賦能產業騰飛 創新外貿生態服務鏈

卓越的外貿創新籌劃團隊
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了不起!不是誰都可以勝任海關AEO認證官員(譯析2)
《世界海關組織全球貿易安全與便利標準框架》(WCO SAFE FoS)規定,海關管理部門確保指定執行AEO認證程序的人員受過專門培訓并且具備相應資格。
AEO認證團隊應具備職業價值觀、道德規范和態度方面的所有核心價值觀和技能。
下文我們闡述一下《海關AEO認證者指南》(the Customs AEO Validator Guide)對AEO認證人員提出的各方面的要求。



《世界海關組織全球貿易安全與便利標準框架》(WCO SAFE FoS)規定,海關管理部門確保指定執行AEO認證程序的人員受過專門培訓并且具備相應資格。

AEO認證團隊應具備職業價值觀、道德規范和態度方面的所有核心價值觀和技能。

下文我們闡述一下《海關AEO認證者指南》(the Customs AEO Validator Guide)對AEO認證人員提出的各方面的要求。


General competencies of AEO Validators

AEO認證人員一般能力

Customs administrations should ensure that validators have the necessary competencies to undertake an effective AEO validation.

海關應確保認證人員具備開展有效AEO認證工作所需的能力。

 

Knowledge Requirements 知識要求

knowledge of Customs legislation, including Customs procedures and regimes and other legislation to be applied by Customs;

海關法規,包括海關程序和、制度以及其他海關適用的法律法規

knowledge of Customs simplifications;

簡化海關手續的相關知識

knowledge of the Revised Kyoto Convention, the SAFE Framework of Standards and history of AEO;

經修訂的“京都公約”、貿易安全與便利標準框架和AEO的歷史知識

knowledge of national AEO programme;

國家AEO程序知識

knowledge of the legal environment of an economic operator;

企業經營者的法律環境

knowledge of risk management principles and techniques;

風險管理原則和相關技術

knowledge of audit and computer-assisted auditing packages and techniques;?

審計和計算機輔助審計程序包和技術;

knowledge of bookkeeping and IT applications for financial accounting and reporting;

會計記賬、財務報表和電算化應用;

knowledge of information technology including IT security; 

信息技術知識,包括信息安全

knowledge (basic) of multiple languages where needed;

掌握多種語言基礎知識(必要時)

knowledge of safety and security programmes from other government or inter- governmental agencies (for example Regulated Agent/Known Consignor, ISPS code, and others);

其他政府部門或者政府部門間的安全保障措施(例如:受監管的代理人或已知的貨主,ISPS代碼等)

knowledge about relevant commercial standards and certifications (for example ISO, TAPA, BASC and others);

相關商業標準和認證的知識(例如ISO,TAPA,BASC等)

knowledge of bilateral or multilateral treaty obligations, local cultures;

雙邊或者多邊條約義務、當地文化

knowledge of the global supply chain and;

全球供應鏈知識

knowledge of Industry’s best practices.

行業最佳實踐知識

 

Skills Requirements技能要求

ability to identify and solve problems;

識別和解決問題的能力

ability to undertake appropriate technical research;

 進行適當技術研究的能力

ability to liaise with Customs, partner government agencies and economic operators, in a consultative process;

在協商過程中與海關、合作政府機構和經營者建立聯絡的能力

ability to gather and evaluate evidence (including information from third party experts/service providers or other public authorities)

收集和評估證據的能力(包括來自第三方專家/服務提供者或其他公共機構的信息);

ability to present, discuss, and at times defend views effectively through formal, informal, written and spoken communication; ?

展示、討論能力以及必要時,正式、非正式闡述觀點的書面和口頭交流能力;

ability to treat sensitive and confidential information appropriately; 

恰當處理敏感和機密信息的能力;

ability to communicate at multiple levels within the company; 

與公司內部不同層次人員溝通的能力;

ability to obtain and interpret relevant economic, environmental, and other information;

獲取和解釋相關經濟、環境和其他信息的能力;

ability to understand the business and to adapt according to the size of the business;

了解業務并根據業務規模進行認證工作調整的能力

ability to take an unprejudiced approach with regards to the integrity and trustworthiness of economic operators;  

對經營者的誠信和可信度不帶偏見的能力

ability to maintain an open mind when determining the commitment of the economic operator to meet and maintain the AEO criteria throughout its entire organisation; and

在確定經營者在整個組織內符合和維持AEO標準的承諾時,保持開放思想的能力

ability to communicate effectively in writing including written reports.

