Import Compliance Manuals, Export Compliance Manuals

Import Compliance Manuals, Export Compliance Manuals
9 Factors for Import or Export Compliance Part 2

2. The existence of a formal written compliance program.
http://www.ussc.gov/guidelines-manual/2011/2011-8b21

From sentencing guidelines insight on effective import export manual standard
8B2.1. Effective Compliance and Ethics Program
(a) To have an effective compliance and ethics program, for purposes of subsection (f) of §8C2.5 (Culpability Score) and subsection (c)(1) of §8D1.4 (Recommended Conditions of Probation – Organizations), an organization shall—
(1) exercise due diligence to prevent and detect criminal conduct; and
(2) otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law.
Such compliance and ethics program shall be reasonably designed, implemented, and enforced so that the program is generally effective in preventing and detecting criminal conduct. The failure to prevent or detect the instant offense does not necessarily mean that the program is not generally effective in preventing and detecting criminal conduct.
(b) Due diligence and the promotion of an organizational culture that encourages ethical conduct and a commitment to compliance with the law within the meaning of subsection (a) minimally require the following:
(1) The organization shall establish standards and procedures to prevent and detect criminal conduct.
(2) (A) The organization’s governing authority shall be knowledgeable about the content and operation of the compliance and ethics program and shall exercise reasonable oversight with respect to the implementation and effectiveness of the compliance and ethics program.
4/17/15

Import Compliance Manuals, Export Compliance Manuals

9 Factors for Import or Export Compliance Part 1
1. Whether the company has performed a meaningful risk analysis.
You must ascertain the areas that you are actively involved. Example NAFTA entries or Exports you should strengthen that area with information relating to accurate NAFTA claims. You should have a determination report as well as references such as Regulation on NAFTA. You should assess any other areas that involve your activity such as following:

Products Eligible for Special Tariff Treatment.
(i) Programs under which special tariff treatment may be provided, and the corresponding symbols for such programs as they
are indicated in the “Special” subcolumn, are as follows:
Generalized System of Preferences.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A, A* or A+
United States-Australia Free Trade Agreement. . . . . . . . . . . . . . . . . . . . . . . . . . AU
Automotive Products Trade Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . B
United States-Bahrain Free Trade Agreement Implementation Act. . . . . . . . . . . BH
Agreement on Trade in Civil Aircraft.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . C
North American Free Trade Agreement:
Goods of Canada, under the terms of
general note 12 to this schedule. .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CA
Goods of Mexico, under the terms of
general note 12 to this schedule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . MX
United States-Chile Free Trade Agreement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . CL
African Growth and Opportunity Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D
Caribbean Basin Economic Recovery Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E or E*
United States-Israel Free Trade Area.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IL
United States-Jordan Free Trade Area Implementation Act.. . . . . . . . . . . . . . . . JO
Agreement on Trade in Pharmaceutical Products. . . . . . . . . . . . . . . . . . . . . . . . K
Dominican Republic-Central America-United States
Free Trade Agreement Implementation Act.. . . . . . . . . . . . . . . . . . . . . . . P or P+
Uruguay Round Concessions on Intermediate
Chemicals for Dyes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . L
United States-Caribbean Basin Trade Partnership Act. . . . . . . . . . . . . . . . . . . . R
United States-Morocco Free Trade Agreement Implementation Act. . . . . . . . . . MA
United States-Singapore Free Trade Agreement. . . . . . . . . . . . . . . . . . . . . . . . . SG
United States-Oman Free Trade Agreement Implementation Act. . . . . . . . . . . . OM
United States-Peru Trade Promotion Agreement Implementation Act. . . . . . . . . PE
United States-Korea Free Trade Agreement Implementation Act. . . . . . . . . . . . KR
United States-Colombia Trade Promotion Agreement Implementation Act. . . . . CO
United States-Panama Trade Promotion Agreement Implementation Act…………PA

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export compliance

The Economist August 2014 reported in an article The Criminalisation of American Business that settlement of Import/Export sanctions led all others by a great amount of settlement dollars (major lead by @ 3 times collective others). The other settlements being Antitrust, Bank Secrecy Act, Environmental, Bribery, Fraud, Pharma, Securities Fraud. This means that importers and exporters are in the crosshair of targets for penalty action. This translates to a need for better compliance in these activities. Either take the responsibility or face legal fees and or penalties.

A good compliance program in import and export requires that you show training and self audit or external activities in these areas. There is more to it but these are important.

The following represent bare essential elements:
9 point guide to compliance
1. Whether the company has performed a meaningful risk analysis.

2. The existence of a formal written compliance program.

3. Whether appropriate senior organizational officials are responsible for
overseeing the import compliance program.

4. Whether adequate training is provided to employees.

5. Whether the company adequately screens its customers and transactions.

6. Whether the company meets recordkeeping requirements.

7. The existence and operation of an internal system for reporting import
violations.

8. The existence and result of internal/external reviews or audits.

9. Whether remedial activity has been taken in response to import
violations.