商业伙伴贸易安全审核表中英文版.docx

《商业伙伴贸易安全审核表中英文版.docx》由会员分享，可在线阅读，更多相关《商业伙伴贸易安全审核表中英文版.docx（13页珍藏版）》请在淘文阁 - 分享文档赚钱的网站上搜索。

1、商业伙伴贸易平安审核表Business Partner Trade Security Review Form商业伙伴名称Business partner name联系人Contact person地址Address联系 Phone审计工程Audit item内容Content标准Criteria判定Judgement备注Remarks基本资质 Basic qualifications营业执照 Business license具有合法的经营资质Have legal business qualifications0有；口无M Yes; nNo附档1-营 业执照海关信用 等级证明 资料 Certif

2、icate of customs credit rating具有海关AEO 一般认证或高级认证资格 Have customs AEO general certification or advanced certification qualification有；0无Yes; 3No经营场所 Business premises具有固定的经营场所，经营场所与注册/登记 一致Have fixed business premises, which is consistent with the registered premises达标0；不达标口； 0 Yes; nNo;附档2-公 司图片是否具有 其他

3、荣誉 Other honors or not政府部门、客户、金融机构等给予的荣誉 Honors granted by government departments, clients, financial institutions, etc.0后；口无 Yes; nNo附档3-荣 誉证书信息系统 Information system是否有必要的计算机信息系统Is there a necessary computer information system0有；无 口 Yes; nNo附档4-IS027001认证辅导 计戈U场所平安Place security公司出入 Company entranc

4、es and exits车辆、人员进出的大门配备人员驻守 Gates through which vehicles and/or personnel enter or exit are guarded.达标回；不达标口； Yes; nNo附档5-程 反恐文件（C-TPAT -HH-017 保安岗位 职责）建筑结构Building structure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。 Buildings are constructed in a way that resists unlawful break-in. The integrity of

5、structures is maintained by periodic inspection and repair.达标0；不达标口； Yes; aNo;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。Adequate lighting is provided on the premises including the following areas: entrances and exits, cargo handling and storage ar

6、eas, fence lines and parking lots/parking areas.达标13；不达标； Yes; aNo;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 Alarm systems and video surveillan ce cameras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。Adequate alarm systems and video surveillance cameras shall be installed

7、 to monitor following areas: entrances and exits, cargo handling and storage areas, fence lines and parking lots/parking areas, to prevent uncertified access to cargo handling and storage areas.达标0；不达标口； El Yes; aNo;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 Storage areas配置充分的仓储设施，货物实现分类存放； 在货物装卸和

8、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。Adequate storage facilities are provided to realize classified storage of cargoes. Cargo handling and storage areas as well as the areas to store import and export cargoes shall have physical barriers and deterrents that guard against uncertified access.达标

9、0；不达标口； 0 Yes; nNo;附档5-程 反恐文件（C-TPAT -HH-032 货仓平安 控制程 序）锁闭装置 及钥匙 Locking devices and keys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。Locking devices and key control: All external and internal windows, gates and fences are secured with adequate locking devices. The distribution and recovery of

10、 keys shall be managed.达标0；不达标口； 也 Yes; nNo;附档5-程 反恐文件（C-TPAT -HH-015 锁闭装置 和钥匙控 制程序）进入平安 Access security员工进入 Employee access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（比方钥匙、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: An employee identification system is provided for positive identification and acc

11、ess control purposes. The distribution and recovery of identify labels （such as keys, key cards, etc.） of employees and visitors are达标0；不达标口； Yes; nNo;附档5-程 反恐文件（C-TPAT -HH-018 员工进出 管理程 序）managed and registered uniformly. Employees9 vehicles are parked in designated areas.访客进入Visitoraccess实行访客登记管理，登

12、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。The visitor registration management is implemented. Visitors shall present photo identification for documentation purposes upon arrival. All visitors shall visibly display temporary identification and be accompanied by

13、internal personnel throughout the process. Visitors9 vehicles shall be registered and parked in designated areas.达标0；不达标口； 口 Yes; nNo;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 Access of unidentifie d persons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，保证进入平安有效管理。Procedure

14、 is provided to identify, question and confirm uncertified access and unidentified persons. If uncertified access of suspicious persons is found, promptly report and take appropriate measures to ensure effective management of access security.达标0；不达标口； Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-023 识别、盘 问及报告 未明身

15、份 人员程 序）人员平安 Personnel security制度及档 案 Systems and files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。A management system is provided for employee entry, resignation and suspension. The system stipulates the requirements for reviewing proposed employees and periodically r

16、eviewing current employees. Employee list, which includes name, date of birth, ID number and position, shall be provided dynamically.达标0；不达标； Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-009 人事保安 程序）聘用前检 查Pre-emplo yment verification聘用前 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-employment verification: Application info

