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["金融聯合徵信中心108年度會員機構執行信用資訊查詢作業控管之查核與管理評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及  查核項目\n7分","A1\n控管規章","A11","有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",1]
[null,null,"A12","內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",2]
[null,"A2\n查核項目","A21","內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新\n(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業...等)",3]
[null,null,"A22","查詢資格要件、資料合法使用與保密、浮水印機制",1]
["B                                                                                                                                                   查核作業及查核結果報告                              38分","B1\n機構查核","B11","總機構執行查核作業(一般查核、專案查核)情形：全面性、部分單位",3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業情形:全面性、部分單位",3]
[null,"B3\n查核範圍","B31","一年（含）以上（2）、半年（含）以上（1~1.9）、半年以下（0~0.9）",2]
[null,"B4\n報告內容","B41","「彙總單」填寫完整確實性，附件完備性(含檢附之稽核報告內容)",8]
[null,null,"B42","依期限報送年度彙總查核報告(期限內送達本中心2分)",2]
[null,"B5\n查核結果","B51","查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",14]
[null,"B6\n事後管理","B61","前一年度評核缺失改善情形(-6~+6)","-6~6"]
["C                                                                         查詢作業管理55分","C1\n會員端","C11","查詢作業程序執行情形及實地查核發現之內控缺失",12]
[null,null,"C12","是否落實查詢理由點選制度（資料密合度）",4]
[null,null,"C13","查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",6]
[null,null,"C14","年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",5]
[null,"C2\n聯徵中心端","C21","不定期性指定項目會員自行查核辦理情形",8]
[null,null,"C22","定期性指定項目會員自行查核辦理情形",16]
[null,null,"C23","晶片卡查詢設備管理:晶片卡遺失、毀損、停鎖卡",4]
["總   分",null,null,null,100]
["D                                                                       其他加減分\n                                          ",null,"D11","重要聯繫事項或函文之配合(-4~4分)","-4~4"]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",4]
[null,null,"D13","配合報送企業財務年報資料(加0~4分)",4]
[null,null,"D14","產品/資料報送講習會參與情形(加0~2分)",2]
[null,null,"D15","安控/資安講習會參與情形(加0~2分)",2]
[null,null,"D16","會員繳費(標準，特約查詢)情形(減0~2分)","0~-2"]
[null,null,"D17","其他(加減0~4分)\n","-4~4"]
[null,null,null,"(包含如：對於強化安控作業提出具體建設性意見並經採納者加0~2分)"]
[null,null,"D21","違反會員規約或相關法令規定~~停查處分者(依查處委員會議決議之停查天數扣分(停N天扣N分)，但停查案件最少扣5分，最高扣40分。)","0~-40"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ","0~-5"]
["經額外加減分後最高總分",null,null,null,120]
["評核意見暨建議"]

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[{"$nulls":4},"附件一之一"]
["金融聯合徵信中心109年度會員機構執行信用資訊查詢作業控管之查核與管理評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及  查核項目\n7分","A1\n控管規章","A11","有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",1]
[null,null,"A12","內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",2]
[null,"A2\n查核項目","A21","內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新\n(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業...等)",3]
[null,null,"A22","查詢資格要件、資料合法使用與保密、浮水印機制",1]
["B                                                                                                                                                   查核作業及查核結果報告                              38分","B1\n內部稽核\n機構查核","B11","總機構執行查核作業(一般查核、專案查核)情形：全面性、部分單位",3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業情形:全面性、部分單位",3]
[null,"B3\n查核範圍","B31","一年（含）以上（2）、半年（含）以上（1~1.9）、半年以下（0~0.9）",2]
[null,"B3 B4\n報告內容","B31","應檢附文件之完備性(彙總單、控管要點、查核報告工作底稿及其他本中心函文要求檢附之文件)",2]
[null,null,"B32\nB41","「彙總單」填寫完整確實性，附件完備性(含檢附之稽核報告內容)",8]
[null,null,"B32\nB42","依期限報送年度彙總查核報告(期限內送達本中心2分)",2]
[null,"B4 B5\n查核結果","B41\nB51","查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",14]
