Trade Compliance Audit Checklist
General Information
| Company Name |
|
| Audit Date |
|
| Auditor(s) |
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| Location |
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1. Import/Export Compliance
| Checklist Item |
Status |
Notes |
| Import/export licenses and permits are valid and current |
|
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| Product classification codes (HS/Tariff Codes) are accurate |
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| Export control regulations compliance (EAR, ITAR, etc.) |
|
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| Proper screening for denied/restricted parties |
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2. Documentation
| Checklist Item |
Status |
Notes |
| Commercial invoices are complete and accurate |
|
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| Packing lists match shipped goods |
|
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| Bill of lading/air waybill procedures followed |
|
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| Certificates of origin available if required |
|
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3. Record Keeping
| Checklist Item |
Status |
Notes |
| Records maintained for required retention period |
|
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| Records are easily retrievable |
|
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| Audit trails exist for compliance activities |
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4. Training & Awareness
| Checklist Item |
Status |
Notes |
| Staff receive regular compliance training |
|
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| Training records are maintained |
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5. Risk Assessment & Internal Controls
| Checklist Item |
Status |
Notes |
| Periodic risk assessments conducted |
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| Internal controls periodically tested and reviewed |
|
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| Corrective actions documented and implemented |
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Additional Comments