商業(yè)伙伴貿(mào)易安全審核表中英文版

第頁表單編號：WI-SCH-01-04-A商業(yè)伙伴貿(mào)易安全審核表BusinessPartnerTradeSecurityReviewForm商業(yè)伙伴名稱Businesspartnername聯(lián)系人Contactperson地址Address聯(lián)系電話Phone審計項目Audititem內(nèi)容Content標(biāo)準(zhǔn)Criteria判定Judgement備注Remarks基本資質(zhì)Basicqualifications營業(yè)執(zhí)照Businesslicense具有合法的經(jīng)營資質(zhì)HavelegalbusinessqualificationsR有；□無?Yes;□No附檔1-營業(yè)執(zhí)照海關(guān)信用等級證明資料Certificateofcustomscreditrating具有海關(guān)AEO一般認(rèn)證或高級認(rèn)證資格HavecustomsAEOgeneralcertificationoradvancedcertificationqualification□有；R無□Yes;?No經(jīng)營場所Businesspremises具有固定的經(jīng)營場所，經(jīng)營場所與注冊/登記一致Havefixedbusinesspremises,whichisconsistentwiththeregisteredpremises達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔2-公司圖片是否具有其他榮譽(yù)Otherhonorsornot政府部門、客戶、金融機(jī)構(gòu)等給予的榮譽(yù)Honorsgrantedbygovernmentdepartments,clients,financialinstitutions,etc.R有；□無?Yes;□No附檔3-榮譽(yù)證書信息系統(tǒng)Informationsystem是否有必要的計算機(jī)信息系統(tǒng)IsthereanecessarycomputerinformationsystemR有；□無?Yes;□No附檔4-ISO27001認(rèn)證輔導(dǎo)計劃場所安全Placesecurity公司出入口Companyentrancesandexits車輛、人員進(jìn)出的大門配備人員駐守Gatesthroughwhichvehiclesand/orpersonnelenterorexitareguarded.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No附檔5-程反恐文件（C-TPAT-HH-017保安崗位職責(zé)）建筑結(jié)構(gòu)Buildingstructure建筑物的建造方式能夠防止非法闖入。定期對建筑物進(jìn)行檢查和修繕，確保其完好無損。Buildingsareconstructedinawaythatresistsunlawfulbreak-in.Theintegrityofstructuresismaintainedbyperiodicinspectionandrepair.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-026實體保安程序）照明Lighting企業(yè)生產(chǎn)經(jīng)營場所配備充足的照明，包括以下區(qū)域：出入口，貨物裝卸和儲存區(qū)，圍墻周邊及停車場/停車區(qū)域。Adequatelightingisprovidedonthepremisesincludingthefollowingareas:entrancesandexits,cargohandlingandstorageareas,fencelinesandparkinglots/parkingareas.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-026實體保安程序）報警和視頻監(jiān)控攝像Alarmsystemsandvideosurveillancecameras裝配報警系統(tǒng)和視頻監(jiān)控攝像機(jī)，監(jiān)測以下區(qū)域：出入口，貨物裝卸和儲存區(qū)，圍墻周邊及停車場/停車區(qū)域，防止未經(jīng)許可進(jìn)入貨物存儲以及裝卸區(qū)。Adequatealarmsystemsandvideosurveillancecamerasshallbeinstalledtomonitorfollowingareas:entrancesandexits,cargohandlingandstorageareas,fencelinesandparkinglots/parkingareas,topreventuncertifiedaccesstocargohandlingandstorageareas.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-022敏感或重點區(qū)域控制程序）倉儲區(qū)域Storageareas配置充分的倉儲設(shè)施，貨物實現(xiàn)分類存放；在貨物裝卸和儲存區(qū)域，以及用于存放進(jìn)出口貨物的區(qū)域，設(shè)有隔離設(shè)施，以阻止任何未經(jīng)許可的人員進(jìn)入。Adequatestoragefacilitiesareprovidedtorealizeclassifiedstorageofcargoes.Cargohandlingandstorageareasaswellastheareastostoreimportandexportcargoesshallhavephysicalbarriersanddeterrentsthatguardagainstuncertifiedaccess.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-032貨倉安全控制程序）鎖閉裝置及鑰匙Lockingdevicesandkeys鎖閉裝置及鑰匙保管：所有內(nèi)外窗戶，大門和圍欄都設(shè)有足夠數(shù)量的鎖閉裝置。