Compliance Questionnaire

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The following questionnaire provides a guideline on information which must be available in a customs audit.

Note: all fields are mandatory.

	Purchasing
yes no	Are domestic purchases distinguished from import purchases?
	Receiving Systems
yes no	Are packing list discrepancies matched to customs entries for refunds and amending purposes?
yes no	And matched to customs entry?
yes no	Can import documents be tracked to specific purchase order or customs entry?
	Inventory Control
yes no	Can you identify procedures used by the customs department to ensure inventory gains are not the result of overshipment?
	Traffic
yes no	Do you know where records are stored to verify export shipments?
	Accounts Payable
yes no	Do you know what procedures are used to pay suppliers, specifically whether or not it is based on invoices received or packing list verified?
yes no	Do you know whether or not the Accounts Payable Department takes all supplier discounts?
yes no	Can you identify what means of communication are used to inform other departments of vendor debits?
	Finance
yes no	Does your General Ledger provide details?
yes no	Are there subsequent proceeds, royalties, assists, or quotas paid to parent companies or suppliers?
	Customs and Broker Communications
yes no	Can you determine whether or not brokerage invoices are audited to ensure accuracy?
yes no	Are you aware of what methods are used to ensure tariff classification accuracy and consistency?
yes no	Do you know if free trade certificates of origin are specific to the product imported?
	Sales
yes no	If “end use” is applicable, do you know what customer verification procedures or information are on file?
	IS
yes no	Can you identify whether the IS department can prepare or create reports to assist in audit?
Name
Company
Address
Phone
E-mail
By completing this form, you will have given LM Clark permission to contact you for any further information.