CUSTOMS BROKERAGE COMPLIANCE

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--- LICENSING & REGISTRATION ---
[ ] Customs Broker License Number
[ ] License Expiration Date
[ ] License Status (Active/Inactive/Suspended) (Active, Inactive, Suspended)
[ ] Jurisdiction(s) Licensed To Operate In (United States, Canada, Mexico, Other (Specify in LONG_TEXT))
[ ] Other Jurisdictions (If selected above)
[ ] Copy of Customs Broker License

--- CLIENT DUE DILIGENCE (CDD) ---
[ ] Client Business Description
[ ] Client Entity Type (Individual, Corporation, Partnership, LLC, Other)
[ ] Client Tax ID/EIN
[ ] Ultimate Beneficial Owner (UBO) Information (Name, Address, Percentage of Ownership)
[ ] Countries of Origin for Goods (China, Vietnam, Mexico, Canada, Germany, United States, Other)
[ ] KYC Documentation (e.g., Articles of Incorporation, Passport Copies)

--- ENTRY FILING & DOCUMENTATION ---
[ ] Entry Type Selection (e.g., Formal, Temporary) (Formal Entry, Temporary Entry, Drawback Entry, Bonded Entry)
[ ] Description of Goods
[ ] Quantity of Goods
[ ] Weight (kg/lbs)
[ ] Commercial Invoice
[ ] Packing List
[ ] Incoterms (e.g., FOB, CIF) (FOB, CIF, EXW, DDP, Other)
[ ] Date of Entry Filing
[ ] Any Remarks/Special Instructions for Customs

--- RECORD KEEPING & AUDIT TRAILS ---
[ ] Record Retention Policy Last Review Date
[ ] Number of years records are retained (minimum)
[ ] Summary of Record Keeping Procedures
[ ] Sample Record Keeping Policy Document
[ ] Method of Record Storage (Electronic/Physical/Hybrid) (Electronic, Physical, Hybrid)
[ ] Description of Audit Trail System (if applicable)
[ ] Frequency of Internal Audits (Record Keeping Focused) (Monthly, Quarterly, Annually, Other (Specify))
[ ] Summary of recent audit findings and corrective actions taken regarding record keeping.

--- DUTY & TAX MANAGEMENT ---
[ ] Duty Calculation Accuracy Rate (Monthly)
[ ] Method for verifying declared values (Client provided documentation, Independent market research, Automated valuation tools)
[ ] Percentage of Entries with Duty/Tax Discrepancies (Monthly)
[ ] Last Review Date of Duty/Tax Calculation Procedures
[ ] Description of Procedures for Handling Overpayments/Underpayments
[ ] System Used for Duty/Tax Calculation & Reporting (Manual Calculation, Custom-built System, Commercial Software (Specify:))
[ ] Number of Audits Performed on Duty/Tax Calculations (Annually)
[ ] Upload sample calculation audit report

--- RESTRICTED PARTY SCREENING ---
[ ] Screening Method (Automated Screening Software, Manual Review of Lists, Hybrid Approach)
[ ] Restricted Party Lists Screened Against (Select all that apply) (OFAC SDN List, Denied Persons List (US DOCA), EU Consolidated List, United Nations Sanctions Lists, Customs-Specific Restricted Parties (e.g., PEPs))
[ ] Last Screening List Update Date
[ ] Software Used for Screening (if applicable)
[ ] Procedure for Handling Matches/Potential Matches
[ ] Example Screening Log/Record (for audit purposes)
[ ] Escalation Path for Match Verification (Brokerage Compliance Officer, Designated Senior Manager, Legal Department)
[ ] Average Time to Verify Potential Matches (in business days)

--- COMPLIANCE TRAINING & AWARENESS ---
[ ] Last Training Completion Date
[ ] Training Modules Covered (Select all that apply) (US Customs Regulations (19 CFR), Export Compliance, Import Compliance, Restricted Party Screening, Harmonized Tariff Schedule (HTS) Lookup, NAFTA/USMCA Rules of Origin, Anti-Money Laundering (AML) Compliance, Recordkeeping Requirements)
[ ] Summary of Training Content Covered
[ ] Hours of Training Completed (per employee)
[ ] Training Delivery Method (Online/Webinar, In-Person Workshop, Self-Study Materials, Combination)
[ ] Upload Training Certificates/Records (optional)

--- INTERNAL CONTROLS & RISK MANAGEMENT ---
[ ] Number of Compliance Reviews Conducted Annually
[ ] Risk Assessment Methodology Used (Qualitative Only, Quantitative Only, Combined Qualitative & Quantitative)
[ ] Summary of Key Risks Identified in the Most Recent Risk Assessment
[ ] Types of Internal Audits Performed (select all that apply) (Entry Accuracy Audits, Record Keeping Audits, Client Due Diligence Reviews, Restricted Party Screening Verification)
[ ] Date of Last Internal Audit
[ ] Summary of Audit Findings and Corrective Actions Taken
[ ] Method for Monitoring Broker Performance (Regular KPI Reviews, Client Feedback, Internal Audit, Other)
[ ] Designated Person Responsible for Risk Management

--- REPORTING & COMMUNICATION ---
[ ] Date of Last Compliance Report Submission
[ ] Summary of Reported Compliance Issues (if any) in the last reporting period
[ ] Number of Significant Compliance Issues Reported
[ ] Which Regulatory Bodies do you regularly communicate with? (CBP (US Customs and Border Protection), CBSA (Canada Border Services Agency), Other (Specify in LONG_TEXT))
[ ] Primary Communication Method with Clients Regarding Compliance Matters? (Email, Phone, Written Report, Portal/Web Interface)
[ ] Description of Escalation Procedure for Compliance Issues
[ ] Date of Last Client Communication Regarding Regulatory Changes

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