Achieve export management excellence and evaluate your internal controls with our Export Compliance Audit Work Program. The primary purpose of this document is to evaluate the effectiveness of your company's export controls and compliance process, identify opportunities for internal control and process improvements, and assess the internal control environment against the elements needed for an effective export management strategy. It provides an organized framework detailing various project work steps, including obtaining an understanding of the company's export compliance policies, evaluating key internal controls, and assessing compliance with corporate policies and procedures.

The document also outlines procedures for interviewing the export compliance manager, documenting the overall operating organization structure, and ensuring proper segregation of duties. Furthermore, it guides the user through the process of comparing the customer base to the denied people list, verifying compliance with export policies, and evaluating various elements of the export management system as established by the U.S Department of Commerce. It concludes with closing procedures, including drafting preliminary findings and recommendations and determining timelines for issuing reports.

Overall objectives include:

• Obtain an understanding of export compliance policies and procedures and related processes.
• Evaluate the adequacy and effectiveness of key internal controls.
• Evaluate the effectiveness of the export controls compliance process.
• Evaluate compliance with corporate policies and procedures.