeeorientationtrainingand &"2 refreshertraining?    ,(|#4 Y____________________________  ($$i N____________________________  4*% OperationalReviewDate______________Comments_________________________________________________  4   AdministrativeElement WrittenReview  t Element2:ResponsibleOfficials 󀀀Date________ (x  Identificationofpersonnelforallexportcontrolrelatedfunctions,duties,responsibilities,positions,andemployeesinthefirm.___________________________________________________________̀1.0  Aretherewrittenprocedurestoidentifyallexportcontrolrelated L   personnelinthecompany?  2.0  Istherealistthatidentifiesindividuals,theirpositions,addresses, \   telephonenumbers,emailaddresses,andtheirrespectiveexportcontrolrelatedactivities?  0  A.0cDoesitincludealldomesticsites?l cc 0  B.0cDoesitincludeallinternationalsites?l cc 3.0  HasanEMSAdministratorbeendesignatedforoversightofthe |  program?  4.0  Isthereasystemofbackuppersonnelidentified? 5.0  Areexportrelatedtasksclearlydefinedinwrittenprocedures?< 6.0  Doeseachexportcontrolpersonunderstandtheimportanceofhis/her L functionrelatedtoexportcomplianceandwherehe/shefitsintheoverallflow?  7.0  Arethereanyconflictsofinterestinresponsibleoffices(or  \ individuals)andtasks?    ԍ̎   -(< Y__________  TY N__________  Tv OperationalReviewDate______πComments_________________________________________________  4 } Ѐ AdministrativeElement0 0?  0? ?  WrittenReview  Element3:Recordkeeping 0 s 0 s s 0  0?  0? ? Date________x AprogramforrecordkeepingrequiredbytheEARaswellasotheradministrativerecords.___________________________________________________________1.0  AretherewrittenprocedurestoensurecompliancewithExport  < AdministrationRegulationsrequirements?  0  A.0cIsanindividualdesignatedasresponsible?L  cc 0  B.0cIstheretentionperioddefined? L cc 0  C.0cIsthephysicallocationforstoragedefined?  cc 2.0  Istherealistofrecordstomaintainwithintheprocedure? \  0  A.0cDoesthelistincludethefollowing AdministrativeRecords : cc 0  0c1)0ccCommodityClassificationrecords?p  0  0c2)0ccCommodityJurisdictionLetters? p  0  0c3)0ccAdvisoryOpinionLetters?0  0  0c4)0ccBXA748P,MultipurposeApplicationForm?  Ѐ0 c 5)0ccBXA748PA,ItemAppendix?0  0  0c6)0ccBXA748PB,EndUserAppendix?0 Ѐ0 c 7)0ccBXA711,StatementbyUltimateConsigneeand  Purchaser?  Ѐ0  8)0Accompanyingattachments,riders,orconditions?@ Ѐ0  9)0InternationalImportCertificates? Ѐ0 c 10)0ccEndUserCertificates?P Ѐ0 c 11)0ccLicenseExceptionTSRWrittenAssurances?P 0  0c12)0ccAESelectronicfilingauthorization? 0  0c13)0ccNDAAReports?` 0  0c14)0ccHighPerformanceComputerRecords?` 0  0c15)0ccTransmittalandacknowledgmentoflicenseconditions? 0  0c16)0ccLogadministeringcontroloveruseofExport/Reexport p  license?  0  0c17)0ccIsalogmaintainedtoensurereturnorcommodities  " previouslyexportedundertheLicenseExceptionTMP?  0  0c18)0ccIsalogmaintainedtoensureLicenseExceptionLVS 0$ limitsarenotexceeded?  0  0c19)0ccHumanitarianDonationsGFTRecords?& 0  0c cc 0  B.0cArethereinstructionsfortheaccuratecompletionandfilingfor @( thefollowing TransactionRecords : )cc 0  0c1)0ccCommercialInvoices(withDestinationControl T!* Statement)?  Ѐ0 c 2)0ccShippersExportDeclarations?", Ѐ0  a)0/Descriptionofitem(s)?d#-// Ѐ0  b)0/ExportControlClassificationNumber(s)?$d.// Ѐ0  c)LicenseNumber(s)$ / Ѐ0  0c0ccd)0LicenseExceptionSymbol(s)?t% 0 Ѐ0  e)0/ScheduleBNumber(s)?$&t!1// Ѐ0 c 3)0ccAirWaybillsand/orBillsofLading?&$"2 0  C.0cIsthereconformityoftheabovedocuments?4(#4cc 0  0c0cc  0  D.0cDoesthelistincludeExportManagementSystemManualand )$6 changesaswellasEMSoperatingprocedures? cc ̀E.0 c DoesthelistincludeacurrentcopyofEARwithExport +&9 AdministrationBulletin(EAB)Updates? cc 0  F.0cDoesthelistincludeacopyofthecurrentDeniedPersonsList  ԍand T,': EntityListandallFederalRegisternoticesidentifyingparties -T(; addedto,ordeletedfromthelist?(OtherUSGAgencylists?) cc 0    Ѐ̎  -)<cc Y_______________________________________  ԍ_______________̎   -(x N_______________________________________  ԍ______̎   -( OperationalReview0  0@g%g%0@g%@g%0 g%g%Date________d g% g% Comments______________________________________________  4   *' wdwdudd u,dd ,,dd ,dd '(#(#,udd ,,dd ,,dd ,dd +     AdministrativeElement0 / 0s //0 s s 0  0?   