Title Page
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Company
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Location
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Compliance Manager
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Conducted on
Export Compliance Checklist
Risk Assessment
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Is there a written procedure that describes how items are classified under ECCNs on the CCL?
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Does a technical expert within the company classify the items?
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If your company does not manufacture the item, does the manufacturer of the item classify it?
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Is there a written procedure that describes when a classification will be submitted to BIS and who will be responsible?
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Is there a written procedure that describes the process for seeking commodity jurisdiction determinations?
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Is an individual designated to ensure that product/country license determination guidance is current and updated?
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Is there a distribution procedure to ensure all appropriate users receive the guidance and instructions for use?
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Is there a list that indicates the name of the persons responsible for using the guidance?
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Are embargoed destinations displayed?
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Are item restrictions displayed? (i.e., technical parameter limitations, end-user limitations)
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Is there a “hold” function to prevent shipments from being further processed, if needed?
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Is there a procedure to distribute and verify receipt of license conditions?
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Is there someone designated to distribute and follow-up with acknowledgment verification?
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Is there a response deadline defined when conditions are distributed?
Security and Screening
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Are there written procedures to ensure that checks and safeguards are in place within the internal process flows, and are there assigned personnel responsible for all checks?
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Select the following checks included in the internal process:
- Pre-order entry screen checks
- Denied Persons
- Entity List
- Unverified List
- Specially Designated Nationals List
- Boycott language
- Nuclear End-Uses
- Certain Rocket Systems & Unmanned Air Vehicles End-Uses
- Chemical and Biological Weapons End-Uses
- Product/Country Licensing Determination
- Diversion Risk Check
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Does the procedure explain the order process and other linking processes from receipt of order to actual shipment?
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Does the procedure include who is responsible for each screen/check throughout the flow?
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Does the procedure describe when, how often, and what screening is performed?
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Are hold/cancel functions implemented?
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Does the procedure clearly indicate who has the authority to make classification decisions?
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Does the company have an on-going procedure for monitoring compliance of consignees, end-users and other parties involved in export transactions?
Recordkeeping
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Are there written procedures to comply with recordkeeping requirements?
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Do the written procedures clearly describe detailed step-by-step processes that employees are expected to follow?
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Are all records in each process included in the records maintained?
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Are the written procedures reviewed for update at least annually and when significant changes occur?
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Are the written and operational procedures consistent?
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Is there a designated employee responsible for management and maintenance of recordkeeping?
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Identify all other employees who are held accountable for specific recordkeeping responsibilities.
Designated Employee
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Employee Name & Responsibilities
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Do the designated employees know who is responsible for the next action to be taken in the process?
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Do employees understand the importance of their roles related to the overall recordkeeping requirement?
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Do employees have the appropriate budgetary, staff, and supporting resources to perform their responsibilities?
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Do employees have access to all the appropriate systems, tools, databases, and records to perform their responsibilities and ensure compliance with recordkeeping procedures?
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Is appropriate and specific training provided regarding recordkeeping?
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Is the training included on an annual schedule of employee training?
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Have appropriate parties been identified who will retain records?
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Has the length of time for record-retention been identified?
Administrative Records
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Commodity Classification records
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Commodity Jurisdiction letters
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Advisory Opinion letters
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Copy of the Export Management and Compliance Program (EMCP)
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BIS 748P, Multipurpose Application Form
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BIS 748P-A, Item Appendix
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BIS 748P-B, End-User Appendix
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BIS 711 Statement by Ultimate Consignee and Purchaser
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Electronic version BIS 748P, Simplified Network Application Process (SNAP) ACCN Number
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Accompanying attachments, rider or conditions
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International Import Certificates
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End-user Certificates
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License Exception TSR Written Assurance
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AES Electronic Filing Authorization
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High Performance Computer Records
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Transmittal and acknowledgement of license condition
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Log administering control over use of Export/Reexport license
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Log maintained to ensure return or commodities previously exported under License Exception (TMP)
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Log maintained to ensure License Exception LVS limits are not exceeded
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Humanitarian Donations GFT Records
Transaction Records
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Commercial Invoices
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AES electronic filing authorization
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Including:
a) Description of items(s)
b) ECCN(s)
c) License Number
d) License Exception Symbols or Exemptions
e) Schedule B number(s) -
Air Waybills and/or Bills of Lading Value of shipments
Auditing
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Are written procedures established to verify ongoing compliance?
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Is there a qualified individual (or auditing group) designated to conduct internal audits?
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Is there a potential conflict of interest between the auditor and the division being audited?
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Is there a schedule for audits?
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Are internal reviews performed annually, every six months, quarterly, etc.?
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Is there a step-by-step description of the audit process?
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Is a standard audit module or self-assessment tool used?
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Is there a written report of each internal audit?
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Are there written results of the review?
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Is the appropriate manager notified, if action is needed?
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Are spot checks/informal self-assessments performed?
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Are they documented?
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Is there evidence of a conflict of interest between the reviewer and the division being reviewed?
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Are records of past audits maintained to monitor repeated deficiencies?
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Is there a “best practice” that should be shared with other divisions in the company to improve effectiveness and efficiency of export controls and promote consistency of procedures?
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Are other departments aware of their export-control-related responsibilities, e.g., legal dept., human resources, information management, etc.?
Reporting, Escalation & Corrective Action
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Are there internal procedures in place to notify management within the company if a party is determined to be in noncompliance?
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Does the company policy/guidelines address accountability and consequences for noncompliant activity?
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Are the appropriate incentives, rewards, requirements, and penalties in place and is an appropriate business culture of compliance being fostered to facilitate notification of any possible noncompliance?
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Are there internal procedures in place to notify the appropriate U.S. Government officials (e.g., Export Administration’s Office of Exporter Services (OEXS), Export Enforcement, etc.) when non-compliance is determined?
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Has a central corporate point-of-contact been defined for all communications with the U.S.G.?
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Is the management chain clearly defined for Voluntary Self Disclosures (VSDs) & are there clear guidelines for VSDs?
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Do all employees receive export control awareness training (including for potential deemed exports and hand-carry scenarios?
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Is there a 24-hour mechanism for notifying compliance management of possible export violations or problems?
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Does the company have an anonymous reporting mechanism for employees?
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Do compliance guidelines provide defined criteria for when a formal internal investigation is required?
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Do compliance guidelines include policy and procedures for follow-up reporting to management and the reporting employee?
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Is there a process for evaluating lessons learned?
Sign Off
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Additional Observations
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Compliance Manager Name & Signature
Department Representative
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Department
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Name & Signature
