Audits and Review of Compliance Program

Audits are designed to systematically review and monitor the effectiveness of the UMass Amherst export control compliance program and ensure compliance with export control laws. Audits will be conducted by ORC as necessary, or otherwise on a periodic basis.

Audit objectives related to export controls include but are not limited to the following:

• Understanding and assessing the adequacy of management policies designed to comply with all U.S. export control laws and regulations.
• Documenting and evaluating controls implemented to ensure compliance with policies.
• Evaluating the effectiveness of these Guidelines and the controls in place and, if necessary, recommend revisions to improve the effectiveness.
• Monitoring compliance of research projects and departments with export license requirements, technology control plans, and these compliance guidelines.
• Identifying possible violations.