Export Compliance Self-Assessment Checklist

• Have you determined if your product, software, or technology is subject to export control regulations?
• Have you identified the proper classification (e.g., ECCN, USML, Schedule B) for your item?
• Has documentation for jurisdiction and classification been retained?

• Have you established screening processes for customers and transactions against restricted party lists?
• Have you assessed the intended end-use of your product or service?
• Are there any indications that your product may be used in prohibited or sensitive activities (e.g., WMD, military, cyber-surveillance)?

• Have you checked if your export destination is subject to any embargoes or sanctions?
• Have proper export documentation and export control statements been prepared for each shipment?

• Do you know if an export license is required for this transaction?
• Have you applied for, and received, the appropriate export licenses if required?
• Are details of licenses and supporting documents stored and available for audit?

• Is there a written export compliance policy or procedure?
• Are staff trained on export control awareness and your company's compliance procedures?
• Are periodic audits or assessments of your export compliance conducted?