對鑰匙的發(fā)放和回收進(jìn)行管理。Lockingdevicesandkeycontrol:Allexternalandinternalwindows,gatesandfencesaresecuredwithadequatelockingdevices.Thedistributionandrecoveryofkeysshallbemanaged.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-015鎖閉裝置和鑰匙控制程序）進(jìn)入安全Accesssecurity員工進(jìn)入Employeeaccess員工：具有員工身份識別系統(tǒng)，對員工進(jìn)行身份識別和進(jìn)入控制。對員工、訪客的身份標(biāo)識（比如鑰匙、鑰匙卡等）的發(fā)放和回收進(jìn)行統(tǒng)一管理和登記。員工車輛停放在指定的區(qū)域。Employees:Anemployeeidentificationsystemisprovidedforpositiveidentificationandaccesscontrolpurposes.Thedistributionandrecoveryofidentifylabels(suchaskeys,keycards,etc.)ofemployeesandvisitorsaremanagedandregistereduniformly.Employees’vehiclesareparkedindesignatedareas.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-018員工進(jìn)出管理程序）訪客進(jìn)入Visitoraccess實行訪客登記管理，登記時必須檢查帶有照片的身份證件。訪客進(jìn)入企業(yè)應(yīng)當(dāng)佩戴臨時身份標(biāo)識，進(jìn)入企業(yè)重點敏感區(qū)域應(yīng)當(dāng)有企業(yè)內(nèi)部人員陪同。訪客的車輛進(jìn)入企業(yè)應(yīng)當(dāng)?shù)怯洸⑼７旁谥付▍^(qū)域。Thevisitorregistrationmanagementisimplemented.Visitorsshallpresentphotoidentificationfordocumentationpurposesuponarrival.Allvisitorsshallvisiblydisplaytemporaryidentificationandbeaccompaniedbyinternalpersonnelthroughouttheprocess.Visitors’vehiclesshallberegisteredandparkedindesignatedareas.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-019訪客\車輛進(jìn)出管制程序）不明人員進(jìn)入Accessofunidentifiedpersons未經(jīng)許可進(jìn)入、身份不明的人員：有識別、質(zhì)詢和確認(rèn)未經(jīng)許可進(jìn)入、身份不明的人員的程序；發(fā)現(xiàn)可疑人員進(jìn)入的，要及時報告及采取適當(dāng)處置，保證進(jìn)入安全有效管理。Procedureisprovidedtoidentify,questionandconfirmuncertifiedaccessandunidentifiedpersons.Ifuncertifiedaccessofsuspiciouspersonsisfound,promptlyreportandtakeappropriatemeasurestoensureeffectivemanagementofaccesssecurity.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-023識別、盤問及報告未明身份人員程序）人員安全Personnelsecurity制度及檔案Systemsandfiles有員工入職、離職停職的管理制度，制度中規(guī)定審查擬聘員工和定期審查現(xiàn)有員工的要求，建立動態(tài)的員工清單，包含姓名、出生日期、身份證號碼、擔(dān)任職位等。Amanagementsystemisprovidedforemployeeentry,resignationandsuspension.Thesystemstipulatestherequirementsforreviewingproposedemployeesandperiodicallyreviewingcurrentemployees.Employeelist,whichincludesname,dateofbirth,IDnumberandposition,shallbeprovideddynamically.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-009人事保安程序）聘用前檢查Pre-employmentverification聘用前審核：聘用員工前，要對其應(yīng)聘申請信息（身份信息、工作經(jīng)歷）進(jìn)行核實。Pre-employmentverification:Applicationinformation(identityinformation,workexperience)isverifiedpriortoemployment.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-010員工背景調(diào)查與核實程序）背景調(diào)查Backgroundchecks/investigations聘用員工前，要對其進(jìn)行有無違法犯罪記錄等安全背景的檢查或者調(diào)查。一經(jīng)錄用，要根據(jù)員工表現(xiàn)，以及對處于重要敏感工作崗位的員工進(jìn)行定期審查和重新調(diào)查。