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TMI BlogSELF-ASSESSMENT FORM FOR AUTHORISED ECONOMIC OPERATOR (AEO)X X X X Extracts X X X X X X X X Extracts X X X X ..... and Service Tax laws? (c) Whether procedures are in place to identify and disclose any irregularities or errors to the Customs authorities or, where appropriate, other regulatory bodies? and (d) Whether appropriate remedial action is taken when irregularities or errors are identified? Note: The Self-Assessment can be carried out by the applicant themselves or through a third party having expertise. (B) Financial Solvency 2 Issues Yes No Remarks (a) Whether the applicant is financially solvent for the three years preceding the date of application? (Solvency would generally be defined as good financial standing that is sufficient to fulfill the commitments of the applicant including ability to pay duties) (b) Whether, where req ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ly them and compare them against transport documents, purchase/sales orders and Customs papers? (j) Whether internal control procedures exist when discrepancies and/or irregularities are discovered? (D) Procedural Security 3.2 Procedural Security Yes No Remarks (a) Whether the security measures are in place to ensure the integrity and security of processes relevant to the transportation, handling, and storage of cargo in the supply chain. (b) Whether proper documentation management procedure are in place to ensure that all documentation used in the clearing of cargo, is legible, complete, accurate and protected against the exchange, loss of introduction of erroneous information. (c) Whether procedures are in place to ensure th ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ropriate and secured? (e) Whether predetermined routes are identified by the dispatcher, and procedures of random route checks along with documenting and verifying the length of time between the loading point/trailer pickup and the delivery destinations is in place? (f) Whether system of maintaining conveyance and trailer integrity is in place by utilizing a tracking and monitoring activity log or records? (F) Premises Security 3.4 Premises Security: Yes No Remarks (a) Whether building is secured against unlawful entry? (b) Whether external and internal windows, gates and fences are secured with locking devices or alternative access monitoring or control measures? (c) Whether management or security personnel control the issu ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... all reasonable precautions have been taken when recruiting new staff to verify that they are not previously convicted of security-related, Customs or other criminal offences? (b) Whether periodic background checks are conducted on employees working in security sensitive positions? (c) Whether employee identification procedures require all employees to carry proper identification that uniquely identifies the employee and organisation? (d) Whether procedures to identify, record and deal with unauthorized or unidentified persons, such as photo identification and sign-in registers for visitors etc. have been ensured at all points of entry? (e) Whether procedure to expeditiously remove identification and access to premises and informati ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... business partners demonstrating their compliance with and equivalent and accredited security program administered by a foreign Customs authority. (d) Whether the system for periodic reviews of business partner's processes and facilities based on risk is in place? (I) Security Training and Threat Awareness 3.8 Security Training and Threat Awareness Yes No Remarks (a) Whether a threat awareness program must be established and maintained for employees to foster awareness of the threat at each point in the supply chain?. (b) Whether employees are aware of the procedures the company has in place to address a situation and how to report it?. (c) Whether specific training are offered to assist employees in maintaining cargo integrity ..... X X X X Extracts X X X X X X X X Extracts X X X X
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