以下为C-TPAT验厂(Compliance Audit)审核所需提供审核的文件清单,供参考:
1、营业执照 Business license
2、厂区/厂房平面图 Factory’s plant layout/ floor plans
3、安全(反恐)组织架构图 Organization chart for security
4、工厂反恐手册 Factory Security Manual
5、招聘规定/程序 Recruitment policy & procedure
6、雇员离职控制程序 Employee Separation Procedure
7、保安守则/保安上岗证 Security guard regulation & job description/security guard certificate
8、员工入厂登记/ 背景调查记录 Employment registration/ Background investigation records
9、员工离职记录 Employee Separation records
10、员工签署的安全操守文件 Code of conduct on security signed by employees
11、保安人员出勤纪录 Security guard attendance records
12、有关安全(反恐)紧急应变管理程序 Security emergency handling procedure
13、货物进出管理、预防不明物料介入程序 Procedure of cargo/ material inbound & outbound, preventing the un-manifestied/ unidentified goods inbound
14、准确的运输信息维护程序 Accurate transportation information control procedure
15、产品、货物多数和少数问题登记、报告及调查处理程序 Procedure to record, report, and/or investigate shortages and overages of material/cargo
16、包裹、快递及货物处理程序 Procedure of package, express and goods control
17、外来人员进出控制程序 Visitor control procedure
18、事件处理程序 Incident handling procedure
19、货物检查程序 Goods inspecting procedure
20、在公司内部物料及完成品流动控制及追溯程序 Control and traceability of the movement of product& material within the facility
21、服务提供商控制及审核程序 Service provider control and evaluation procedure
22、盘查未经许可和/或无识别人员试图进入公司程序 Procedure to interrogate and examine unauthorized/unidentified persons who attempt to access facility
23、限制雇员进入公司敏感区域程序 Procedure of control the access to sensitive/ important areas
24、货柜、卡车、货运车检查程序 Inspecting procedure for containers, truck, delivery vans and related vehicle
25、检查货柜完整性及封柜可靠性程序(包括装柜控制) Procedure to inspect and verify the physical integrity of container and the reliability of the locking mechanism (including stuffing container control)
26、防止非授权人员进入货柜或货柜区域程序 Procedure for reporting and neutralising unauthorised entry in to containers or container storage areas
27、货柜、货车封柜程序 Procedure for addressing affixing, replacing, recording, tracking and verifying mechanical SEALS on containers and trucks
28、信息安全程序 Information security procedure
29、反恐风险评估程序 C-TPAT risk assessment procedure
30、反恐主管授权书 Authorized letter for C-TPAT supervisor
31、外来人员进出及检查记录 Check records and in/out records for visitor
32、车辆进出及检查记录 Check records and in/out records for vehicles
33、内/外部钥匙控制记录 Internal / external key control records
34、例行安全检查/巡查记录 Security patrol records
35、货柜检查记录 Container inspection records
36、闭路电视资料记录 Data records of CCTV system
37、货物进出记录 Goods in/out records
38、货物多数/少数问题登记、调查及处理记录 Shortages and overages of merchandise/cargo register and investigate records
39、货物、包裹记录 Goods and packages records
40、安全事件/事故登记、报告及处理记录 Security incident register, report and handling records
41、同物料、产品供应商和服务提供商签署的反恐协议书 Security agreements on C-TPAT signed with material/ product suppliers and service providers
42、反恐内部审核记录 C-TPAT internal audit record
43、运输记录、报送单 Transportation records
44、服务提供商清单及供应商反恐协议 Service provider list and security agreement
45、对服务提供商的反恐评审记录 Security audit record for service supplier
46、反恐知识及意识培训记录 Security training and awareness record
47、识别假文件及电脑信息安全培训记录 Records of training on dentifying false document and computer information security