Customs Due Diligence & Supply Chain Security Checklist (Imports).

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1 Appendix II Customs Services Division Customs Due Diligence & Supply Chain Security Checklist (Imports). Customs Accredited Clients Program Version

2 CUSTOMS ACCREDITED CLIENTS PROGRAM (CACP) Due Diligence and Supply Chain Security Checklist (IMPORT) As part of the requirements for accepting an import company in the Accredited Client Program (ACP) of Zambia Revenue Authority (ZRA) Customs Services Division, the company must have well-documented customs due diligence and supply chain security procedures, and these procedures have been already ed and strictly-followed by the company. The documented procedures must be in accordance to the customs due diligence and supply chain security checklist contained in this Appendix. According to this checklist, the company must satisfy the requirements A, B and C described below. A. The company must be 100% compliant with the A rated (Fundamental) requirements of the checklist (see definitions below). B. The company must be either 100% compliant with the B rated (Important) requirements, or else, provide a satisfactory improvement plan to guarantee compliance with these requirements within a reasonable time period agreed between ZRA and the company. C. Though not mandatory, the company may comply with the C rated (Desirable) requirements for the purpose of attaining additional benefits from ZRA (in addition to benefits available to CACP participating companies). Definitions of the A, B and C requirements are described below. A - Rated Requirements The requirements designated by the letter A in the first column of this checklist are considered fundamental, and the company must have documented and strictly-ed procedures addressing these requirements. An improvement plan is not adequate and is not acceptable to address these fundamental requirements. B - Rated Requirements The requirements designated by the letter B in the first column of this checklist are considered important, and the company must ultimately have documented and strictly-ed procedures addressing these requirements. If the company is not 100% compliant with these requirements, then an improvement plan by the company can be accepted by ZRA if such a plan addresses these important requirements in full and the plan is ed within a reasonable time period. C - Rated Requirements The requirements designated by the letter C in the first column of this checklist are considered desirable, and the company is encouraged to comply with them in the future. These requirements are not mandatory for the company to join the CACP, however, ZRA is willing to negotiate additional benefits to be offered to the companies that respond to these requirements. Page 2 of 26

3 Guide The questions in the checklist are a guide to allow ZRA and Accredited Client candi companies to determine if the applicant is ready to assume the responsibilities of selfassessment. The check list questions are designed to determine if the company has made a commitment to specific actions (internal procedures and controls) that will enhance compliance. A company that does not have procedures and controls in place may answer that it plans to develop and procedures and controls and specify a target for ation. Response Yes or A response yes or no in this column indicates whether a company has ed procedures and controls in response to the question. If, a company has adequate procedures and controls that it believes document that the company is ready to assume the responsibility of selfassessment, the company can answer yes to the question. If, the company does not have adequate procedures and controls, whether they are generally adequate or need significant improvement, the company can answer no under this column and indicate in the next column that it plans to procedures that will be adequate for the company to assume responsibility of self-assessment. If, or improve ( yes or no ) If, the company indicated no under the previous column, the company can respond yes or no in this column to indicate whether it plans to or improve procedures and controls. Whether the company procedures and controls are generally adequate but need small improvements, or need significant improvements, ZRA may accept the company into the CACP under certain conditions. The company must commit to making the necessary improvements and demonstrates that the steps are in process. If, the company agrees to make needed improvements the company should respond yes in this column. ZRA will periodically monitor the improvement process. Failure to follow through would then result in removal from the Accredited Client program. If, the company does not have or plans to have these procedures and controls ZRA Customs will need to consult with the company to ascertain their readiness to assume responsibility of self assessment. Shipments associated with non-participants in the CACP will be subject to other risk assessment factors. If, the company indicates that it is going to procedures and controls under this column, it should provide the target to have the procedures and controls ed and working in this column by the target. ZRA would expect that this target will be within 4 to 6 months from the time of self assessment. Page 3 of 26

