商业伙伴贸易安全审核表中英文版

第页表单编号：WI-SCH-01-04-A商业伙伴贸易安全审核表BusinessPartnerTradeSecurityReviewForm商业伙伴名称Businesspartnername联系人Contactperson地址Address联系电话Phone审计项目Audititem内容Content标准Criteria判定Judgement备注Remarks基本资质Basicqualifications营业执照Businesslicense具有合法的经营资质HavelegalbusinessqualificationsR有；□无☑Yes;□No附档1-营业执照海关信用等级证明资料Certificateofcustomscreditrating具有海关AEO一般认证或高级认证资格HavecustomsAEOgeneralcertificationoradvancedcertificationqualification□有；R无□Yes;☑No经营场所Businesspremises具有固定的经营场所，经营场所与注册/登记一致Havefixedbusinesspremises,whichisconsistentwiththeregisteredpremises达标R；不达标□；☑Yes;□No;附档2-公司图片是否具有其他荣誉Otherhonorsornot政府部门、客户、金融机构等给予的荣誉Honorsgrantedbygovernmentdepartments,clients,financialinstitutions,etc.R有；□无☑Yes;□No附档3-荣誉证书信息系统Informationsystem是否有必要的计算机信息系统IsthereanecessarycomputerinformationsystemR有；□无☑Yes;□No附档4-ISO27001认证辅导计划场所安全Placesecurity公司出入口Companyentrancesandexits车辆、人员进出的大门配备人员驻守Gatesthroughwhichvehiclesand/orpersonnelenterorexitareguarded.达标R；不达标□；☑Yes;□No附档5-程反恐文件（C-TPAT-HH-017保安岗位职责）建筑结构Buildingstructure建筑物的建造方式能够防止非法闯入。定期对建筑物进行检查和修缮，确保其完好无损。Buildingsareconstructedinawaythatresistsunlawfulbreak-in.Theintegrityofstructuresismaintainedbyperiodicinspectionandrepair.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-026实体保安程序）照明Lighting企业生产经营场所配备充足的照明，包括以下区域：出入口，货物装卸和储存区，围墙周边及停车场/停车区域。Adequatelightingisprovidedonthepremisesincludingthefollowingareas:entrancesandexits,cargohandlingandstorageareas,fencelinesandparkinglots/parkingareas.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-026实体保安程序）报警和视频监控摄像Alarmsystemsandvideosurveillancecameras装配报警系统和视频监控摄像机，监测以下区域：出入口，货物装卸和储存区，围墙周边及停车场/停车区域，防止未经许可进入货物存储以及装卸区。Adequatealarmsystemsandvideosurveillancecamerasshallbeinstalledtomonitorfollowingareas:entrancesandexits,cargohandlingandstorageareas,fencelinesandparkinglots/parkingareas,topreventuncertifiedaccesstocargohandlingandstorageareas.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-022敏感或重点区域控制程序）仓储区域Storageareas配置充分的仓储设施，货物实现分类存放；在货物装卸和储存区域，以及用于存放进出口货物的区域，设有隔离设施，以阻止任何未经许可的人员进入。Adequatestoragefacilitiesareprovidedtorealizeclassifiedstorageofcargoes.Cargohandlingandstorageareasaswellastheareastostoreimportandexportcargoesshallhavephysicalbarriersanddeterrentsthatguardagainstuncertifiedaccess.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-032货仓安全控制程序）锁闭装置及钥匙Lockingdevicesandkeys锁闭装置及钥匙保管：所有内外窗户，大门和围栏都设有足够数量的锁闭装置。对钥匙的发放和回收进行管理。Lockingdevicesandkeycontrol:Allexternalandinternalwindows,gatesandfencesaresecuredwithadequatelockingdevices.Thedistributionandrecoveryofkeysshallbemanaged.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-015锁闭装置和钥匙控制程序）进入安全Accesssecurity员工进入Employeeaccess员工：具有员工身份识别系统，对员工进行身份识别和进入控制。对员工、访客的身份标识（比如钥匙、钥匙卡等）的发放和回收进行统一管理和登记。员工车辆停放在指定的区域。Employees:Anemployeeidentificationsystemisprovidedforpositiveidentificationandaccesscontrolpurposes.Thedistributionandrecoveryofidentifylabels(suchaskeys,keycards,etc.)ofemployeesandvisitorsaremanagedandregistereduniformly.Employees’vehiclesareparkedindesignatedareas.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-018员工进出管理程序）访客进入Visitoraccess实行访客登记管理，登记时必须检查带有照片的身份证件。