Criteria标准Number1319A 7-point inspection process is recommended for allcontainers: front wall, left side, right side, floor, ceiling/roof,inside/outside doors, outside/undercarriage(建议对所有集装箱进行7点检查程序：前面,左边,右边、屋顶、地板、顶部、内/外门,外面/起落架)工厂不符合项改善要求Records of 7 point container inspection and/or 10 pointWithin Sixtrailer inspection are not maintained to indicate whenMonths（验厂后6modifications have been made to container/trailer个月内改善）structure(当货柜或拖车的结构变化时，7点货柜检查和/或10点的托车检验记录中没有显示维持）1327A high security seal which meets or exceeds the currentPAS ISO 17712 standard must be affixed to all loadedcontainers bound for the US所有运往美国的装有货物的集装箱必须贴高度高安全封条，此封条必须满足或超出现行PASISO 17712的标准。The facility does not have a documented procedure whichPrior to Approvalrequires that high security seals meeting or exceeding PAS（改善计划和证ISO 17712 standard must be affixed to all loaded明文件）containers/trailers bound for the US(工厂没有文件程序要求所有运往美国的装有货物的集装箱和拖车必须贴必须满足或超出现行PAS ISO 17712标准的高度安全封条)95A process must be in place to screen prospectiveemployees and to periodically check current employees /Application information, such as employment history andreferences, must be verified prior to employment /Consistent with national regulations, background checksand investigations should be conducted for prospectiveemployees(要有程序审核预期的雇员和定期审查现有雇员的程序，申请表信息,比如工作经历和推荐信，必须在雇佣前审核/对于一起雇佣的雇员应按照当地法规的规定检查和调查其背景情况)103A process must be in place to screen prospectiveemployees and to periodically check current employees /Consistent with national regulations, background checksand investigations should be conducted for prospectiveemployees(要有程序审核预期的雇员和定期审查现有雇员的程序，申请表信息,比如工作经历和推荐信，必须在雇佣前审核/对于一起雇佣的雇员应按照当地法规的规定检查和调查其背景情况)107A process must be in place to screen prospectiveemployees and to periodically check current employees /Consistent with national regulations, background checksand investigations should be conducted for prospectiveemployees (要有程序审核预期的雇员和定期审查现有雇员的程序，申请表信息,比如工作经历和推荐信，必须在雇佣前审核/对于一起雇佣的雇员应按照当地法规的规定检查和调查其背景情况)Background checks are not conducted on all applicants. 所有申请人没有做背景调查。Prior to FirstShipment （第1次出货前完成改善）Employment history checks are not conducted 所有申请人的Prior to Approval（改善计划和证工作经历没有调查。明文件）Reference checks are not conducted 推荐信没有调查Prior to Approval（改善计划和证明文件）147A process must be in place to screen prospectiveemployees and to periodically check current employees /Periodic checks and reinvestigations for existing employeesshould be performed based on cause and/or the sensitivityof the employee’s position (要有程序审核预期的雇员和定期审查现有雇员的程序，申请表信息,比如工作经历和推荐信，必须在雇佣前审核/对于一起雇佣的雇员应按照当地法规的规定检查和调查其背景情况)Periodic and follow-up background checks are notBest Practiceconducted on employees based on circumstances and/or（不强制改善）sensitivity/scope of employee responsibility. 在职员工没有根据事情的原由和/或雇员职位的敏感度进行定期检查和调查。319A threat awareness program should be established andPeriodic updated training covering security awareness is notWithin Sixmaintained by security personnel to recognize and fosterrequired 没有要求定期更新的安全意识训练Months（验厂后6awareness of the threat posed by terrorists at each point in个月内改善）the supply chain 安全人员应该制定并保持一项忧患意识计划以便识别以及培养对供应链的各个点上恐怖分子和走私者所带来的威胁意识.311A threat awareness program should be established andmaintained by security personnel to recognize and fosterawareness of the threat posed by terrorists at each point inthe supply chain 安全人员应该制定并保持一项忧患意识计划以便识别以及培养对供应链的各个点上恐怖分子和走私者所带来的威胁意识.307A threat awareness program should be established andmaintained by security personnel to recognize and fosterawareness of the threat posed by terrorists at each point inthe supply chain 安全人员应该制定并保持一项忧患意识计划以便识别以及培养对供应链的各个点上恐怖分子和走私者所带来的威胁意识.640A threat awareness program should be established andmaintained by security personnel to recognize and fosterawareness of the threat posed by terrorists at each point inthe supply chain 安全人员应该制定并保持一项忧患意识计划以便识别以及培养对供应链的各个点上恐怖分子和走私者所带来的威胁意识.The facility does not have a process in place requiring allpersonnel to participate in the security awareness program工厂没有要求所有人员参加安全的程序Within SixMonths（验厂后6个月内改善）The facility does not have a security awareness programWithin Sixcovering awareness of current terrorist threat(s), smugglingMonths（验厂后6trends, and seizures in place. 工厂没有安全意识程序包含当个月内改善）前恐怖分子和走私者所带来的威胁意识.The facility does not have a mandatory, regularly updatedWithin Sixthreat awareness program for all employees (includingMonths（验厂后6management and security guards) focusing on awareness个月内改善）of current terrorism threat (s), smuggling trends andseizures. 