Compliance KPI

Questions and answers about Compliance KPI

  • COMPLIANCE RISK WORKPLAN

    QUESTION: I have been asked to create an import and export risk assessment work plan for my team to identify/evaluate business unit’s trade risks.  Is there anyone that can share a sample format of a risk work plan for import or export for my reference.  I have been asked for a “detailed” work plan which […]

  • CONDUCTING TRADE COMPLIANCE AUDITS

    QUESTION: How does the membership conduct internal Trade Compliance audits (C-TPAT, Import, Export, FTA? ) ========== Answers: Wow! This question requires a handbook to answer!  This is too broad. ========== Suggest that you determine what areas of your business pose the greatest risk of non-compliance and focus on testing samples of completed transactions that encompass […]

  • INTERNAL COMPLIANCE FUNCTION

    QUESTION: We are an importer averaging about 4K containers / trailers per year but do not have an internal compliance function, instead we have relied on our brokers to handle the entire import process. My job function is related almost entirely to supply chain security (we are C-TPAT and import from our plants in several […]

  • COMPLIANCE FIRST 100 DAYS PLAN

    QUESTION: If one is to start a role leading the trade compliance function of a company involved in a distribution business, what should be the critical focus areas in the first 100 days on the job in order to succeed in this role? Please provide suggestions. ========== Answers: In my opinion, understanding the company and […]

  • RISK ASSESSMENT FOR PENALTIES

    QUESTION: I am currently working on a justification project where I have been asked the value and number of penalties assessed by CBP and CBSA over the past few years. I have been able to find CBSA data but have not found CBP data.  Does anyone know where I can access this information?  Any information […]

  • MEASURABLE COMPLIANCE GOALS

    QUESTION: I was recently promoted to a Trade Compliance Manager in my company. and now am eligible for a bonus. In order to receive that bonus, I need to determine measurable goals (3 levels) outside of simply doing my job and attain those goals. I have some ideas, but would like more. Would anyone be […]

  • TRADE COMPLIANCE COMPETENCIES

    QUESTION: Human Resources wants me to develop a “competency matrix” for working in the export/trade compliance group.   They gave me some samples from other departments, and it’s basically a list of questions you ask yourself and rate yourself, to identify weak areas to work on for growth.  So far I’ve created a few tabs 1)  […]

  • IMPORT MANUAL TEMPLATE

    QUESTION: Can the membership provide a template for an import compliance manual.  We have one dated 2005, but would like to use a more recent version.  Any suggestions? *************** Add’l Answer: Go to the CBP ISA link.  It gives a good idea for what your manual should look like.   Basically, it should have an […]

  • COMPLIANCE READING LIST

    QUESTION: I’ve been doing other forms of compliance ( FDA, CDC mostly) for the last 2 years. I’m looking seriously at getting back into import compliance for an importer who needs somebody who knows their way around the FDA and the import side. Can I get a suggested reading list for: – Changes resulting from the move […]

  • TOLLERS COMPLIANCE PROCESS

    QUESTION: Does anyone with the membership have experience with dealing with Tollers? If so is there a check list of the due diligence items required for Tollers. Is there anything specific from trade compliance stand point? ========== Answer: I am assuming that you are referring to a supplier that processes raw materials or semi-finished goods […]

  • FTA RESOURCES

    Question:   We are a large CPG manufacturer with a very limited trade compliance staff relative to the size and scope of the business. Due to recent cuts, we are facing the loss of one of four people, and the targeted position is solely responsible for soliciting, reviewing, and cataloging the underlying vendor certifications that […]

  • TYPICAL HOURS OF TRAINING

    Question: How many hours per year of Import Export Compliance training is normal or typical for Trade Compliance employee at the large company (over 10K people)? I would like to participate at some ICPA conferences, but am struggling to present this to management. **************** Answers: 40 Hours of continuous education per year is a bench […]