Export Compliance
The Export Compliance Solution (ECS) provides a real-time exception-based compliance screening service to ensure proactive due diligence of international business transactions. Specifically, ECS performs mandated government compliance screening for Restricted Parties, Embargoed Countries, and Export License Determination. In addition, ECS also checks for "red flag" indicators to screen "end use", as well as "end users". To facilitate internal management and communication, ECS provides an optional notification service and audit trail.
ECS can be accessed manually through an Internet browser for low volume users, or it can be integrated with legacy or ERP systems for high volume users. For example, Oracle’s International Trade Management (ITM) Adapter was designed to facilitate fast and easy integration between Kewill’s ECS and the Oracle E-Business Suite. Higher volume users typically opt to transmit data files directly from their enterprise systems. ECS uses the XML standard as its data exchange format. Specialized adaptors have been developed to convert other formats to XML (inbound) and from XML (outbound), for enhanced translation and transmission of data.
Summary of ECS Features/Functions:
Country Compliance Features
- U.S. Compliance - Performs Compliance Screening for Denied Parties (including “Red Flags” Words), Country Embargo, and License Determination
- Canada Compliance - Performs Compliance Screening for Denied Parties, Country Embargo and License Determination.
- United Kingdom Compliance - Performs Compliance Screening for Denied Parties, Country Embargo and License Determination based on both EU and national-level regulations
- Ireland Compliance - Performs Compliance Screening for Denied Parties, Country Embargo and License Determination based on both EU and national-level regulations
- Netherlands Compliance - Performs Compliance Screening for Denied Parties, Country Embargo and License Determination based on both EU and national-level regulations
- Germany Compliance - Performs Compliance Screening for Denied Parties, Country Embargo and License Determination based on both EU and national-level regulations
- France Compliance - Performs Compliance Screening for Denied Parties, Country Embargo and License Determination based on both EU and national-level regulations
- Taiwan Compliance - Performs screening to confirm conformance with national export requirements as well as optional Denied Party screening
- Japan Compliance - Performs Denied Party Screening
General System Features
- Internet Browser Access - User Interface supports both IE and Netscape browsers and offers a Remember Me? Option for many user default settings
- Server to Server Data File Import/Export Access - Data elements may be transmitted from an enterprise system to be automatically screened. The results of the screening process are returned to the enterprise system.
- XML Standards Based Message Handling - Standards based messaging allows maximum flexibility. Adaptors are useable where XML standards are not employed.
- Outstanding Compliance Hold Notification - ECS will display a current list of outstanding failures to designated users. Users can review the details, choose to override the failure/hold after review, and record notes.
- Email Alerts of Compliance Holds - User defined distribution lists receive email alerts of possible compliance failures that includes details, such as the denied party, order number, federal register page, etc.
- Content Update Alerts - Users receive automatic email updates of each change to the ECS Restricted Parties database, as well as other regulatory content updates.
- Corporate Compliance - ECS can simultaneously screen company-specific watch lists together with the many governmental sanction lists.
- Reporting & Analysis - Users can easily and securely search and view their screening activity details and statistics on the web or via PDF reports. Users can elect to have their data stored for the obligatory 5-year record keeping period. In addition, integrated users can choose to have all ECS requests and responses returned to them in a predetermined XML format. This data is an internal audit trail of compliance activity for future reporting and analysis.
- No local database maintenance required - The ASP hosted application design offers the user the latest in regulatory content, functionality, and security without the overhead of enterprise maintenance resource deployment.
- On-line Help - Help Page text offers convenient descriptions of Restricted Party Screening lists, along with follow-up contact suggestions, as well as a handy list of resource links for easy access directly from the ECS website.
Module Specific Features
Denied Parties
- Consolidated Restricted Parties List (RPL) - ECS’s central repository database
includes more than 29,000+ parties all relevant sanctions lists from US
Departments of Commerce, Homeland Security, Treasury, State, as well as
Canada , Japan , EU , UK , the UN, World Bank and Politically Exposed Persons.
Users can choose which sanction lists are included in their screening for any
transaction, customizing ECS to best fit their location and internal compliance
policy. - Daily Database Updates - Dedicated content resources scan the Federal Register and contact the appropriate regulatory agencies on a daily basis to insure that the database is populated with the latest data.
- Direct Match Screening - Basic screening attempts an exact match of the party.
- “Sounds Like” Screening - The enhanced “Metaphone” algorithm produces a list of possible name and address matches from the RPL, selections that are similar but not exact, for analysis by a compliance professional.
- Party Name Match
- Party Address Match
- Party Name/Address Match
- Match Scoring Filtering Screening - The screening output can be managed for degree of sensitivity by adjusting the scoring level. A higher score setting filters out the less likely matches.
- Common Words Exclusion - An excluded words maintenance table allows for the addition of words that should be automatically omitted from the matching process due to dual meanings or general usage that impedes the screening process.
- “Red Flag” Words Screening - Kewill maintains a “sensitive” words table, empowering ECS to identify words that may signal a need for compliance review when included in key communications.
- Regulatory Citation Link - Users can access the full text of the relevant US Federal Register citation directly from the ECS Web-UI results screen
- ECS module can be integrated with and accessed directly from the SPEX export document production system
Embargo Management
- Match on ISO Country Code - A direct match on ISO Country Code helps to ensure accurate embargo screening, both for government and for user-designated sanctions.
License Determination
- Daily Updates as Required - Dedicated content resources ensure that the database is populated with the latest content by daily review of the US Federal Register, EU Official Journal and other official sources, as well as contact with the appropriate regulatory agencies.
- Complete Export Classification Numbers and Descriptions - ECCN subparagraph-level classification allows for a more accurate license determination screening and facilitates classification verification.
- License Exception Determination - Licensing assessment includes a suite of the common list-based general licenses or exceptions (e.g. GBS, CIV) that are applied during the license determination screening.
- SED Ready Output message - ECS outputs can be used to feed a documentation system supplemental information required to complete a comprehensive Shipper’s Export Declaration (annotated with the appropriate license or license exception if relevant).
- License Number Assignment from Data Feed - ECS can insert a license number as part of the license determination output when supplied by the user with a screening request.