Legal Corporate Export Control Compliance Checklist

In order to maintain legal corporate compliance regarding export controls, carefully review each section thoroughly, checking off items as they are accomplished. Promptly address any identified gaps or non-compliance issues to ensure legal integrity in your corporate export activities.

Regulatory Advisory and Documentation

Keep abreast of the latest export laws and regulations.
Maintain up-to-date company export licenses.
Ensure export compliance guidelines are documented properly and accessible to all relevant employees.
Create and update a checklist for new product launches to ensure compliance with export control rules.
Classify your products or services correctly under the correct export control codes.

Employee Training and Awareness

Arrange regular training sessions regarding export control laws and corporation policies.
Ensure that all new hires receive necessary export control compliance training.
Implement a process to keep employees updated about changes to export control laws.
Maintain records of all training sessions, including attendee names, dates, and topics covered.
Conduct regular audits to ensure employees demonstrate understanding of export control compliance.

Transaction Screening and Monitoring

Screen all customers and business partners against government-provided lists of restricted entities.
Monitor transactions for suspicious activities that could potentially signal export control violations.
Verify end-use and end-user statements for every export transaction.
Ensure all export documentation, including bills of lading and invoices, accurately reflects the goods being shipped.
Maintain a system for proper reporting and record-keeping of all export transactions.

Prevention and Risk Mitigation

Develop a full-scale, written export compliance program (ECP).
Set up clear procedures outlining steps if an export violation is discovered.
Conduct internal audits frequently to ensure continual compliance with export control laws.
Provide resources for anonymous reporting of potential violations.
Establish a contingency plan for possible upheavals, such as alterations in export control laws and regulations.

Collaboration and Communication

Foster open communication regarding export control compliance within the company.
Engage regularly with regulatory agencies and industry associations.
Collaborate with customs brokers and freight forwarders to ensure they follow your corporation's export control compliance guidelines.
Involve top management in compliance efforts to demonstrate the company’s commitment to export control compliance.
Establish a clear chain of communication for reporting and managing potential export control violations.