Validation Preparation
中美海關(guān)C-TPAT聯(lián)合反恐驗廠審核前供應(yīng)商應(yīng)準(zhǔn)備的文件資料：
Please have the following documents and/ or information available for review during the validation in order to facilitate the process. All requested items should apply, but may not be applicable to your company. For items deemed ‘not applicable’ by your company, please be prepared to discuss why.
請在審核期間準(zhǔn)備以下文件或信息以推動程序進(jìn)行。所有要求的項目都應(yīng)應(yīng)用，但有可能不適用于你的公司。對于你認(rèn)為“不適用于”貴公司的項目，請準(zhǔn)備好討論原因。
The Validation process and adherence to C-TPAT standards is largely based on, and requires written company policies and procedures regarding supply chain security.
此審核程序和附帶C-TPAT標(biāo)準(zhǔn)很大程度地基于并要求關(guān)于供應(yīng)鏈保安的書面公司政策和程序。
1.Risk Assessment 風(fēng)險評估
——Copy of security risk assessment of supply chain(s). An examples is assessing your business partners and the documents used to do such, like a completed questionnaire or audit of your business partners supply chain security as it pertains to your supply chain. (May overlap with the Business Partner requirements)
供應(yīng)鏈保安風(fēng)險評估的副本。有一個例子是，評估你的商業(yè)伙伴還有使用的文件，像一個完整的調(diào)查問卷或?qū)徍四愕纳虡I(yè)伙伴供應(yīng)鏈保安，因為它附屬于你的供應(yīng)鏈。（可能與商業(yè)伙伴要求交疊）
——Copy of plan to correct security weaknesses found in the supply chain(s) and/or plan to maintain and improve supply chain security.
糾正在供應(yīng)鏈里發(fā)現(xiàn)的保安弱點(diǎn)的計劃副本和/或計劃維持和提升供應(yīng)鏈保安的復(fù)印件
2.Business Partner Requirements 商業(yè)伙伴要求
——Written process / procedure / policy (SOP) and copies of documents describing how business partners are screened, including customers, service providers, and contractors- (e.g. questionnaires, surveys, financial screening, business reference verifications, professional association affiliation, etc.) To include written procedures or policies your company uses to indicate “risk factors” for business partners regarding security weaknesses. (Financial stress, poor service, security gaps, etc.)
書面處理/程序/政策（SOP）和描述如何篩選合作伙伴，包括客戶、服務(wù)提供者和承包者的副本（例如調(diào)查問卷、調(diào)查、財政監(jiān)控、商業(yè)參考查證、專業(yè)協(xié)會從屬關(guān)系等）。包括貴公司使用的書面程序或政策以顯示給商業(yè)伙伴關(guān)于保安弱點(diǎn)的“風(fēng)險因素”（金融壓力、差的服務(wù)、保安缺口等）
——Evidence in business partner files showing commitment to C-TPAT security criteria and policies/ procedures (e.g., security surveys/ questionnaires, written agreements, documentation of audits/ visits, etc.)
在商業(yè)伙伴檔案里的跡象顯示出對C-TPAT保安標(biāo)準(zhǔn)和政策/程序承諾（例如保安調(diào)查/調(diào)查問卷、書面協(xié)議、審查/訪問存檔等）
—— Documentation demonstrating business partners’ C-TPAT Status (e.g., C-TPAT certificate, SVI number, etc.). and/ or business partners’ participation in foreign supply chain security programs (as applicable).
示范商業(yè)伙伴的C-TPAT狀態(tài)的存檔（例如C-TPAT證書、SVI號碼等）和/或在國外供應(yīng)鏈保安計劃參加的商業(yè)伙伴（如有）
——For partners not eligible for C-TPAT certification, documented evidence that business partner is meeting C-TPAT security criteria. (e.g. contracts, completed security surveys, letter/e-mail from business partner confirming adherence to
C-TPAT criteria, etc.)
對于不符合C-TPAT認(rèn)證要求的伙伴，具備文件的證明商業(yè)伙伴符合C-TPAT保安標(biāo)準(zhǔn)（例如合同、完整的保安調(diào)查、從商業(yè)伙伴的文字/郵件中確認(rèn)遵守C-TPAT標(biāo)準(zhǔn)等）
——Evidence that Non-C-TPAT eligible business partners are subject to verification of compliance with C-TPAT security criteria based on documented risk assessment. (e.g. copy of risk assessment to identify high risk vendors, documented visits to vendors’ premises, etc.)
