中美海关联合反恐验厂审核准备文件

Validation Preparation
中美海关C-TPAT联合反恐验厂审核前供应商应准备的文件资料：

     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.
     请在审核期间准备以下文件或信息以推动程序进行。所有要求的项目都应应用，但有可能不适用于你的公司。对于你认为“不适用于”贵公司的项目，请准备好讨论原因。

     The Validation process and adherence to C-TPAT standards is largely based on, and requires written company policies and procedures regarding supply chain security.
     此审核程序和附带C-TPAT标准很大程度地基于并要求关于供应链保安的书面公司政策和程序。

1.Risk Assessment  风险评估
 ——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)
      供应链保安风险评估的副本。有一个例子是，评估你的商业伙伴还有使用的文件，像一个完整的调查问卷或审核你的商业伙伴供应链保安，因为它附属于你的供应链。（可能与商业伙伴要求交叠）
 ——Copy of plan to correct security weaknesses found in the supply chain(s) and/or plan to maintain and improve supply chain security.  
      纠正在供应链里发现的保安弱点的计划副本和/或计划维持和提升供应链保安的复印件

2.Business Partner Requirements 商业伙伴要求
 ——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.)
      书面处理/程序/政策（SOP）和描述如何筛选合作伙伴，包括客户、服务提供者和承包者的副本（例如调查问卷、调查、财政监控、商业参考查证、专业协会从属关系等）。包括贵公司使用的书面程序或政策以显示给商业伙伴关于保安弱点的“风险因素”（金融压力、差的服务、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.)
      在商业伙伴档案里的迹象显示出对C-TPAT保安标准和政策/程序承诺（例如保安调查/调查问卷、书面协议、审查/访问存档等）
 —— 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).
      示范商业伙伴的C-TPAT状态的存档（例如C-TPAT证书、SVI号码等）和/或在国外供应链保安计划参加的商业伙伴（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.)
     对于不符合C-TPAT认证要求的伙伴，具备文件的证明商业伙伴符合C-TPAT保安标准（例如合同、完整的保安调查、从商业伙伴的文字/邮件中确认遵守C-TPAT标准等）
 ——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商业伙伴证明需从属基于具备文件的风险评估的符合C-TPAT保安标准的查证。（例如用以鉴别高风险卖主的风险评估的副本，具备文件的访问卖主的前提等）
 ——Evidence of periodic reviews of business partner security practices in order to detect and/or correct weaknesses (e.g. documented visits, audits, performance measurements).
     对商业伙伴保安实际行动的定期检查的证据，以便发现和/或纠正缺点（例如具备文件的访问、审核、执行度量）

3.Container/ Conveyance Security  集装箱/运输保安
 ——Written container security policies and procedures used throughout the supply chain (Including storage, container inspections, sealing procedures, etc.)
      在整个供应链中所使用的书面的集装箱保安政策和程序（包括储存、集装箱检验、密封程序等）
 ——Container/ Conveyance inspection checklists and/or evidence of outreach to business partners / service providers regarding container security inspections.
      关于集装箱保安检验的超越商业伙伴/服务提供者的集装箱/运输检验检查清单和/或证明。
 ——Documentation of training given to shipping / receiving personnel on how to conduct inspections on incoming / outgoing containers and handling anomalies, if encountered.
      提供给运输/接收人员的培训存档文件，关于如何在引入的/流出的集装箱进行检查和处理异常，如有遇到的话。

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.
     证明出口美国的已装货集装箱有贴上高度安全封条，包括证明（认证）那些封条达到或超出目前的PAS ISO 17712标准。
 ——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.
     书面政策和程序控制密封保安（储存、总量、发行、黏贴和查证；如何处理在横跨边界之前封条破损，通知进口商/托运人/其他人员，记录新的封条编号等），包括用于承认和报告去往美国海关或有关当局的危机安全的封条/集装箱

5.Conveyance Tracking / Monitoring 运输跟踪/监控
 ——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.
     证明和/或记录文件关于如何对在运输到港口或联合点途中开往外地的船货跟踪/监控司机（例如GPS、收音机、手机）还有如何记录监控（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.
     给司机、运输服务提供者或混载业者提供关于集装箱跟踪、报到次数、要求他们跟随的路线、运输的确认的书面政策、程序和带说明的检查清单。