[null,"B5 B6\n事後管理","B51\nB61","前一年度評核缺失改善情形(-6~+6)","-6~6"]
["C                                                                         查詢作業管理55分","C1\n會員端","C11","查詢作業程序執行情形及實地查核發現之內控缺失",12]
[null,null,"C12","是否落實查詢理由點選制度（資料密合度）",4]
[null,null,"C13","查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",6]
[null,null,"C14","年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",5]
[null,"C2\n聯徵中心端","C21","不定期性指定項目會員自行查核辦理情形","10 8"]
[null,null,"C22","定期性指定項目會員自行查核辦理情形","14 16"]
[null,null,"C23","晶片卡查詢設備管理:晶片卡遺失、毀損、停鎖卡",4]
["總   分",null,null,null,100]
["D                                                                       其他加減分\n                                          ",null,"D11","重要聯繫事項或函文之配合(-4~4分)","-4~4"]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",4]
[null,null,"D13","配合報送企業財務年報資料(加0~4分)",4]
[null,null,"D14","產品/資料報送講習會參與情形(加0~2分)",2]
[null,null,"D15","安控/資安講習會參與情形(加0~2分)",2]
[null,null,"D16","會員繳費(標準，特約查詢)情形(減0~2分)","0~-2"]
[null,null,"D17","其他(加減0~4分)\n","-4~4"]
[null,null,null,"(包含如：對於強化安控作業提出具體建設性意見並經採納者加0~2分)"]
[null,null,"D21","違反會員規約或相關法令規定~~停查處分者(依查處委員會議決議之停查天數扣分(停N天扣N分)，但停查案件最少扣5分，最高扣40分。)","0~-40"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ","0~-5"]
["經額外加減分後最高總分",null,null,null,120]
["評核意見暨建議"]

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[]
["金融聯合徵信中心109年度會員機構執行信用資訊查詢作業控管之查核與管理評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及  查核項目\n7分","A1\n控管規章","A11","有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",1]
[null,null,"A12","內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",2]
[null,"A2\n查核項目","A21","內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業...等)",3]
[null,null,"A22","查詢資格要件、資料合法使用與保密、浮水印機制",1]
["B                                                                                                                                                   查核作業及查核結果報告                              38分","B1\n內部稽核","B11","總機構執行查核作業(一般查核、專案查核)情形：全面性、部分單位",3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業情形:全面性、部分單位",3]
[null,"B3\n報告內容","B31","應檢附文件之完備性(彙總單、控管要點、查核報告工作底稿及其他本中心函文要求檢附之文件)",2]
[null,null,"B32","「彙總單」填寫完整確實性",8]
[null,null,"B33","依期限報送年度彙總查核報告(期限內送達本中心2分)",2]
[null,"B4\n查核結果","B41","查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",14]
[null,"B5\n事後管理","B51","前一年度評核缺失改善情形(-6~+6)","-6~6"]
["C                                                                         查詢作業管理55分","C1\n會員端","C11","查詢作業程序執行情形及實地查核發現之內控缺失",12]
[null,null,"C12","是否落實查詢理由點選制度（資料密合度）",4]
[null,null,"C13","查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",6]
[null,null,"C14","年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",5]
[null,"C2\n聯徵中心端","C21","不定期性指定項目會員自行查核辦理情形",10]
[null,null,"C22","定期性指定項目會員自行查核辦理情形",14]
[null,null,"C23","晶片卡查詢設備管理:晶片卡遺失、毀損、停鎖卡",4]
["總   分",null,null,null,100]
["D                                                                       其他加減分\n                                          ",null,"D11","重要聯繫事項或函文之配合(-4~4分)","-4~4"]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",4]
[null,null,"D13","配合報送企業財務年報資料(加0~4分)",4]
[null,null,"D14","產品/資料報送講習會參與情形(加0~2分)",2]
[null,null,"D15","安控/資安講習會參與情形(加0~2分)",2]
[null,null,"D16","會員繳費(標準，特約查詢)情形(減0~2分)","0~-2"]
[null,null,"D17","其他(加減0~4分)\n","-4~4"]
[null,null,null,"(包含如：對於強化安控作業提出具體建設性意見並經採納者加0~2分)"]
[null,null,"D21","違反會員規約或相關法令規定~~停查處分者(依查處委員會議決議之停查天數扣分(停N天扣N分)，但停查案件最少扣5分，最高扣40分。)","0~-40"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ","0~-5"]