Backgroundchecks/investigations:Backgroundchecksandinvestigationsareconductedforproposedemployeestoseewhetherthereisacriminalrecordornot.Onceemployed,periodicchecksandreinvestigationsareimplementedbasedontheemployee’sperformanceandthesensitivityoftheemployee’sposition.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-010員工背景調(diào)查與核實程序）員工離職程序Employeeseparationprocedure有書面制度和程序，對離職或者停職員工及時收回工作證件、設(shè)備，并禁止其進(jìn)入企業(yè)生產(chǎn)經(jīng)營場所及使用企業(yè)信息系統(tǒng)。Writtensystemsandprocedureareprovidedtopromptlytakebackworkcertificatesandequipmentforresignedorsuspendedemployees,andprohibitthemfromenteringtheproductionandbusinesspremisesandusingthecompany’sinformationsystem.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-013離職雇員及終止合約商控制程序）商業(yè)合作伙伴安全Businesspartnersecurity制度Systems有評估、要求、檢查商業(yè)伙伴供應(yīng)鏈安全的書面制度和程序Writtensystemsandprocedureisprovidedtoassess,requireandcheckthesupplychainsecurityofbusinesspartners.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-037商業(yè)伙伴選擇與管理程序）全面評估Comprehensiveassessment在篩選商業(yè)伙伴時根據(jù)本認(rèn)證標(biāo)準(zhǔn)對商業(yè)伙伴進(jìn)行全面評估，重點評估守法合規(guī)和貿(mào)易安全，并有書面制度和程序。Acomprehensiveassessmentonthepotentialbusinesspartners,especiallyinthefieldsoflegalcompliance,tradesecurityandsupply/operationqualificationsisconductedinaccordancewiththeCriteriaofCertifiedEnterprisesoftheCustomsAdministration,andwrittensystemsandprocedureareprovided.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-037商業(yè)伙伴選擇與管理程序）書面文件Writtendocuments在合同、協(xié)議或者其他書面資料中要求商業(yè)伙伴按照本認(rèn)證標(biāo)準(zhǔn)優(yōu)化和完善貿(mào)易安全管理。Businesspartnersarerequired,inthecontracts,agreementsorotherwrittendocuments,tooptimizeandimprovethetradesecuritymanagementinaccordancewiththeCriteriaofCertifiedEnterprisesofCustomsAdministration.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-044商業(yè)伙伴安全管理程序）監(jiān)控檢查Monitorandreview定期監(jiān)控或者檢查商業(yè)伙伴遵守貿(mào)易安全要求的情況，并有書面制度和程序。Regularlymonitororcheckbusinesspartners’compliancewithtradesecurityrequirements,andprovidewrittensystemsandprocedure.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-044商業(yè)伙伴安全管理程序）貨物、物品安全Securityofcargoesanditems制度Systems有確保供應(yīng)鏈中貨物在運(yùn)輸、裝卸和存儲過程中的完整性和安全性的措施和程序，并有效落實。Measuresandprocedureareprovidedtoensuretheintegrityandsecurityofcargoesintheprocessoftransportation,handlingandstorageinthesupplychain.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-049貨物完整性程序）裝運(yùn)和接收貨物：Shipmentandreceiptofcargoes:運(yùn)抵的貨物要與貨物單證的信息相符，核實貨物的重量、標(biāo)簽、件數(shù)或箱數(shù)。離岸的貨物要與購貨訂單或者裝運(yùn)訂單上的內(nèi)容進(jìn)行核實。在貨物關(guān)鍵交接環(huán)節(jié)有簽名、蓋章等保護(hù)制度。Cargoesarrivedareconsistentwiththeinformationindicatedinthedocumentationsandtheweight,labelandnumberofpiecesandcartonsofthecargoesareverified.Thecargoesonboardareverifiedagainstthepurchaseordeliveryorders.Therearesuchprotectivemechanismsassignaturesorstampsinthekeydeliveryprocessofthecargoes.