Compliance health self-check

1. Policy statement — Do you have an export-control compliance policy statement, signed by the chairman/GM and known to all staff?
   Yes, reaffirmed regularly　 A document exists but few know it　 None
2. Organisation — Is there a clear compliance owner (or department) with veto power over high-risk transactions?
   Yes, clear reporting line　 Someone handles it part-time, roles unclear　 No dedicated person
3. Risk assessment — Do you periodically assess and grade control risk across product, customer and destination dimensions?
   Assessed and graded yearly　 Done once, not updated　 Never
4. Review procedures — Does each export pass a review of product, counterparty, end-use and shipping?
   A documented, recorded workflow　 Left to the salesperson's judgment　 No review step
5. Emergency measures — On discovering a suspected violation, is there a clear stop/report/handle plan?
   A plan, and it has been drilled　 A plan, never drilled　 No plan
6. Training — Have key roles (sales, logistics, R&D) received export-control training?
   Tiered training with testing　 A meeting or two　 Never trained
7. Compliance audit — Have you internally audited or externally checked how the compliance rules are executed?
   Audited regularly with remediation　 Occasional spot checks　 Never audited
8. Records — Are review records, licences and end-user statements filed and kept for 5+ years?
   Categorised and traceable　 Kept but scattered　 Barely kept
9. Compliance manual — Is there a written compliance operating manual, updated within the last year?
   Yes, updated yearly　 Exists but stale for years　 No manual

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