访客进入企业应当佩戴临时身份标识，进入企业重点敏感区域应当有企业内部人员陪同。访客的车辆进入企业应当登记并停放在指定区域。Thevisitorregistrationmanagementisimplemented.Visitorsshallpresentphotoidentificationfordocumentationpurposesuponarrival.Allvisitorsshallvisiblydisplaytemporaryidentificationandbeaccompaniedbyinternalpersonnelthroughouttheprocess.Visitors’vehiclesshallberegisteredandparkedindesignatedareas.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-019访客\车辆进出管制程序）不明人员进入Accessofunidentifiedpersons未经许可进入、身份不明的人员：有识别、质询和确认未经许可进入、身份不明的人员的程序；发现可疑人员进入的，要及时报告及采取适当处置，保证进入安全有效管理。Procedureisprovidedtoidentify,questionandconfirmuncertifiedaccessandunidentifiedpersons.Ifuncertifiedaccessofsuspiciouspersonsisfound,promptlyreportandtakeappropriatemeasurestoensureeffectivemanagementofaccesssecurity.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-023识别、盘问及报告未明身份人员程序）人员安全Personnelsecurity制度及档案Systemsandfiles有员工入职、离职停职的管理制度，制度中规定审查拟聘员工和定期审查现有员工的要求，建立动态的员工清单，包含姓名、出生日期、身份证号码、担任职位等。Amanagementsystemisprovidedforemployeeentry,resignationandsuspension.Thesystemstipulatestherequirementsforreviewingproposedemployeesandperiodicallyreviewingcurrentemployees.Employeelist,whichincludesname,dateofbirth,IDnumberandposition,shallbeprovideddynamically.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-009人事保安程序）聘用前检查Pre-employmentverification聘用前审核：聘用员工前，要对其应聘申请信息（身份信息、工作经历）进行核实。Pre-employmentverification:Applicationinformation(identityinformation,workexperience)isverifiedpriortoemployment.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-010员工背景调查与核实程序）背景调查Backgroundchecks/investigations聘用员工前，要对其进行有无违法犯罪记录等安全背景的检查或者调查。一经录用，要根据员工表现，以及对处于重要敏感工作岗位的员工进行定期审查和重新调查。Backgroundchecks/investigations:Backgroundchecksandinvestigationsareconductedforproposedemployeestoseewhetherthereisacriminalrecordornot.Onceemployed,periodicchecksandreinvestigationsareimplementedbasedontheemployee’sperformanceandthesensitivityoftheemployee’sposition.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-010员工背景调查与核实程序）员工离职程序Employeeseparationprocedure有书面制度和程序，对离职或者停职员工及时收回工作证件、设备，并禁止其进入企业生产经营场所及使用企业信息系统。Writtensystemsandprocedureareprovidedtopromptlytakebackworkcertificatesandequipmentforresignedorsuspendedemployees,andprohibitthemfromenteringtheproductionandbusinesspremisesandusingthecompany’sinformationsystem.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-013离职雇员及终止合约商控制程序）商业合作伙伴安全Businesspartnersecurity制度Systems有评估、要求、检查商业伙伴供应链安全的书面制度和程序Writtensystemsandprocedureisprovidedtoassess,requireandcheckthesupplychainsecurityofbusinesspartners.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-037商业伙伴选择与管理程序）全面评估Comprehensiveassessment在筛选商业伙伴时根据本认证标准对商业伙伴进行全面评估，重点评估守法合规和贸易安全，并有书面制度和程序。Acomprehensiveassessmentonthepotentialbusinesspartners,especiallyinthefieldsoflegalcompliance,tradesecurityandsupply/operationqualificationsisconductedinaccordancewiththeCriteriaofCertifiedEnterprisesoftheCustomsAdministration,andwrittensystemsandprocedureareprovided.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-037商业伙伴选择与管理程序）书面文件Writtendocuments在合同、协议或者其他书面资料中要求商业伙伴按照本认证标准优化和完善贸易安全管理。