FORCED LABOR COMPLIANCE CHECKLIST

UFLPA and 19 U.S.C. § 1307 Due Diligence Program

PART 1: PROGRAM OVERVIEW

A. Legal Framework

19 U.S.C. § 1307 prohibits importation of merchandise mined, produced, or manufactured wholly or in part by:
- Convict labor
- Forced labor
- Indentured labor under penal sanctions

Uyghur Forced Labor Prevention Act (UFLPA) establishes a rebuttable presumption that goods from the Xinjiang Uyghur Autonomous Region (XUAR) of China or produced by UFLPA Entity List entities are made with forced labor.

B. Compliance Program Objectives

☐ Identify and eliminate forced labor from supply chains
☐ Establish due diligence procedures
☐ Maintain documentation for CBP compliance
☐ Enable response to CBP detention and requests for information
☐ Prepare for potential exception requests

PART 2: SUPPLY CHAIN MAPPING

A. Supplier Inventory

Complete for each tier of supply chain:

Tier 1 Suppliers (Direct):

Tier 2 Suppliers (Component):

Tier 3+ Suppliers (Raw Materials):

B. Product Traceability

For each product line, document:

Product: [________________________________]

HTSUS Classification: [____________________]

Bill of Materials:

PART 3: RISK ASSESSMENT

A. High-Priority Sectors (UFLPA)

Is your supply chain connected to any high-priority sectors?

☐ Apparel and textiles (cotton, yarn, fabric)
☐ Silica-based products (polysilicon, solar panels)
☐ Tomatoes and downstream products
☐ Polyvinyl chloride (PVC)
☐ Seafood
☐ Aluminum
☐ Cotton
☐ NEW (2025): Caustic soda
☐ NEW (2025): Copper
☐ NEW (2025): Jujubes (red dates)
☐ NEW (2025): Lithium
☐ NEW (2025): Steel
☐ Electronics with lithium batteries
☐ Other: [____________________]

B. UFLPA Entity List Screening

Entity List Status (as of 2026):
- 144+ entities currently listed
- Updated periodically by DHS

Screening Results:

☐ All suppliers screened against UFLPA Entity List
☐ No matches found
☐ Matches found - see action items below

Entity List Match Details (if any):

C. Geographic Risk Assessment

XUAR Connection Analysis:

☐ Direct XUAR Sourcing: Products sourced directly from XUAR
☐ Indirect XUAR Connection: Components or raw materials from XUAR
☐ Labor from XUAR: Workers transferred from XUAR to other facilities
☐ No Known XUAR Connection: Supply chain verified as XUAR-free

High-Risk Province Assessment:

PART 4: SUPPLIER DUE DILIGENCE

A. Supplier Questionnaire Checklist

Required Information from Suppliers:

☐ Complete legal name and address
☐ Ownership structure
☐ Government affiliations
☐ Manufacturing facility locations
☐ Subcontractor information
☐ Raw material sourcing
☐ Worker recruitment practices
☐ Labor policies and certifications

B. Supplier Code of Conduct

Supplier must certify compliance with:

☐ Prohibition on forced labor
☐ Prohibition on child labor
☐ Freedom of movement for workers
☐ Voluntary overtime
☐ Legal wages and benefits
☐ Safe working conditions
☐ Freedom of association
☐ Non-discrimination
☐ No debt bondage or document retention
☐ Right to terminate employment

C. Supplier Certification Form

SUPPLIER CERTIFICATION

I, [NAME], [TITLE] of [SUPPLIER NAME], hereby certify that:

☐ Our company does not use forced, prison, or indentured labor.

☐ Our company does not source goods, materials, or components from the Xinjiang Uyghur Autonomous Region of China.

☐ Our company is not listed on the UFLPA Entity List.

☐ Our company does not employ workers transferred from the XUAR through government-facilitated labor transfer programs.

☐ We have inquired of our subcontractors and suppliers regarding forced labor and have no knowledge of forced labor in our supply chain.

☐ We will immediately notify [COMPANY NAME] if any of these certifications change.

Signature: ________________________________
Name: [________________________________]
Title: [________________________________]
Company: [________________________________]
Date: [__/__/____]

PART 5: DOCUMENT RETENTION

A. Required Documentation

Maintain the following for each import:

☐ Supply Chain Mapping: Documentation showing product from raw materials to finished goods

☐ Supplier Information:
- Complete supplier list with addresses
- Corporate registration documents
- Ownership information

☐ Production Records:
- Production orders
- Manufacturing records
- Quality control records

☐ Shipping Documentation:
- Commercial invoices
- Packing lists
- Bills of lading
- Certificates of origin

☐ Worker Information:
- Worker recruitment documentation
- Employment contracts
- Wage payment records
- Worker demographic information

☐ Audit Reports:
- Social compliance audits
- Third-party verification reports
- Corrective action plans

B. Traceability Documentation

For UFLPA exception requests, CBP requires:

☐ Supply chain map showing all suppliers and facilities
☐ Evidence tracing specific shipment to documented supply chain
☐ Proof that no XUAR-origin goods are in the supply chain
☐ Management systems ensuring supply chain integrity
☐ Third-party audit reports

C. Document Retention Period

Minimum retention: 5 years from date of import

Recommended retention: 7 years (aligns with other CBP record requirements)

PART 6: AUDITING AND VERIFICATION

A. Audit Program

Internal Audits:

☐ Annual review of forced labor compliance procedures
☐ Periodic supplier questionnaire updates
☐ Spot checks of supplier documentation
☐ Review of import data for high-risk indicators