工厂没有针对当前恐怖主意和走私威胁意识对所有员工（包括主管及安保人员）进行强制性,定期更新.628A threat awareness program should be established andThe security guards do not receive specific security trainingPrior to Approvalmaintained by security personnel to recognize and fosterin recognizing internal conspiracy 工厂没有对安保人员进行（改善计划和证awareness of the threat posed by terrorists at each point in识别内部阴谋的特殊培训.明文件）the supply chain / Specific training should be offered toassist employees in maintaining cargo integrity, recognizinginternal conspiracies, and protecting access controls 安全人员应该制定并保持一项忧患意识计划以便识别以及培养对供应链的各个点上恐怖分子和走私者所带来的威胁意识.620A threat awareness program should be established andThe security guards do not receive specific security trainingWithin Sixmaintained by security personnel to recognize and fosterin terrorism threat awareness 工厂没有对安保人员进行恐怖Months（验厂后6awareness of the threat posed by terrorists at each point in主义威胁意识的特殊的培训个月改善）the supply chain / Specific training should be offered toassist employees in maintaining cargo integrity, recognizinginternal conspiracies, and protecting access controls 安全人员应该制定并保持一项忧患意识计划以便识别以及培养对供应链的各个点上恐怖分子和走私者所带来的威胁意识.624A threat awareness program should be established andThe security guards do not receive specific security trainingPrior to Approvalmaintained by security personnel to recognize and fosterin unauthorized access 工厂没有对安保人员进行未经许可进（改善计划和证awareness of the threat posed by terrorists at each point in入的特殊的培训明文件）the supply chain / Specific training should be offered toassist employees in maintaining cargo integrity, recognizinginternal conspiracies, and protecting access controls 安全人员应该制定并保持一项忧患意识计划以便识别以及培养对供应链的各个点上恐怖分子和走私者所带来的威胁意识.1012All shortages, overages, and other significant discrepanciesThere are no documented procedures for detecting andor anomalies must be resolved and/or investigatedreporting shortages and overages 工厂有没有发现的报告appropriately 所有货物的短装,多装及其他重大差异或异常情短缺和溢量的文件化程序。况都必须得到合理的解决和/或调查。243An employee identification system must be in place forpositive identification and access control purposes。 应该安装雇员识别系统以使进行积极的识别的进入控制。Prior to FirstShipment （第1次出货前完成改善）Best Practice（不强制改善）IDs are not required to access restricted areas 进入限制的区域没有要求识别247An employee identification system must be in place forpositive identification and access control purposes 应该安装雇员识别系统以使进行积极的识别的进入控制。IDs do not specify access for loading/unloading/packingdock areas 进入装货/卸货/包装区域 没有特别识别Best Practice（不强制改善）227An employee identification system must be in place forThere is no documented procedure for employees to returnPrior to Firstpositive identification and access control purposes /their IDs when they leave the facility permanently. 没有文件Shipment （第1Management or security personnel must adequately control程序来规定当员工永久离开工厂时要返还他们ID身份。次出货前完成改the issuance and removal of employee, visitor, and vendor善）ID badges / Procedures must be in place to removeidentification and facility and system access for terminatedemployees 应该安装雇员识别系统以使进行积极的识别的进入控制/公司管理或安全人员必须对雇员，来访者,和卖主的识别标志的发放和回收进行恰当的控制/公司对于离职的雇员必须有去除身份证明标志、设备和进入系统设施的程序。1835At a minimum, on a yearly basis, or as circumstancesdictate such as during periods of heightened alert, securitybreach or incident, foreign manufacturers must conduct acomprehensive assessment of their international supplychains based upon the following C-TPAT security criteria.工厂至少必须每年一次，或者根据情况的需要，比如在高度警戒、发生安全违反或安全事故的期间，根据C-TPAT 安全标准对其国际供应链进行全面评估。The facility has no documented procedure to conductWithin Sixperiodic security checks to ensure that all of the ContractorMonths（验厂后6Control security procedures are being performed properly.个月内改善）工厂没有文件化程序进行定期稽核,以确保所有的供应商控制安全程序被执行。1829At a minimum, on a yearly basis, or as circumstancesdictate such as during periods of heightened alert, securitybreach or incident, foreign manufacturers must conduct acomprehensive assessment of their international supplychains based upon the following C-TPAT security criteria.工厂至少必须每年一次，或者根据情况的需要，比如在高度警戒、发生安全违反或安全事故的期间，根据C-TPAT 安全标准对其国际供应链进行全面评估。The facility has no documented procedure to conductWithin Sixperiodic security checks to ensure that all of the InformationMonths（验厂后6Access Control procedures are being performed properly. 