Businesspartnersarerequired,inthecontracts,agreementsorotherwrittendocuments,tooptimizeandimprovethetradesecuritymanagementinaccordancewiththeCriteriaofCertifiedEnterprisesofCustomsAdministration.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-044商业伙伴安全管理程序）监控检查Monitorandreview定期监控或者检查商业伙伴遵守贸易安全要求的情况，并有书面制度和程序。Regularlymonitororcheckbusinesspartners’compliancewithtradesecurityrequirements,andprovidewrittensystemsandprocedure.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-044商业伙伴安全管理程序）货物、物品安全Securityofcargoesanditems制度Systems有确保供应链中货物在运输、装卸和存储过程中的完整性和安全性的措施和程序，并有效落实。Measuresandprocedureareprovidedtoensuretheintegrityandsecurityofcargoesintheprocessoftransportation,handlingandstorageinthesupplychain.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-049货物完整性程序）装运和接收货物：Shipmentandreceiptofcargoes:运抵的货物要与货物单证的信息相符，核实货物的重量、标签、件数或箱数。离岸的货物要与购货订单或者装运订单上的内容进行核实。在货物关键交接环节有签名、盖章等保护制度。Cargoesarrivedareconsistentwiththeinformationindicatedinthedocumentationsandtheweight,labelandnumberofpiecesandcartonsofthecargoesareverified.Thecargoesonboardareverifiedagainstthepurchaseordeliveryorders.Therearesuchprotectivemechanismsassignaturesorstampsinthekeydeliveryprocessofthecargoes.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-029货物接收、储存和出货控制程序）出口安全：Exportsecurity:生产型企业对出口货物、物品实施专人监装，并保留监装记录。确保货物安全装运；非生产型企业应相应的管理制度，确保货物物品安全装运。Production-orientedenterprisesdesignatespecially-assignedpersontosupervisetheshipmentoftheexportcargoesanditems,andkeepthesupervisionrecords,inordertoensurethesafeshipmentofcargoes.Non-production-orientedenterprisesshallhavecorrespondingmanagementsystemstoensurethesafeshipmentofcargoes.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-030货物运输和追踪控制程序）货物差异处置Disposalofcargodiscrepancies:在出现货物溢、短装或者其他异常现象（如法检商品安全、卫生、环保指标不合格等）时要及时报告或者采取其他应对措施，并有书面制度和程序。Allmoreorlessloadingorotheranomalies(suchasnon-conformingproductsecurity,sanitation,environmentalprotectionindicatorsduringlegalinspections,etc.)arepromptlyreportedoraddressedwithcountermeasures,andwrittensystemsandprocedureareprovided.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-031货物短缺或过剩处理程序）集装箱安全Containersecurity制度Systems有确保集装箱的完整性、可靠性，以防止未经许可的货物或者人员混入的措施和程序。Measuresandprocedureareprovidedtoprotecttheintegrityofcontainersfromtheuncertifiedmixingofcargoesortheaccessofuncertifiedpersons.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-027货柜安全程序）集装箱检查：Containercheck:在装货前检查集装箱结构的物理完整性和可靠性，包括门的锁闭系统的可靠性，并做好相关登记。检查建议采取“七点检查法”（即对集装箱按照以下顺序检查：前壁、左侧、右侧、地板、顶部、内/外门、外部/起落架）。Procedureshallbeinplacetoensurethephysicalintegrityandreliabilityofthecontainerstructure,includingthereliabilityofthelockingsystemsofthedoors,withwrittenrecords.Aseven-spotinspectionprocessisrecommended,accordingtowhichacontainerisinspectedaccordingtothefollowingsequentialorder:frontwall,leftside,rightside,floor,ceiling/roof,inside/outsidedoors,outside/undercarriage.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-027货柜安全程序）集装箱封条：Containerseals:已装货集装箱要施加高安全度的封条，所有封条都要符合或者超出现行PASISO17712对高度安全封条的标准，封条有专人管理、登记。