WrittenReview d? ?  Element4.Training 0 / 0s //0 s s 0  0?  Date_________? ?  Anongoingprogramoftrainingandeducationtoallemployees,domesticallyandinternationally,regardingtheEARrequirementsandEMSprocedures.___________________________________________________________1.0  Aretherewrittenproceduresthatdescribeanongoingprogramof    exportcontrol/compliancetrainingandeducation?  0  A.0cIsaqualifiedindividualdesignatedtoconducttraining?  cc 0  B.0cIsthereascheduletoconducttraining(includingdate,time, \   place?) cc 0  C.0cWhattrainingmaterialsareused(module,videos,manuals)? cc 0  D.0cAretrainingmaterialscurrentandaccurate?l cc 0  E.0cAreattendancelogsusedfordocumentationwhichinclude, l  agenda,date,trainer,trainees,andsubjects? cc 0  F.0cIsfrequencyoftrainingdefined?| cc 0  G.0cIsalistofemployees/positionsdefinedwhoshouldreceive ,|  exportcontrol/compliancetraining? cc 2.0  Dotrainingmethodsinclude:< 0  A.0cOrientationofnewemployee(s)?cc ЀB.0 c Formal(structuredsetting,agendas,modulesused)?Lcc 0  C.0cInformal(lessstructuredbasis,verbal,daily,onthejob L exchanges)? cc 0  D.0cCirculationofwrittenmemorandaandemailstoasmall \ numberofpersonnel.,(usuallygroupspecificinstruction)? cc 0  E.0cRefreshercoursesandupdatesessionsscheduled? cc 0  F.0cBackuppersonneltraining?l cc 3.0  Doescontentoftrainingmaterialsinclude:" 0  A.0cOrganizationalstructureofexportrelateddepartmentsand |# functions? cc Ѐ0  B.0cTheroleoftheEMSAdministratorandKeyContacts?,%cc Ѐ0 c C.0ccU.S.export/reexportregulatoryrequirements?& Ѐ0  D.0cEMScompanyoperatingprocedures?<'cc 0  E.0cThepurposeandscopeofexportcontrols?<(cc 0  F.0cLicenses&Conditions/LicenseExceptions¶meters? )cc Ѐ0 c G.0ccRegulatorychangesandnewrequirements?L!* Ѐ0 c H.0ccDestinationanditemrestrictions?!L+ Ѐ0  I.0cOrderprocessingscreens(i.e.,DeniedPersonsList( DPL), ", DiversionRisketc.)? cc ЀJ.0 c Procedureconcerningexports/reexportswithdocumented  $\. checks? cc ЀK.0 c Newcustomerreviewprocedures?l% 0cc 0  L.0cIdentificationanddescriptionofnoncompliance?&l!1cc   ԍ̎   -(< Y___________________________  4*%s N___________________________  4*% OperationalReview0  0@g%g%0@g%@g%0 g%g%Date______d g% g% Comments________________________________________________   * ' wdwdudd u,dd ,,dd ,dd ' (#(#,udd ,,dd ,dd ,dd +     AdministrativeElement0 / 0s //0 s s 0  0?  0? ?  WrittenReviewd  Element5:InternalReviews 0 s 0 s s 0  0?  0? ? Date________ Aninternalauditsystemorcompliancereviewprogram.___________________________________________________________1.0  Arewrittenproceduresestablishedtoverifyongoingcompliance? < 2.0  Isthereaqualifiedindividual(orauditinggroup)designatedto    conductinternalreviews?  3.0  Isthereascheduleforreviews? L  4.0  Isthereadescriptionofthereviewprocess?   5.0  Isareviewmoduleorselfassessmenttoolused?\   0  Ifyes,doesthereviewtoolevaluate:  0  A.0cCorporatemanagementcommitmentinallaspectsofthe   reviewnotjusttheWrittenPolicyStatementElement? cc 0  B.0cFormalized,writtenEMSprocedurescomparedtooperational l  procedures? cc 0  C.0cAsetofquestionsforeachElementintheEMSwrittenprogram |  toverifycompliance? cc 0  D.0cAccuracy&conformityofexporttransactiondocuments?,cc 0  E.0cMaintenanceofdocuments,asrequiredinthewrittenEMS  program. cc 0  F.0cCorrectauthorizationused?<cc Ѐ0  G.0cAreexportcontrolscreensdocumented?cc Ѐ0  H.0cWhetherthereisacurrent,accurateproduct/license L determinationmatrixconsistentwiththecurrentEARandFederalRegisternotices?cc ЀI.0 c Whetherthereisaflowchartoftheorderprocessingsystemthat \ clearlycommunicatesexportcontrolscreens? cc 0  J.0cWhetherthereisaproceduretostop/holdtransactionsif   problemsarise? cc Ѐ0  K.0cWhetherallkeyexportrelatedpersonnelareinterviewed?l!cc 0  L.0cWhetherthereareclear,opencommunicationbetweenall " exportrelateddivisions? cc 0  M.0cHowistheperformanceofexportcontrolchecksverifiedona ,|$ dailybasis? cc 0  N.0cDoesitincludesamplingofthecompletedscreensperformed & duringtheorderprocessing? cc ЀO.0 c WhetherexportcontrolproceduresandEMSmanualsare <( consistentwithEARchangesthathavebeenpublished? cc ЀP.0 c Whetherthecompanystrainingmoduleandproceduresare L!