6. Highway Carrier Owner-Operators  公路运输所有者-操作者
 ——Copy of contract with owner-operators
     与所有者-操作者的联系的副本
 ——Copy of security requirements/ expectations for owner-operators
     对所有者-操作者的保安要求/期望的副本

7.Audits / Testing  审核/测试
 ——Documentation of security audits performed (packing, shipping, seal verification, trailer/ container inspections, facility physical security inspections, personnel security, etc.)
     所执行的保安审核文件（包装、船运、密封查证、拖车/集装箱检验、设备物理保安检查、个人保安等）
 ——Documentation of protocols for periodic audits / tests of security systems
     对于保安系统的定期审核/测试的协议文件

8.Security Training Awareness 保安培训意识
 ——Agendas of security training given to employees
     给雇员作保安培训的议程
 ——Policy and/ or documentation on employee training
     雇员培训的政策和/或文件
 —— Policy and/or documentation of specialized security training given to shipping/ receiving/ warehouse employees and those who handle mail.
      专门针对船运/接收/仓库雇员和那些处理邮件的人作的保安培训的政策和/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
     选择雇佣/监控程序的书面人事程序/政策（SOP）。需有可行的参考检查表格和其他的录用前数据收集工具
 ——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)
     雇员档案样本—一个现行的和一个终止雇佣人事档案和包含的文件和在此档案里的维护。（例如证明、培训、雇佣前监控检查清单）
 ——Documented company personnel termination procedures (e.g. checklist showing company property issued / returned, physical / IT accesses rescinded)
     公司人事终止程序文件（例如显示出公司财产流出/回收、物理的/IT访问废除的检查清单）

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.
     解释如果发生异常或可疑行为时什么时候和如何通报CBP/法律实施和在供应链中的其他团体的政策/程序副本
 ——Policies/ procedures addressing how cargo is manifested, timeliness of information, etc.
     列明货物如何显示清楚、信息的合时等的政策/程序     
 ——Packing and Shipping/ Receiving policies/ procedures
     包装和船运/接收政策/程序
 ——Post orders (Standard Operating Procedures) for guards (if applicable)
     警卫的快递订单（标准操作程序）（如适用）
 ——Sample of export documentation package for cargo (e.g. manifest, invoices, packing list, purchase order, etc.)
     出口货物文件包装的样本（例如载货单、发票、包装清单、采购订单等）

11.Physical Security / Access Controls  物理保安/访问控制
 —— Copy of logs or records recording issuance/ retrieval of access devices and company property (e.g. key cards, keys, badges, passwords, uniforms, etc.)
      访问设备和公司财产的发配和回收录入或记录 副本（例如钥匙卡、钥匙、证章、密码、制服等）
 —— Written visitor policies, procedures, logs, recorded visits, etc.
      书面的访问者政策、程序、日志、访问记录等
 ——Written procedures and/ or training for employees on challenging unauthorized/ unidentified persons
     为员工关于未授权/未确认人员做的程序和/培训的书面文件
 ——Copy of policies/ procedures for physical security maintenance (e.g. cameras, alarm systems, fencing inspections, security guards, etc.)
     物理保安维护的政策/程序副本（例如照相机、警报系统、围墙检查、保安防卫等）

12.Information Technology 信息技术
 ——Written policies and procedures for securing the IT system (passwords, system access level restrictions, monitoring the system, etc.)
     保护IT系统的书面政策和程序（密码、系统进入级别限制、监控系统等）
 ——Documentation of training given to personnel on Information Technology Security.
     在信息技术方面给职员的培训文件
 ——Company Code of Conduct as it relates to use of IT System.  
     公司行动守则，因其与IT系统的使用相联系
 ——Policies and Procedures (documentation) for ordering, issuance, activation,  and deactivation of FAST transponders.  
     FAST异频雷达收发机的采购、发配、激活、取消激活的政策和程序（文件）

13.Three important points for all companies to remember !
     需所有公司记住的三个要点
(1).The importance of continued upper management support for the program.
     对这个计划的持续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检
(3).Continued communications between CBP (SCSS) and company.
     CBP（SCSS）与公司之间的持续沟通