Compliance Plan
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The Basics
Compliance Plan
International Shipments
Let’s walk through the process, step by step
Creating an effective export compliance plan mitigates the risk that accompanies new opportunities. To be successful in new markets, everyone you work with, including manufacturers, distributors, and service providers, needs to understand the importance of staying compliant.
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
Business Definition
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
1. Define your business.
How you describe your business will impact your compliance plan.
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
Pyramid Structure
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
2. Follow a three-level pyramid structure.
Top
Include company policies that express your intentions of meeting all U.S. government export requirements.
Middle
Numerically identify standard operating procedures that refer to your company policies for their authority and scope.
Lower
List detailed, daily work instructions, including checklists and examples of completed export documentation.
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
Step 3
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
3. Develop and document an effective compliance rationale that:
References your pyramid.
Explains how an effective compliance plan affects companywide performance.
Shows past decisions dealing with different types of exports.
Discusses how past decisions have provided a consistent, positive customer experience.
Is continually revised by all team members through an approval process.
The Basics
Training
Auditing
Business Definition
Pyramid Structure
Compliance Rationale
Step 4
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
4. List the basics of your plan step by step.
Step 1
Step 2
Step 3
The Basics
Training
Auditing
Business Definition
Pyramid Structure
Compliance Rationale
Step 5
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
5. Set up compliance training for all employees.
1
Include an initial training process and a mandatory annual review.
2
Keep records for each training session conducted and include the attendees.
3
Provide training for your vendors and distributors where appropriate.
The Basics
Training
Auditing
Business Definition
Pyramid Structure
Compliance Rationale
Step 6
Business Definition
Pyramid Structure
Compliance Rationale
The Basics
Training
Auditing
6. Begin the auditing process.
Use two types of audits to ensure your entire team is following your export compliance plan.
Internal audit
Identify standard operating procedures and examine any problem areas.
External audit
Use an outside service provider to perform an annual external audit to catch anything that may be overlooked during the internal audit.
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Build a Compliance Plan for Your Business
Take a look at our general suggestions for developing a compliance plan.