Free Trade Agreement (FTA) Compliance Checklist
Maximize savings & minimize risk! This FTA Compliance Checklist guides you through import/export regulations, ensuring seamless trade and avoiding costly penalties. Perfect for supply chain professionals.
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Agreement Identification & Scope
Verifies the correct FTA is being applied and confirms the goods and parties involved are eligible.
FTA Agreement Selected
Specify FTA Agreement (if 'Other' selected)
Agreement Entry into Force Date (YYYY)
Agreement Review Date
Scope - Goods Covered
Specific Goods Covered (if 'Specific Goods' selected)
Scope – Parties Involved
Specific Parties Involved (if 'Specific Parties' selected)
Origin Determination
Details the processes for establishing the 'origin' of the goods, including required documentation and substantiation.
Origin Determination Method
Description of Manufacturing Process
Supporting Documentation (e.g., Bills of Materials)
Percentage of Value Added in Originating Country
Specific Rules Applied (e.g., Change in Tariff Classification, Specific Process)
Date of Origin Determination
Documentation Requirements
Outlines all necessary certificates of origin, commercial invoices, and other documentation needed for FTA benefits.
Certificate of Origin (COO)
Commercial Invoice
COO Expiry Date Status
Invoice Date
COO Reference Number
Description of Goods (as per COO)
Currency Used on Invoice
Record Keeping & Verification
Specifies the record-keeping requirements and procedures for internal verification and potential customs audits.
Date of Record Creation
Record Description/Summary
Supporting Documentation (e.g., Invoice, Certificate of Origin)
Quantity of Goods Recorded
Value of Goods Recorded (in relevant currency)
Verification Status (Initial/Revised/Verified)
Verification Notes/Comments (if applicable)
Verifier Signature
Rules of Origin Specifics
Covers specific rules of origin (e.g., Wholly Obtained, Substantial Transformation, Regional Value Addition) applicable to the goods.
Origin Determination Method
Detailed Description of Transformation Process (if applicable)
Percentage of Regional Content (if applicable)
Supporting Documentation (e.g., Bill of Materials, Manufacturing Records)
Specific Origin Criterion (if applicable)
Date of Originating Transaction
Supplier Declarations
Ensures proper supplier declarations are obtained and maintained to support origin claims.
Declaration Method
Declaration Issue Date
Supplier Statement of Origin
Supporting Documentation (e.g., Manufacturing Process)
Declaration Validity Period (Months)
Declaration Status
Supplier Contact Name
Supplier Contact Email
Customs Broker Compliance
Details procedures for working with customs brokers and confirming their understanding of FTA requirements.
Broker License Verification Status
Broker License Number
License Expiration Date
Broker Service Agreement Details
Services Provided by Broker (e.g., Classification, Documentation, Compliance)
Broker License Copy
Harmonized System (HS) Code Verification
Confirms the accuracy of HS codes used for classification and FTA eligibility.
HS Code
Description of Goods (for verification)
Country of Origin (as declared on invoice)
Binding Ruling (Yes/No)
Supporting Documentation (e.g., technical specifications)
Quantity
Periodic Review & Updates
Establishes a schedule for reviewing and updating FTA compliance procedures based on regulatory changes.
Last Review Date
Summary of Changes Since Last Review
Review Triggered By:
Description of Regulatory Change (if applicable)
Frequency of Review (in months)
Supporting Documentation (e.g., regulatory updates, audit reports)
Next Review Date
Training and Awareness
Ensures relevant personnel receive training on FTA regulations and compliance procedures.
Which FTA Modules have you completed?
Date of Last Training Completion
Primary Responsibility Regarding FTA Compliance?
Briefly describe your understanding of 'Rules of Origin'
Estimated time spent reviewing FTA updates per month (in hours)
How do you typically receive FTA updates and guidance?
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