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Global Trade Compliance Audit Template
Section 1: Import Compliance
1. Does your organization have a designated compliance officer for import activities?
Yes
No
2. Are all imported goods properly classified according to Harmonized Tariff Schedule (HTS)?
Yes
No
3. Does your organization maintain records of all import transactions for at least five years?
Yes
No
4. Are all necessary import permits and licenses obtained before shipment?
Yes
No
5. Is there a process in place to review and update import compliance policies regularly?
Yes
No
6. Does your organization conduct regular training on import compliance for relevant staff?
Yes
No
7. Are there procedures to handle non-compliance incidents related to imports?
Yes
No
8. Is there a system in place to monitor changes in trade regulations affecting imports?
Yes
No
9. Are all import duties and taxes paid in a timely manner?
Yes
No
10. Does your organization have a process for verifying the origin of imported goods?
Yes
No
Section 2: Global Trade Compliance Audit
1. Does your organization have a risk assessment process for import compliance?
Yes
No
2. Are there controls in place to prevent the import of prohibited items?
Yes
No
3. Is there a designated team responsible for managing export compliance?
Yes
No
4. Does your organization conduct audits of its import compliance practices?
Yes
No
5. Are there documented procedures for handling customs inquiries?
Yes
No
6. Is there a process for evaluating suppliers' compliance with trade regulations?
Yes
No
7. Does your organization have a policy for managing trade sanctions?
Yes
No
8. Are all export documentation requirements met before shipment?
Yes
No
9. Is there a process for reporting and addressing trade compliance violations?
Yes
No
10. Does your organization use a compliance management system for trade activities?
Yes
No
11. Are there measures to ensure accurate valuation of imported goods?
Yes
No
12. Is there a process for tracking and documenting changes in trade laws?
Yes
No
13. Does your organization have a contingency plan for trade disruptions?
Yes
No
14. Are compliance metrics regularly reviewed and reported to management?
Yes
No
15. Is there a process for ensuring compliance with local customs regulations in each country of operation?
Yes
No