Export Compliance Officer (ECO) Role in Ensuring Export Regulations Compliance
Export Compliance Officer (ECO)
◦
Position was created in 2013
◦
ECO is located at SAO, Cambridge, MA
◦
Responsible for both SAO and SI export
compliance issues
◦
Located in Sponsored Programs and
Procurement Department
1
Directorate of Defense Trade Controls, US Dept. of
State
Bureau of Industry and Security, US Dept. of
Commerce
Office of Foreign Assets Controls
Bureau of Census
2
US Dept. of State, Directorate of Defense Trade Controls
◦
Regulates defense articles, subassemblies, parts and technology,
including spacecraft systems and associated equipment, electronics,
including certain focal plane detectors, chemical and biological agents
and equipment.
SI Actions:
◦
Obtain licenses for exports of controlled equipment
◦
Obtain license or restrict collaboration with foreign sponsors or
affiliates for ITAR-controlled programs
◦
Ensure conference topics and venue qualify as
fundamental research
◦
Secure labs, computer networks, and mobile devices if working on
export-controlled projects
◦
Screen all (?) SI-affiliated persons and visitors against Denial Lists
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regulates “dual use” commercial items, production equipment, software and
technology. These are items that have a strategic purpose with respect to national
security, foreign policy, missile technology, proliferation, regional stability and crime
control
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US Dept. of Commerce, Census Bureau
Reports export clearance and trade statistics
SI Actions
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Ensure a record is maintained for five years
◦
Verify information on EEI filing is correct
6
1.
What is it? And does it need a license?
◦
If so, from DDTC or BIS?
Is the item on a list for control? (US Munitions List of Commerce Control
List)
Other regulatory concerns - Is it hazardous (X-ray, lithium batteries,
solvents, magnetic), regulated for medical (FDA) or other reasons?
2
. Is the value of the export over $2500 or is the item
subject to an export license?
The export needs to be filed in the Bureau of Census Automated Export
System. The shipping company can do it for SI but we need to get the filing
number and a copy for our records. Also required for Puerto Rico and
some US possessions.
7
3. Who is receiving it?
◦
We need to check the name against the government denial lists
4. Where is it going?
◦
Is the item going internationally or to a US possession like Puerto Rico?
◦
Make sure the country is not subject to trade restrictions (e.g., Cuba, Iran,
North Korea, Sudan and Syria)
5. Make sure all activities comply with the license
conditions
◦
Equipment, dollar value, parties involved, return, and reporting to US
Government
8
Directly:
SPP, Engineering, PIs and PMs,
NASA Travel Coordinator, Fellowships
Program
Support:
IT,
Procurement,
HR, Facility
Managers, Accountable Property
Officer, Shipping and Receiving
9
Finance and Administration, Under Secretary
for Science
OSP, OIR, OGC, OCON, HR, CIO, Fellowships
and Internships
Registrars, Research Centers, NASM, NZP
Traveling Exhibits Dept., SI Retail
10
11
SPP sent email to PIs
Spring 2012 asking if
their contract was
controlled
PI responded and
provided names of
persons, if working on
controlled programs
Compiled list of
“possible” ITAR/EAR
Controlled programs
(See next page for sample)
SPP- add PeopleSoft
flag for proposals/
awards with export
control clause
1
Yes
ECO reviews programs
with non-US persons
first. Screened names
and nationalities
Any
hits?
Do
new awards,
federal projects, IR&D
have export control
clause or controlled
instruments?
Resolve hit. (Remove
person if true hit.)
Yes
No
1
No
End
12
13
ECO contacts PI
to meet with
Classification Team.
ECO provides PI/PM
“Controlled Items” List
PIs reviews list of
“Controlled Items”
from US Munitions List,
(US ML) & Commerce
Control List (CCL)
PI meets with
Classification Team
to discuss US ML
and CCL to classify
Is program
ITAR or EAR
Controlled?
ECO - Flag as
ITAR or EAR
in attributes in
PeopleSoft.
ECO Work on TCP issues:
lab space, approve
persons working on
program, IT privileges.
Apply for export license, if
necessary
1
1
Yes
2
ECO - Manager of SPP
Review new proposals and
awards (grants, federal,
IR&D). Add candidate
programs to “Possible
controlled programs list”
Are
there other similar
projects or using
same eqt?