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-029貨物接收、儲存和出貨控制程序）出口安全：Exportsecurity:生產(chǎn)型企業(yè)對出口貨物、物品實施專人監(jiān)裝，并保留監(jiān)裝記錄。確保貨物安全裝運(yùn)；非生產(chǎn)型企業(yè)應(yīng)相應(yīng)的管理制度，確保貨物物品安全裝運(yùn)。Production-orientedenterprisesdesignatespecially-assignedpersontosupervisetheshipmentoftheexportcargoesanditems,andkeepthesupervisionrecords,inordertoensurethesafeshipmentofcargoes.Non-production-orientedenterprisesshallhavecorrespondingmanagementsystemstoensurethesafeshipmentofcargoes.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-030貨物運(yùn)輸和追蹤控制程序）貨物差異處置Disposalofcargodiscrepancies:在出現(xiàn)貨物溢、短裝或者其他異?，F(xiàn)象（如法檢商品安全、衛(wèi)生、環(huán)保指標(biāo)不合格等）時要及時報告或者采取其他應(yīng)對措施，并有書面制度和程序。Allmoreorlessloadingorotheranomalies(suchasnon-conformingproductsecurity,sanitation,environmentalprotectionindicatorsduringlegalinspections,etc.)arepromptlyreportedoraddressedwithcountermeasures,andwrittensystemsandprocedureareprovided.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-031貨物短缺或過剩處理程序）集裝箱安全Containersecurity制度Systems有確保集裝箱的完整性、可靠性，以防止未經(jīng)許可的貨物或者人員混入的措施和程序。Measuresandprocedureareprovidedtoprotecttheintegrityofcontainersfromtheuncertifiedmixingofcargoesortheaccessofuncertifiedpersons.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-027貨柜安全程序）集裝箱檢查：Containercheck:在裝貨前檢查集裝箱結(jié)構(gòu)的物理完整性和可靠性，包括門的鎖閉系統(tǒng)的可靠性，并做好相關(guān)登記。檢查建議采取“七點檢查法”（即對集裝箱按照以下順序檢查：前壁、左側(cè)、右側(cè)、地板、頂部、內(nèi)/外門、外部/起落架）。Procedureshallbeinplacetoensurethephysicalintegrityandreliabilityofthecontainerstructure,includingthereliabilityofthelockingsystemsofthedoors,withwrittenrecords.Aseven-spotinspectionprocessisrecommended,accordingtowhichacontainerisinspectedaccordingtothefollowingsequentialorder:frontwall,leftside,rightside,floor,ceiling/roof,inside/outsidedoors,outside/undercarriage.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-027貨柜安全程序）集裝箱封條：Containerseals:已裝貨集裝箱要施加高安全度的封條，所有封條都要符合或者超出現(xiàn)行PASISO17712對高度安全封條的標(biāo)準(zhǔn)，封條有專人管理、登記。要建立施加和檢驗封條的書面制度和程序，以及封條異常的報告機(jī)制。Ahighsecuritysealshallbeaffixedtoallloadedcontainers.AllsealsshallmeetorexceedthecurrentPASISO17712standardforhighsecuritysealsandkeptandrecordedbyaspecially-assignedperson.Writtensystemsandprocedureshallstipulatehowsealsaretobeaffixedandinspected,aswellashowtorecognizeandreportcompromisedseals.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-028封條控制程序）集裝箱存儲：Containerstorage:集裝箱要保存在安全的區(qū)域，以防止未經(jīng)許可的進(jìn)入或者改裝，有報告和解決未經(jīng)許可擅自進(jìn)入集裝箱或者集裝箱存儲區(qū)域的程序。Containersshallbestoredinasecureareatopreventuncertifiedaccessormanipulation.Procedureisprovidedforreportingandaddressinguncertifiedaccesscontainersorcontainerstorageareas.