4 Section 1: General Control Environment This section evaluates the existence of broad elements of internal control that give reasonable assurance with regards to compliance with Customs and other statutory laws and regulations.. Description of due diligence Yes or Implement or Improve: Yes or A-1 Do you have a Risk Management Policy? A-2 Do you have a Policies and Procedures manual that guide staff in their operations, including Customs related requirements? B-3 Does your company hold any Quality Management Certificates (ISO or Similar) If yes mention them Date A-4 a) Do you have a Code of Ethics and Conduct? b) Is this code made available to every member of staff? c) Do you have an elaborate disciplinary procedure? A-5 Do you have an Internal Audit Department (Internal or outsourced)? Section 2: EXTERNAL CUSTOMS EXPERT A-6 a) Do you have a process for selection and appointment of a Customs Clearing agent? b) If yes to a) above, has the process been followed? c) Have you examined all other licenses and other official documents of the agent, such as: Business Registration TPIN VAT Registration Tax Clearance Business Trading License? Checked additional certification verification: business registration, etc? or improve: Page 4 of 26

5 d) Have you examined the license of the clearing agent (issued by Zambia Revenue Authority Customs Services Division) to guarantee its validity? B-7 Have you taken any steps to ensure the quality of your licensed clearing agent? a) Management System, i.e., ISO 9000, registration? b) Checked the clearing agent s internal quality system and procedures? c) Checked that the professional qualifications as well as the experience of the personnel employed by the clearing agent ensure that your imports and / or exports comply with the requirements of the customs law of Zambia?; d) Checked if your clearing agent is a current member of any shipping / clearing agent association in Zambia or outside Zambia? e) Checked if the licensed clearing agent is included in a list of agents, kept by Zambia Revenue Authority, Customs Services Division, that had been penalized as a result of an infringement of the Zambian Customs Law? f) Checked that your licensed clearing agent keeps complete and accurate records of all of your imports and exports transactions? A-8 If your documentation is prepared outside your own organization, a) Do you have a reliable system, or check list, in place to insure that you receive copies of the information as submitted to Customs? b) Do you have a reliable system to ensure that all customs-related documentation is reviewed for accuracy, missing documents and pages, license(s), technical passport, compliance certificates, banking documents, etc.? c) In the event of mistakes and/ or missing documents, do you have a reliable system to insure that you disclose to Customs in a timely manner the need for corrections? or improve: Page 5 of 26

6 Section 3: INTERNAL CUSTOMS EXPERT If you are not contracted with and using a licensed customs broker or external customs expert, have you taken the following steps? A-9 a) Does your company have an internal customs expert who has extensive knowledge in customs matters, customs law and regulations and customs agreements? b) Does your company have an international transport expert? c) Have you taken any steps to verify the training, technical expertise and tested knowledge of ASYCUDA, security of trade and facilities, etc., with your customs person? A-10 a) Do you have on file a complete and current copy of the Customs Law and Regulations and all relevant Customs Regulations pertaining to the commodity, materials, equipment and or spare parts that your company is importing? b) Do you have on file current copies of all Laws and Regulations and agreements relevant to your business operation? For example: Copy of the Income Tax and Value Added Tax Law for Zambia. Copy of the Instructions regarding WTO Valuation principles in the Customs Law. Customs prohibited Imports. Convention on International Transport of Endangered Species (CITES). Regulations on hazardous and dangerous goods. Freight Transport Law of Zambia? Harmonized System Convention. tarized contract with the Government as a Foreign Investor. Vehicle axle weight laws and regulations. Railway Regulations, Tariffs and dimensions for large loads. Preferential customs duties Copy of the Import and Export Law published by the Zambian Ministry of Industry and Trade that provides the list of import goods that require an import license and permits. Copy of the Companies Law published by Zambia Ministry of Industry and Trade. Copy of the Phyto Sanitary Regulations administered by the Ministry of Agriculture, or improve: Page 6 of 26