* currentwithEARandFederalRegisternotices?!L+cc 5.0  Isthereawrittenreportofeachinternalreview?", Ѐ0  A.0cAretherewrittenresultsofthereview?\#-cc 0  B.0cIstheappropriatemanagernotifiedifactionisneeded? $\.cc Ѐ0  C.0cAreinternalreviewsperformedannually,everysixmonths, $ / quarterly,etc.? cc ЀD.0 c Arespotchecks/informalselfassessmentsperformed?&l!1cc ЀE.0 c Aretheydocumented?&"2cc 6.0  Isthereevidenceofaconflictofinterestbetweenthereviewerand |'"3 thedivisionbeingreviewed?  7.0  Isahistorymaintainedofreviewstomonitorrepeateddeficiencies?(,$5 8.0  Istherea bestpracticethatshouldbesharedwithotherdivisionsin )$6 thecompanytoimproveeffectivenessandefficiencyofexportcontrolsandpromoteconsistencyofprocedures?  9.0  AreotherDepartmentsawareoftheirexportcontrolrelated +&9 responsibilities,i.e.,legaldept.,humanresources,informationmanagement.,etc.)    ԍ̎   -(< Y__________________________________  ,D(w N______________________________  ԍ____   -( OperationalReview0 m 0mg%mg%0g%g%09g%g%0} 9g%9g%Date___________ d  } g%} g% Comments__________________________________________________    AdministrativeElement0 / 0s //0 s s 0  0?   WrittenReview ? ?  Element6:Notification 0 / 0s //0 s s 0  0?  Date________x? ?  AsystemfornotifyingdesignatedofficialsofpossiblenoncompliancewiththeEAR___________________________________________________________̀1.Doesthecompanyhaveanongoingprocedurefor̀monitoringcomplianceofconsignees,endusersandother̀responsiblepartiesinvolvedinexporttransactions?2.Arethereinternalproceduresinplacetonotifymanagement̀withinthecompanyifaresponsiblepartyisdeterminedtobeiǹnoncompliance?3.0  Arethereinternalproceduresinplacetonotifytheappropriate   U.S.Governmentofficialswhennoncomplianceisdetermined?(i.e.,ExportAdministrationsOfficeofExporterServices( OEXS),ExportEnforcement,etc.)  4.0  Doallemployeesreceiveexportcontrolawarenesstraining(think < aboutpotentialdeemedexportsandhandcarryscenarios)?  5.0  Hascorporatepolicybeenimplementedwhichstressestoall L employeesanaffirmativedutytonotifyexportcontrolofficialsintheeventofpossiblenoncompliance?    ԍ̀̀___________________________________________________________̎ OrderProcessingSystem̎ ___________________________________________________________ ,L(; Ѐ̀1.Aretherewrittenprocedurestoensurethatchecksandsafeguardsarèinplacewithintheorderprocessingflowandresponsibilityforall̀checksareassigned?̀A.IstheOrderProcessingSystemdescribedby:̀(1)flowcharts?̀(2)narrative?̀B.Doestheflowchartvisuallydisplay:̀2.checksperformedpriortodatainputoracceptanceoforder?̀1.receiptoforder?̀2.DPLscreen?̀3.entitylist?̀4.antiboycottscreen?̀5.nuclearscreen?̀6.missiletechnologyscreen?̀7.chemical&biologicalweaponsscreen?̀8.product/countrylicensingdetermination(classification)̀9.diversionriskscreen?̀10.ShippersExportDeclaration(SED),ShipperssLetter̀ofInstruction(SLI)?̀AirWaybills(AWB)and/orBillsofLading?̀shipment?̀whscree̎   -(< Y______  DW N______  v OperationalReview0 } 0!} g%} g%Date________ dw Ѐ !g%!g% Comments__________________________________________________    *'wdwdudd u,dd ,dd dd  ' (#(#,udd ,,dd ,dd ,dd +     OrderProcessingElement0 s 0 s s 0  0?   WrittenReview d? ?  0  0c0cc00/0s //0 s s 0  0?   Date________? ?  AnOrderProcessingSystemaffixingresponsibilityforallrequiredexportcontrolchecks/reviews.  (  __________________________________________________________  Ѐ1.0  Aretherewrittenprocedurestoensurethatchecksandsafeguardsare  < inplacewithintheorderprocessingflowandresponsibilityforallchecksareassigned?  2.0  IstheOrderProcessingSystemdisplayedvisuallyinanorderflow    chart?  3.0  Isthereanarrativethatdescribestheprocess?  4.0  Arethefollowingscreensincludedintheorderprocess?l  0  A.0cArepreorderentryscreenchecksperformed(i.e.,knowyour   customerredflags)? cc 0  B.0cIstheDPLscreendescribed?,| cc 0  C.0cIstheEntityListscreendescribed?,cc 0  D.0cAretheAntiboycottredflagsconsidered?cc 0  E.0cIsthenuclearscreenperformed?<cc 0  F.0cIsthemissiletechnologyscreenperformed?