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-027貨柜安全程序）運(yùn)輸工具安全Securityofmeansoftransport運(yùn)輸工具檢查程序Checkofmeansoftransport有確保運(yùn)輸工具（拖車和掛車）的完整性（包括防止非法改裝），防止未經(jīng)許可的人員或者物品混入的書面制度和程序并有效執(zhí)行。Writtensystemsandprocedureareprovidedtoensuretheintegrity(includingpreventingillegalmanipulation)ofmeansoftransport(towtrucksandtrailers)toguardagainstuncertifiedaccessofpersonsorcargoes.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-030貨物運(yùn)輸和追蹤控制程序）運(yùn)輸工具存儲Storageofmeansoftransport運(yùn)輸工具要停放在安全的區(qū)域，以防止未經(jīng)許可的進(jìn)入或者其他損害，有報告和解決未經(jīng)許可擅自進(jìn)入或者損害的程序。Themeansoftransportisparkedinasecureareatopreventuncertifiedaccessorotherdamage.Procedureisprovidedtoforreportingandaddressingtheuncertifiedaccessordamage.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-021車輛停放及控制程序）司機(jī)身份核實DriversIDcheck在貨物被接收或者發(fā)放前，應(yīng)對裝運(yùn)或者接收貨物的駕駛員進(jìn)行身份核實，并限定司機(jī)的活動區(qū)域。Thedriverwholoadsorreceivescargoesispositivelyidentifiedandthedriver’sactivityareasshallberestrictedbeforecargoesarereceivedordelivered.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-030貨物運(yùn)輸和追蹤控制程序）危機(jī)管理Crisismanagement危機(jī)管理機(jī)制Crisismanagementmechanism具備對災(zāi)害或者緊急安全事故等異常情況的報告、處置等應(yīng)急程序或者機(jī)制。Emergencyprocedureormechanismsareprovidedtoreportandcopewithdisastersoremergencysafetyaccidentsorotherabnormalsituations.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-051突發(fā)事件處理程序）應(yīng)急響應(yīng)Emergencyresponse依據(jù)應(yīng)急機(jī)制，及時相應(yīng)發(fā)生的災(zāi)害或緊急情況，降低災(zāi)害或緊急情況對公司進(jìn)出口活動的影響。Accordingtotheemergencyresponsemechanism,respondtodisastersoremergenciesinatimelymannertoreducetheimpactofdisastersoremergenciesonthecompany’simportandexportactivities.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-051突發(fā)事件處理程序）異常報告Exceptionreporting異常報告：發(fā)現(xiàn)有災(zāi)害或者緊急安全事故等異常情況涉及海關(guān)業(yè)務(wù)的，要報告海關(guān)Exceptionreporting:Ifanabnormalsituationsuchasadisasteroremergencysecurityaccidentinvolvescustomsbusiness,itshallbereportedtothecustoms.達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-051突發(fā)事件處理程序）安全培訓(xùn)Securitytraining建立培訓(xùn)機(jī)制Establishtrainingmechanism建立貿(mào)易安全的內(nèi)部培訓(xùn)機(jī)制并有效落實。Establishandimplementseriouslyandeffectivelyaninternaltrainingmechanismfortradesecuritymanagement達(dá)標(biāo)R；不達(dá)標(biāo)□；?Yes;□No;附檔5-程反恐文件（C-TPAT-HH-012員工安全意識培訓(xùn)程序）實施供應(yīng)鏈安全培訓(xùn)Implementsupplychainsecuritytraining定期對員工進(jìn)行與國際貿(mào)易供應(yīng)鏈中貨物流動相關(guān)風(fēng)險的教育和培訓(xùn)，讓員工了解、掌握海關(guān)認(rèn)證企業(yè)在保證貨物安全過程中應(yīng)做的工作。Periodicallyprovideemployeeswitheducationandtrainingonrisksinconnectionwiththeflowofcargoesintheinternationaltradesupplychain,sothatemployeescanunderstandandmastertheworktasksthatcu