7 Ministry of Health. Regulations for the import and export and transit of scrap metal. Copies of current import and transit protection measures. Copies of the anti dumping regulations. Copy of the Central Bank Law and Central Bank Regulations of Zambia. Copy of the Zambian Intellectual Property Rights Laws and instructions and the TRIPS Agreement (ref parallel trade and counterfeit goods). Copy of the Zambian Bureau of Standards and the list of product technical standards. Instructions governing the export and import of heating, asphalt, fuels and raw materials from the Ministry of Power. Instructions and permission rules for the import of frozen chicken. Zambia Customs' instructions concerning customs clearance procedure using the ASYCUDA systems. Copy of the Zambia Customs Instructions providing for the licensing, operations, equipment and procedures of a bonded storage warehouse. Copy of the Zambia Customs Instructions for WHO, Red Crescent, US AID. c) Do you have a procedure in place to verify that you are current and up to on all applicable changes in the Customs Laws and Regulations? d) Do you have a copy of the current Tariff Schedule for Zambia and the countries that you operate in A-11 Do you have internal controls for appropriate management of warehoused goods, in accordance with Customs requirements? B-12 Do you have a procedure to identify damage to the goods by force majeure or by an unforeseen event and present the damage report / findings to Customs in order to obtain remission of duty approved by the Commissioner? or improve: (te: If you are not using an external expert we strongly recommend that you review the "Customs Due Diligence and Supply Chain Security Checklist" for Customs Agents and apply the checklist as part of your internal company procedure.) Page 7 of 26

8 Section 4: INTERNAL CONTROL REVIEWS The criteria listed below are the recommended best practices for all importers whether using an external expert or not. In many cases meeting the criteria for the following procedures will be covered by contractual agreement with your external expert. However, internal compliance steps are also recommended. A. Merchandise Description & Tariff Classification This section verifies the existence of an established and reliable procurement and supply chain management procedure or program to ensure that you know what you ordered, where an item was made and what it is made of. A-13 a) Do you have a reliable program or procedure in your company to maintain and produce all compliant Customs declaration documentation and supporting information? b) Have you provided or established reliable procedures to ensure you provide a complete and accurate description of your merchandise to Customs in accordance with the Customs Act? c) Have you provided or established reliable procedures to ensure you provide a correct tariff classification for your merchandise to Customs in accordance with the Customs Tariff? d) If you are claiming an exemption for your merchandise, do you verify that the merchandise qualifies for such status? e) Have you obtained or developed reliable procedures to obtain any required or necessary documentation to support the claim? B. Tariff, Anti Dumping and Miscellaneous Questions A-14 a) Do you have a reliable system that records all Customs errors/omissions, penalties and court cases? b) Do you have a reliable system that ensure that procedures are upd to prevent recurrence of errors/omissions? B-15 a) Do you have an internal company instruction / policy manual for self regulated checking between your shipping department, warehousing department, accounting department and import and export departments to insure that discrepancies between Page 8 of 26

9 actual goods shipped or received correspond to declared counts to Customs? b) Checked the Goods Received te (GRN)? c) Checked the Warehouse Inventory List? d) Checked the Warehouse Inventory valuation with the Accounts? e) Checked if your company accounts values as held in the company accounts software system (SAP, Platinum, etc) corresponds with the values on the customs documents and warehouse inventory system? B-16 a) Do you have internal audits to ensure that values declared to Customs actually correspond to payments? b) Do you routinely and on a scheduled basis conduct internal audits for compliance with Customs legal requirements? c) Do you have a policy or procedures to make voluntary disclosures to Customs when errors or omissions are discovered? d) If you have a company Code of Conduct does it contain a policy statement on offering bribes and responding to solicitation of bribes? e) If you have a company Code of Conduct does it include a provision for non-participation in any attempts to commit a fraud against the Government and an obligatory requirement to report frauds or attempted frauds to the proper authorities? C. Licensing & Certification A-17 a) Have you taken measures or developed reliable procedures to ensure that your merchandise complies with other agency requirements prior to or upon entry, including the procurement of any necessary original copies of certificates, licenses and or permits from ZABS, PQPS, ECZ and the Pharmaceutical Regulatory Authority and other relevant authority s? Page 9 of 26

10 Section 5: COMPLIANCE WITH ZAMBIA CUSTOMS LAW A. Country of Origin This section verifies if you have taken reliable measures to ascertain the correct country of origin for the imported merchandise. A-18 a) Do you have a reliable program to check the country of origin certificate to ensure its authenticity? b) Do you have a process to obtain additional evidence to prove the authenticity of the certificate of origin in case Customs has reason to doubt the authenticity of the certificate of origin? A-19 Have you established reliable procedures to verify or ensure that the merchandise is properly marked upon entry with the correct country of origin (if required) and any other applicable special marking requirement? B-20 Have you undertaken due diligence (customs advise) and taken reliable and adequate measures to communicate the requirements of Zambian Customs for country of origin (or other marking requirements) to your foreign supplier prior to the departure from the place of manufacture and or assembly and importation of your merchandise? B-21 Have you developed reliable procedures to ensure that you have ascertained the correct country of origin and assured yourself that no illegal transshipment or false or fraudulent practices were involved? Checked directly with the manufacturer and received verification? B-22 Do you have procedures to substantiate any change in the origin of the merchandise? B-23 Do you know who, where and how your goods are made from raw materials to finished goods? Checked with the supplier and received written assurance? B-24 Have you established reliable procedures to check the rules in the treaties between Zambia and other countries that identify preferential treatment? Page 10 of 26