17、rmation (identity information, work experience) is verified prior to employment.达标0；不达标口； Yes; aNo;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 Backgrou nd聘用员工前，要对其进行有无违法犯罪记录 等平安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达标0；不达标口； 也 Yes; aNo;附档5-程 反恐文件（C-TPATchecks/inv estigations位的员工进行定期审查和重新调查。Background

18、 checks/investigations: Background checks and investigations are conducted for proposed employees to see whether there is a criminal record or not. Once employed, periodic checks and reinvestigations are implemented based on the employees performance and the sensitivity of the employees position.-HH

19、-010员工背景 调查与核 实程序）员工离职 程序 Employee separation procedure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。Written systems and procedure are provided to promptly take back work certificates and equipment for resigned or suspended employees, and prohibit them from entering the production and busi

20、ness premises and using the companys information system.达标0；不达标口； Yes; aNo;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 平安 Business partner security制度Systems有评估、要求、检查商业伙伴供应链平安的 书面制度和程序Written systems and procedure is provided to assess, require and check the supply chain security of business p

21、artners.达标0；不达标口； Yes; aNo;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 Comprehe nsiveassessmen t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 平安，并有书面制度和程序。A comprehensive assessment on the potential business partners, especially in the fields of legal compliance, trade security and supply/operation quali

22、fications is conducted in accordance with the Criteria of Certified Enterprises of the Customs Administration, and written systems and procedure are provided.达标0；不达标口； 0 Yes; aNo;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Written documents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平安管 理。Business partners

23、are required, in the contracts, agreements or other written documents, to optimize and improve the trade security management in accordance with the Criteria of CertifiedEnterprisesofCustomsAdministration.达标0；不达标口； Yes; nNo;附档5-程 反恐文件（C-TPAT -HH-044 商业伙伴 平安管理 程序）监控检查 Monitor and定期监控或者检查商业伙伴遵守贸易平安要 求的

24、情况，并有书面制度和程序。Regularly monitor or check business partners9达标因；不达标口； Yes; aNo;附档5-程 反恐文件（C-TPATreviewcompliance with trade security requirements, and provide written systems and procedure.-HH-044商业伙伴 平安管理 程序）货物、物品安 全Security of cargoes and items制度Systems有确保供应链中货物在运输、装卸和存储过 程中的完整性和平安性的措施和程序，并有 效落实。Mea

25、sures and procedure are provided to ensure the integrity and security of cargoes in the process of transportation, handling and storage in the supply chain.达标0；不达标口； Yes; aNo;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： Shipment and receipt of cargoes: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

26、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。Cargoes arrived are consistent with the information indicated in the documentations and the weight, label and number of pieces and cartons of the cargoes are verified. The cargoes on board are verified against the purchase or delivery orders. There are such prote

27、ctive mechanisms as signatures or stamps in the key delivery process of the cargoes.达标团；不达标口； Yes; dNo;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： Export security:生产型企业对出口货物、物品实施专人监装， 并保存监装记录。确保货物平安装运；非生 产型企业应相应的管理制度，确保货物物品 平安装运。Production-oriented enterprises designate specially-assigned per

28、son to supervise the shipment of the export cargoes and items, and keep the supervision records, in order to ensure thesafeshipment of cargoes.Non-production-oriented enterprises shall have corresponding management systems to ensure the safe shipment of cargoes.达标0；不达标口； 0 Yes; aNo;附档5-程 反恐文件（C-TPAT

29、 -HH-030 货物运输 和追踪控 制程序）货物差异 处置 Disposal of cargo discrepanc ies:在出现货物溢、短装或者其他异常现象(如 法检商品平安、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。All more or less loading or other anomalies (such as non-conforming product security, sanitation, environmental protection indicators during legal inspections, etc.) ar

30、e promptly reported or addressed with countermeasures, and written systems and procedure are达标0；不达标口； Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-031 货物短缺 或过剩处 理程序）provided.集装箱平安 Container security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。Measures and procedure are provided to protect the integrity of cont

31、ainers from the uncertified mixing of cargoes or the access of uncertified persons.达标0；不达标口； Yes; nNo;附档5-程 反恐文件（C-TPAT -HH-027 货柜平安 程序）集装箱检 查： Container check: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）。 Procedure shall be in place to ensur

32、e the physical integrity and reliability of the container structure, including the reliability of the locking systems of the doors, with written records. A seven-spot inspection process is recommended, according to which a container is inspected according to the following sequential order: front wal