工个月内改善）厂没有文件化程序定期稽核,以确保所有的信息存取控制程序正常的执行。1789At a minimum, on a yearly basis, or as circumstancesdictate such as during periods of heightened alert, securitybreach or incident, foreign manufacturers must conduct acomprehensive assessment of their international supplychains based upon the following C-TPAT security criteria.工厂至少必须每年一次，或者根据情况的需要，比如在高度警戒、发生安全违反或安全事故的期间，根据C-TPAT 安全标准对其国际供应链进行全面评估。The facility has no documented procedure to conductWithin Sixperiodic security checks to ensure that all of the PersonnelMonths（验厂后6Security procedures are being performed properly. 工厂没有个月内改善）文件化程序定期稽核,以确保所有的人事安全程序正常执行。1827At a minimum, on a yearly basis, or as circumstancesdictate such as during periods of heightened alert, securitybreach or incident, foreign manufacturers must conduct acomprehensive assessment of their international supplychains based upon the following C-TPAT security criteria.工厂至少必须每年一次，或者根据情况的需要，比如在高度警戒、发生安全违反或安全事故的期间，根据C-TPAT 安全标准对其国际供应链进行全面评估。The facility has no documented procedure to conductWithin Sixperiodic security checks to ensure that all of the PhysicalMonths（验厂后6Security procedures are being performed properly. 工厂没有个月内改善）文件化程序定期稽核,以确保所有的物理安全程序正常执行。1831At a minimum, on a yearly basis, or as circumstancesdictate such as during periods of heightened alert, securitybreach or incident, foreign manufacturers must conduct acomprehensive assessment of their international supplychains based upon the following C-TPAT security criteria.工厂至少必须每年一次，或者根据情况的需要，比如在高度警戒、发生安全违反或安全事故的期间，根据C-TPAT 安全标准对其国际供应链进行全面评估。1833At a minimum, on a yearly basis, or as circumstancesdictate such as during periods of heightened alert, securitybreach or incident, foreign manufacturers must conduct acomprehensive assessment of their international supplychains based upon the following C-TPAT security criteria.工厂至少必须每年一次，或者根据情况的需要，比如在高度警戒、发生安全违反或安全事故的期间，根据C-TPAT 安全标准对其国际供应链进行全面评估。1837At a minimum, on a yearly basis, or as circumstancesdictate such as during periods of heightened alert, securitybreach or incident, foreign manufacturers must conduct acomprehensive assessment of their international supplychains based upon the following C-TPAT security criteria.工厂至少必须每年一次，或者根据情况的需要，比如在高度警戒、发生安全违反或安全事故的期间，根据C-TPAT 安全标准对其国际供应链进行全面评估。The facility has no documented procedure to conductWithin Sixperiodic security checks to ensure that all of the ShipmentMonths（验厂后6Information Control procedures are being performed个月内改善）properly.工厂没有文件化程序定期稽核,以确保所有的装运信息控制程序正常执行。The facility has no documented procedure to conductWithin Sixperiodic security checks to ensure that all of the Storage andMonths（验厂后6Distribution security procedures are being performed个月内改善）properly.工厂没有文件化程序定期稽核,以确保所有的储存和配送安全程序正常执行。The facility has no documented procedure to conductWithin Sixperiodic security checks to ensure that Export LogisticsMonths（验厂后6security procedures are being performed properly.工厂没有个月内改善）文件化程序定期稽核,以确保所有的出口物流安全程序正常执行。1383At point of stuffing, procedures must be in place to properlyPartially loaded containers are not sealed.装了一部分的集装Prior to Firstseal and maintain the integrity of shipping containers.装运箱没有贴封条Shipment （第1货物时，应该有恰当地贴封条和保持装运集装箱的完整性。次出货前完成改善）1379At point of stuffing, procedures must be in place to properlyTrucks are not sealed after loading is complete卡车在装货seal and maintain the integrity of shipping containers 装运完成后没有贴封条。货物时，应该有恰当地贴封条和保持装运集装箱的完整性。Prior to Approval（改善计划和证明文件）736Cargo handling and storage facilities must have physicalIn the cargo handling and/or packing areas there are noBest Practicebarriers and deterrents that guard against unauthorizedcameras for monitoring 货物搬运和包装区域没有摄像头监控（不强制改善）access / Alarm systems and video surveillance cameras。should be utilized to monitor premises and preventunauthorized access to cargo handling/storage areas 货物搬运和存放设施的区域四周必须用围栏包围起来，防止没有权限人员进入/应该安装报警系统和监视摄像头以监视货物搬运和存放场所以及防止未经许可的人员进入货物搬运和存放区域。1275Container integrity must be maintained to protect againstthe introduction of unauthorized material/person(s) /Departing cargo should be verified against purchase ordelivery orders / All shortages, overages, and othersignificant discrepancies or anomalies must be resolvedand/or investigated appropriately货柜的完整性必须维持以防止未经许可的材料和人员进入/将要离岸的货物应该与订单和或发货单核对/所有货物的短缺,溢量及其他重要的差异或异常必须得到合理的解决或调查。