["經額外加減分後最高總分",null,null,null,120]
["評核意見暨建議"]

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[{"$nulls":4},"附件一"]
["金融聯合徵信中心110年度會員機構執行信用資訊查詢作業控管之查核與管理評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及  查核項目\n7分","A1\n控管規章","A11","有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",1]
[null,null,"A12","內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",2]
[null,"A2\n查核項目","A21","內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業、介接查調證券商授信業務負面信用資料作業...等)",3]
[null,null,"A22","查詢資格要件、資料合法使用與保密、浮水印機制",1]
["B                                                                                                                                                   查核作業及查核結果報告                              38分","B1\n內部稽核","B11","總機構執行查核作業(一般查核、專案查核)情形：全面性、部分單位",3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業情形:全面性、部分單位",3]
[null,"B3\n報告內容","B31","應檢附文件之完備性(彙總單、控管要點、查核報告工作底稿及其他本中心函文要求檢附之文件)",2]
[null,null,"B32","「彙總單」填寫完整確實性",8]
[null,null,"B33","依期限報送年度彙總查核報告(期限內送達本中心2分)",2]
[null,"B4\n查核結果","B41","查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",14]
[null,"B5\n事後管理","B51","前一年度評核缺失改善情形(-6~+6)","-6~6"]
["C                                                                         查詢作業管理59  55分","C1\n會員端","C11","聯徵中心實地查核結果及發現內控缺失  \n查詢作業程序執行情形及實地查核發現之內控缺失","6 \n12"]
[null,null,"C12","聯徵中心實地查核之機構查詢作業程序執行情形",6]
[null,null,"C13 C12","是否落實查詢理由點選制度（資料密合度）",4]
[null,null,"C14 C13","查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",6]
[null,null,"C15 C14","年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",5]
[null,"C2\n聯徵中心端","C21","不定期性指定項目會員自行查核辦理情形",10]
[null,null,"C22","定期性指定項目會員自行查核辦理情形",14]
[null,null,"C23","晶片卡查詢設備管理:晶片卡遺失、毀損、停鎖卡",4]
[null,"C3\n其他","C31","安控/資安講習會參與情形",2]
[null,null,"C32","對強化安控作業提出具體建設性意見並經採納",2]
["D                                                                       其他加減分\n                                          ",null,"D11","重要聯繫事項或函文之配合(-4~4分)","-4~4"]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",4]
[null,null,"D13","配合報送企業財務年報資料(加0~4分)",4]
[null,null,"D14","產品/資料報送講習會參與情形(加0~2分)",2]
[null,null,"D15","安控/資安講習會參與情形(加0~2分)",2]
[null,null,"D156","會員繳費(標準，特約查詢)情形(減0~2分)","0~-2"]
[null,null,"D167","其他(加減0~2 4 分)\n","-2~2\n-4~4"]
[null,null,null,"(包含如：對於強化安控作業提出具體建設性意見並經採納者加0~2分)"]
[null,null,"D21","違反會員規約或相關法令規定~~停查處分或定額扣減回饋費處分者(依查處委員會議決議之停查天數扣分(停N天扣N分)，但停查案件最少減扣5分，最高減扣40分)","0~-40"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ","0~-5"]
["經額外加減分後最高總分",null,null,null,120]
["評核意見暨建議"]

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[]
["金融聯合徵信中心110年度會員機構執行信用資訊查詢作業控管之查核與管理評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及  查核項目\n7分","A1\n控管規章","A11","有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",1]
[null,null,"A12","內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",2]
[null,"A2\n查核項目","A21","內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業、介接查調證券商授信業務負面信用資料作業...等)",3]
[null,null,"A22","查詢資格要件、資料合法使用與保密、浮水印機制",1]
["B                                                                                                                                                   查核作業及查核結果報告                              38分","B1\n內部稽核","B11","總機構執行查核作業情形：全面性、部分單位",3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業情形:全面性、部分單位",3]
[null,"B3\n報告內容","B31","應檢附文件之完備性(彙總單、控管要點、查核報告工作底稿及其他本中心函文要求檢附之文件)",2]
[null,null,"B32","「彙總單」填寫完整確實性",8]
[null,null,"B33","依期限報送年度彙總查核報告(期限內送達本中心2分)",2]
[null,"B4\n查核結果","B41","查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",14]