11 B. Customs Value This section verifies if you are taking reasonable steps to insure that the value you declare to Customs is the correct value under the Fifth Schedule of the Customs Acts, Cap 322. A-25 Do you have a reliable procedure to insure that the value of goods declared to Zambian Customs is the correct value according to the requirements of the Fifth schedule? A-26 Are there any conditions, circumstances or stipulations that affect your company's ability to purchase or dispose any of your imported goods? Mention them with identifying the names of goods affected. A-27 a) Do you know or have you established reliable procedures to know the transaction value: price actually paid or payable plus legal adjustments for your merchandise? b) Do you know the terms of sale; whether there will be rebates, tie-ins, indirect costs, additional payments; whether assists were provided, commissions or royalties paid; and are there documents to prove this? c) Are amounts actual or estimated? d) Do you have a reliable procedure to check the conditions to the transaction value? e) If you purchased the merchandise from a "related" seller, have you taken measures to establish a reliable procedure to ensure that the value reported to Customs meets one of the "related party" tests? f) Do you check if your bank keeps all transaction documents in case the documents are required for an independent inspection or by customs officers in the course of their duties to undertake audits and inspections? g) Do you together with your supplier(s) have a procedure to indicate all the costs that make up the transaction value as per items? A-28 a) Do you have an established and reliable procedure to ensure that all of the legally required costs or payments associated with the imported merchandise have been reported to Customs: transportation, insurance, cargo handling, port chargers, assists, all commissions, indirect payments or rebates/discounts and royalties, etc.? b) Do you have a reliable check list and procedure to produce objective and quantifiable data for customs to determine the transaction value and consequently avoid an indeterminable value for your merchandise? Page 11 of 26

12 For example: Original contract that proves the purchase-sale or a lease contract (not a rental agreement) The banking documents A stamped and signed certificate of origin form from a relevant authority. A cargo declaration Shipping documents: bills of lading, airway bill (AWB) Original stamped commercial invoices c) Do you have a reliable procedure to obtain further correct and authentic documents to prove the transaction value in cases where Customs doubt the authenticity of the produced documents, and have you established by agreement with Customs the definition of reasonable opportunity to respond? C. Class of Goods C-29 Do you have a procedure to obtain Official Gazettes such as Statutory Instruments and Amendment Bills in order that you have a complete and up to record of Customs Tariff Schedules Section 6: ENTRY AND EXIT OF GOODS A. Presenting Goods to the Customs Authority C-30 a) Do you have a reliable procedure that ensures the correct manifest of the goods is presented to Zambian Customs? b) Do you have a reliable procedure for presenting without delay the goods to Zambian Customs? Page 12 of 26

13 B. Prohibitions and Restrictions C-31 Do you have a reliable procedure to ensure that prohibited and restricted goods do not arrive in Zambia? C. Intellectual Property D. B-32 Do you have a reliable procedure to permit you to determine whether your merchandise or its packaging bear or use any trademarks or copyrighted matter or are patented? B-33 Do you verify if you have a legal right to import those items (mentioned in the previous paragraph) into, and/or use those items in your country of importation? B-34 Do you have a reliable procedure and training and awareness system for your personnel dealing with imports regarding the requirements for intellectual property rights in Zambia as provided under the provisions of any intellectual property conventions signed to and ratified by Zambia? B-35 Do you have copies of the Law on Copyright and Related Rights, Act on Trade Marks, Service Marks, and Names of Places of Goods Origin, Law on Patent and the Regulations that these Laws? C-36 If you are importing goods or packaging, which consist of, or contain registered copyrighted material, have you checked or established a reliable procedure to ensure that it is authorized and genuine? If you are importing sound recordings of live performances, were the recordings authorized? E. Temporary Entry A-37 a) Do you have a reliable procedure that includes a written system to ensure that goods entering under the temporary import regime are allowed for by the provisions of Customs Act? b) Do you have a reliable procedure for monitoring and ensuring that temporary imports have their permit Page 13 of 26