900Container integrity must be maintained to protect againstthe introduction of unauthorized material/person(s) /Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities / Measures must be in place toensure the integrity and security of processes relevant tothe transportation, handling, and storage of cargo in thesupply chain 货柜的完整性必须维持以防止未经许可的材料和人员进入/应该制定书面程序对封条的管理以及如何贴到装有货物的集装箱和拖车上,包括识别和向美国海关秋边境保护局或适当的外国主管部门报告受损的封条或集装箱的程序/应该制定有确保供应链中货物在运输，搬运和存放过程中的完整性和安全措施。896Container integrity must be maintained to protect againstthe introduction of unauthorized material/person(s) /Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities / Measures must be in place toensure the integrity and security of processes relevant tothe transportation, handling, and storage of cargo in thesupply chain 货柜的完整性必须维持以防止未经许可的材料和人员进入/应该制定书面程序对封条的管理以及如何贴到装有货物的集装箱和拖车上,包括识别和向美国海关秋边境保护局或适当的外国主管部门报告受损的封条或集装箱的程序/应该制定有确保供应链中货物在运输，搬运和存放过程中的完整性和安全措施。1279Departing cargo should be verified against purchase ordelivery orders 将要离岸的货物应该与订单和或发货单信息相符There is no documented cargo verification procedure inPrior to Approvalplace to prevent unmanifested cargo from being loaded 没有（改善计划和证明文件）文件化的货物查证程序以防止未经许可的货物被装。Seal numbers are not recorded on outgoing shipment.对装好待出的货物没有封条号码记录Prior to Approval（改善计划和证明文件）Seals are not inspected on outgoing shipment.装好待出的货Prior to Approval（改善计划和证物品没有封条检查记录。明文件）Cargo units are not identified, labeled, weighed and countedPrior to Firstbefore loading 装货前，货物的描述，重量，标签，件数没有Shipment补核准。1888Documentation control must include safeguarding computerDesktops do not lock automatically after a designated periodBest Practiceaccess and information.文档控制必须包括保护计算机不被of inactivity 计算机在一定时间内不用时没有设自动密码锁。（不强制改善）擅自闯入以及保护计算机信息的程序。287Employees must be made aware of the procedures theNew employee orientation does not include detectingcompany has in place to address a situation and how tounlawful activity 新员工培训不包括识别非法活动report it / Additional training should be provided toemployees in the shipping and receiving areas, as well asthose receiving and opening mail / Specific trainingshould be offered to assist employees in maintaining cargointegrity, recognizing internal conspiracies, and protectingaccess controls 雇员必须了解公司应对某种状况以及如何进行报告的程序/对在装运和接收货物领域工作以及接受打开信件的雇员进行额外的培训/应该提供特定的培训以帮助雇员保持货物的完整性，识别内部阴谋以及保护进入控制。Within SixMonths（验厂后6个月内改善）303Employees must be made aware of the procedures theNew employee orientation does not include recognizing andWithin Sixcompany has in place to address a situation and how todetecting dangerous substances and devices 新员工培训不Months（验厂后6report it / Additional training should be provided to包括识别和发现危险物及设备个月内改善）employees in the shipping and receiving areas, as well asthose receiving and opening mail / Specific trainingshould be offered to assist employees in maintaining cargointegrity, recognizing internal conspiracies, and protectingaccess controls 雇员必须了解公司应对某种状况以及如何进行报告的程序/对在装运和接收货物领域工作以及接受打开信件的雇员进行额外的培训/应该提供特定的培训以帮助雇员保持货物的完整性，识别内部阴谋以及保护进入控制。283Employees must be made aware of the procedures theNew employee orientation does not include recognizingcompany has in place to address a situation and how tointernal conspiracies 新员工培训不包括识别内部阴谋report it / Additional training should be provided toemployees in the shipping and receiving areas, as well asthose receiving and opening mail / Specific trainingshould be offered to assist employees in maintaining cargointegrity, recognizing internal conspiracies, and protectingaccess controls 雇员必须了解公司应对某种状况以及如何进行报告的程序/对在装运和接收货物领域工作以及接受打开信件的雇员进行额外的培训/应该提供特定的培训以帮助雇员保持货物的完整性，识别内部阴谋以及保护进入控制。Within SixMonths（验厂后6个月内改善）271Employees should only be given access to those secureareas needed for the performance of their duties 只有确有履行工作职责需要的人才允许进入。Guards do not check employees ID to monitor access to theBest Practicerestricted areas 进入限制的区域监控通道的门卫不检查雇员（不强制改善）的身份1825For those business partners eligible for C-TPAT certification(carriers, importers, ports, terminals, brokers, consolidators,etc.) the foreign manufacturer must have documentation(e.g., C-TPAT certificate, SVI number, etc.) indicatingwhether these business partners are or are not C-TPATcertified.对于那些符合C-TPAT 认证条件的商业伙伴(承运人,进口商、港口、码头、经纪人,并装业者等)工厂必须有文件证据(如,C-TPAT证书、SVI编码等)表明这些商业伙伴是否经过C-TPAT认证。1819For those business partners eligible for C-TPAT certification(carriers, importers, ports, terminals, brokers, consolidators,etc.) the foreign manufacturer must have documentation(e.g., C-TPAT certificate, SVI number, etc.) indicatingwhether these business partners are or are not C-TPATcertified.