Handoff Register

Every step pattern · re-keying

Re-key customs declarations from the commercial documents

A customs entry re-keyed from a commercial invoice carries the invoice values and the operator's tariff choice. The values transfer cleanly; the choice is the part to keep.

hand over
nothing in the step is judgement; the source system already holds every field
re-keying
export, copy, type or forward: the data already exists on one side
Email, Customs
usual systems
As it is usually written
Re-key the commercial invoice into the customs declaration
What you lose if it is handed over
The broker reading the description of goods and choosing the tariff line. That is a classification decision, and it happens inside the typing.
First move
Log every declaration with its source invoice and the tariff code chosen, and hold any code not used before for that supplier and product.

What it is evidence for

Clause references taken from the published standards; each code links to its framework.

Re-keying into a system of record with no check after it ISO 9001:2015 8.5.1 · ISO 9001:2015 8.5.2 · ISO 9001:2015 8.6 · ISO 9001:2015 9.1.1 · ISO/IEC 42001:2023 A.7.4
ISO 9001:2015 8.5.1 Control of production and service provision

Production and service provision are carried out under conditions the organization keeps controlled. Where they apply, these include: documented information that defines the characteristics of the products, services or activities and the results to be reached; monitoring and measuring resources that are suitable, available and used; monitoring and measuremen...

Evidence an auditor accepts: Work instructions and specifications at the point of use; In-process monitoring and measurement records; Validation records for special processes (welding, sterilisation, software deployment)
ISO 9001:2015 8.5.2 Identification and traceability

Where needed to make products and services conform, the organization uses suitable means to identify its outputs. Throughout production and service provision it marks where each output stands against the monitoring and measurement requirements. Where traceability is required, it controls the unique identification of outputs and retains the documented informa...

Evidence an auditor accepts: Identification methods (labels, batch numbers, job numbers); Inspection status indication; Traceability records where required (batch to material, serial to component)
ISO 9001:2015 8.6 Release of products and services

At suitable stages the organization carries out the arrangements it has planned for checking that products and services meet their requirements. Products and services are released to the customer only once those arrangements are satisfactorily complete, unless a relevant authority, and the customer where applicable, approves otherwise. Documented information...

Evidence an auditor accepts: Final inspection and test records against acceptance criteria; Release authorization with named person; Concession or waiver records where release proceeded before completion
ISO 9001:2015 9.1.1 General

The organization decides what it will monitor and measure; which methods of monitoring, measurement, analysis and evaluation it will use so the results can be relied on; when monitoring and measurement take place; and when the results are analysed and evaluated. It evaluates how the QMS is performing and how effective it is, and retains suitable documented i...

Evidence an auditor accepts: Monitoring and measurement plan with methods and frequencies; Performance results at process and system level; Records of analysis and evaluation
ISO/IEC 42001:2023 A.7.4 Quality of data for AI systems

The organization shall define and document quality requirements for data and ensure they are met.

Evidence an auditor accepts: Data quality standards; Quality assessment reports; Quality dimensions defined (accuracy, completeness, representativeness, bias)
Hand-overs at the end of the process with nothing after them ISO/IEC 42001:2023 A.9.2 · ISO/IEC 42001:2023 A.9.3 · ISO/IEC 42001:2023 A.6.2.5 · ISO/IEC 42001:2023 A.6.2.6 · ISO/IEC 42001:2023 A.6.2.8 · ISO/IEC 42001:2023 A.5.4 · ISO 9001:2015 8.5.1
ISO/IEC 42001:2023 A.9.2 Processes for responsible use of AI systems

The organization shall define and document processes for the responsible use of AI systems, including processes for the use by employees of AI systems provided by third parties.

Evidence an auditor accepts: Responsible use procedure; Acceptable use policy for AI; Training records
ISO/IEC 42001:2023 A.9.3 Objectives for responsible use of AI system

The organization shall identify and document objectives to guide the responsible use of AI systems.

Evidence an auditor accepts: Responsible use objectives; Objectives covering human oversight, escalation, prohibited uses; Linkage to risk treatment
ISO/IEC 42001:2023 A.6.2.5 AI system deployment

The organization shall document a deployment plan and ensure requirements are met before deployment.