14 extended, are re-exported or final cleared before expiry of the temporary import permit? F. Import and Export Transactions Management This section aims to verify whether the company has established internal control systems and procedures that ensure that all the company s accounts on the Customs system are up-to- and that all declarations are valid, fully processed, and have met all statutory requirements.. Description of due diligence/guide Yes or Implement or Improve: Yes or A-38 Do you have written procedures and approval process for presentation of entries to Customs? A-39 Do you have a documented mechanism for monitoring and validating entries declared to Customs under your TPIN? A-40 Do you have documented procedures and mechanism to ensure that there are no overdue entries and that all entries (Final clearance, Removal in Bond, Removal in Transit, Bonded Warehouse entries, Temporary Import Permits) have been fully processed within statutory periods? Date SUPPLY CHAIN SECURITY VALIDATION PROCESS GUIDELINES Based upon Customs Trade Partnership Against Terrorism (C-TPAT) and World Customs Organisation (WCO) Supply Chain Security and Facilitation and the Advance Cargo Information Guidelines. The recommendations are not mandatory for C-TPAT participation, but they may be helpful in the self assessment and customs assessment inspection. Objectives Develop and a sound plan to enhance security procedures throughout your supply chain. Where your company as an importer does not control a facility, conveyance or process subject to these recommendations, the importer agrees to make every reasonable effort to secure compliance by the responsible party. The following are general recommendations that should be followed on a case-by-case basis depending on the company s size and structure and may not be applicable to all. Page 14 of 26

15 A. Procedural Security Procedural security assures recorded and verifiable location of goods in the supply chain. Procedures should provide for the security of goods throughout the supply chain. Contingent procedures should be included within the scope of procedural security. A-1 Does your company have reliable procedures and a written system in place to protect against non manifested material being introduced into the supply chain? A-2 Does your company have reliable procedures and a written system to ensure your supply chain has security controls that include the below listed requirements? The proper marking, Weighing Counting and documenting of cargo/ cargo equipment verified against manifest documents Detecting/ reporting of shortages/ overages Detecting of irregularity or illegal activities Procedures for verifying seals on containers, trailers, and railcars B-3 Does your company have reliable procedures and a written system to ensure that the incoming and outgoing of goods are recorded, supervised and monitored? A-4 Does your company have reliable procedures and a written system to ensure that the procedures for notifying Customs and other law enforcement agencies in cases where anomalies or illegal activities are detected, or suspected, by the company are in place? B-5 Does your company have reliable procedures and a written system to ensure that your company Facility/ Terminal operators have written and verifiable security procedures in place with regards to areas under your company control? C-6 Does your company have an integrated computer information exchange system (Connectivity and share) with your suppliers, freight forwarder (Supply chain participants) and your company sections and divisions that are involved with your import transaction and physical movement of your goods and consignments? Does your company computer system allow the C-7 connectivity to exchange sufficient quality information that has the required detail to record in-transit visibility and exception reporting and product identification for each consignment / container in real time? Page 15 of 26

16 C-8 Is your company computer system sophisticated enough to record container opening, tampering and other dock to dock tracking visibility? C-9 Is your company computer system sophisticated enough to inform you where a shipment is supposed to be and if delivery is ahead or behind schedule, wrong direction, radiation, seawater or chemical problem, temperature change beyond tolerance levels, as well as other client specific information and consequently produces an exception report (Your transportation agent or freight forwarder may have this type of system capability)? C-10 Does your computer system or the computer system of your transportation operator / agent and freight forwarder have the capability to produce a complete audit trail of where the container has traveled and when and where exceptions have been generated, detection capture, communication of breeches in real time and that exceptions generate real time notification to you via , pager or XML/EDI transactions? A-11 Does your company have reliable procedures and a written system to ensure that your company properly stores empty and full containers to prevent unauthorized access, including the use of tamper-proof / noncounterfeitable seals? A-12 Does your company have reliable procedures and a written system to ensure that your company checks empty containers received for storage or loading to ensure its structure has not been modified? B-13 Does your company have reliable procedures and a written system to ensure that your company verifies the identity and authority of the carrier requesting delivery of cargo prior to cargo release? B-14 Does your company have reliable procedures and a written system to ensure that your company carries out random and unannounced security assessments? B-15 Does your company have reliable procedures and a written system to ensure that your company employees inspect persons and packages? B-16 Does your company have reliable procedures and a written system to ensure that your company has and carries out additional security procedures for high value and high risk goods? B-17 Does your company have reliable procedures and a written system concerning sending and receiving of cargo shipments (time container seals were applied, time shipment was inspected and by who, time container was carried by the truck, who was the truck Page 16 of 26

