DOC

ICP QUESTIONNAIRE FOR TIER 3 PERMIT APPLICATION

By Willie Hall,2014-05-07 10:49
9 views 0
ICP QUESTIONNAIRE FOR TIER 3 PERMIT APPLICATION

Singapore Customs, Strategic Goods Control Branch

    55 Newton Road, #06-02, Revenue House

    Singapore 307987

    Contact No.: 6337 5996

    Fax No.: 6337 5212

    Email: customs_stgc@customs.gov.sg

    ANNEX A - INTERNAL COMPLIANCE PROGRAMME (ICP) QUESTIONNAIRE

This form is to be completed when you apply for an STS Tier 2 and/or Tier 3 permit.

     This form may take you about 30 minutes to complete.

Important Notes:

    1. Please fill in all fields. (Write NA if not applicable.)

    2. Tick (?) where applicable.

    3. Please complete the questionnaire and submit it with the relevant application form and supporting documents (via

    email, fax or post) to Singapore Customs.

Section A: Element 1 Company’s Commitment

    1. ICP manual

a. Is there an ICP manual?

     Yes No [Proceed to 2.]

b. How is it made available to all staff?

     Employee Handbook

     Induction Booklet

     Intranet/Server/Shared Drive

     Others (please specify):

2. Corporate Policy Statement

a. Is there a Corporate Policy Statement on compliance?

     Yes No [Proceed to Section B.]

    If Yes, please attach a copy of the corporate policy statement together with this questionnaire. You may refer to the STS Handbook Annex A, paragraph 4, for a guide on what is to be included in the Policy Statement.

3. Communication of Policy Statement

    a. Has the policy statement been communicated to every employee at all levels?

     Yes No [Proceed to (c).]

b. How has it been communicated to the employees?

    SC-A-087 (Ver 1 05/09) 1

     E-mail dated

     Notification letter/memo/circular dated

     Acknowledgement in writing by employees

     Induction Training

     Others (please specify):

    c. Has the policy statement been communicated to the company's clients (customers, suppliers, etc.)?

     Yes No [Proceed to Section B.]

    d. How has it been communicated to the company’s clients (customers, suppliers, etc.)?

     E-mail dated

     Notification letter/memo dated

     Acknowledgement in writing/clause in contract(s)

     Others (please specify):

    Please furnish evidence of such communications with this questionnaire.

SC-A-087 (Ver 1 05/09) 2

    Section B: Element 2 Nomination of Strategic Goods Control Officer(s)/Administrator(s) 4. Nomination of Suitable Personnel

    a. Is/are there person(s) nominated to be responsible for ensuring your company’s compliance with the SGCA and its

    Regulations and other related domestic legislations?

     Yes No [Proceed to Section C.]

    If Yes, please attach an organisation chart, highlighting the appointment(s) of the personnel.

b. Is there an official document/letter of appointment for the nominated personnel, with their strategic goods control

    responsibilities and contact details clearly stated?

     Yes No [Proceed to 5.]

    If Yes, please attach a copy of the official document/letter of appointment.

    c. Please append here or attach the excerpt from the ICP manual, that clearly states the strategic goods control

    responsibilities and contact details of the nominated personnel.

You may refer to the STS Handbook Annex A, paragraph 8, for a guide on what is to be included as part of the

    responsibilities of the staff assigned with strategic goods control function.

    d. Who is in charge of updating the list of the nominated personnel in the ICP manual?

5. Communication of Nomination

    a. Are the strategic goods control responsibilities well-communicated to the nominated personnel?

     Yes No [Proceed to (c).]

    b. How is the strategic goods control responsibilities communicated to the nominated personnel?

     E-mail dated

     Notification letter/memo dated

     Acknowledgement in writing/clause in contract(s)

     Others (please specify):

c. Has the updated list of the nominated personnel, with their strategic goods control responsibilities and contact

    details, been communicated to every employee at all levels?