2
1
ECO - Remove from
“Possible Controlled
programs” list
No
Complete program
classification form and
TCP report
Yes
No
End
14
PM/PT contacts ECO
about export
ECO provide export
checklist to gather
details
ECO alerts Accountable
Property Officer about
export
Export
Controlled?
ECO
Work with freight forwarder to
lodge license.
Accountable Property Officer
assists with shipment
Export clearance
filing?
ECO
Makes sure filing is
correct per Foreign Trade
Regs, file for 5 years.
1
1
ECO- Ensure license,
screen against. Denied
Persons. Complete
invoice and Shipper’s
Letter of Instruction per
EAR/ITAR.
Yes
No
2
2
Accountable Property
Officer - file export docs for
5 years. End
No
Yes
15
ECO reviews abstract,
country, if program is
controlled, if open
conference, export
control clause
ECO sends abstract to
conference approval
team
ECO receives
answer
Does sponsor
need to approve?
ECO - Advises traveler
not to discuss ITAR
controlled topics in
detail. Reminder of
mobile device policy.
Traveler signs form.
1
1
N
o
2
Foreign Travel
Coordinator or traveler
copies ECO on travel
request
ECO - Advise Foreign
Travel Coord. that
conference is approved
File form for 5 years
Traveler receives
approval or limitations.
forwards sponsor’s
response to ECO -
Request traveler to
contact sponsor for
any limitations on
topic or approval.
Y
e
s
2
* This is the current process and will be modified in
the future
Goal is to prevent
violations
Demonstrate “
Due Diligence”
◦
Apply for all required export authorizations and explain provisos to
PIs and project personnel.
◦
Ensure that proper records are created and maintained
(Classification, conference approval, export license shipping
documents, export clearance filings.)
◦
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The Export Compliance Officer (ECO) position was established in 2013 at SAO in Cambridge, MA, responsible for managing export compliance issues for SAO and SI. The ECO oversees tasks related to the Directorate of Defense Trade Controls, Bureau of Industry and Security, and Office of Foreign Assets Controls to ensure adherence to strict export regulations concerning defense articles, dual-use commercial items, and transactions with sanctioned countries.
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Presentation Transcript
Export Compliance Officer (ECO) Position was created in 2013 ECO is located at SAO, Cambridge, MA Responsible for both SAO and SI export compliance issues Located in Sponsored Programs and Procurement Department 1
Directorate of Defense Trade Controls, US Dept. of State Directorate of Defense Trade Controls, US Dept. of State Bureau of Industry and Security, US Dept. of Commerce Bureau of Industry and Security, US Dept. of Commerce Office of Foreign Assets Controls Office of Foreign Assets Controls Bureau of Census Bureau of Census 2
US Regulates defense articles, subassemblies, parts and technology, including spacecraft systems and associated equipment, electronics, including certain focal plane detectors, chemical and biological agents and equipment. US Dept. of Dept. of State, Directorate of Defense Trade Controls State, Directorate of Defense Trade Controls SI Actions: Obtain licenses for exports of controlled equipment Obtain license or restrict collaboration with foreign sponsors or affiliates for ITAR-controlled programs Ensure conference topics and venue qualify as fundamental research Secure labs, computer networks, and mobile devices if working on export-controlled projects Screen all (?) SI-affiliated persons and visitors against Denial Lists SI Actions: fundamental research 3
Bureau of Industry and Security, US Dept. of Commerce regulates dual use commercial items, production equipment, software and technology. These are items that have a strategic purpose with respect to national security, foreign policy, missile technology, proliferation, regional stability and crime control SI Actions screen awards with international sponsors, collaborators, foreign travel, purchase of equipment for controlled items on Commerce Control List Obtain export licenses for equipment and deemed exports (EAR NDA may be available) Screen against denial lists and for boycott of Israel Ensure we comply with missile technology restrictions Comply with country sanctions for equipment exports Ensure conference topics and venue qualify as fundamental research Maintain audit trail for five years 4
Office of Foreign Assets Controls licenses all exchanges and financial transactions with sanctioned countries SI Actions identify any projects with sanctioned countries: Cuba, Iran, North Korea, Sudan, Syria and determine if we can participate and, if yes, whether an export license is required Screen all sponsors against Specially Designated Nationals List (include blocked persons from other countries such as Columbia, Mexico, Yemen, among others.) Comply with financial sanctions relating to these countries 5
