Export Compliance Checklist - FREE PDF | Lumiform

Export compliance checklist

About the Export compliance checklist

Using an export compliance checklist template is essential for ensuring that your business adheres to international trade regulations. This template helps you systematically verify all necessary documentation and procedures, reducing the risk of costly fines or shipment delays.

By employing this tool, you can streamline your export processes and maintain compliance with ease. A template such as this serves you by providing a structured framework that covers all critical compliance areas, from licensing requirements to restricted party screening.

It ensures that no critical steps are overlooked, enhancing your workflow efficiency and minimizing errors. By integrating this checklist into your operations, you safeguard your business against potential legal issues and enhance your reputation in global markets.

Key elements of an export compliance checklist

Understanding the key elements of an export compliance checklist helps you enhance your documentation process and ensure thorough compliance. Here are the essential components:

Regulatory requirements: This section ensures you cover all applicable regulations, such as export licenses and destination-specific rules. By addressing these requirements, you minimize the risk of non-compliance and avoid potential penalties.
Documentation verification: You use this part to confirm that all necessary export documents, such as invoices and shipping labels, are accurate and complete. Proper documentation is crucial for smooth customs clearance and prevents shipment delays.
Restricted party screening: This component involves checking all parties involved in the transaction against government watchlists. Ensuring compliance with these lists protects your business from engaging in prohibited trade activities.
Product classification and valuation: Accurately identifying and valuing your products according to international standards helps you determine the correct duties and taxes. This ensures that you comply with financial regulations and avoid unexpected costs.

When to use an export compliance checklist template

An export compliance checklist template is most beneficial when your business is preparing to enter new international markets or managing complex shipments. You can use this template to ensure that all regulatory requirements are met, minimizing the risk of penalties or shipment delays.

In scenarios where you are dealing with high-value or sensitive goods, the checklist helps you verify compliance with export controls and restricted party screening. This proactive approach protects your business from legal issues and enhances your reputation in global trade. By applying this template during these critical times, you streamline your workflow and maintain high compliance standards, ensuring smooth and efficient export operations.

Related categories

Preview of the template

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.

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

Name & Signature

This template was downloaded 239 times

Frequently asked questions

Why is export compliance important for businesses?

Export compliance is crucial for businesses to avoid legal penalties and shipment delays. It ensures adherence to international trade laws and regulations, protecting your business from fines and enhancing your reputation in global markets. Compliance also minimizes risks associated with restricted party transactions.

What common challenges do businesses face in export compliance?

Businesses often struggle with understanding complex regulations, managing documentation, and ensuring all parties in the transaction are compliant. These challenges can lead to costly errors and delays. Implementing structured processes and regular training can help overcome these hurdles and streamline compliance efforts.

How can I improve my export compliance process?

To improve your export compliance process, establish clear procedures, utilize checklists, and ensure regular staff training. Implementing automated systems for documentation and restricted party screening enhances accuracy and efficiency, reducing the risk of non-compliance and associated penalties.

Who is responsible for ensuring export compliance in a company?

Typically, the responsibility for ensuring export compliance falls on compliance officers or managers. They oversee adherence to regulations, manage documentation, and conduct regular audits. Having dedicated personnel also ensures that your business remains compliant with international trade laws and avoids potential legal issues.

This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.