中美海关C-TPAT联合验证Checklist

Validation Preparation审核准备**** Please have the following documents and/ or information available for reviewduring the validation in order to facilitate the process. All requested items should apply, but may not be applicable to your company. For ite ms 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。

****T he 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。

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 completedquestionnaire or audit of your business partners supply chain security as itpertains to your supply chain. (May overlap with the Business Partnerrequirements)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，想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, businessreference verifications, professional association affiliation, etc.) To includewritten procedures or policies your company uses to indicate “risk factors” forbusiness 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, writtenagreements, 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）____ D ocumentation demonstrating business p artners’ C-TPAT Status (e.g., C-TPAT certificate, SVI number, etc.). and/ or business partners’ participation in foreignsupply 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 toC-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 N on-C-TPAT eligible business partners are subject to verification of compliance with C-TPAT security criteria based on documented riskassessment. (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）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。

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 thecurrent 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 crossingborder, notification to importer/ shipper/ other parties, recording new sealnumbers, 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 outboundcargo 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。