以書面形式有效溝通的能力,包括書面報告。

 

Professional values, ethics and attitudes 職業價值觀、道德觀和態度

Fundamental principles are基本原則:

Integrity: requires validators to observe the principles of independence, objectivity, standards of professional conduct, and absolute honesty in their work;

誠信:要求認證人員遵守獨立性、客觀性、職業操守標準和工作中絕對誠實的原則

Objectivity: Customs validators must exhibit a high level of professional objectivity in gathering and evaluating information during Customs validations. They must make a balanced assessment of all the relevant circumstances and not be unduly influenced by their own interests or by others in forming judgments. It is essential that Customs validators are independent and impartial, not only in fact but also in appearance. The validator should declare any prejudicial factors in relation to carrying out a control on a particular operator (e.g., relationship between validators and operator, shareholder, etc.);

客觀性:海關認證人員必須在認證過程收集和評估信息時,表現出高度的專業客觀性。 他們必須對所有相關情況進行公允評價,形成判斷時不得受到自身利益或其他人員的不當影響。海關認證人員必須獨立公正,不僅在事實上,而且在外觀上也是如此。認證人員應公開與對特定經營者進行控制有關的任何偏見因素(例如:認證人員與經營者、股東等之間的關系);

Professional competence and due care: validators must apply the knowledge, skills and experience needed to carry out a Customs validation. Validators must also be aware of their national specific Code of Conduct;

專業能力和行為準則:認證人員必須運用所需的知識、技能和經驗進行海關認證。認證人員還必須了解其國家特定的行為準則;

Confidentiality: Customs validators are required to protect the privacy of individuals and economic operators in official dealings in accordance with national laws;

保密:要求海關認證人員保護個人和經營者依據國家法規進行正常交易的隱私;

Professional behaviour: In every step of the processing of an AEO authorization, validators must be mindful of the image of Customs and the AEO programme they are representing. For this reason, it is important that they act professionally and remain permanently attentive to the operator’s questions and/or concerns. They should be able to provide the appropriate response.

職業行為:在處理AEO授權的每一步,認證人員必須注意海關的形象和AEO程序。因此,認證人員規范作業并且始終關注經營者的問題和/或顧慮、同時進行恰當的回應是非常重要的。

 

Validation competencies of AEO Validators

AEO認證人員的認證能力

The competence, knowledge, skills and experience of a validator is essential. Customs administrations should put in place a structured training programme in order to achieve the necessary competencies of AEO validators: This requires (in addition to the other competencies):

認證人員的能力、知識、技能和經驗至關重要。海關應實施有組織的培訓計劃,以便AEO認證人員獲得必須具備的能力:

 

understanding internal control measures,

理解內控措施

accounting and internal control,

會計核算和內部控制

assessing the operator’s risks related to the AEO criteria, 

評估AEO標準相關的經營風險

develop a validation plan/control plan,

制定認證計劃/控制計劃

perform controls, and

執行控制

complete the validation, draw conclusions and issue a validation report.

完成認證,得出結論和出具認證報告

 

External knowledge/development

外部知識和發展

For Customs validators and their team managers (and the entire Customs administration), it is essential to be aware of what is happening with the external environment in order to adapt and update their professional skills, knowledge and working methods to meet new, rising challenges (e.g., new trends in fraud, new auditing techniques, new legislation, new technologies, how international standards work, global supply chain, etc.).

對于海關認證人員及其團隊負責人(以及整個海關管理部門),必須了解外部環境正在發生的變化,以便適應和更新專業技能、知識和工作方法,從而應對新的挑戰(例如:新型欺詐手段、新的審計方式、新政策、新法規、新技術、國際標準運作機制、全球供應鏈等)。

 

特別說明:

20188月,世界海關組織(WCO)公布了兩份重要文件:《海關AEO認證者指南》(the Customs AEO Validator Guide)、《AEO互認戰略指南》。

這兩份文件將為AEO認證程序以及相互承認安排/協定提供詳細指導和進一步的支持。

更為重要的是,這兩份文件同時也為廣大涉外企業實施AEO認證工程提供了相當詳細的參考資料和指導。

為此,深圳市天地縱橫企業管理顧問有限公司組織顧問組人員學習《海關認證者指南》(the Customs AEO Validator Guide),并已經相關整理、分析和翻譯工作。

后續,自201895日起,我們將逐步摘選相關內容,供行業人員參考、交流。

因水平受限,我們相關的翻譯和剖析可能不夠準確、甚至有失偏頗。

歡迎行業人員提出批評和指導意見

 

人員分工情況:

1)翻譯整理:楊勇、黃微榮

2)審核剖析:胡忠

3)責任編輯:熊斌

聯系電話:075583274152 13828765252

電子郵箱:[email protected]

 
助力成功,共享智慧

 


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