     Yes No [Proceed to Section C.]

d. How is the updated list of the nominated personnel, with their strategic goods control responsibilities and contact

    SC-A-087 (Ver 1 05/09) 3

    details, communicated to all employees?

     E-mail dated

     Notification letter/memo/circular dated

     Acknowledgement in writing by employees

     Induction Training

     Others (please specify):

    Please furnish evidence of such communications together with this questionnaire.

SC-A-087 (Ver 1 05/09) 4

    Section C: Element 3 Product Classification/Order Screening

Please attach a copy of a workflow/flowchart of the screening procedure. The workflow/flowchart should include

    the following processes:

    1) Initiating classification,

    2) Doing classification,

    3) Screening orders,

    4) Checking licence requirements, and

    5) Holding shipment

6. Process to Initiate and Conduct Classification

a. Please describe the product classification process, which should include the initiation of the classification process to

    the final determination of the product code.

b. Is there any product checklist available for the determination of product control status by the Product Engineers, R&D

    staff, or any other appropriate personnel?

     Yes No

    If Yes, please attach a copy of the checklist and answer the following:

    i. Where is the product checklist kept?

    ii. Who updates the product checklist?

    iii. To whom is the product checklist made available?

     Classification Team/Engineers/Technical Analysts

     Strategic Goods Control Officer (s)

     All employees

     Others (please specify):

    c. Will the classification be reviewed when products are modified/re-designed?

     Yes No Not Applicable

d. Will the classification of all products be reviewed in the event of a change in the Singapore Strategic Goods Control

    List?

     Yes No

If Yes, please answer the following questions:

    i. Who keeps track of any changes to the Singapore Strategic Goods Control List?

    ii. Who reviews the classification of all products in the event of a change in the Singapore Strategic Goods Control

    List?

    iii. Who informs all employees of any changes in the classification of all products as a result of a change in the

    Singapore Strategic Goods Control List?

    SC-A-087 (Ver 1 05/09) 5

    iv. How are all employees informed of any changes in the classification of all products as a result of a change in

    the Singapore Strategic Goods Control List?

     Email/Circular/Memo

     Updated in Shared Drive/In-house System

     Others (please specify):

7. Qualified Personnel to Determine Classification

    a. Who are the qualified personnel to determine if a product/technology is controlled under the SGCA?

     Classification Team/Engineers/Technical Analysts

     Strategic Goods Control Officer(s)

     Others (please specify):

    b. If your classification is done by your overseas corporate HQ, is the classification done in accordance with the

    Singapore Strategic Goods Control List?

     Yes No Not Applicable

If No, please answer the following questions:

    i. Who ensures that the cross-referencing from other export control classification numbers/codes to the Product

    Codes in the Singapore Strategic Goods Control List is correct?

    ii. How is cross-referencing from other export control classification numbers/codes to the Product Codes in the

    Singapore Strategic Goods Control List conducted?

    8. Lists of Strategic Goods/Technologies Controlled, and “Could” be controlled under the SGCA

    a. Does the company maintain a list of strategic goods and strategic goods technology that are controlled under the

    SGCA?

     Yes No [Proceed to (d).]

b. Is the list made accessible to employees (sales/marketing/business development, etc.) for reference, and to assess

    any potential transaction/order?

     Yes No

c. Who is in charge of maintaining the list?

    d. Who informs all employees of any new product/technology that is classified as controlled under the SGCA?

    e. How are all employees informed of any new product/technology that is classified as controlled under the SGCA? SC-A-087 (Ver 1 05/09) 6

     Email/Circular/Memo

     Updated in Shared Drive/In-house System

     Others (please specify):

f. Is there a list of items determined as “could” be controlled under the SGCA?

     Yes No [Proceed to 9.]

g. Who is in charge of maintaining the list?

9. Process to Screen Orders

    a. Please describe the order screening process, which should include the process from initial request for quotation,

    checking of licence requirements, holding of shipment till permit is obtained and finally the release for shipment.