33、l, left side, right side, floor, ceiling/roof,inside/outsidedoors,outside/undercarriage.达标0；不达标口； Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-027 货柜平安 程序）集装箱封 条： Container seals:已装货集装箱要施加高平安度的封条，所有 封条都要符合或者超出现行PAS ISO 17712 对高度平安封条的标准，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。A high security seal shall be affi

34、xed to all loaded containers. All seals shall meet or exceed the current PAS ISO 17712 standard for high security seals and kept and recorded by a specially-assigned person. Written systems and procedure shall stipulate how seals are to be affixed and inspected, as well as how to recognize and repor

35、t compromised seals.达标0；不达标口； Yes; nNo;附档5-程 反恐文件（C-TPAT -HH-028 封条控制 程序）集装箱存 储： Container storage:集装箱要保存在平安的区域，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。Containers shall be stored in a secure area to prevent uncertified access or manipulation. Procedure is provided for reporting and addressin

36、g uncertified access containers or达标 0；不达标口； Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-027 货柜平安 程序）container storage areas.运输工具平安Securityofmeansoftransport运输工具 检查程序 Check of means oftransport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。Written systems and procedure are provided to ensure the int

37、egrity (including preventing illegal manipulation) of means of transport (tow trucks and trailers) to guard against uncertified access of persons or cargoes.达标0；不达标口； 口 Yes; nNo;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 Storage of means oftransport运输工具要停放在平安的区域，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

38、入或者损害的程序。The means of transport is parked in a secure area to prevent uncertified access or other damage. Procedure is provided to for reporting and addressing the uncertified access or damage.达标0；不达标； 口 Yes; aNo;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Drivers IDcheck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

39、进行身份核实，并限定司机 的活动区域。The driver who loads or receives cargoes is positively identified and the drivers activity areas shall be restricted before cargoes are received or delivered.达标0；不达标口； Yes; aNo;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Crisis management危机管理 机制 Crisis manageme nt mechanism具备对灾害或者

40、紧急平安事故等异常情况的 报告、处置等应急程序或者机制。Emergency procedure or mechanisms are provided to report and cope with disasters or emergency safety accidents or other abnormal situations.达标团；不达标口； Yes; nNo;附档5-程 反恐文件（C-TPAT-HH-051突发事件 处理程 序）应急响应 Emergenc y response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。According

41、 to the emergency response mechanism, respond to disasters or emergencies in a timely manner to reduce the impact of disasters or emergencies on the companys import and export activities.达标0；不达标口； Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-051 突发事件 处理程 序）异常报告 Exception reporting异常报告：发现有灾害或者紧急平安事故等 异常情况涉及海关业务的，要

42、报告海关 Exception reporting: If an abnormal situation such as a disaster or emergency security accident involves customs business, it shall be reported to the customs.达标0；不达标口； Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-051 突发事件 处理程序）平安培训 Security training建立培训 机制 Establish training mechanism建立贸易平安的内部培训机制并有效落实。Esta

43、blish and implement seriously and effectively an internal training mechanism for trade security management达标0；不达标； 0 Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-012 员工平安 意识培训 程序）实施供应 链平安培 训 Implement supply chain security training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平安过程中应做 的工作。Periodically provid

44、e employees with education and training on risks in connection with the flow of cargoes in the international trade supply chain, so that employees can understand and master the work tasks that customs certified enterprises shall perform in the process of ensuring the security of cargoes.达标0；不达标口； Ye

45、s; aNo;附档5-程 反恐文件（C-TPAT -HH-012 员工平安 意识培训 程序）实施危机 管理培训 和应急演 练。Implement crisis manageme nt training and emergency drills.定期对员工进行危机管理的培训和危机处理 模拟演练，让员工了解、掌握在应急处置和 异常报告过程中应做的工作。Provide crisis management trainings for employees and organize crisis handling simulation paints, so that employees can under

46、stand and master the work tasks that shall be performed in the process of emergency handling and exception reporting.达标因；不达标口； Yes; aNo;附档5-程 反恐文件（C-TPAT -HH-039 紧急事故 处理程 序）守法合规 Legal compliance人员守法 状况 Personnel complianc e status企业法人及主要负责人无犯罪记录；The enterprise legal person and the main person in cha

47、rge have no criminal records;或：提供无违法申明Or: Provide a declaration of no violation达标0；不达标口； Yes; aNo;企业守法 状况 Corporate complianc e status企业无违法记录The company has no illegal records或：提供无违法申明；或提供官方信用报告 Or: Provide a declaration of no violation; or provide an official credit report达标0；不达标口； M Yes; aNo;结论Conclusion符合口；基本符合口；不符合口；Yesn;Basically Yesn;Non;(备注：不达标项W6项，是符合；6WAS10项，是基本符合；A10项，不符合；违法项一票 否决，是不符合)(Remarks: If non-conformi