对于那些符合C-TPAT 认证条件的商业伙伴(承运人,进口商、港口、码头、经纪人,并装业者等)工厂必须有文件证据(如,C-TPAT证书、SVI编码等)表明这些商业伙伴是否经过C-TPAT认证。The facility does not have written or electronic confirmationof its partners' compliance with C-TPAT or C-TPAT-equivalent security criteria.工厂没有书面或电子文件确认其合作伙伴符合C-TPAT或C-TPAT同等安全标准。Prior to Approval（改善计划和证明文件）The facility does not require (a) eligible carriers toPrior to Approvaldemonstrate C-TPAT certification and/or (b) ineligible（改善计划和证carriers to demonstrate compliance with C-TPAT equivalent明文件）standards工厂没有要求合格的运输公司出示C-TPAT认证及/或符合C-TPAT 同等标准。1452Foreign manufacturers must ensure that business partnersContractors are not retained through legally bindingdevelop security processes and procedures consistent withcontracts 承包商不是通过有法律约束力的合同来保留。the C-TPAT security criteria to enhance the integrity of theshipment at point of origin, assembly or manufacturing.Periodic reviews of business partners’ processes andfacilities should be conducted based on risk, and shouldmaintain the security standards required by the foreignmanufacturer.工厂必须商业商业合作伙伴遵照C-TPAT安全标准制定安全程序和规则，以强化在原发点装运，组装或制造的完整性，基于风险的性质应对商业合作伙伴的程序和设施定期进行审核，并且保持与工厂所要求的安全标准。1817Foreign manufacturers must ensure that business partnersdevelop security processes and procedures consistent withthe C-TPAT security criteria to enhance the integrity of theshipment at point of origin, assembly or manufacturing.Periodic reviews of business partners’ processes andfacilities should be conducted based on risk, and shouldmaintain the security standards required by the foreignmanufacturer.工厂必须商业商业合作伙伴遵照C-TPAT安全标准制定安全程序和规则，以强化在原发点装运，组装或制造的完整性，基于风险的性质应对商业合作伙伴的程序和设施定期进行审核，并且保持与工厂所要求的安全标准。1448Foreign manufacturers must ensure that business partnersdevelop security processes and procedures consistent withthe C-TPAT security criteria to enhance the integrity of theshipment at point of origin, assembly or manufacturing.Periodic reviews of business partners’ processes andfacilities should be conducted based on risk, and shouldmaintain the security standards required by the foreignmanufacturer.工厂必须商业商业合作伙伴遵照C-TPAT安全标准制定安全程序和规则，以强化在原发点装运，组装或制造的完整性，基于风险的性质应对商业合作伙伴的程序和设施定期进行审核，并且保持与工厂所要求的安全标准。Prior to FirstShipment （第1次出货前完成改善）The facility does not require its contractors to conduct self-Best Practiceassessment of their security policies and procedures and to（不强制改善）share the results of those assessments with the facility工厂没有要求其承包商进行安全政策和程序方面的自我评估，并分享评估结果The facility or its designated third party auditor does notBest Practiceconduct on-site inspections of the contractors'（不强制改善）implementation of related security standards/procedures.工厂或其指定的第三方审核员没有对承包商的安全标准/程序进行现场检查。1497Foreign manufacturers must have written and verifiableWhen selecting carriers, the facility does not consider theBest Practiceprocesses for the selection of business partners including,carriers' corporate history 工厂在选择运输公司时、没有考虑（不强制改善）carriers, other manufacturers, product suppliers and承运人的公司背景。vendors (parts and raw material suppliers, etc).工厂对于商业合作伙伴的选择，包括承运人，其它制造商，产品供应商和卖主（零件和原材料供应商等）必须有书面的，可审核的程序。1493Foreign manufacturers must have written and verifiableWhen selecting carriers, the facility does not consider theBest Practiceprocesses for the selection of business partners including,carriers' financial stability 工厂在选择承运人时、工厂没有考（不强制改善）carriers, other manufacturers, product suppliers and虑承运人的财政稳定vendors (parts and raw material suppliers, etc).工厂对于商业合作伙伴的选择，包括承运人，其它制造商，产品供应商和卖主（零件和原材料供应商等）必须有书面的，可审核的程序。1489Foreign manufacturers must have written and verifiableWhen selecting carriers, the facility does not consider thePrior to Approvalprocesses for the selection of business partners including,carriers' security controls工厂在选择承运人时、没有考虑承（改善计划和证carriers, other manufacturers, product suppliers and明文件）运人的安全控制。vendors (parts and raw material suppliers, etc).ers, 工厂对于商业合作伙伴的选择，包括承运人，其它制造商，产品供应商和卖主（零件和原材料供应商等）必须有书面的，可审核的程序。1424Foreign manufacturers must have written and verifiableWhen selecting the contractors used by the facility, theprocesses for the selection of business partners including,facility does not consider the contractor's corporate historycarriers, other manufacturers, product suppliers and工厂选择分包商时，没有考虑分包商的公司背景。