Implementation of a University Export Compliance Management Program

Adilia F. Koch

Export Compliance doesn’t come cheap.

It’s the price of doing business in the international arena.

Price of non-compliance can result in negative publicity, put your endowment at risk, result in penalties & fines – – $250,000 to $1,000,000– Criminal offenses can result in imprisonment

Export Compliance Management Program: Where do you start?

Risk Assessment – Should be conducted under the direction of your Office of

General Counsel to invoke the “Attorney-Client Privilege” and “Attorney Work Product” protection.

– Identify most likely areas of high risk on campus: Sponsored Research

– Problematic Clauses– FRE language may be jeopardized

Procurement– Potential exports of technology with RFP or RFQs (foreign

procurements) Mailing and/or Shipping & Receiving

– Export of hardware, software or technology

Best Practices

Work with the process owners in developing best practices

Start with the higher risk areas Conduct frequent assessments and audits to

make sure its working Outreach conduct campus process owner

visits to work out the kinks

Be ready to implement stop measures right away.

Once you become aware of potential areas of high risk, you will need to implement changes as quickly as possible to minimize the exposure.

Seek legal advice. Violations? Disclosures? The folks in the Office of

General Counsel will be your new best friends. Have your wallet ready. . . you may also need to

seek outside counsel.

Awareness Training

Conduct Awareness Training– Group Sessions– One-on-one with faculty, if necessary– On-line training

Use various media’s depending on what works best for your campus and budget

Assessment & Audit: Is your program working?

Don’t write a process or procedure you cannot implement

Internal audit review --- thumbs up! Conduct regular assessments to ensure

program is working– Audit vs. assessments --- they’re not the same

Resources

Nunn-Wolfowitz Report Export Compliance Management Program

- BIS Seminar

Contact

Adilia F. Koch

Director of Export Compliance

California Institute of Technology

Contact Info

Adilia F. Koch

Director of Export Compliance

California Institute of Technology

adilia.koch@caltech.edu

Phone: (626) 395-4469

Fax: (626) 795-4571

QUESTIONS

Q&A