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Export Compliance Checklist

Risk Assessment

Is there a written procedure that describes how items are classified under ECCNs on the CCL?

Does a technical expert within the company classify the items?

If your company does not manufacture the item, does the manufacturer of the item classify it?

Is there a written procedure that describes when a classification will be submitted to BIS and who will be responsible?

Is there a written procedure that describes the process for seeking commodity jurisdiction determinations?

Is an individual designated to ensure that product/country license determination guidance is current and updated?

Is there a distribution procedure to ensure all appropriate users receive the guidance and instructions for use?

Is there a list that indicates the name of the persons responsible for using the guidance?

Are embargoed destinations displayed?

Are item restrictions displayed? (i.e., technical parameter limitations, end-user limitations)

Is there a “hold” function to prevent shipments from being further processed, if needed?

Is there a procedure to distribute and verify receipt of license conditions?

Is there someone designated to distribute and follow-up with acknowledgment verification?

Is there a response deadline defined when conditions are distributed?

Security and Screening

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?

Select the following checks included in the internal process:

Does the procedure explain the order process and other linking processes from receipt of order to actual shipment?

Does the procedure include who is responsible for each screen/check throughout the flow?

Does the procedure describe when, how often, and what screening is performed?

Are hold/cancel functions implemented?

Does the procedure clearly indicate who has the authority to make classification decisions?

Does the company have an on-going procedure for monitoring compliance of consignees, end-users and other parties involved in export transactions?

Recordkeeping

Are there written procedures to comply with recordkeeping requirements?

Do the written procedures clearly describe detailed step-by-step processes that employees are expected to follow?

Are all records in each process included in the records maintained?

Are the written procedures reviewed for update at least annually and when significant changes occur?

Are the written and operational procedures consistent?

Is there a designated employee responsible for management and maintenance of recordkeeping?

Identify all other employees who are held accountable for specific recordkeeping responsibilities.

Designated Employee

Employee Name & Responsibilities

Do the designated employees know who is responsible for the next action to be taken in the process?

Do employees understand the importance of their roles related to the overall recordkeeping requirement?

Do employees have the appropriate budgetary, staff, and supporting resources to perform their responsibilities?

Do employees have access to all the appropriate systems, tools, databases, and records to perform their responsibilities and ensure compliance with recordkeeping procedures?

Is appropriate and specific training provided regarding recordkeeping?

Is the training included on an annual schedule of employee training?

Have appropriate parties been identified who will retain records?

Has the length of time for record-retention been identified?

Administrative Records

Commodity Classification records

Commodity Jurisdiction letters

Advisory Opinion letters

Copy of the Export Management and Compliance Program (EMCP)

BIS 748P, Multipurpose Application Form

BIS 748P-A, Item Appendix

BIS 748P-B, End-User Appendix

BIS 711 Statement by Ultimate Consignee and Purchaser

Electronic version BIS 748P, Simplified Network Application Process (SNAP) ACCN Number

Accompanying attachments, rider or conditions

International Import Certificates

End-user Certificates

License Exception TSR Written Assurance

AES Electronic Filing Authorization

High Performance Computer Records

Transmittal and acknowledgement of license condition

Log administering control over use of Export/Reexport license

Log maintained to ensure return or commodities previously exported under License Exception (TMP)

Log maintained to ensure License Exception LVS limits are not exceeded

Humanitarian Donations GFT Records

Transaction Records

Commercial Invoices

AES electronic filing authorization

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

Are written procedures established to verify ongoing compliance?

Is there a qualified individual (or auditing group) designated to conduct internal audits?

Is there a potential conflict of interest between the auditor and the division being audited?

Is there a schedule for audits?

Are internal reviews performed annually, every six months, quarterly, etc.?

Is there a step-by-step description of the audit process?

Is a standard audit module or self-assessment tool used?

Is there a written report of each internal audit?

Are there written results of the review?

Is the appropriate manager notified, if action is needed?

Are spot checks/informal self-assessments performed?

Are they documented?

Is there evidence of a conflict of interest between the reviewer and the division being reviewed?

Are records of past audits maintained to monitor repeated deficiencies?

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?

Are other departments aware of their export-control-related responsibilities, e.g., legal dept., human resources, information management, etc.?

Reporting, Escalation & Corrective Action

Are there internal procedures in place to notify management within the company if a party is determined to be in noncompliance?

Does the company policy/guidelines address accountability and consequences for noncompliant activity?

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?

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?

Has a central corporate point-of-contact been defined for all communications with the U.S.G.?

Is the management chain clearly defined for Voluntary Self Disclosures (VSDs) & are there clear guidelines for VSDs?

Do all employees receive export control awareness training (including for potential deemed exports and hand-carry scenarios?

Is there a 24-hour mechanism for notifying compliance management of possible export violations or problems?

Does the company have an anonymous reporting mechanism for employees?

Do compliance guidelines provide defined criteria for when a formal internal investigation is required?

Do compliance guidelines include policy and procedures for follow-up reporting to management and the reporting employee?

Is there a process for evaluating lessons learned?

Sign Off

Additional Observations

Compliance Manager Name & Signature
Department Representative

Department

Name & Signature

Export Compliance Checklist

Created by: SafetyCulture Staff | Industry: General | Downloads: 7

An export compliance checklist is an assessment tool used to determine compliance with Export Administration Regulations and implement corrective actions for non-compliance. Easily evaluate the recordkeeping, auditing, reporting, and escalation procedures of the company using this checklist. This checklist has been designed to make it easier for compliance teams to perform a risk assessment of their security and screening procedures

Signup for a free iAuditor account to download and edit this checklist. It will be added to your free account and you will be able to conduct inspections from your mobile device.