<cc 0  G.0cIsthechemical&biologicalweaponsscreenperformed?cc 0  H.0cIstheproduct/countrylicensingdeterminationscreen L performed? cc 0  I.0cIsthediversionriskscreenperformed?cc 0  J.0cDoestheOrderProcessingSystemprocedureincludea \ descriptionofadministrativecontroloverthefollowingdocuments: cc 0  0cShippersExportDeclaration(SED),ShippersLetterofInstruction(SLI)?Airwaybills(AWB)and/orBillsofLading? cc 5.0  Doestheprocedureexplaintheorderprocessfromreceiptoforderto |# actualshipment?  6.0  Doestheprocedureincludewhoisresponsibleforeachscreen & throughouttheflow?  7.0  Doestheproceduredescribewhenandwhatscreeningisperformed  ) (frequencyofscreening)?  8.0  Areholdandcancelfunctionsimplemented?", 9.0  Doestheprocedureclearlyindicatewhohastheauthoritytomake  $\. classificationdecisions?  Ѐ10.0  AresupervisoryorExportControlAdministrator( ECA)signoff &l!1 proceduresimplementedathighriskpoints?    ԍ̎   -(< Y_____________________  4*%s N_____________________  D,' OperationalReview0 m 0mg%mg%0g%g%09g%g%0} 9g%9g%Date________ d  } g%} g% Comments__________________________________________________  4 *',dwdudd u,dd ,dd dd '(#(#,dd ,,dd ,dd ,dd +     ScreeningElement0  00( 0l ( ( 0 l l 0  08  0|88 WrittenReview d|| Element1:DeniedPersonsScreen(DPL)0 08  0|88 Date________ ||  Amethodologyforreviewoforders/shipments/transactionsagainstthe ,| DPL.____________________________________________________________̀1.0  Isthereawrittenproceduretoensurescreeningoforders/shipmentsto  < customerscoveringservicing,training,andsalesofitemsagainsttheDPL?  2.0  Arepersons/positionsidentifiedwhoareresponsibleforDPL    screening(considerdomesticandinternationaldesignees)?  3.0  Isthereaproceduretostopordersifacustomerand/orotherparties   arefoundontheDPL?  4.0  Isthereaproceduretoreportallnamesofcustomersand/orother   partiesfoundontheDPL?  5.0  Dotheproceduresincludeaprocessofwhatisusedtoperformthe , screeningandifdistributionofhardcopiesisrequired,whoisresponsiblefortheirupdateanddistribution?  6.0  IstheDPLcheckedagainstacustomerbase? ЀA.0  Areboththecustomernameandprincipalchecked?L Ѐ0  B.0Isthereamethodforkeepingthecustomerbasecurrent?L Ѐ0  C.0Isthereamethodforscreeningnewcustomers? ̀7.0  IstheDPLcheckedonatransactionbase? \ Ѐ0  A.0Isthenameoforderingpartysfirmandprincipalchecked?  Ѐ0  B.0Istheenduseridentityavailable?Ifso,isaDPLcheckdoneon l  theenduser?  Ѐ0  C.0Isthecheckperformedatthetimeanorderisacceptedand/or " received?  Ѐ0  D.0Isthecheckperformedatthetimeofshipment?,|$ Ѐ0  E.0Isthecheckperformedagainstbacklogorderswhenanewor ,% updatedDPLispublished?  ̀8.0  Doesdocumentationofscreen(whetherhardcopyorelectronic <( signature)include:  0  A.0Nameofindividualperformingthecheck?L!* ЀB.0  Dateofscreenperformed?!L+ Ѐ0  C.0Dateofcurrentdeniedpersonsinformationusedtoperformthe ", check?  ЀD.0  IsthedateoftheDPLusedtocheckthetransactiondocumented?  $\. Isitcurrent?  9.0  Areothertraderelatedsanctions,embargoesanddebarmentsimposed l% 0 byagenciesotherthantheDepartmentofCommercechecked?  ЀA.0  DepartmentofTreasury(OfficeofForeignAssetsControl):&"2 Ѐ0  1)0\SpeciallyDesignatedTerrorists?|'"3\\ Ѐ0  2)0\SpeciallyDesignatedNationalsandForeignTerrorist ,(|#4 Organizations? \\ ЀB.0  DepartmentofState:)$6 Ѐ0  1)0\Traderelatedsanctions(BureauofPoliticoMilitary <*%7 Affairs)? \\ Ѐ0  2)0\Suspensions&debarments(CenterforDefenseTrade, +&9 OfficeofDefenseTradeControls)? \\ 10.0  AredomestictransactionsscreenedagainsttheDPL?,L(;   ԍ̎   -(< Y___________________________  D,'v N_______________________  ԍ____   -( OperationalReview0  0g%g%09g%g%0} 9g%9g%0!} g%} g%Date_______d!g%!g% Comments__________________________________________________0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g%0#!g%!g%744.13 #g%#g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g%0#!g%!g%744.14 #g%#g%   ,D( *'d,ddd ,dd ,dd dd '(#(#,dd ,,dd ,dd , dd +     ScreeningElement0  0L 0 L L 0  0  0\  0\\ WrittenReviewd 0 < 0<<000L 0 L L 0  0  0\  0\\Date____________   Element 2.Product/CountryLicenseDeterminationScreen  (x Asystemforassuringcompliancewithexportlicensingdecisions,product/countryrestrictions,LicenseExceptionParameters,andLicenseConditions.