Third-Party Audits:

☐ Social compliance audits of high-risk suppliers
☐ Unannounced facility inspections
☐ Worker interviews (confidential)
☐ Document verification

B. Audit Checklist

Facility Audit Areas:

☐ Recruitment practices - voluntary hiring confirmed
☐ Employment contracts - in language workers understand
☐ Wages - paid regularly at legal minimum or above
☐ Working hours - legal limits, voluntary overtime
☐ Freedom of movement - workers can leave freely
☐ Document retention - workers retain own documents
☐ Living conditions (if provided) - safe, sanitary
☐ Grievance mechanisms - accessible to workers
☐ No penalties for termination - workers can quit freely

C. Red Flags Checklist

Watch for these indicators:

☐ Workers cannot leave facility freely
☐ Government-organized labor transfers
☐ Workers from XUAR at facilities outside the region
☐ Excessive security or surveillance of workers
☐ Workers appear afraid to speak freely
☐ Employers hold identity documents
☐ Wage deductions leave workers with little income
☐ Excessive overtime, especially involuntary
☐ Workers recruited through labor agents with fees
☐ Workers unable to communicate with family
☐ Political indoctrination activities at facility
☐ Restrictions on religious practices

PART 7: CBP DETENTION RESPONSE

A. Upon Receipt of CBP Detention Notice

Immediate Actions:

☐ Review detention notice and identify basis
☐ Assemble response team (compliance, legal, logistics)
☐ Preserve all relevant documentation
☐ Review timeline for response

B. Response Options

Option 1: Export

☐ Request immediate export in-bond
☐ Submit in-bond application to port director
☐ Arrange for export of detained merchandise

Option 2: Prove No XUAR Nexus

☐ Provide evidence that merchandise has no connection to XUAR
☐ Demonstrate product is outside scope of UFLPA

Option 3: Request Exception to Rebuttable Presumption

☐ Submit exception request with required documentation
☐ Demonstrate by "clear and convincing evidence" that goods were not produced with forced labor

C. Exception Request Requirements

Documentation Needed:

☐ Complete supply chain traceability
☐ All supplier certifications
☐ Third-party audit reports
☐ Worker demographic data (aggregate)
☐ Production and shipping records
☐ Management systems documentation
☐ Evidence that specific shipment traces to verified supply chain

Evidentiary Standard: Clear and convincing evidence

PART 8: WITHHOLD RELEASE ORDER (WRO) COMPLIANCE

A. Active WRO Monitoring

Current Active WROs (Check CBP website for updates):

☐ Review CBP WRO list monthly
☐ Screen suppliers against WRO targets
☐ Document screening results

WROs Superseded by UFLPA:
Note: As of FY 2026, 11 WROs have been superseded by UFLPA enforcement

B. WRO Screening

PART 9: COMPLIANCE PROGRAM ADMINISTRATION

A. Program Ownership

Forced Labor Compliance Officer:
Name: [________________________________]
Title: [________________________________]
Phone: [____________________]
Email: [________________________________]

Backup Contact:
Name: [________________________________]
Phone: [____________________]

B. Training Program

Training Schedule:

C. Program Review

Annual Compliance Review Checklist:

☐ Update UFLPA Entity List screening
☐ Review supplier certifications for currency
☐ Update supply chain maps
☐ Review CBP enforcement trends
☐ Assess new high-priority sectors
☐ Update policies and procedures
☐ Test response procedures
☐ Document program review

Date of Last Review: [__/__/____]
Next Scheduled Review: [__/__/____]

PART 10: CERTIFICATION AND APPROVAL

A. Annual Program Certification

I certify that [COMPANY NAME] has implemented a forced labor compliance program that includes:

☐ Supply chain mapping and traceability
☐ UFLPA Entity List screening
☐ Supplier due diligence procedures
☐ Supplier certifications
☐ Document retention systems
☐ Audit and verification processes
☐ Training programs
☐ Detention response procedures

Signature: ________________________________
Name: [________________________________]
Title: [________________________________]
Date: [__/__/____]

B. Executive Approval

This forced labor compliance program has been reviewed and approved by:

Signature: ________________________________
Name: [________________________________]
Title: [________________________________]
Date: [__/__/____]

SOURCES AND REFERENCES

• 19 U.S.C. § 1307: https://www.law.cornell.edu/uscode/text/19/1307
• UFLPA: https://www.cbp.gov/trade/forced-labor/UFLPA
• CBP Forced Labor: https://www.cbp.gov/trade/forced-labor
• DHS UFLPA Strategy: https://www.dhs.gov/uflpa
• UFLPA Entity List: https://www.dhs.gov/uflpa-entity-list
• CBP UFLPA FAQs: https://www.cbp.gov/trade/forced-labor/faqs-uflpa-enforcement
• Operational Guidance for Importers: Available on CBP website

KEY STATISTICS (2025-2026)

LEGAL NOTICES

No De Minimis Exception: There is no minimum threshold for UFLPA. Any XUAR content, regardless of quantity, subjects the entire product to the rebuttable presumption.

Worldwide Application: UFLPA applies to goods produced anywhere in the world if they contain inputs from XUAR or Entity List parties.

Strict Enforcement: CBP continues to increase enforcement, with detention rates rising and clearance rates declining.

This checklist is provided for educational and informational purposes only. Forced labor compliance requirements are complex and evolving. Consult with a qualified trade attorney for guidance specific to your supply chain and products.