Over 1,000 standards across more than a dozen regulatory bodies.
Have complete confidence by using a complete assessment of your compliance program.
The most comprehensive assessment of your export compliance program
Improve compliance and gain confidence by meeting program elements matched to over 1,000 compliance program standards extracted from the U.S. Government sources listed below. Many of these standards are overlapping or duplicative, carrying added significance from repeated appearances across government sources.
U.S. Department of Homeland Security Sources |
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| Customs and Border Protection, Importing Into the U.S. (2006). |
| Customs and Border Protection, Office of International Trade, Importer Self-Assessment Handbook, Appendices F and G (June 2011). |
U.S. Department of Commerce Sources |
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| Export Administration Regulations, 15 CFR 730-774 (select provisions). |
| Export Administration Regulations, 15 CFR § 752.11, Internal Control Programs (for Special comprehensive License) (January 1, 2015). |
| Bureau of Industry and Security, “Best Practices” for Industry to Guard Against Unlawful Diversion through Transshipment Trade (2011). |
| Bureau of Industry and Security, Export Compliance Guidelines; The Elements of an Effective Export Compliance Program (2017). |
| Bureau of Industry and Security, Guidance on Due Diligence to Prevent Unauthorized Transshipment/Reexport of Controlled Items to Russia (2016). |
| Export Administration Regulations, 15 CFR § 752.11, Internal Control Programs (for Special comprehensive License) (January 1, 2015). |
| Foreign Trade Regulations, 15 CFR Part 30 (select provisions). |
| Bureau of the Census Foreign Trade Division, Automated Export System Best Practices (August 2012). |
U.S. Department of Defense Sources |
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| U.S. Department of Defense, Defense Federal Acquisition Regulation Supplement 252.204-7012, Safeguarding Covered Defense Information and Cyber Incident Reporting. |
U.S. Department of Justice Sources |
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| U.S. Attorneys' Manual, Corporate Compliance Programs, § 9-28.800 - Corporate Compliance Programs (November 2015). |
| Criminal Division Fraud Section, Evaluation of Corporate Compliance Programs (2017). |
| Memorandum from Deputy Attorney General Paul J. McNulty, Principles of Federal Prosecution of Business Organizations (December 12, 2006) (the “McNulty Memo”). |
| Memorandum from Deputy Attorney General Sally Q. Yates, Individual Accountability for Corporate Wrongdoing (September 9, 2015) (the “Yates Memorandum”). |
| Bureau of Alcohol, Tobacco Products and Firearms, Import Regulations, 27 CFR Part 447 (select provisions). |
| U.S. Department of Justice Criminal Division, Evaluation of Corporate Compliance Programs (2019) |
U.S. Department of State Sources |
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| Directorate of Defense Trade Controls, Consent Agreements (2006 to present). |
| DDTC Webpage |
| Directorate of Defense Trade Controls, Agreements Guidelines (2016). |
| Directorate of Defense Trade Controls, Compliance Program Guidelines (2016). |
| ITAR, 22 CFR (various sections) |
U.S. Department of Treasury Sources |
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| OFAC, 31 CFR 501.601 |
| OFAC, Appendix A to 31 CFR Part 501—Economic Sanctions Enforcement Guidelines. |
U.S. Securities and Exchange Commission Sources |
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| Sarbanes-Oxley Public Company Accounting Reform and Investor Protection Act of 2002, Pub. L. No. 107-204, 116 Stat. 745 (July 30, 2002), codified at 15 U.S.C. § 7262. |
| U.S. Securities and Exchange Commission, Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement of the Relationship of Cooperation to the Agency Enforcement Decisions, Release Nos. SEC 44969 and AAER 1470 (October 23, 2001) (the “Seaboard Report”). |
U.S. Sentencing Commission Sources |
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| United States Sentencing Commission Guidelines Manual, § 8B2.1. Effective Compliance and Ethics Program (2016). |
Others Sources |
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| Wassenaar Arrangement: Best Practice Guidelines on Internal Compliance Programmes for Dual-Use Goods and Technologies, Elements of Internal Compliance Programmes For Dual-Use Items (2011). |
| Nunn-Wolfowitz Task Force Report: Industry Best Practices Regarding Export Compliance Programs (2000). |
| EU Guidance on Internal Compliance Programme (ICP) For Dual Use Trade Controls (2019) |