___________________________________________________________1.0 < Aretherewrittenproceduresforassuringcompliancewithproduct  L  andcountryexportrestrictions? << 2.0 < Doproceduresincludereexportguidelines? \ << 3.0 < Isthereawrittenprocedurethatdescribeshowitems(including l  commodities,software,andtechnology)areclassifiedunderECCNs l  ЀontheCCL? << Ѐ0 < A.0<<Doesatechnicalexpertwithinthecompanyclassifytheitems?|  Ѐ0 < B.0<<Doesthemanufactureroftheitemclassifytheitem?,|  Ѐ0 < C.0<<Isthereawrittenprocedurethatdescribeswhenaclassification , willbesubmittedtoBXAandwhowillberesponsible?  Ѐ0  D.0Isthereawrittenprocedurethatdescribescommodity < jurisdictiondeterminations?  Ѐ4.0 < IsanindividualdesignatedtoensurethatProduct/CountryLicense L determinationguidanceiscurrentandupdated? << 5.0 < IsaMatrixorDecisionTableused?\<< Ѐ0 < A.0<<Areinstructionsprovidedeasilyunderstoodandapplied? \ Ѐ0 < B.0<<Doinstructionsprovidedspecifywho,when,whereandhowto   checkeachshipmentagainstthematrix?  Ѐ0 < C.0<<Doesthematrix/tabledisplayECCNsandproductdescriptions?l! Ѐ0 < D.0<<Appropriateshippingauthorizations,LicenseRequired,License " ЀException(specifywhich)EAR99,NLR?  Ѐ0 < E.0<<DoesthematrixcommunicateLicenseException ,|$ parameters/restrictions?  Ѐ0 < F.0<<Arelicenseconditionsandrestrictionsincludedwithinthe & Ѐmatrix/table?  Ѐ0 < G.0<<Doesthematrix/tablecrossreferenceitemstobeexportedwith <( licenseexceptionsnormallyavailable(basedonitemdescriptionandenddestination?  0 < H.0<<Doesthematrix/tableclearlydefinewhatlicenseexceptionsmay !L+ beavailableforeachitem(alsoclearlystatewhichlicenseexceptionsmaynotbeusedduetoGeneralProhibitions)?  0 < I.0<<Arecountryrestrictionsdisplayed? $\. 0 < J.0<<Iscountryinformationuptodate?$ / 0 < K.0<<Areitemrestrictionsdisplayed?(i.e.,technicalparameter l% 0 Ѐlimitations,enduserlimitations.)  Ѐ0 < L.0<<Arereportingpromptsbuiltintothematrix/table?&"2 0 < M.0<<AreWassenaarreportsrequired?When?|'"3 Ѐ0 < N.0<<IsNationalDefenseAuthorizationActNotification(NDAA) ,(|#4 required?  Ѐ0 < O.0<<AreNDAAPostshipmentverificationsrequired?)$6 0 < P.0<<Isthematrixautomated?<*%7 0 < Q.0<<Isthematrixmanuallyimplemented?*<&8 Ѐ0 < R.0<<Isthereadistributionproceduretoensureallappropriateusers +&9 receivethetoolandinstructionsforuse?  Ѐ0 < S.0<<Istherealisttoindicatethenameofthepersonresponsiblefor ,L(; usingthetool?  ԍ  Ў  -(< Y_____________________________  ԍ̎   -(x N_________________________  ԍ____̎   -( OperationalReview0  0""0]""Date_______d]"]" Comments_____________________________________0  0M " "0M"M"0""0"" "" 0  0M " "0M"M"0""0""750.7(d) "" 0  0M " "0M"M"0""0""742.15and740.7 ""   +& *'Zdddd ,dd ,dd dd '(#(#,dd ,wdd ,dd , dd +     ScreeningElement 0  00V 0 V V 0  0"  0f" " WrittenReviewdff 0  0F0FF000V 0 V V 0  0"  0f" " Date__________ ff  Element 2.Product/CountryLicenseDeterminationScreen (contd.) (x __________________________________________________________̀6.0  Istherea holdfunctiontopreventshipments,ifneeded,during  < processing?  7.0  Isthereaproceduretodistributeandverifyreceiptoflicense  L  conditions?  Ѐ0  A.0FIstheresomeonedesignatedtodistributeandfollowupwith \   acknowledgmentverification? FF 0  B.0FIstherearesponsedeadlinedefinedwhenconditionsare   distributed? FF   ԍ̎   -(< Y_____   K N_____  d [ OperationalReview0 * 0n*"*"Date_______d\n"n" Comments________________________________________  $` *'wdZddd wdd wdd dd '(#(#,udd ,,dd ,dd ,hdd +     ScreeningElement 0  0/0s //0 s s 0  0?  0? ? WrittenReview0@90@9  d  Element3:DiversionRiskScreen0 0?  0? ? 0 Date    ____________ |  ToreviewordersagainstaDiversionRiskProfile(DRP). , ___________________________________________________________1.0  Arethereprocedurestoscreenordersfordiversionriskredflag  < indicators?  Ѐ2.0  Isachecklistusedbasedupontheredflagindicators? L  Ѐ3.0  Doesthewrittenscreeningprocedureidentifytheresponsible \   individualwhoperformsthescreencheck?  Ѐ4.0  IstheDRPconsideredatallphasesoftheorderprocessingsystem?l  5.0  IsDRPperformedonatransactionbasis?  6.0  IsDRPperformedonacustomerbase?,|  7.0  Isachecklistdocumentedandmaintainedonfileforeachandevery  order?< Ѐ8.0  Isachecklistdocumentedandmaintainedonfileinthecustomer  profile?L 9.0  Isthecustomerbasecheckedatleastannuallyagainsttheredflag  indicatorsorwhenacustomersactivitieschange?  