17 driver, etc.)? C-18 Does your company have a reliable procedure and a written system to ensure that time stamps (using a printing clock or similar) are applied on all shipment documents, including the delivery time? A-19 Does your company have a reliable procedure and a written system to ensure that all shipment/ cargo documents are completed accurately? B. Physical Security Physical security includes security measures that monitor and control the facility s exterior and interior perimeters. This will include Mail Service Security, Lock and Key Control, and Perimeter and Interior Alarms. Recommended features are to be installed as appropriate. A-20 Are all of your company buildings and rail yards constructed of materials that resist unlawful entry and have protection from outside intrusion? B-21 Do your company buildings and offices have physical security that includes the following requirements? a) perimeter fences, locking devices (International standard) on reinforced external and internal doors; b) windows with mesh, metal bars; c) International standard locking devices on external and internal doors, windows, gates and fences. Exterior doors and windows must be equipped with alarms; d) perimeter fences and interior fencing, e) gates and gatehouses; f) adequate lighting inside and lighting outside the Page 17 of 26

18 facility; g) Cameras (CCTV); h) electronic security systems that include theft alarm systems and alarmed access control systems; i) have the segregation and marking of international, domestic, high-value, and dangerous goods cargo within the warehouse by a safe, caged or otherwise fenced-in area; j) Large dual language signage: that display and instruct direction, health and safety and restricted areas? B-22 Does your company plan and a maintenance program that comprises regular scheduled inspections to keep fencing, gates, lights and cameras in good condition and working order (maintain the integrity of security measures)? B-23 Does your company have emergency lighting / power systems for key operational areas and high value cargo areas? C. Access Controls: Access controls prohibit unauthorized access to facilities, vehicles, loading and unloading equipment, vessels, aircraft, shipping, loading docks, break bulk areas and cargo areas. If, access control is not possible increased precautions in other security aspects is needed. A-24 a) Do you have procedures and physical access controls that include positive identification of all employees, visitors, and vendors, that includes check in and check outs and labeling? B-25 a) Do you have procedures and physical access controls that trigger an alarm when visitors attempt to enter an unauthorized area? b) Do you have procedures and written instructions for all employees which results in your employees and guards safely challenging unauthorized/unidentified persons and removing unauthorized/unidentified persons? c) Does your company control and monitor the parking Page 18 of 26

19 of all vehicles around the company offices and port/terminal buildings that include segregation and restricted areas access? d) Does your company vehicle parking procedure and control system include the authorization by an adequate gate/pass and/or decal system? e) Does your company have a procedure that ensures vehicle parking for office employees, terminal/warehouse (facility) workers and visitors are physically segregated and restricted to designated areas? a) Do you have procedures, written instructions and trained personnel that ensure you control the time individuals have access to facilities? b) Do you have procedures, written instructions and trained personnel that ensure vehicles are inspected before they enter operation facilities? B-26 Do you have procedures, written instructions that ensure you display large dual language maps of restricted areas within the view of all employees and visitors? D. Personnel Security Personnel security is concerned with the screening of employees and prospective employees, as appropriate and as allowed for by law. Recommended procedures to be conducted as appropriate. A-27 Do you have a written procedure that ensures you conduct employment screening and interviewing of prospective employees? B-28 Do you have a written procedure that ensures you conduct periodic background checks and resume / application verifications? B-29 Do you a written procedure that ensures your verify job application information? B-30 Do you have a written procedure that ensures you contact references? B-31 Do you have a written procedure that ensures you review the skill requirements for key positions? Page 19 of 26

