AUDIT STATEMENT OF WORK                        

Export control compliance surveys will be performed at COMPANY NAME facilities as mutually agreed.

 

Key areas to be addressed during the survey at each of the COMPANY NAME facilities include:

 

1.         Do COMPANY NAME facilities provide adequate export compliance training and awareness sufficient to familiarize those individuals involved with the transfer in international trade of their own and COMPANY NAME’ responsibilities for export compliance?

 

2.         Do COMPANY NAME facilities maintain a comprehensive document control system that ensures no inadvertent export of controlled goods or technology?

 

3.         Does COMPANY NAME make available appropriate management and legal support to the principal personnel responsible for ensuring export compliance?

 

4.         Does COMPANY NAME have sufficient resources, including automated and electronic systems and personnel, allocated to each facility for export licensing and compliance?

 

5.         Do COMPANY NAME facilities have written procedures to cover:

                        a.         Licensing Determinations & Requirements

                        b.         Shipping Procedures

                        c.         Record Keeping

                        d.         Electronic Transmissions

                        e.         Foreign Person Activities (Visitors and Employees)

                        f.          Repair Returns

     g.         Procurements (Domestic and Foreign

     h.         International Travel

      j.        Other

 

Upon completion of a comprehensive review and assessment of each facility, a report will be provided to COMPANY NAME Legal Counsel and outside counsel, as applicable that makes recommendations for change.

 

On-Site Survey

 

The survey will encompass on-site review with key individuals at each of the selected COMPANY NAME facilities.

           

Prior to traveling to COMPANY NAME, request and review the following for each facility, as available:

• A pre-audit questionnaire, that identifies the current status of the companies export compliance activities.
• Organization chart showing export control responsibilities
• Product information (Brochures, Product Matrices, etc)

 

    On-site at COMPANY NAME facilities

• Meet with key personnel (including but not limited to the Empowered Official or other compliance personnel and senior staff) to identify initial persons to be interviewed and materials to be examined;
• Perform an on-site survey, commencing with documentary review and including interviews and an examination of communication/information systems; and
• As appropriate, provide an out-brief to management including oral and initial written review of information from the interviews and examinations.

 

     Following the on-site survey

• Prepare a detailed final report, including specific recommendations
• Provide any desired clarifications, and
• Be available for follow-up discussions with COMPANY NAME management.

 

Deliverables

• A detailed survey questionnaire
• As requested by COMPANY NAME, an oral and written out-brief upon conclusion of each on-site survey

§         A final written report for each facility that 

• details the findings and observations,  makes specific recommendations for improvement and includes a copy of the completed survey questionnaire that identifies the areas covered, files surveyed, and personnel interviewed.