vendors (parts and raw material suppliers, etc).工厂对于商业合作伙伴的选择，包括承运人，其它制造商，产品供应商和卖主（零件和原材料供应商等）必须有书面的，可审核的程序。1420Foreign manufacturers must have written and verifiableWhen selecting the contractors used by the facility, theprocesses for the selection of business partners including,facility does not consider the contractor's financial stabilitycarriers, other manufacturers, product suppliers and工厂选择分包商时，没有考虑分包商的财政稳定性vendors (parts and raw material suppliers, etc).工厂对于商业合作伙伴的选择，包括承运人，其它制造商，产品供应商和卖主（零件和原材料供应商等）必须有书面的，可审核的程序。Best Practice（不强制改善）Within SixMonths（验厂后6个月内改善）1428Foreign manufacturers must have written and verifiableWhen selecting the contractors used by the facility, thePrior to Approvalprocesses for the selection of business partners including,facility does not consider the contractor's hiring practices 工（改善计划和证carriers, other manufacturers, product suppliers and明文件）厂选择分包商时，没有考虑分包商的合作历史。vendors (parts and raw material suppliers, etc).工厂对于商业合作伙伴的选择，包括承运人，其它制造商，产品供应商和卖主（零件和原材料供应商等）必须有书面的，可审核的程序。1416Foreign manufacturers must have written and verifiableWhen selecting the contractors used by the facility, theprocesses for the selection of business partners including,facility does not consider the contractor's security controlscarriers, other manufacturers, product suppliers and工厂选择承包商时，没有考虑其安全管理。vendors (parts and raw material suppliers, etc).工厂对于商业合作伙伴的选择，包括承运人，其它制造商，产品供应商和卖主（零件和原材料供应商等）必须有书面的，可审核的程序。295IT security policies, procedures and standards must be inNew employee orientation does not include computerplace and provided to employees in the form of training /security (新员工培训不包含计算机安全）Employees must be made aware of the procedures thecompany has in place to address a situation and how toreport it / Additional training should be provided toemployees in the shipping and receiving areas, as well asthose receiving and opening mail / Specific trainingshould be offered to assist employees in maintaining cargointegrity, recognizing internal conspiracies, and protectingaccess controls / Specific training should be offered toassist employees in maintaining cargo integrity, recognizinginternal conspiracies, and protecting access controls （必须制定并实施信息技术安全的政策,程序和标准,同时应对雇员进行培训/雇员必须了解公司应对某种状况以及如何进行报告的程序/对在装运和接收货物领域工作以及接受打开信件的雇员进行额外的培训/应该提供特定的培训以帮助雇员保持货物的完整性，识别内部阴谋以及保护进入控制。239Management or security personnel must adequately controlThe security staff is not informed if missing IDs.工作证或标the issuance and removal of employee, visitor, and vendor示牌丢失没有通知安保人员ID badges(公司管理人员或安全人员必须对雇员，来访者和卖主的识别标志的发放和回收进行恰当的控制。Prior to Approval（第1次出货前改善）Within SixMonths（验厂后6个月内改善）Prior to FirstShipment （第1次出货前完成改善）452Management or security personnel must control theissuance of all locks and keys / Management or securitypersonnel must control the issuance of all locks and keys 管理人员或安保人员必须发放和回收识别标志以及更换进入手段（比如钥匙，钥匙卡等）的程序必须记录在案。Managers and security personnel are not provided with anBest Practiceup-to-date list of all personnel access privileges on a regular（不强制改善）schedule（管理人员或安保人员没有提供最新的所有员工日常工作进入权限清单。1880Measures must be in place to ensure the integrity andFull outgoing containers/trailers are not sealed (includingPrior to Approvalsecurity of processes relevant to the transportation,trucks and closed vans).外出的整柜/拖车没有密封(包括卡车（改善计划和证handling, and storage of cargo in the supply chain 应该制定和封闭式货车)。明文件）有确保供应链中货物在运输,搬运和存放过程中的完整性和安全性的安全措施。38Measures must be in place to ensure the integrity andsecurity of processes relevant to the transportation,handling, and storage of cargo in the supply chain 应该制定有确保供应链中货物在运输,搬运和存放过程中的完整性和安全性的安全措施。The facility has no documented security improvement actionWithin Sixplan summarizing identified vulnerabilities and their relevantMonths（验厂后6corrective actions 工厂没有文件化的安全改善计划总结发现个月内改善）的问题和相关的改善措施。2Measures must be in place to ensure the integrity andThe facility has no policy in place to ensure that securitysecurity of processes relevant to the transportation,procedures are documented 工厂没有政策来保证安全程序handling, and storage of cargo in the supply chain 应该制定文件化有确保供应链中货物在运输,搬运和存放过程中的完整性和安全性的安全措施。1359Only designated employees should distribute containerAccess to unused seals is not restricted to authorizedseals for integrity purposes 只有指定雇员才能分发表示完整employee(s) only 未使用的封条的使用不仅限于授权的人员性的封条。。