[null,"B5\n事後管理","B51","前一年度評核缺失改善情形(-6~+6)","-6~6"]
["C                                                                         查詢作業管理59分","C1\n會員端","C11","聯徵中心實地查核結果及發現內控缺失  ",6]
[null,null,"C12","聯徵中心實地查核之機構查詢作業程序執行情形",6]
[null,null,"C13","是否落實查詢理由點選制度（資料密合度）",4]
[null,null,"C14","查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",6]
[null,null,"C15","年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",5]
[null,"C2\n聯徵中心端","C21","不定期性指定項目會員自行查核辦理情形",10]
[null,null,"C22","定期性指定項目會員自行查核辦理情形",14]
[null,null,"C23","晶片卡查詢設備管理:晶片卡遺失、毀損、停鎖卡",4]
[null,"C3\n其他","C31","安控/資安講習會參與情形",2]
[null,null,"C32","對強化安控作業提出具體建設性意見並經採納",2]
["D                                                                       其他加減分\n                                          ",null,"D11","重要聯繫事項或函文之配合(-4~4分)","-4~4"]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",4]
[null,null,"D13","配合報送企業財務年報資料(加0~4分)",4]
[null,null,"D14","產品/資料報送講習會參與情形(加0~2分)",2]
[null,null,"D15","會員繳費(標準，特約查詢)情形(減0~2分)","0~-2"]
[null,null,"D16","其他(加減0~2分)","-2~2"]
[null,null,"D21","違反會員規約或相關法令規定~~停查處分或定額扣減回饋費處分者(最少減5分，最高減40分)","0~-40"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ","0~-5"]
["經額外加減分後最高總分",null,null,null,120]
["評核意見暨建議"]

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[{"$nulls":4},"附件一"]
["金融聯合徵信中心111年度會員機構執行信用資訊查詢作業控管之查核與管理評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及  查核項目\n6 7分","A1\n控管規章","A11","有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",1]
[null,null,"A12","內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",2]
[null,"A2\n查核項目","A21","內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業、介接查調證券商授信業務負面信用資料作業...等)","2 3"]
[null,null,"A22","查詢資格要件、資料合法使用與保密、浮水印機制",1]
["B                                                                                                                                                   查核作業及查核結果報告                           37  38分","B1\n內部稽核","B11","總機構執行查核作業情形：全面性、部分單位",3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業情形:全面性、部分單位","2 3"]
[null,"B3\n報告內容","B31","應檢附文件之完備性(彙總單、控管要點、查核報告工作底稿及其他本中心函文要求檢附之文件)",2]
[null,null,"B32","「彙總單」填寫完整確實性",8]
[null,null,"B33","依期限報送年度彙總查核報告(期限內送達本中心2分)",2]
[null,"B4\n查核結果","B41","查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",14]
[null,"B5\n事後管理","B51","前一年度評核缺失改善情形(-6~+6)","-6~6"]
["C                                                                         查詢作業管理61 59分","C1\n會員端","C11","聯徵中心實地查核結果及發現內控缺失  ",6]
[null,null,"C12","聯徵中心實地查核之機構查詢作業程序執行情形",6]
[null,null,"C13","是否落實查詢理由點選制度（資料密合度）",4]
[null,null,"C14","查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",6]
[null,null,"C15","年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",5]
[null,"C2\n聯徵中心端","C21","不定期性指定項目會員自行查核辦理情形",10]
[null,null,"C22","定期性指定項目會員自行查核辦理情形",14]
[null,null,"C23","公務機關資料指定項目會員自行查核",1]
[null,null,"C24","中小企業融資服務平台會員年度查核",1]
[null,null,"C25 23","晶片卡查詢設備管理:晶片卡遺失、毀損、停鎖卡",4]
[null,"C3\n其他","C31","安控/資安講習會參與情形",2]
[null,null,"C32","對強化安控作業提出具體建設性意見並經採納",2]
["D                                                                       其他加減分\n                                          ",null,"D11","重要聯繫事項或函文之配合(加減0~3  4~ 4分)","-3~3 \n-4~4"]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",4]
[null,null,"D13","配合報送企業財務年報資料(加0~4分)",4]
[null,null,"D14","產品/資料報送講習會參與情形(加0~2分)",2]
[null,null,"D15","會員繳費(標準，特約查詢)情形(減0~2分)","0~-2"]
[null,null,"D16","其他(如信用資訊安控作業進步…等，加減0~3 2分)","-3~3 \n-2~2"]