10.0  GeneralProhibition6Prohibitsexport/reexportofitemsto   embargoeddestinationswithoutproperlicenseauthority.Areembargoeddestinationprohibitionscommunicatedontheproduct/countrymatrixandpartoftheredflagindicators?  Ѐ11.0  GeneralProhibition10prohibitsanexporterfromproceedingwith ,|$ transactionswithknowledgethataviolationhasoccurredorisabouttooccur.Isthereanythingthatissuspectregardingthelegitimacyofthetransactions?  12.0  AreMissileTechnology,ChemicalandBiologicalWeapons,and  ) NuclearScreensperformed?(SeeScreeningElements4,5,&6intheEMSGuidelines.)  Ѐ  ԍ̎   -(< Y_____________  T#i N______________-__-  t'" OperationalReview0  0%%09%%0} 9%9%0!} %} %Date________d!%!% Comments___________________________________________________0  0%%0)%%0m)%)%0m%m%0%%09%%0} 9%9%0!} %} %Part732,Supplement3  D!%!%  ScreeningElement 0  0/0s //0 s s 0  0?  WrittenReview? ?  Ѐ Element4:NuclearScreen 0 s 0 s s 0  0?  Date_________x? ?  ЀAsystemforassuringcompliancewiththeprohibitednuclearenduses/usersinPart744.2and744.6oftheEARand744,Supplement4.__________________________________________________________̀1.0  Priortoexporting,isthereawrittenprocedureforreviewingexports    andreexportsofallitemssubjecttotheEARtodeterminewhethertheymightbedestinedtobeuseddirectlyorindirectlyinanyoneormoreoftheprohibitedofnuclearactivities?  2.0  Isaperson/positionidentifiedwhoisresponsibleforensuring  \  screeningofcustomersandtheiractivitiesagainsttheprohibitedenduses/users?  3.0  Doestheproceduredescribewhenthenuclearscreenshouldbe   performed?  4.0  DoestheprocedureincludeacheckagainsttheEntityList?, 5.0  Ifyes,isthereaproceduretomaintaindocumentedEntityListscreen < decisionsonfiletoverifyconsistent,operationalreview?  6.0  Isyournuclearscreencompletedona:L Ѐ0  A.0ctransactionbasis?Lcc 0  B.0cagainstacustomerbase?cc 0  C.0cbeforenewcustomersareapproved?\cc 7.0  Doesthecheckincludedocumentationofthesignature/initialofthe   personperformingthecheck,andthedateperformedtoverifyconsistent,operationalperformanceofthecheck?  8.0  Isthecustomerbasecheckedandthecheckdocumentedatleast |# annuallyintheCustomerProfiles?(SeeEMSGuidelines,ScreeningElement3,DiversionRiskScreen).  9.0  Isitclearwhoisresponsiblefortheannualcheck?<' 10.0  Istherealistofallemployeesresponsibleforperformingnuclear  ) Ѐscreening?  11.0  Isthereaproceduretoverifythatallresponsibleemployeesare ", performingthescreening?  12.0  Arenuclearchecklists(orothertool)distributedtoappropriate $ / exportcontrolpersonnelforeasy,efficientperfomanceofthereview?  13.0  Haveexport/salespersonnelbeeninstructedonhowtorecognize |'"3 prohibitednuclearenduseactivities?  14.0  DoestheprocedureincludeareviewofU.S.personactivitiesagainst )$6 prohibitedactivities?  15.0  Doestheprocedureincludewhattodoifitisknownthatanitemis +&9 destinedtoaprohibitedenduse/user?    ԍ̎_-  ԍ_-̎   -(< Y___________________-  ԍ_-  ԍ̎   -(x N_________________  ԍ_̎   -( OperationalReview0  0%%09%%0} 9%9%0!} %} %Date_______d!%!% Comments__________________________________________________0  0%%0)%%0m)%)%0m%m%0%%09%%0} 9%9%0!} %} %0#!%!%0I$#%#%744.2 I$%I$% 0  0%%0)%%0m)%)%0m%m%0%%09%%0} 9%9%744,Supplement4 } %} % 0  0%%0)%%0m)%)%0m%m%0%%09%%0} 9%9%0!} %} %0#!%!%744.6 #%#%   4*%  *'wdwdudd u,dd ,dd hdd h'(#(#,udd ,,dd ,dd ,dd +     ScreeningElement 0  0/0s //0 s s 0  0?  WrittenReviewd? ?  0  0c0cc00/0s //0 s s 0  0?  Date________ ? ?   Element5:MissileTechnology(MT)Screen  (x Asystemforassuringcompliancewiththeprohibitedmissileenduses/usersinpart744.3and744.6and744,Supplement4._________________________________________________________1.0  Priortoexporting,isthereawrittenprocedureforreviewingexports H   andreexportsofallitemssubjecttotheEARtodeterminewhethertheitems:  ЀA.0 c aredestinedtoorforaprojectlistedinthefootnotetoCountry X   GroupD:4? cc 0  B.0corcanbeusedinthedesign,development,productionoruseof   missilesinorbyacountrylistedinCountryGroupD:4,whetherornotthatuseinvolvesalistedproject? cc 0  C.0cIfD:4countriesarelistedwiththeEMSprocedures,arethey   current? cc 2.0  Isaperson/positionidentifiedwhoisresponsibleforensuring ( screeningofcustomersandtheiractivitiesagainsttheprohibitedenduses/users?  