C-TPAT认证审核文件清单

编辑：上海励奥来源：C-TPAT认证日期: 2016-10-27 22:39:10

C-TPAT认证评估工厂应提前准备如下文件资料以供审核：

No. 序号	DOCUMENT	文件
1	Business License	营业执照
2	Organization Chart	组织结构图
3	Job Descriptions, including responsibilities for security	岗位职责(包括安全责任)
4	Roster (including security staff)	花名册(包括保安)
5	current employees periodical check record	在职员工定期检查记录
6	Employees hiring procedure	招聘程序
7	Personal files	人事档案
8	employees Re-investigation records	员工复查记录
9	Resignation policy and records	辞职政策和记录
10	Issuance and return records for ID badges (employees and visitors)	身份证/访客证发放回收记录(员工/访客)
11	Training records (new employees orientation / security procedures/security personnel/ shipping and receiving areas rules/raise awareness on security and terrorist threats/information necessary for shipment to US)	培训记录(新员工入职/安全程序/收发货区管理规定/提高安全和恐怖主义威胁的意识/发货到美国所必需的信息)
12	Security Management Procedures	安全管理程序
13	Security Risk Assessment Procedures/records	安全风险评估程序/记录
14	Issuance and return records of locks and keys	锁和钥匙的发放回收记录
15	Working Hours Records for Door Security Staff	保安人员考勤记录
16	Security Guards incident records	安保事故记录
17	Security Patrol records	保安巡逻记录
18	Container Loading Procedures	货柜装载程序
19	Containers Seals Check Procedure	货柜封条检查程序
20	Container verification procedure (including checking dimensions, weights)	货柜验证程序(包括检查尺寸,重量)
21	Non-compliance procedure of fail result for container verification	装柜查验失败的不合格处理程序
22	Integrity procedure for transport, storage and handling of cargo	货物运输、存储和处理的完整性控制程序
23	Anti-foreign material introduction control process during container loading	防止装柜混入外来物料控制程序
24	Cargo Weighting and Counting records	货物称重和计数记录
25	shipment anomalies Inform Procedure	装货过程异常情况通知程序
26	Cargo documentation and packing lists	货物文件和装箱单
27	Goods tracking system for shipment	运输货物的跟踪系统
28	Container structure integrity inspection procedure and records	集装箱结构完整性检查程序和记录
29	Documented procedure indicating the kind of Seal to use (conform ISO/PAS 17712)	封条选择程序（符合ISO/PAS 17712）
30	seals affixing/replacing/recording/tracking Procedure	封条张贴/更换/记录/跟踪程序
31	Seal numbers records (truck license, driver name, time and date of lading, conveyance number)	封条记录(包括卡车执照、司机姓名、装货时间和日期、运输号码)
32	Verification records of final sealing before departure	出货前封条查验记录
33	Shipment Records	出货记录
34	employee (access to restricted areas)identification procedures	员工访问权限的识别程序
35	I T control procedure and records	IT控制程序和记录
36	contractors Selection and evaluation process	承包商选择和评估程序
37	contractors security standards and procedures	承包商安全标准和程序
38	Background check records of contractors with access to restricted areas	可进入限制区域的承包商背景调查记录
39	carriers Selection and evaluation process	承运商选择评估过程
40	CTPAT enrollment Proof of carriers/ contractors	承运商/承包商CTPAT认证登记证明
41	Carriers/ contractors security violations reporting procedure	承运商/承包商违反安全行为的上报程序
42	Previous internal, 2nd or 3rd party audits for security	上次安全内审记录，第二方或第三方安全审核记录
43	regular internal security audits/check records	定期安全内审/检查记录
44	Security Improvement plan	安全改进计划
45	Security plan	安全计划

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