Please attach relevant copies of documents/checklists used during the process.

b. Who are the parties involved in the order screening?

c. What are the tools used for the order screening? i.e. what are the orders screened against? Is there any electronics

    system (e.g. SAP, ERP, etc.) or checklists used?

10. Process to Check Licence Requirements

a. Is there a procedure to hold shipment till an approved, valid permit is obtained?

     Yes No

If Yes, please answer the following questions:

    i. Who conducts the licence requirements checks?

    ii. Who obtains a valid Tier 1 permit?

    iii. Who is/are the authorised personnel(s) to hold shipment and release the shipment when permit is obtained?

    SC-A-087 (Ver 1 05/09) 7

Section D: Element 4 End-user Screening

    Please attach a copy of a workflow/flowchart of the screening procedure.

    11. Working procedures for Screening Customers/End-users

a. Please describe the customer/end-user screening process.

    b. What are the tools used for the customer/end-user screening? i.e. what are customers/end-users screened against?

    Is there any electronics system (e.g. SAP, ERP, etc.) or checklists used? Do you subscribe to any software vendors

    for updates on entities/denied parties’ list?

    Please attach relevant copies of documents/checklists used during the process.

c. Who screens the customer/end-user?

12. Diversion Risk “Red Flag” Indicators

a. Are there any diversion risk “red flag” indicators that person(s)-in-charge of screening orders are supposed to look

    out for?

     Yes No [Proceed to Element 5.]

    Please attach relevant copies of documents/checklists used during the process.

    b. What are the follow-up actions when “red flags” are raised? i.e. who do the person-in-charge escalate the matter(s)

    to? What is the escalation procedure?

    SC-A-087 (Ver 1 05/09) 8

Section E: Element 5 Record Keeping

    13. Records of Strategic Goods Transactions

a. Are records of all strategic goods transactions kept?

     Yes No [Proceed to 14.]

b. Do the documents include the following?

     Export, transhipment, transit or transmission of technology or brokering permits

     End-user statement/certificate

     Export licence from the supplying/exporting country

     Import authorisation from the importing country

     Business transaction documents e.g. order forms, contracts, invoices, bills of lading, airway bills, transaction-

    related communications, etc.

     Other supporting documentation (please specify):

14. Records of ICP

a. Are records of your company’s ICP kept?

     Yes No [Proceed to 15.]

b. Do the documents include the following?

     Internal documents recording the assessment of a customer/end-user

     Internal audit reports

     Internal training records

     Records of instructions to subsidiaries/affiliates

     Reports and details of non-compliance incidents

     Other supporting documentation (please specify):

    15. Retention Period, Record Keeping & Place of Storage

a. Are your records/documents of strategic goods transactions and ICP kept for at least 5 years?

     Yes No

If Yes, what is your retention period?

     years

b. Who is in charge of keeping them?

c. Where are they kept?

SC-A-087 (Ver 1 05/09) 9

Section F: Element 6 - Training

    16. Regular Training Programmes

a. Is basic Awareness Training conducted for all Employees?

     Yes No

If Yes, please answer the following questions:

    i. How often is/are Awareness Training programme(s) conducted?

    ii. Who conducts Awareness Training programme(s)?

    b. Is there Functional Training conducted for Employees with Export-related Roles?

     Yes No

If Yes, please answer the following questions:

    i. Who is/are the target audience of the Functional Training programme(s)?

    ii. How often is/are Functional Training programme(s) conducted?

    iii. Who conducts the Functional Training programme(s)?

c. Is there Awareness/Reminder Briefing on your company’s commitment to comply strictly with the SGCA and its

    Regulations and other related domestic legislations conducted to the Management?

     Yes No

If Yes, please answer the following questions:

    i. Who among the Management is being briefed?

    ii. How often are such briefings conducted?

    iii. Who conducts such briefings?

d. Is there Refresher Courses conducted for all employees?

     Yes No

If Yes, please answer the following questions:

    SC-A-087 (Ver 1 05/09) 10

Report this document

For any questions or suggestions please email
cust-service@docsford.com