非符合C-TPAT商業(yè)伙伴證明需從屬基于具備文件的風(fēng)險評估的符合C-TPAT保安標(biāo)準(zhǔn)的查證。（例如用以鑒別高風(fēng)險賣主的風(fēng)險評估的副本，具備文件的訪問賣主的前提等）
——Evidence of periodic reviews of business partner security practices in order to detect and/or correct weaknesses (e.g. documented visits, audits, performance measurements).
對商業(yè)伙伴保安實際行動的定期檢查的證據(jù)，以便發(fā)現(xiàn)和/或糾正缺點(diǎn)（例如具備文件的訪問、審核、執(zhí)行度量）
3.Container/ Conveyance Security 集裝箱/運(yùn)輸保安
——Written container security policies and procedures used throughout the supply chain (Including storage, container inspections, sealing procedures, etc.)
在整個供應(yīng)鏈中所使用的書面的集裝箱保安政策和程序（包括儲存、集裝箱檢驗、密封程序等）
——Container/ Conveyance inspection checklists and/or evidence of outreach to business partners / service providers regarding container security inspections.
關(guān)于集裝箱保安檢驗的超越商業(yè)伙伴/服務(wù)提供者的集裝箱/運(yùn)輸檢驗檢查清單和/或證明。
——Documentation of training given to shipping / receiving personnel on how to conduct inspections on incoming / outgoing containers and handling anomalies, if encountered.
提供給運(yùn)輸/接收人員的培訓(xùn)存檔文件，關(guān)于如何在引入的/流出的集裝箱進(jìn)行檢查和處理異常，如有遇到的話。
4.Seal Security 密封保安
——Evidence that high security seals are affixed to all loaded containers bound for the U.S., to include evidence (certificate) that those seals meet or exceed the current PAS ISO 17712 standards.
證明出口美國的已裝貨集裝箱有貼上高度安全封條，包括證明（認(rèn)證）那些封條達(dá)到或超出目前的PAS ISO 17712標(biāo)準(zhǔn)。
——Written policies and procedures governing seal security (storage, inventory, issuance, affixing, and verification; how to handle seals broken before crossing border, notification to importer/ shipper/ other parties, recording new seal numbers, etc.), to include procedures for recognizing and reporting compromised seals/ containers to U.S. Customs or the appropriate authority.
書面政策和程序控制密封保安（儲存、總量、發(fā)行、黏貼和查證；如何處理在橫跨邊界之前封條破損，通知進(jìn)口商/托運(yùn)人/其他人員，記錄新的封條編號等），包括用于承認(rèn)和報告去往美國海關(guān)或有關(guān)當(dāng)局的危機(jī)安全的封條/集裝箱
5.Conveyance Tracking / Monitoring 運(yùn)輸跟蹤/監(jiān)控
——Demonstrate and /or documentation on how drivers are tracked/ monitored (e.g. GPS, radios, cell phones) and how monitoring is recorded (logs) for outbound cargo while in transit to port or consolidation point.
證明和/或記錄文件關(guān)于如何對在運(yùn)輸?shù)礁劭诨蚵?lián)合點(diǎn)途中開往外地的船貨跟蹤/監(jiān)控司機(jī)（例如GPS、收音機(jī)、手機(jī)）還有如何記錄監(jiān)控（航行日志）
——Written policies, procedures, and checklists with instructions to drivers, transportation service providers, or consolidators regarding container tracking, check-in times, routes they are required to follow, confirmation of delivery, etc.
給司機(jī)、運(yùn)輸服務(wù)提供者或混載業(yè)者提供關(guān)于集裝箱跟蹤、報到次數(shù)、要求他們跟隨的路線、運(yùn)輸?shù)拇_認(rèn)的書面政策、程序和帶說明的檢查清單。
6. Highway Carrier Owner-Operators 公路運(yùn)輸所有者-操作者
——Copy of contract with owner-operators
與所有者-操作者的聯(lián)系的副本
——Copy of security requirements/ expectations for owner-operators
對所有者-操作者的保安要求/期望的副本
7.Audits / Testing 審核/測試
——Documentation of security audits performed (packing, shipping, seal verification, trailer/ container inspections, facility physical security inspections, personnel security, etc.)
所執(zhí)行的保安審核文件（包裝、船運(yùn)、密封查證、拖車/集裝箱檢驗、設(shè)備物理保安檢查、個人保安等）
——Documentation of protocols for periodic audits / tests of security systems
對于保安系統(tǒng)的定期審核/測試的協(xié)議文件
8.Security Training Awareness 保安培訓(xùn)意識
——Agendas of security training given to employees
給雇員作保安培訓(xùn)的議程
——Policy and/ or documentation on employee training
雇員培訓(xùn)的政策和/或文件
—— Policy and/or documentation of specialized security training given to shipping/ receiving/ warehouse employees and those who handle mail.
