Trade Compliance Risk Assessment Questionnaire
Assess trade exposure, screening practices, documentation controls, and compliance maturity.
Which trade activities does your organization conduct?
*
Importing goods
Exporting goods
Re-exporting or transshipping goods
Providing cross-border services or technology
Manufacturing or assembling goods across borders
None of these
Which jurisdictions are involved in your trade activities?
*
North America
Latin America and the Caribbean
European Economic Area and United Kingdom
Eastern Europe and Central Asia
Middle East and North Africa
Sub-Saharan Africa
East, South, or Southeast Asia
Oceania
What best describes the products, services, or technology you trade?
*
Predominantly consumer goods
Predominantly industrial or commercial goods
Goods with potential strategic or dual-use applications
Software, technology, or technical services
A mix of these categories
How is the intended end use of traded products or technology assessed?
*
Verified and documented before each transaction
Reviewed for higher-risk transactions or customers
Assessed informally, without consistent documentation
Not routinely assessed
Not sure
How are counterparties screened against applicable restricted-party lists?
*
Screened at onboarding and regularly throughout the relationship
Screened before transactions, with periodic rescreening
Screened only at onboarding or for selected transactions
Screening is informal or inconsistent
No established screening process or not sure
Which third-party intermediaries are used in your trade activities?
*
Customs brokers
Freight forwarders or logistics providers
Distributors, resellers, or sales agents
Sourcing or procurement agents
Other commercial intermediaries
No third-party intermediaries
How consistently are the following trade compliance controls applied?
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Rows
Not in place
Informal or inconsistent
Documented for some activities
Documented and routinely applied
Monitored and periodically improved
Not sure
Classification of goods, software, and technology
1
2
3
4
5
6
Export or import authorization review
7
8
9
10
11
12
Accuracy and retention of trade documentation
13
14
15
16
17
18
Escalation and resolution of screening alerts
19
20
21
22
23
24
How would you rate your organization's overall trade compliance program maturity?
*
Developing
1
2
3
4
Well established
5
1 is Developing, 5 is Well established
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