US Dept. of Commerce, Census Bureau Reports export clearance and trade statistics US Dept. of Commerce, Census Bureau SI Actions o Ensure Registrars are trained in Foreign Trade Regulations Review freight forwarder records and Fed Ex accounts to ensure proper Electronic Export Information (EEI) filing in Automated Export System Ensure a record is maintained for five years Verify information on EEI filing is correct 6
1. What is it? And does it need a license? If so, from DDTC or BIS? Is the item on a list for control? (US Munitions List of Commerce Control List) Other regulatory concerns - Is it hazardous (X-ray, lithium batteries, solvents, magnetic), regulated for medical (FDA) or other reasons? 2. Is the value of the export over $2500 or is the item subject to an export license? The export needs to be filed in the Bureau of Census Automated Export System. The shipping company can do it for SI but we need to get the filing number and a copy for our records. Also required for Puerto Rico and some US possessions. 7
3. Who is receiving it? We need to check the name against the government denial lists 4. Where is it going? Is the item going internationally or to a US possession like Puerto Rico? Make sure the country is not subject to trade restrictions (e.g., Cuba, Iran, North Korea, Sudan and Syria) 5. Make sure all activities comply with the license conditions Equipment, dollar value, parties involved, return, and reporting to US Government 8
Directly: SPP, Engineering, PIs and PMs, NASA Travel Coordinator, Fellowships Program Directly: Support: IT, Procurement, HR, Facility Managers, Accountable Property Officer, Shipping and Receiving Support: 9
Finance and Administration, Under Secretary for Science OSP, OIR, OGC, OCON, HR, CIO, Fellowships and Internships Registrars, Research Centers, NASM, NZP Traveling Exhibits Dept., SI Retail 10
SPP sent email to PIs Spring 2012 asking if their contract was controlled Compiled list of possible ITAR/EAR Controlled programs (See next page for sample) PI responded and provided names of persons, if working on controlled programs 1 ECO reviews programs with non-US persons first. Screened names and nationalities SPP- add PeopleSoft flag for proposals/ awards with export control clause No Any hits? 1 Yes Do Yes Resolve hit. (Remove person if true hit.) new awards, federal projects, IR&D have export control clause or controlled instruments? End No 11
ECO - Manager of SPP Review new proposals and awards (grants, federal, IR&D). Add candidate programs to Possible controlled programs list ECO contacts PI to meet with Classification Team. ECO provides PI/PM Controlled Items List PIs reviews list of Controlled Items from US Munitions List, (US ML) & Commerce Control List (CCL) 1 No PI meets with Classification Team to discuss US ML and CCL to classify Is program ITAR or EAR Controlled? ECO - Remove from Possible Controlled programs list 1 Yes 2 ECO Work on TCP issues: lab space, approve persons working on program, IT privileges. Apply for export license, if necessary No Are ECO - Flag as ITAR or EAR in attributes in PeopleSoft. there other similar projects or using same eqt? 2 End Yes Complete program classification form and TCP report 1 13
ECO provide export checklist to gather details ECO alerts Accountable Property Officer about export PM/PT contacts ECO about export 1 ECO- Ensure license, screen against. Denied Persons. Complete invoice and Shipper s Letter of Instruction per EAR/ITAR. ECO Work with freight forwarder to lodge license. Accountable Property Officer assists with shipment Export Controlled? Yes 2 1 No ECO Yes Makes sure filing is correct per Foreign Trade Regs, file for 5 years. Accountable Property Officer - file export docs for 5 years. End Export clearance filing? 2 No 14
ECO reviews abstract, country, if program is controlled, if open conference, export control clause Foreign Travel Coordinator or traveler copies ECO on travel request ECO sends abstract to conference approval team 1 Request traveler to contact sponsor for any limitations on topic or approval. Yes ECO receives answer Does sponsor need to approve? 2 1 No ECO - Advises traveler not to discuss ITAR controlled topics in detail. Reminder of mobile device policy. Traveler signs form. ECO - Advise Foreign Travel Coord. that conference is approved File form for 5 years Traveler receives approval or limitations. forwards sponsor s response to ECO - 2 * This is the current process and will be modified in the future 15
Goal is to prevent violations Demonstrate Due Diligence Apply for all required export authorizations and explain provisos to PIs and project personnel. Ensure that proper records are created and maintained (Classification, conference approval, export license shipping documents, export clearance filings.) Ensure security measures for laptops and other mobile devices are followed, especially when traveling abroad 16
