CUSTOMS BROKERAGE COMPLIANCE Created by ChecklistGuro (https://checklistguro.com) --- 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 --- END OF TEMPLATE --- Transform this text into a digital, automated, and trackable mobile app! Visit: https://checklistguro.com/templates/logistics/customs-brokerage-compliance (Click "Install Template" to launch your digital inspection tool immediately)