Make a checklist for onboarding a supplier keeping in mind the export control compliance requirement

Identify potential suppliers based on business needs and requirements.

Conduct an initial screening for potential export control risks.

Gather and document supplier contact details and business scope.

Assess the supplier's country of origin and its export control regulations.

Evaluate the potential risks associated with the supplier's operations.

Identify any existing international trade restrictions or sanctions affecting the supplier.

Request the supplier to provide a Certificate of Origin.

Obtain any relevant licenses or permits for exporting controlled items.

Collect documentation related to the supplier’s compliance history and policies.

Schedule compliance training sessions for supplier personnel.

Provide resources on relevant export control laws and regulations.

Ensure the supplier understands the implications of non-compliance.

Classify the supplier’s products/services under applicable export control categories.

Assess whether the products require specific export licenses.

Ensure the supplier implements appropriate control measures for handling sensitive goods.

Draft supplier agreements that clearly define export control obligations.

Include clauses that require adherence to all relevant export control laws.

Specify penalties for non-compliance and the process for reporting issues.

Conduct in-depth background checks on the supplier and ownership structure.

Consult export control lists (e.g., Denied Party Lists) for potential matches.

Evaluate the supplier's compliance with anti-bribery and anti-corruption policies.

Develop a framework for ongoing monitoring of supplier compliance.

Set up regular check-ins and performance evaluations related to export control.

Implement a reporting system for any compliance breaches or concerns.

Create a centralized repository for all compliance-related documentation.

Establish protocols for reporting compliance issues internally and externally.

Ensure documentation is regularly updated and accessible for audits.

Conduct a final review of all collected documentation and assessments.

Approve the supplier for onboarding based on compliance status.

Implement a feedback loop for continuous improvement in the supplier relationship and compliance practices.