20 B-32 Do you have a written procedure that ensures you check the background and corporate structure of independent contractors? C-33 Do you have a written procedure that ensures you different color ID cards to employees that designate access privileges? C-34 Do you have a written procedure that ensures you issue to employees different color uniforms for each sensitive area? C-35 Do you have a written procedure that ensures you issue different color uniforms for your security staff? B-36 Does your company have an authorized and responsible senior company manager and or director responsible for company security plans and for the ation of security measures and procedures? B-37 Do your senior company manager and/ or director responsible for security have the authority to announce a security threat level on the company property and to company employees? B-38 Does the company person responsible for security have the authority to undertake a Security Assessment (Risk analysis) and as a result of the Security Assessment a Security Plan that includes various controls and compliance measures? E. Education and Training Awareness Education, training and awareness encompass education and training of personnel regarding security policies, encouraging alertness for deviations from those policies and knowing what actions to take in response to security lapses. A-39 Do you have a written procedure that ensures you communicate security policies and standards to employees, including consequences of noncompliance? B-40 Do you conduct a security awareness program for all employees that includes the recognition of internal conspiracies, maintaining cargo integrity, and determining and addressing (solving) unauthorized access? Page 20 of 26

21 B-41 Does your security awareness programs provide for incentives for active employee participation in security controls? The security education and training awareness program must encourage active employee participation in security controls. C-42 Does your company have a reliable process by which you search for and obtain new supply chain security information? For example: World Customs Organization (WCO) initiatives and programs: Convention and commentary on Mutual Administrative Assistance in Customs Matters, WCO Data Model and the list of essential data elements required for the identification of high risk consignments, International Customs guidelines on advance cargo information, etc. C-43 Does your company participate in Zambian Customs and Port plans and programs to introduce and or enhance supply chain security measures? B-44 Does the company education and awareness training include hands on training for all company employees to recognize and address potentially dangerous items during packing, loading and unloading process? F. Conveyance Security Conveyance security provides protection against the introduction of unauthorized personnel and material into the supply chain, including the areas between the links of the supply chain. Recommended procedures to be conducted as appropriate A-45 Does your company have a reliable procedure and written system that ensures there is protection in your transportation system that protects it from the introduction of unauthorized personnel and material? A-46 Does your company have a reliable procedure and a written agreement with suppliers and transportation and freight forwarders to ensure that they establish and procedures to guard against the packing and loading of goods of unknown articles and materials? Page 21 of 26

22 a) Supervised loading and unloading of all goods; b) Proper sealing, marking, and counting of goods and packages and boxes loaded into containers; c) The correct documentation for the goods that are loaded into the container must be sent in advance to Zambia; d) Approved procedures for affixing, recording, tracking and verifying seals on containers and trailers are in place. C-47 Does your company use tamper-proof / noncounterfeitable seals or electronic seals to secure conveyances? C-48 Does your company use transponders to facilitate continual tracking of conveyances? C-49 Does your company use automatic electronic transmittal of smart-card data to Customs if available? C-50 Does your company use smart-card technology containing vehicle, consignment and driver information where automated border crossings are in place? G. Service Provider Requirements: Forwarders and operative sub contractors C-51 Does your company have reliable procedures and a written system that is ed to ensure those service providers with whom your company is contracted are participants in Zambia Customs Accredited Client Program? H. Trading and Transportation Operator Security Trading partner security extends supply chain security to your suppliers and customers. Communication, assessment, training and improvement are key components. Recommended procedures to be conducted as appropriate Page 22 of 26