1355Only designated employees should distribute containerThere is no one responsible for issuing and tracking sealsseals for integrity purposes 只有指定雇员才能分发表示完整没有人责任人来发放和跟踪封条。性的封条。908Procedures must be in place for reporting and neutralizingThere are no documented procedure for handling brokenunauthorized entry into containers or container storageseal case. 没有处理封条破碎事件的程序化的文件。areas / Customs and/or other appropriate lawenforcement agencies must be notified if illegal orsuspicious activities are detected, as appropriate /Customs and/or other appropriate law enforcementagencies must be notified if illegal or suspicious activitiesare detected, as appropriate 应该有报告和解决未经许可擅自进入集装箱/拖车或集装箱/拖车的存放区域的程序/如果发现非法或可疑活动,必须报告海关或其它适当的执法机关。1231Procedures must be in place for reporting and neutralizingThe loading dock access is not restricted to authorizedunauthorized entry into containers or container storagepersonnel only 装货区没有仅限于授权人员进入areas / Employees should only be given access to thosesecure areas needed for the performance of their duties /Procedures must be in place to identify, challenge, andaddress unauthorized/unidentified persons 应该有报告和解决未经许可擅自进入集装箱或集装箱存放区域的程序/ 只有确有履行工作职责需要的人才允许进入安全区域/应该有识别，质询和确认未经许可进入/身份不明的人员的程序。Within SixMonths（验厂后6个月内改善）Prior to FirstShipment （第1次出货前完成改善）Prior to Approval（改善计划和证明文件）Prior to FirstShipment （第1次出货前完成改善）Prior to Approval（改善计划和证明文件）279Procedures must be in place for reporting and neutralizingunauthorized entry into containers or container storageareas / Procedures must be in place to identify,challenge, and address unauthorized/unidentified persons/ Employees must be made aware of the procedures thecompany has in place to address a situation and how toreport it / Additional training should be provided toemployees in the shipping and receiving areas, as well asthose receiving and opening mail / Specific trainingshould be offered to assist employees in maintaining cargointegrity, recognizing internal conspiracies, and protectingaccess controls / Specific training should be offered toassist employees in maintaining cargo integrity, recognizinginternal conspiracies, and protecting access controls 应该有报告和解决未经许可擅自进入集装箱或集装箱存放区域的程序/应该有识别，质询和确认未经许可进入/身份不明的人员的程序/雇员必须了解公司应对某种状况以及如何进行报告的程序序/对在装运和接收货物领域工作以及接受打开信件的雇员进行额外的培训/应该提供特定的培训以帮助雇员保持货物的完整性，识别内部阴谋以及保护进入控制。New employee orientation does not include challenging andWithin Sixreporting unidentified persons to security or managementMonths（验厂后6personnel 新员工培训不包括向安全和管理人员质疑和报告个月内改善）不明身份的人1085Procedures must be in place to ensure that all informationThere is no system in place to suspend a login user ID afterPrior to Firstused in clearing merchandise/cargo is legible, complete,a certain number of failed access attempts 多次登陆尝试失Shipment （第1accurate, and protected against the exchange, loss or败后，没有设定系统来暂停此用户登录次出货前完成改introduction of erroneous information. Documentation善）control must include safeguarding computer access andinformation 应该制定有程序确保用于商品和货物清理的所有信息易读、完整、准确以及不会被更改、丢失或引入错误信息。文档控制必须包括计算机不被擅自闯入以及保护计算机信息的程序。1089Procedures must be in place to ensure that all informationused in clearing merchandise/cargo is legible, complete,accurate, and protected against the exchange, loss orintroduction of erroneous information. Documentationcontrol must include safeguarding computer access andinformation / A system must be in place to identify theabuse of IT, including improper access, tampering or thealtering of business data 应该制定有程序确保用于商品和货物清理的所有信息易读、完整、准确以及不会被更改、丢失或引入错误信息。文档控制必须包括计算机不被擅自闯入以及保护计算机信息的程序。There is no system in place to review periodically andWithin Sixmaintain security logs for invalid password attempts and fileMonths（验厂后6access 对于无效的密码和文件存取没有设立系统来定期检讨个月内改善）和维护以维护登录安全。1073Procedures must be in place to ensure that all informationPassword changes are not required by policy, or enforced inPrior to Firstused in clearing merchandise/cargo is legible, complete,a systematic manner at least every 90 days 没有相关政策要Shipment （第1accurate, and protected against the exchange, loss or求或系统强制方式，至少每90天进行更换。次出货前完成改introduction of erroneous information. Documentation善）control must include safeguarding computer access andinformation / Automated systems must use individuallyassigned accounts that require a periodic change ofpassword 应该制定有程序确保用于商品和货物清理的所有信息易读、完整、准确以及不会被更改、丢失或引入错误信息。文档控制必须包括计算机不被擅自闯入以及保护计算机信息的程序。