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Export Compliance Checklist

Risk Assessment

Is there a written procedure that describes how items are classified under ECCNs on the CCL?

Does a technical expert within the company classify the items?

If your company does not manufacture the item, does the manufacturer of the item classify it?

Is there a written procedure that describes when a classification will be submitted to BIS and who will be responsible?

Is there a written procedure that describes the process for seeking commodity jurisdiction determinations?

Is an individual designated to ensure that product/country license determination guidance is current and updated?

Is there a distribution procedure to ensure all appropriate users receive the guidance and instructions for use?

Is there a list that indicates the name of the persons responsible for using the guidance?

Are embargoed destinations displayed?

Are item restrictions displayed? (i.e., technical parameter limitations, end-user limitations)

Is there a “hold” function to prevent shipments from being further processed, if needed?

Is there a procedure to distribute and verify receipt of license conditions?

Is there someone designated to distribute and follow-up with acknowledgment verification?

Is there a response deadline defined when conditions are distributed?

Security and Screening

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?

Select the following checks included in the internal process:

Does the procedure explain the order process and other linking processes from receipt of order to actual shipment?

Does the procedure include who is responsible for each screen/check throughout the flow?

Does the procedure describe when, how often, and what screening is performed?

Are hold/cancel functions implemented?

Does the procedure clearly indicate who has the authority to make classification decisions?

Does the company have an on-going procedure for monitoring compliance of consignees, end-users and other parties involved in export transactions?

Recordkeeping

Are there written procedures to comply with recordkeeping requirements?

Do the written procedures clearly describe detailed step-by-step processes that employees are expected to follow?

Are all records in each process included in the records maintained?

Are the written procedures reviewed for update at least annually and when significant changes occur?

Are the written and operational procedures consistent?

Is there a designated employee responsible for management and maintenance of recordkeeping?

Identify all other employees who are held accountable for specific recordkeeping responsibilities.

Designated Employee

Employee Name & Responsibilities

Do the designated employees know who is responsible for the next action to be taken in the process?

Do employees understand the importance of their roles related to the overall recordkeeping requirement?

Do employees have the appropriate budgetary, staff, and supporting resources to perform their responsibilities?

Do employees have access to all the appropriate systems, tools, databases, and records to perform their responsibilities and ensure compliance with recordkeeping procedures?

Is appropriate and specific training provided regarding recordkeeping?

Is the training included on an annual schedule of employee training?

Have appropriate parties been identified who will retain records?

Has the length of time for record-retention been identified?

Administrative Records

Commodity Classification records

Commodity Jurisdiction letters

Advisory Opinion letters

Copy of the Export Management and Compliance Program (EMCP)

BIS 748P, Multipurpose Application Form

BIS 748P-A, Item Appendix

BIS 748P-B, End-User Appendix

BIS 711 Statement by Ultimate Consignee and Purchaser

Electronic version BIS 748P, Simplified Network Application Process (SNAP) ACCN Number

Accompanying attachments, rider or conditions

International Import Certificates

End-user Certificates

License Exception TSR Written Assurance

AES Electronic Filing Authorization

High Performance Computer Records

Transmittal and acknowledgement of license condition

Log administering control over use of Export/Reexport license

Log maintained to ensure return or commodities previously exported under License Exception (TMP)

Log maintained to ensure License Exception LVS limits are not exceeded

Humanitarian Donations GFT Records

Transaction Records

Commercial Invoices

AES electronic filing authorization

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

Are written procedures established to verify ongoing compliance?

Is there a qualified individual (or auditing group) designated to conduct internal audits?

Is there a potential conflict of interest between the auditor and the division being audited?

Is there a schedule for audits?

Are internal reviews performed annually, every six months, quarterly, etc.?

Is there a step-by-step description of the audit process?

Is a standard audit module or self-assessment tool used?

Is there a written report of each internal audit?

Are there written results of the review?

Is the appropriate manager notified, if action is needed?

Are spot checks/informal self-assessments performed?

Are they documented?

Is there evidence of a conflict of interest between the reviewer and the division being reviewed?

Are records of past audits maintained to monitor repeated deficiencies?

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?

Are other departments aware of their export-control-related responsibilities, e.g., legal dept., human resources, information management, etc.?

Reporting, Escalation & Corrective Action

Are there internal procedures in place to notify management within the company if a party is determined to be in noncompliance?

Does the company policy/guidelines address accountability and consequences for noncompliant activity?

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?

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?

Has a central corporate point-of-contact been defined for all communications with the U.S.G.?

Is the management chain clearly defined for Voluntary Self Disclosures (VSDs) & are there clear guidelines for VSDs?

Do all employees receive export control awareness training (including for potential deemed exports and hand-carry scenarios?

Is there a 24-hour mechanism for notifying compliance management of possible export violations or problems?

Does the company have an anonymous reporting mechanism for employees?

Do compliance guidelines provide defined criteria for when a formal internal investigation is required?

Do compliance guidelines include policy and procedures for follow-up reporting to management and the reporting employee?

Is there a process for evaluating lessons learned?

Sign Off

Additional Observations

Compliance Manager Name & Signature
Department Representative

Department

Name & Signature