Evidence an auditor accepts: Deployment plans; Go-live checklists; Approval records
ISO/IEC 42001:2023 A.6.2.6 AI system operation and monitoring

AI systems shall be operated and monitored according to organizational and operational requirements throughout their lifetime. Operational guidance shall be available to operators.

Evidence an auditor accepts: Operations runbooks; Monitoring dashboards; Incident logs
ISO/IEC 42001:2023 A.6.2.8 AI system event logging

Event logs shall be generated and recorded during AI system operations to enable monitoring, accountability, and incident investigation.

Evidence an auditor accepts: Logging standards; Log samples; Log retention policy
ISO/IEC 42001:2023 A.5.4 Assessing AI system impact on individuals or groups

The organization shall assess and document the potential impacts of AI systems to individuals or groups of individuals throughout the system's life cycle.

Evidence an auditor accepts: Per-system impact assessments; Fairness analysis; Privacy impact (link to PIA where relevant)
ISO 9001:2015 8.5.1 Control of production and service provision

Production and service provision are carried out under conditions the organization keeps controlled. Where they apply, these include: documented information that defines the characteristics of the products, services or activities and the results to be reached; monitoring and measuring resources that are suitable, available and used; monitoring and measuremen...

Evidence an auditor accepts: Work instructions and specifications at the point of use; In-process monitoring and measurement records; Validation records for special processes (welding, sterilisation, software deployment)
A process where more than half the steps are re-keying ISO 9001:2015 7.1.3 · ISO 9001:2015 6.1 · ISO 9001:2015 6.3 · ISO 9001:2015 10.3 · ISO/IEC 42001:2023 A.5.2 · ISO/IEC 42001:2023 A.4.3
ISO 9001:2015 7.1.3 Infrastructure

The organization identifies, provides and maintains the infrastructure its processes need to run and to make products and services conform. Infrastructure may cover buildings and utilities, equipment (hardware and software included), transport resources, and information and communication technology.

Evidence an auditor accepts: Infrastructure inventory with maintenance requirements; Preventive maintenance schedules and records; IT and software maintenance and support records
ISO 9001:2015 6.1 Actions to address risks and opportunities

When it plans its QMS, the organization takes into account the issues from 4.1 and the requirements from 4.2 and identifies the risks and opportunities it needs to address so that it can be confident the system will achieve what it is meant to, strengthen wanted effects, prevent or lessen unwanted ones, and bring about improvement. It plans the actions it wi...

Evidence an auditor accepts: Risk and opportunity register with planned actions and owners; Evidence of integration into processes; Effectiveness evaluation of actions taken
ISO 9001:2015 6.3 Planning of changes

Where the organization decides its QMS needs to change, it makes the change in a planned way, taking into account why the change is being made and what it could lead to, whether the system stays intact, whether resources are available, and how responsibilities and authorities are allocated or reallocated.

Evidence an auditor accepts: Change plans or records for system changes showing purpose, consequences, resources and responsibilities; Evidence system integrity was considered (impact assessment); Management review records of changes
ISO 9001:2015 10.3 Continual improvement

The organization keeps improving how suitable, adequate and effective its QMS is. It uses what analysis and evaluation show, together with what management review decides, to find out whether there are needs or opportunities that continual improvement should take up.

Evidence an auditor accepts: Improvement actions traced to analysis results and management review outputs; Performance trends demonstrating improvement; Records of improvement projects and their results
ISO/IEC 42001:2023 A.5.2 AI system impact assessment process

The organization shall establish a process to assess the potential consequences of the AI system for individuals or groups and societies.

Evidence an auditor accepts: AI impact assessment procedure; Assessment template; Methodology covering individuals, groups, societies
ISO/IEC 42001:2023 A.4.3 Data resources

As part of identifying resources, the organization shall document information about the data resources utilized for the AI system.

Evidence an auditor accepts: Data inventory; Data lineage records; Datasheets

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Fix a failed EDI message, integration error or file rejection · Re-key EDI messages that failed or were never set up