3.0  Doestheproceduredescribewhen themissiletechnolf-gof-g-ogg-yh-h-screen  shouldbeperformed?  4.0  DoestheprocedureincludeacheckagainsttheEntityList? 5.0  Ifyes,isthereaproceduretomaintaindocumentedEntityListscreen  \ decisionsonfiletoverifyconsistent,operationalreview?  6.0  Isyourmissilescreencompletedona:l! Ѐ0  A.0ctransactionbasis?"cc 0  B.0cagainstacustomerbase?|#cc 0  C.0cbeforenewcustomersareapproved?,|$cc 7.0  Doesthecheckincludedocumentationofthesignature/initialofthe & personperformingthecheck,andthedateperformedtoverifyconsistent,operationalperformanceofthecheck?  8.0  Isthecustomerbasecheckedandthecheckdocumentedatleast L!* annuallyintheCustomerProfiles?  9.0  Isitclearwhoisresponsiblefortheannualcheck?\#- 10.0  Istherealistofallemployeesresponsibleforperformingmissile $ / screening?  11.0  Isthereaproceduretoverifythatallresponsibleemployeesare &"2 performingthescreening?  12.0  Aremissilechecklists(orothertool)distributedtoappropriateexport (,$5 controlpersonnelforeasy,efficientperfomanceofthereview?  13.0  Haveexport/salespersonnelbeeninstructedonhowtorecognize *<&8 prohibitedmissileenduseactivities?  14.0  DoestheprocedureincludeareviewofU.S.personactivitiesagainst ,L(; prohibitedactivities?  ԍ  Ў_-  ԍ_-f-  ԍ  ԍf-g-  ԍ  ԍg-h-  ԍh-15.0  Doestheprocedureincludewhattodoifitisknownthatanitemis ,L(; destinedtoaprohibitedenduse/user?  ̎  -(< e-Ye-____________________-  ԍ_-e-  ԍe-f-  ԍ  ԍf-g-  ԍ  ԍg-h-  ԍh-  ԍ_   -(x N_________________  ԍ__̎_-  ԍ_-e-  ԍe-f-  ԍ  ԍf-g-  ԍ  ԍg-h-  ԍh-_   -( OperationalReview0  0g%g%09g%g%0} 9g%9g%0!} g%} g%Date_______d!g%!g% Comments__________________________________________________0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g%744.3 !g%!g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg%740,SupplementNo.1 g%g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg% g%g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg%744,Supplement4 g%g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g%744.6 !g%!g% _-  ԍ_-e-  ԍe-f-  ԍ  ԍf-g-  ԍ  ԍg-h-  ԍh-  ԍ0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g%744.6   -(  ScreeningElement 0  0/0s //0 s s 0  0?  0? ? WrittenReview 0  0c0cc00/0s //0 s s 0  0?  0? ? Date________   Element6:Chemical&BiologicalWeapons(CBW)Screen (  Asystemforassuringcompliancewiththeprohibitedchemical& 8  biologicalweaponsenduses/usersinPart744.4and744.6and 744,  8 Supplement4.      ___________________________________________________________ L   1.0  Priortoexporting,isthereawrittenprocedureforreviewingexports  L  andreexportsofallitemssubjecttotheEARforlicenserequirementsiftheitemcanbeusedinthedesign,development,production,stockpiling,oruseofchemicalorbilogicalweaponsinorbyacountrylistedinCountryGroupD:3?  0  NOTE:IfD:3countriesarelistedwithintheEMSprocedures,aretheycurrent?  2.0  Isaperson/positionidentifiedwhoisresponsibleforensuring ,|  screeningofcustomersandtheiractivitiesagainsttheprohibitedenduses/users?  3.0  Doestheproceduredescribewhen thechemical&biological < weaponsscreenshouldbeperformed?  4.0  DoestheprocedureincludeacheckagainsttheEntityList?P 5.0  Ifyes,isthereaproceduretomaintaindocumentedEntityListscreen ` decisionsonfiletoverifyconsistent,operationalreview?  6.0  Isyourchemical&biologicalweaponsscreencompletedona:p  Ѐ0  A.0ctransactionbasis? p!cc 0  B.0cagainstacustomerbase? "cc 0  C.0cbeforenewcustomersareapproved?#cc 7.0  Doesthecheckincludedocumentationofthesignature/initialofthe 0% personperformingthecheck,andthedateperformedtoverifyconsistent,operationalperformanceofthecheck?  8.0  Isthecustomerbasecheckedandthecheckdocumentedatleast  ) annuallyintheCustomerProfiles?  9.0  Isitclearwhoisresponsiblefortheannualcheck?", 10.0  Istherealistofallemployeesresponsibleforperformingchemical& $`. biologicalweaponsscreening?  11.0  Isthereaproceduretoverifythatallresponsibleemployeesare  &p!1 performingthescreening?  12.0  Arechemical&biologicalweaponschecklists(orothertools) 0(#4 distributedtoappropriateexportcontrolpersonnelforeasy,efficientperfomanceofthereview?  13.0  Haveexport/salespersonnelbeeninstructedonhowtorecognize *@&8 prohibitedchemical&biologicalweaponsenduseactivities?  