[null,null,"D21","違反會員規約或相關法令規定~~停查處分或定額扣減回饋費處分者(最少減5分，最高減40分)","0~-40"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ","0~-5"]
["經額外加減分後最高總分",null,null,null,120]
["評核意見暨建議"]

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[{"$nulls":4},"附件"]
["金融聯合徵信中心111年度會員機構執行信用資訊查詢作業控管之查核與管理評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及  查核項目\n6分","A1\n控管規章","A11","有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",1]
[null,null,"A12","內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",2]
[null,"A2\n查核項目","A21","內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業、介接查調證券商授信業務負面信用資料作業...等)",2]
[null,null,"A22","查詢資格要件、資料合法使用與保密、浮水印機制",1]
["B                                                                                                                                                   查核作業及查核結果報告                           37分","B1\n內部稽核","B11","總機構執行查核作業情形：全面性、部分單位",3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業情形:全面性、部分單位",2]
[null,"B3\n報告內容","B31","應檢附文件之完備性(彙總單、控管要點、查核報告工作底稿及其他本中心函文要求檢附之文件)",2]
[null,null,"B32","「彙總單」填寫完整確實性",8]
[null,null,"B33","依期限報送年度彙總查核報告(期限內送達本中心2分)",2]
[null,"B4\n查核結果","B41","查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",14]
[null,"B5\n事後管理","B51","前一年度評核缺失改善情形(-6~+6)","-6~6"]
["C                                                                         查詢作業管理61分","C1\n會員端","C11","聯徵中心實地查核結果及發現內控缺失  ",6]
[null,null,"C12","聯徵中心實地查核之機構查詢作業程序執行情形",6]
[null,null,"C13","是否落實查詢理由點選制度（資料密合度）",4]
[null,null,"C14","查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",6]
[null,null,"C15","年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",5]
[null,"C2\n聯徵中心端","C21","不定期性指定項目會員自行查核辦理情形",10]
[null,null,"C22","定期性指定項目會員自行查核辦理情形",14]
[null,null,"C23","公務機關資料指定項目會員自行查核",1]
[null,null,"C24","中小企業融資服務平台會員年度查核",1]
[null,null,"C25","晶片卡查詢設備管理:晶片卡遺失、毀損、停鎖卡",4]
[null,"C3\n其他","C31","安控/資安講習會參與情形",2]
[null,null,"C32","對強化安控作業提出具體建設性意見並經採納",2]
["D                                                                       其他加減分\n                                          ",null,"D11","重要聯繫事項或函文之配合(加減0~3分)","-3~3 "]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",4]
[null,null,"D13","配合報送企業財務年報資料(加0~4分)",4]
[null,null,"D14","產品/資料報送講習會參與情形(加0~2分)",2]
[null,null,"D15","會員繳費(標準，特約查詢)情形(減0~2分)","0~-2"]
[null,null,"D16","其他(如信用資訊安控作業進步…等，加減0~3分)","-3~3 "]
[null,null,"D21","違反會員規約或相關法令規定~~停查處分或定額扣減回饋費處分者(最少減5分，最高減40分)","0~-40"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ","0~-5"]
["經額外加減分後最高總分",null,null,null,120]
["評核意見暨建議"]

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[{"$nulls":5},"附件一之1"]
["金融聯合徵信中心112年度會員機構執行信用資訊查詢作業控管之查核與管理評核表 修正內容對照表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及查核項目6分","A1\n控管規章","A11","控管要點依本中心範本及實際作業環境修訂版本，並函送本中心備查\n有否依函文隨實際作業環境修訂，並依規約規定報送聯徵中心",6,3,1]
[null,null,"A12","控管要點內容對於本中心範本要求之涵蓋率\n內容涵蓋聯徵中心範本之要求，查詢作業程序有否達到內控功能，對使用之設備、作業卡、密碼及所查得資訊之管理...等是否有明確規範並適當控管",null,null,2]
[null,"A2\n查核項目","A21","查核工作底稿項目對於本中心底稿範本要求之涵蓋率\n(查核項目1.2.3.5.6.12.13.14.15.16.17.18.19.20...)\n內容涵蓋聯徵中心會員規約控管要項及該機構控管要點，並隨實際作業環境更新(包含授權管理、使用晶片卡查詢控管作業、使用FTP/STS查詢控管作業、虛擬專屬網路VPN信用資料申報作業、介接查調證券商授信業務負面信用資料作業...等)",null,3,2]
[null,null,"A22","查核工作底稿項目對於本中心底稿範本要求之涵蓋率\n(查核項目4.7.8.9.10.11.21...)\n查詢資格要件、資料合法使用與保密、浮水印機制",null,null,1]
["B                                                                                                                                                   查核作業及查核結果報告37分                            ","B1\n內部稽核","B11","總機構執行內部單位稽核作業之全面性\n總機構執行查核作業情形：全面性、部分單位",39,3,3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業之全面性\n各查詢單位執行自行查核作業情形:全面性、部分單位",null,2,2]