專門針對船運(yùn)/接收/倉庫雇員和那些處理郵件的人作的保安培訓(xùn)的政策和/或文件
9.Personnel Security 人事保安
——Written personnel procedures/ policies (SOP) for employee selection/ screening process. Please have available reference check forms and other pre-employment data collection tools
選擇雇傭/監(jiān)控程序的書面人事程序/政策（SOP）。需有可行的參考檢查表格和其他的錄用前數(shù)據(jù)收集工具
——Sample of employee files – 1 active and 1 terminated employee personnel file and documentation contained and maintained in such files.
(e.g. identification, training, pre-employment screening checklist)
雇員檔案樣本—一個現(xiàn)行的和一個終止雇傭人事檔案和包含的文件和在此檔案里的維護(hù)。（例如證明、培訓(xùn)、雇傭前監(jiān)控檢查清單）
——Documented company personnel termination procedures (e.g. checklist showing company property issued / returned, physical / IT accesses rescinded)
公司人事終止程序文件（例如顯示出公司財產(chǎn)流出/回收、物理的/IT訪問廢除的檢查清單）
10.Procedural Security 程序保安
——Copy of policies/ procedures (written SOP) explaining when and how to notify CBP / law enforcement and other parties in the supply chain if anomalies or suspicious activities occur.
解釋如果發(fā)生異?；蚩梢尚袨闀r什么時候和如何通報CBP/法律實施和在供應(yīng)鏈中的其他團(tuán)體的政策/程序副本
——Policies/ procedures addressing how cargo is manifested, timeliness of information, etc.
列明貨物如何顯示清楚、信息的合時等的政策/程序
——Packing and Shipping/ Receiving policies/ procedures
包裝和船運(yùn)/接收政策/程序
——Post orders (Standard Operating Procedures) for guards (if applicable)
警衛(wèi)的快遞訂單（標(biāo)準(zhǔn)操作程序）（如適用）
——Sample of export documentation package for cargo (e.g. manifest, invoices, packing list, purchase order, etc.)
出口貨物文件包裝的樣本（例如載貨單、發(fā)票、包裝清單、采購訂單等）
11.Physical Security / Access Controls 物理保安/訪問控制
—— Copy of logs or records recording issuance/ retrieval of access devices and company property (e.g. key cards, keys, badges, passwords, uniforms, etc.)
訪問設(shè)備和公司財產(chǎn)的發(fā)配和回收錄入或記錄 副本（例如鑰匙卡、鑰匙、證章、密碼、制服等）
—— Written visitor policies, procedures, logs, recorded visits, etc.
書面的訪問者政策、程序、日志、訪問記錄等
——Written procedures and/ or training for employees on challenging unauthorized/ unidentified persons
為員工關(guān)于未授權(quán)/未確認(rèn)人員做的程序和/培訓(xùn)的書面文件
——Copy of policies/ procedures for physical security maintenance (e.g. cameras, alarm systems, fencing inspections, security guards, etc.)
物理保安維護(hù)的政策/程序副本（例如照相機(jī)、警報系統(tǒng)、圍墻檢查、保安防衛(wèi)等）
12.Information Technology 信息技術(shù)
——Written policies and procedures for securing the IT system (passwords, system access level restrictions, monitoring the system, etc.)
保護(hù)IT系統(tǒng)的書面政策和程序（密碼、系統(tǒng)進(jìn)入級別限制、監(jiān)控系統(tǒng)等）
——Documentation of training given to personnel on Information Technology Security.
在信息技術(shù)方面給職員的培訓(xùn)文件
——Company Code of Conduct as it relates to use of IT System.
公司行動守則，因其與IT系統(tǒng)的使用相聯(lián)系
——Policies and Procedures (documentation) for ordering, issuance, activation, and deactivation of FAST transponders.
FAST異頻雷達(dá)收發(fā)機(jī)的采購、發(fā)配、激活、取消激活的政策和程序（文件）
13.Three important points for all companies to remember !
需所有公司記住的三個要點(diǎn)
(1).The importance of continued upper management support for the program.
對這個計劃的持續(xù)的更高管理支持的重要性
(2).Periodic company self-audits of policies and procedures.
政策和程序的定期公司自檢
(3).Continued communications between CBP (SCSS) and company.
CBP（SCSS）與公司之間的持續(xù)溝通
上海勵奧質(zhì)量技術(shù)服務(wù)有限公司
地址：上海市青浦區(qū)滬青平公路2799弄8號1樓
電話：021-36529816
Email： lm@leocorp.cn
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聯(lián)系人:張經(jīng)理
手機(jī)：13524968276
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聯(lián)系人:劉經(jīng)理
手機(jī)：13524551252
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