要建立施加和检验封条的书面制度和程序，以及封条异常的报告机制。Ahighsecuritysealshallbeaffixedtoallloadedcontainers.AllsealsshallmeetorexceedthecurrentPASISO17712standardforhighsecuritysealsandkeptandrecordedbyaspecially-assignedperson.Writtensystemsandprocedureshallstipulatehowsealsaretobeaffixedandinspected,aswellashowtorecognizeandreportcompromisedseals.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-028封条控制程序）集装箱存储：Containerstorage:集装箱要保存在安全的区域，以防止未经许可的进入或者改装，有报告和解决未经许可擅自进入集装箱或者集装箱存储区域的程序。Containersshallbestoredinasecureareatopreventuncertifiedaccessormanipulation.Procedureisprovidedforreportingandaddressinguncertifiedaccesscontainersorcontainerstorageareas.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-027货柜安全程序）运输工具安全Securityofmeansoftransport运输工具检查程序Checkofmeansoftransport有确保运输工具（拖车和挂车）的完整性（包括防止非法改装），防止未经许可的人员或者物品混入的书面制度和程序并有效执行。Writtensystemsandprocedureareprovidedtoensuretheintegrity(includingpreventingillegalmanipulation)ofmeansoftransport(towtrucksandtrailers)toguardagainstuncertifiedaccessofpersonsorcargoes.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-030货物运输和追踪控制程序）运输工具存储Storageofmeansoftransport运输工具要停放在安全的区域，以防止未经许可的进入或者其他损害，有报告和解决未经许可擅自进入或者损害的程序。Themeansoftransportisparkedinasecureareatopreventuncertifiedaccessorotherdamage.Procedureisprovidedtoforreportingandaddressingtheuncertifiedaccessordamage.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-021车辆停放及控制程序）司机身份核实DriversIDcheck在货物被接收或者发放前，应对装运或者接收货物的驾驶员进行身份核实，并限定司机的活动区域。Thedriverwholoadsorreceivescargoesispositivelyidentifiedandthedriver’sactivityareasshallberestrictedbeforecargoesarereceivedordelivered.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-030货物运输和追踪控制程序）危机管理Crisismanagement危机管理机制Crisismanagementmechanism具备对灾害或者紧急安全事故等异常情况的报告、处置等应急程序或者机制。Emergencyprocedureormechanismsareprovidedtoreportandcopewithdisastersoremergencysafetyaccidentsorotherabnormalsituations.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-051突发事件处理程序）应急响应Emergencyresponse依据应急机制，及时相应发生的灾害或紧急情况，降低灾害或紧急情况对公司进出口活动的影响。Accordingtotheemergencyresponsemechanism,respondtodisastersoremergenciesinatimelymannertoreducetheimpactofdisastersoremergenciesonthecompany’simportandexportactivities.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-051突发事件处理程序）异常报告Exceptionreporting异常报告：发现有灾害或者紧急安全事故等异常情况涉及海关业务的，要报告海关Exceptionreporting:Ifanabnormalsituationsuchasadisasteroremergencysecurityaccidentinvolvescustomsbusiness,itshallbereportedtothecustoms.达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-051突发事件处理程序）安全培训Securitytraining建立培训机制Establishtrainingmechanism建立贸易安全的内部培训机制并有效落实。Establishandimplementseriouslyandeffectivelyaninternaltrainingmechanismfortradesecuritymanagement达标R；不达标□；☑Yes;□No;附档5-程反恐文件（C-TPAT-HH-012员工安全意识培训程序）实施供应链安全培训Implementsupplychainsecuritytraining定期对员工进行与国际贸易供应链中货物流动相关风险的教育和培训，让员工了解、掌握海关认证企业在保证货物安全过程中应做的工作。Periodicallyprovideemployeeswitheducationandtrainingonrisksinconnectionwiththeflowofcargoesintheinternationaltradesupplychain,sothatemployeescanunderstandandmastertheworktasksthatcu