[null,"B3\n報告內容","B31","年度查核彙總報告應檢附文件之完整性\n應檢附文件之完備性(控管要點、彙總單、查核報告工作底稿及其他本中心函文要求檢附之文件)",null,12,2]
[null,null,"B32","年度查核彙總報告「彙總單」填寫之正確性、完整性\n「彙總單」填寫完整確實性",null,null,8]
[null,null,"B33","年度查核彙總報告函送之即時性\n依期限報送年度彙總查核報告(期限內送達本中心2分)",null,null,2]
[null,"B4\n查核結果","B41","年度查核彙總報告之查核結果\n查核結果彙總情形(包含查核報告工作底稿聯徵1~4查核項目內容)，有缺失僅簡單敘述查核結果，無處理意見（1~6）/明確列出缺失事項，並請改進（7~12）/明確列出缺失事項，且缺失事項已改善並經確認（7~14）/查核結果未發現缺失、本中心評核結果亦未發現缺失（7~14） ",null,16,14]
[null,null,"B42\nC23","年度查核彙總報告(介接公務機關資訊)之查核結果\n公務機關資料指定項目會員自行查核",null,null,1]
[null,null,"B43\nC24","年度查核彙總報告(中小企業融資服務平台資訊)之查核結果\n中小企業融資服務平台會員年度查核",null,null,1]
[null,"B5\n事後管理","B51","前一年度查核缺失改善之有效性\n前一年度評核缺失改善情形(-6~+6)",null,6,"6\n-6~6"]
["C                                                                         查詢作業管理61分","C1\n查核發現\n會員端","C11","本中心查核結果及發現缺失\n聯徵中心實地查核結果及發現內控缺失  ",55,36,6]
[null,null,"C12","本中心查核之機構查詢作業程序、資訊處理環境等\n聯徵中心實地查核之機構查詢作業程序執行情形",null,null,6]
[null,null,"C13\nC21","指定項目自行查核(W01)之辦理情形\n不定期性指定項目會員自行查核辦理情形",null,null,10]
[null,null,"C14\nC22","指定項目自行查核(W20)之辦理情形\n定期性指定項目會員自行查核辦理情形",null,null,14]
[null,"C2\n作業管理\n聯徵中心端","C21\nC13","查詢理由點選之正確性（資料密合度）\n是否落實查詢理由點選制度（資料密合度）",null,14,4]
[null,null,"C22\nC14","查詢紀錄勾核比對之頻度\n查詢紀錄勾核情形（Z50及STS會員機構內部查詢紀錄使用情形統計資訊）",null,null,6]
[null,null,"C23\nC25","晶片卡查詢設備管理(:晶片卡遺失、毀損、停鎖卡)",null,null,4]
[null,"C3\n教育訓練\n其他","C31","信用資訊查詢安控/稽核作業講習會之參與情形\n安控/資安講習會參與情形",null,"5\n","1\n2"]
[null,null,"C32\nC15","機構舉辦內部資訊安控教育訓練(含種籽講師)之辦理情形\n年度內有信用資訊使用及保密等方面之加強措施(含已完成資訊安控教育訓練課程比例、相關信用資訊使用及保密內部員工教育訓練及回報查詢作業人員名冊之資訊等)",null,null,"2\n5"]
[null,null,"C33","回報查詢作業人員名冊",null,null,1]
[null,null,"C34\nC32","具體配合本中心強化資訊安控作業\n對強化安控作業提出具體建設性意見並經採納",null,null,"1\n2"]
["總分",null,null,null,{"$f":"SUM(E5:E28)","v":100},100,"100\n104"]
["D                                                                       其他加減分事項\n                                          ",null,"D11","重要聯繫事項或函文之配合(加減0~3分)","-50~20",null,"-5~+7 -3~+3  "]
[null,null,"D12","對於資料報送或產品內容提出建設性意見(加0~4分)",null,null,"0~+4"]
[null,null,"D13","配合報送企業財務年報告資料配合情形(加0~4分)",null,null,"0~+4"]
[null,null,"D14","資訊產品、/資料報送講習會之參與情形(加0~2分)",null,null,"0~+2"]
[null,null,"D15","會員繳費(標準查詢費、，特約查詢費)延遲情形(減0~2分)",null,null,"-2~0"]
[null,null,"D16","與前一年安控作業比較(如：顯著進步、連續未達70分…)\n其他(如信用資訊安控作業進步…等，加減0~3分)",null,null,"-3~+3 "]
[null,null,"D21","違反會員規約或相關法令規定~~遭停查處分或定額扣減回饋費處分者(最少減5分，最高減40分)",null,null,"-35-40 ~0"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者(減0~5分)  ",null,null,"-5~0"]
["經其他額外加減分後最高總分",{"$nulls":5},120]
["評核意見暨建議"]

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["金融聯合徵信中心112年度會員機構執行信用資訊查詢作業控管評核表"]
["會員機構代號名稱："]
["評核項目",null,null,"評  核  內  容","配分"]
["A                                                                                 查詢作業控管規章及查核項目","A1\n控管規章","A11","控管要點依本中心範本及實際作業環境修訂版本，並函送本中心備查",6,3,1]
[null,null,"A12","控管要點內容對於本中心範本要求之涵蓋率",null,null,2]
[null,"A2\n查核項目","A21","查核工作底稿項目對於本中心底稿範本要求之涵蓋率\n(查核項目1.2.3.5.6.12.13.14.15.16.17.18.19.20...)",null,3,2]
[null,null,"A22","查核工作底稿項目對於本中心底稿範本要求之涵蓋率\n(查核項目4.7.8.9.10.11.21...)",null,null,1]
["B                                                                                                                                                   查核作業及查核結果報告                           ","B1\n內部稽核","B11","總機構執行內部單位稽核作業之全面性",39,3,3]
[null,"B2\n自行查核","B21","各查詢單位執行自行查核作業之全面性",null,2,2]
[null,"B3\n報告內容","B31","年度查核彙總報告應檢附文件之完整性",null,12,2]
[null,null,"B32","年度查核彙總報告「彙總單」填寫之正確性、完整性",null,null,8]
[null,null,"B33","年度查核彙總報告函送之即時性",null,null,2]