14.0  DoestheprocedureincludeareviewofU.S.personactivitiesagainst -P(; prohibitedactivities?  ԍ  15.0  Doestheprocedureincludewhattodoifitisknownthatanitemis -P(; destinedtoaprohibitedenduse/user?_-  ԍ_-h-  ԍh-  Ў  -)< Y____________________-  ԍ_-h-  ԍh-  ԍ_̎   -(x N__________________  ԍ__   -( OperationalReview0 m 0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g%Date_______d!g%!g% Comments__________________________________________________0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g%0#!g%!g%744.4 #g%#g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%Part740,SupplementNo.1 g%g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%Part744,Supplement4 g%g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g% !g%!g% 0  0g%g%0)g%g%0m)g%)g%0mg%mg%0g%g%09g%g%0} 9g%9g%0!} g%} g%744.6 !g%!g%   D,'  `-  `-   *'Xdwdudd u,dd ,dd dd '(#(#,hdd ,,dd ,,dd ,dd +     ScreeningElement 0  0 \\0T  \ \0 T \T \0 \ \WrittenReviewd \ \ 0  0D\\0D\D\0\\0 \\0T  \ \0 T \T \0 \ \Date________  \ \  Element7:AntiboycottComplianceScreen  (x AMethodtoReviewOrdersAgainstAntiboycottComplianceRedFlags.___________________________________________________1.0  Isthereawrittenproceduretoscreentransactionsand H   orders/shippingdocumentsagainstantiboycottredflags? \\ 2.0  Arepersons/positionsidentifiedwhoareresponsiblefor X   performingthisscreen? \\ 3.0  Istheantiboycottscreeningperformedbyusingaprofile h  checklist? \\ 4.0  Doesthechecklistincludethefollowing:x \\ ЀA.0 D thefirmsname?(x D\D\ Ѐ0  B.0D\\name/initialsofindividualperformingthescreen ( check? D\D\ 0  C.0D\\datescreencheckisperformed?8D\D\ 5.0  Isthereaprocedureto holdordersifthereisaredflag  duringtheprocessingoforders? \\ 6.0  Isapersondesignatedtoresolveredflagsorreportthemto  theOfficeofAntiboycottCompliance? \\ 7.0  Haveallunitsthatmightpossiblycomeintocontactwiththe  redflagsbeentrainedtoidentifytheredflags? \\ 8.0  Areantiboycottredflagsincludedintrainingmaterialsin " Element4? \\ ̀  ԍ̎`-  ԍ  ԍ`-̎   -(< Y_________a-_a-c-_c-  ^ N_________b-b-c-c-b-b-c-c-b-_b-d-_d-   OperationalReview0  0""0X""0X"X"Date______ d ___ "" Comments____________________________________________0  0""0H""0H"H"0""0""0X""Part760  X"X"  ScreeningElement 0  0 \\0T  \ \0 T \T \0 \ \WrittenReviewd \ \  0  0D\\0D\D\0\\0 \\0T  \ \0 T \T \0 \ \Date________  \ \  Element8:InformedLetter/EntityListScreen  (x AProceduretoReviewCustomersandOtherPartiesAgainsttheEntityList.____________________________________________________1.0  Isthereawrittenproceduretoscreentransactionsagainstthe H   EntityListtodeterminewhetheralicenseisrequiredforexportsorreexportsofspecifieditemstospecifiedendusers,becauseBXAhasdeterminedthatthereisanunacceptableriskofusein,ordiversiontoprohibitedproliferationactivities? \\ 2.0  Isthescreeningdocumented,includingthefollowing?h \\ 0  A.0D\\thefirmsname? D\D\ Ѐ0  B.0D\\name/initialsofindividualperformingthecheck?x D\D\ 0  C.0D\\datecheckisperformed?(x D\D\ 0  D.0D\\isscreencheckcombinedandperformedwithanother ( check(i.e.,DeniedPersonsListcheck)? D\D\ 3.0  IstheFederalRegistermonitoreddailyfortheadditionof 8 newentitiestotheEntityList? \\ 4.0  Ifmatchesoccur,istherea holdfunctionimplemented H withintheorderprocessingsystemthatstopstheorderuntiladecisionismadeastowhetheralicenseisrequired? \\   ԍ̎d-  ԍd-̎   -(< Y________  [ N________  z OperationalReview0  0""0""0X""Date________d{X"X" Comments__________________________________________0  0""0H""0H"H"0""0""Part744,Supplement4 "" d-  ԍd-  ԍ.......0  0  0  0  0    -(    OverallEvaluation   Wasmanagementcommitmentdemonstratedthroughoutthesystem?Adequateresourcestodothetasks?Wasongoingexportcontrolcommunicationdemonstrated?Arethewrittenprocedurescurrent?Arethewrittenproceduresconsistentwithoperationalprocedures?Ifnot,whichneedstobeamended..writtenoroperational?Weredesignatedresponsiblepersons(namescurrent?)welltrainedinexportcontroltasks?Weretheregapsinperformanceofexportmanagementproceduresorwasasmooth SYSTEMinplace?0   (#(# Wasadequatedocumentationinplacetoverifyperformanceofallexportcontroltasks?0 4 P 4(#4(# Assessthestabilityoftheenvironment:recentcompanywidechanges?Newexportcontrolpersonnel?