23 B-52 Do you check the integrity of your international transport operator? B-53 Do you request written security agreements with trading partners/ suppliers/ contractors to include controls such as the below listed? Tamper-proof/ non-counterfeit seals; Signatures; Time controls; Agreed means of communication. B-54 Do you document mutual supply chain security policies? B-55 Do you have extensive exchange of information between trading partners/ suppliers/ contractors? C-56 Do you advise Customs and foreign authorities of security agreements with trading partners? C-57 Do you have or receive education, training and awareness of security aspects of the supply chain from trading partners? I. Internal Company Record Keeping System This section verifies if your company has an established internal record keeping system, a Quality Management System, and or a compliance guide book that ensures that all documents related to your import transaction and import processing documents are correct and stored for an adequate time period. Def. The term records means any information made or normally kept in the ordinary course of business which pertains to the following activities: a) Accounts: Record of Reconciliation, receipts, payment documents, VAT payments, etc b) Warehouse documents: delivery notes, goods received notes, inventory lists, record of deliveries, etc c) any importation, declaration or entry; d) the transportation or storage of merchandise carried or held under guarantee into or from the customs territory of your country and the other countries that you operate in; e) the filing of a drawback claim (re-export), etc; Page 23 of 26

24 f) the collection and payment of fees, duties and taxes to Customs; g) any other activity required to be undertaken pursuant to laws or regulations administered by Customs, such as transfer pricing and expert independent inspection, etc; or, documents that are required by law to be stored. A-58 Do you have a lockable secure storage place for your records? A-59 a) Do you have a reliable procedure and a written system that ensures all of your company section / division personnel retain all relevant records/ documents for the minimum duration prescribed by law? b) Do you document when and how your record keeping procedures are changed? C-60 Are all your company documents and records officially certified (stamped or sealed) by your company? A-61 Do you have written procedures with respect to canceling records, financial and trade documents? A-62 What are the procedures you follow when errors in your records are discovered? B-63 Does your company have a record of paying penalties for not keeping documents for the minimum duration prescribed by law? A-64 Does your company have a procedure and a written requirement as an instruction to all company personnel, and a document archive facility to keep and store the documents listed below? a) Air way bill; b) Bill of lading; c) Carrier certificate; d) Declaration of entry; e) Power of Attorney; f) Consolid shipments authority: if this procedure is used; Packing list; g) Bond information; h) Vessel, vehicle or air manifest; i) Certificates of Origin; There are other documents that are relevant for specific commodities and transport modes, etc., which need to be retained. Page 24 of 26

25 J. Documentation and Information Processing Security Documentation processing security, both electronic and manual, assures that information is legible and protected against the loss of data or introduction of erroneous information. Recommended procedures to be conducted as appropriate A-65 Do you have a written procedure that ensures you safeguard computer access and information? A-66 Do you have a written procedure that ensures you protect and control access to company data base? B-67 Do you have written procedures that ensure you monitor employee use of data systems? A-68 Do you have written procedures that you have processes to backup computer system data? B-69 Do you have a written procedure that ensures you record all your transactions electronically (on the computer)? B-70 Do you have a written procedure that ensures you document significant process delays? A-71 Do you have physical security in computer areas? K. Future automated data exchange and authorized supply chain related procedures: C-72 Establish electronic customs reporting systems based upon World Customs Organization Customs Data Model and the Unique Consignment Reference (UCR)? C-73 Establish advance manifest reporting systems? C-74 Advance lodging of data? C-75 Electronic Authorization? C-76 Customs mutual assistance arrangements? Page 25 of 26

26 L. Internal finance and accountancy controls A-77 Does you company have a reliable procedure and a written system that ensures you obtain and maintain a record of all new finance and accountancy laws, regulations and guidelines a copy of which is each provided to each member of your staff that is involved with transactions and record keeping? A-78 Do you maintain an original document and electronic document audit trail from procurement, accountancy, goods received, warehousing and payments in your company? A-79 Are the financial and accountancy control systems in your company consistent with and compliant with the Accountancy standards that are legally enforced in Zambia? B-80 a) Does your company have a reliable procedure and a written system that ensures you plan and perform periodic testing and assessment in the company operations and divisions that have an effect on imported goods? b) Does the procedure include a minimum annual review of the significant risk areas? B-81 Does your company have a reliable procedure and a written system that ensures you hold interdepartmental meetings to discuss and coordinate changes to your financial and accountancy internal control systems when the tests and assessments or other information show a need for compliance improvement? B-82 Does your company have an authorized and responsible person that can initiate appropriate disclosure of financial and accountancy? B-83 Does your company have a reliable procedure and a written system that ensures you have an internal control process that document and retain all the tests and assessments? B-84 Can all the specific procedures and written systems be made available to Zambian Customs in a verifiable format at an identified location? Page 26 of 26

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