[null,"B4\n查核結果","B41","年度查核彙總報告之查核結果",null,16,14]
[null,null,"B42","年度查核彙總報告(介接公務機關資訊)之查核結果",null,null,1]
[null,null,"B43","年度查核彙總報告(中小企業融資服務平台資訊)之查核結果",null,null,1]
[null,"B5\n事後管理","B51","前一年度查核缺失改善之有效性",null,6,6]
["C                                                                         查詢作業管理","C1\n查核發現","C11","本中心查核結果及發現缺失",55,36,6]
[null,null,"C12","本中心查核之機構查詢作業程序、資訊處理環境等",null,null,6]
[null,null,"C13","指定項目自行查核(W01)之辦理情形",null,null,10]
[null,null,"C14","指定項目自行查核(W20)之辦理情形",null,null,14]
[null,"C2\n作業管理","C21","查詢理由點選之正確性（資料密合度）",null,14,4]
[null,null,"C22","查詢紀錄勾核比對之頻度",null,null,6]
[null,null,"C23","晶片卡查詢設備管理(晶片卡遺失、毀損、停鎖卡)",null,null,4]
[null,"C3\n教育訓練","C31","信用資訊查詢安控/稽核作業講習會之參與情形",null,5,1]
[null,null,"C32","機構舉辦內部資訊安控教育訓練(含種籽講師)之辦理情形",null,null,2]
[null,null,"C33","回報查詢作業人員名冊",null,null,1]
[null,null,"C34","具體配合本中心強化資訊安控作業",null,null,1]
["總分",null,null,null,{"$f":"SUM(E4:E27)","v":100},{"$f":"SUM(F4:F24)","v":100},100]
["D                                                                       其他加減分事項\n                                          ",null,"D11","重要聯繫事項或函文之配合","-50~20",null,"-5~+7"]
[null,null,"D12","對於資料報送或產品內容提出建設性意見",null,null,"0~+4"]
[null,null,"D13","報送企業財務報告資料配合情形",null,null,"0~+4"]
[null,null,"D14","資訊產品、資料報送講習會之參與情形",null,null,"0~+2"]
[null,null,"D15","會員繳費(標準查詢費、特約查詢費)延遲情形",null,null,"-2~0"]
[null,null,"D16","與前一年安控作業比較(如：顯著進步、連續未達70分…)",null,null,"-3~+3 "]
[null,null,"D21","違反會員規約或相關法令規定遭停查處分或定額扣減回饋費處分",null,null,"-35~0"]
[null,null,"D22","查核發現之內部控制缺失情節嚴重者",null,null,"-5~0"]
["經其他加減分後最高總分",{"$nulls":5},120]
["評核意見暨建議"]

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[]
[null,"金融聯合徵信中心113年度會員機構執行信用資訊查詢作業控管評核表"]
[null,"會員機構代號名稱："]
[null,"評核項目",null,null,"評  核  內  容","配分"]
[null,"A                                                                                 查詢作業控管規章及查核項目","A1\n控管規章","A11","控管要點依本中心範本及實際作業環境修訂版本，並函送本中心備查",6,3,1]
[null,null,null,"A12","控管要點內容對於本中心範本要求之涵蓋率",null,null,2]
[null,null,"A2\n查核項目","A21","查核工作底稿項目對於本中心底稿範本要求之涵蓋率\n(查核項目1.2.3.5.6.12.13.14.15.16.17.18.19.20...)",null,3,2]
[null,null,null,"A22","查核工作底稿項目對於本中心底稿範本要求之涵蓋率\n(查核項目4.7.8.9.10.11.21...)",null,null,1]
[null,"B                                                                                                                                                   查核作業及查核結果報告                           ","B1\n內部稽核","B11","總機構執行內部單位稽核作業之全面性",39,3,3]
[null,null,"B2\n自行查核","B21","各查詢單位執行自行查核作業之全面性",null,2,2]
[null,null,"B3\n報告內容","B31","年度查核彙總報告應檢附文件之完整性",null,12,2]
[null,null,null,"B32","年度查核彙總報告「彙總單」填寫之正確性、完整性",null,null,8]
[null,null,null,"B33","年度查核彙總報告函送之即時性",null,null,2]
[null,null,"B4\n查核結果","B41","年度查核彙總報告之查核結果",null,16,14]
[null,null,null,"B42","年度查核彙總報告(介接公務機關資訊)之查核結果",null,null,1]
[null,null,null,"B43","年度查核彙總報告(中小企業融資服務平台資訊)之查核結果",null,null,1]
[null,null,"B5\n事後管理","B51","前一年度查核缺失改善之有效性",null,6,6]
[null,"C                                                                         查詢作業管理","C1\n查核發現","C11","本中心查核結果及發現缺失",55,12,6]
[null,null,null,"C12","本中心查核之機構查詢作業程序、資訊處理環境等",null,null,6]
[null,null,"C2\n作業管理","C21\nC13","指定項目自行查核(W01)之辦理情形",null,38,10]
[null,null,null,"C22\nC14","指定項目自行查核(W20)之辦理情形",null,null,14]
[null,null,null,"C23\nC21","查詢理由點選之正確性（資料密合度）",null,null,4]
[null,null,null,"C24\nC22","查詢紀錄勾核比對之頻度",null,null,6]
[null,null,null,"C25\nC23","晶片卡查詢設備管理(晶片卡遺失、毀損、停鎖卡)",null,null,4]
[null,null,"C3\n教育訓練","C31","信用資訊查詢安控/稽核作業講習會之參與情形",null,5,1]
[null,null,null,"C32","機構舉辦內部資訊安控教育訓練(含種籽講師)之辦理情形",null,null,2]
[null,null,null,"C33","回報查詢作業人員名冊",null,null,1]
[null,null,null,"C34","具體配合本中心強化資訊安控作業",null,null,1]
[null,"總分",null,null,null,{"$f":"SUM(F5:F28)","v":100},{"$f":"SUM(G5:G25)","v":100},100]
[null,"D                                                                       其他加減分事項\n                                          ",null,"D11","重要聯繫事項或函文之配合","-50~20",null,"-5~+7"]
[null,null,null,"D12","對於資料報送或產品內容提出建設性意見",null,null,"0~+4"]
[null,null,null,"D13","報送企業財務報告資料配合情形",null,null,"0~+4"]
[null,null,null,"D14","資訊產品、資料報送講習會之參與情形",null,null,"0~+2"]
[null,null,null,"D15","會員繳費(標準查詢費、特約查詢費)延遲情形",null,null,"-2~0"]
[null,null,null,"D16","與前一年安控作業比較(如：顯著進步、連續未達70分…)",null,null,"-3~+3 "]
[null,null,null,"D21","違反會員規約或相關法令規定遭停查處分或定額扣減回饋費處分",null,null,"-35~0"]
[null,null,null,"D22","查核發現之內部控制缺失情節嚴重者",null,null,"-5~0"]
[null,"經其他加減分後最高總分",{"$nulls":5},120]
[null,"評核意見暨建議"]

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[]
[null,"金融聯合徵信中心114年度會員機構執行信用資訊查詢作業控管評核表"]
[null,"會員機構代號名稱："]
[null,"評核項目",null,null,"評  核  內  容","配分"]
[null," A      內控制度完備性     ","A1\n控管規章","A11","控管要點依本中心範本及實際作業環境修訂版本，並函送本中心備查",6,3,1]
[null,null,null,"A12","控管要點內容對於本中心範本要求之涵蓋率",null,null,2]
[null,null,"A2\n查核項目","A21","查核工作底稿項目對於本中心底稿範本要求之涵蓋率\n(查核項目1.2.3.5.6.12.13.14.15.16.17.18.19.20...)",null,3,2]
[null,null,null,"A22","查核工作底稿項目對於本中心底稿範本要求之涵蓋率\n(查核項目4.7.8.9.10.11.21...)",null,null,1]
[null,"B     內控執行有效性                            ","B1\n內部稽核","B11","總機構執行內部單位稽核作業之全面性",39,3,3]
[null,null,"B2\n自行查核","B21","各查詢單位執行自行查核作業之全面性",null,2,2]
[null,null,"B3\n報告內容","B31","年度查核彙總報告應檢附文件之完整性",null,12,2]
[null,null,null,"B32","年度查核彙總報告「彙總單」填寫之正確性、完整性",null,null,8]
[null,null,null,"B33","年度查核彙總報告函送之即時性",null,null,2]
[null,null,"B4\n查核結果","B41","年度查核彙總報告之查核結果",null,16,14]
[null,null,null,"B42","年度查核彙總報告(介接公務機關資訊)之查核結果",null,null,1]
[null,null,null,"B43","年度查核彙總報告(中小企業融資服務平台資訊)之查核結果",null,null,1]
[null,null,"B5\n事後管理","B51","前一年度查核缺失改善之有效性",null,6,6]
[null,"C        查詢作業安控管理      ","C1\n查核發現","C11","本中心查核結果及發現缺失",55,12,6]
[null,null,null,"C12","本中心查核之機構查詢作業程序、資訊處理環境等",null,null,6]
[null,null,"C2\n作業管理","C21","指定項目自行查核(W01)之辦理情形",null,38,10]
[null,null,null,"C22","指定項目自行查核(W20)之辦理情形",null,null,14]
[null,null,null,"C23","查詢理由點選之正確性（資料密合度）",null,null,4]
[null,null,null,"C24","查詢紀錄勾核比對之頻度",null,null,6]
[null,null,null,"C25","晶片卡查詢設備管理(晶片卡遺失、毀損、停鎖卡)",null,null,4]
[null,null,"C3\n教育訓練","C31","信用資訊查詢安控/稽核作業講習會之參與情形",null,5,1]
[null,null,null,"C32","機構舉辦內部資訊安控教育訓練(含種籽講師)之辦理情形",null,null,2]
[null,null,null,"C33","回報查詢作業人員名冊",null,null,1]
[null,null,null,"C34","具體配合本中心強化資訊安控作業",null,null,1]
[null,"總分",null,null,null,{"$f":"SUM(F5:F28)","v":100},{"$f":"SUM(G5:G25)","v":100},100]
[null,"D                                                                       其他加減分事項\n                                          ",null,"D11","重要聯繫事項或函文之配合","-50\n|\n+20",null,"-4~+6"]
[null,null,null,"D12","對於資料報送或產品內容提出建設性意見",null,null,"0~+4"]
[null,null,null,"D13","報送企業財務報告資料配合情形",null,null,"0~+4"]
[null,null,null,"D14","資訊產品、資料報送講習會之參與情形",null,null,"0~+2"]
[null,null,null,"D15","會員繳費(標準查詢費、特約查詢費)延遲情形",null,null,"-2~0"]
[null,null,null,"D16","與前一年安控作業比較(如：顯著進步、連續未達70分…)",null,null,"-3~+3 "]
[null,null,null,"D17","「金融機構一覽」核校清單配合回覆",null,null,"0~+1"]
[null,null,null,"D18","年度回饋費之發票或收據回覆延遲",null,null,"-1~0"]
[null,null,null,"D21","違反會員規約或相關法令規定遭停查處分或定額扣減回饋費處分",null,null,"-35~0"]
[null,null,null,"D22","查核發現之內部控制缺失情節嚴重者",null,null,"-5~0"]
[null,"經其他加減分後最高總分",{"$nulls":5},120]
[null,"評核意見暨建議"]