1513Procedures should also be established to track the timelyIn-country transport services do not require goods bePrior to Firstmovement of incoming and outgoing goods.应该建立跟踪进transported within defined time-limits 国内运输服务没有要求Shipment （第1出货物及时动向的程序。货物在规定的时间内进行运输。次出货前完成改善）1517Procedures should also be established to track the timelyIn-country transport services do not track/record the timesPrior to Firstmovement of incoming and outgoing goods.应该建立跟踪进required for transportation 国内运输服务没有要求追踪和记Shipment出货物及时动向的程序。录运输时间。1815The foreign manufacturer must affix a high security seal toThe facility is not using ISO/PAS 17712 compliant seals 工all loaded trailers and containers bound for the U.S. All厂没有使用ISO/PAS 17712所规定的封条seals must meet or exceed the current PAS ISO 17712standards for high security seals. 所有运往美国的装有货物的集装箱和拖车都必须贴高度安全封条,所有封条必须符合或超出现行PAS ISO 17712 安全封条的标准。Prior to Approval（改善计划和证明文件）327These programs should offer incentives for active employeeThe facility does not give incentive to personnel to reportBest Practiceirregularities, suspicious activity and/or security violations.participation 制定给激励参与的雇员提供奖励的政策。（不强制改善）工厂对报告不法行为、可疑的活动和/或其它安全违章行为雇员提供奖励的政策。1876Visitors must present photo identification for documentationPhoto identification is not required of all visitors. 工厂没有要purposes upon arrival.来访人员在抵达时必须出示带有照片求所有的来访人员出示带照片的证件的身份证明以作记录944Written procedures must stipulate how seals are controlledDamaged seals are not immediately replaced on outgoingand affixed to loaded containers, including recognizing andcontainers/trailers (including trucks and closed vans).装好reporting compromised seals and/or containers to local待出的集装箱/拖车(包括卡车和封闭货车)的封条损坏后没有Customs authorities 必须有书面程序规定对封条的管理以及立即进行更换如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序。Prior to Approval（改善计划和证明文件）Prior to FirstShipment （第1次出货前完成改善）948Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities 必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序。1387Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities 必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序。1367Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities 必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序。1375Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities 必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序。1371Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities 必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的1363Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities 必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序。New seal numbers in case of replacement are not recordedPrior to Approvalfor outgoing containers/trailers (including trucks and closed（改善计划和证vans). 外出的集装箱/拖车(包括卡车和封闭货车)更换封条后明文件）没有进行记录。Seal numbers are not verified at time of final sealing beforePrior to Approvaldeparture 在离开前贴封条的最后时间没有对封条号码进行核（改善计划和证明文件）实The facility does not keep records of seal numbers togetherPrior to Firstwith driver name 工厂没有保存对封条号码和司机的姓名的记Shipment （第1录。次出货前完成改善）The facility does not keep records of seal numbers togetherPrior to Approvalwith the container/cargo conveyance number 工厂没有保存（改善计划和证明文件）对封条号码和柜号的记录。The facility does not keep records of seal numbers togetherPrior to Firstwith time and date of loading or unloading. 工厂没有保存对Shipment （第1封条号码和装卸时间日期的记录。次出货前完成改善）The facility does not keep records of seal numbers togetherPrior to Firstwith truck license 工厂没有保存对封条号码和卡车执照的记Shipment （第1录次出货前完成改善）1347Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities 必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序。928Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities / All shortages, overages, and othersignificant discrepancies or anomalies must be resolvedand/or investigated appropriately必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序/所有货物的溢短装，其它重大差异或异常情况必须得到合理的解决和调查。There are no documented procedures for affixing, replacing,Prior to Approvalrecording and tracking the seals placed on containers,（改善计划和证trailers, trucks, and/or railcars 没有文件化程序对集装箱、拖明文件）车、卡车、和轨道车上的封条粘贴、更换、记录和追踪。When broken seals or cargo hold locks are discovered,there is no examination of the container's/trailer's contents当发现封条破损或货物被查,没有对集装箱和拖车检查的内容。Prior to FirstShipment （第1次出货前完成改善）291Written procedures must stipulate how seals are controlledNew employee orientation does not include maintainingand affixed to loaded containers, including recognizing andcargo integrity 新员工培训不包括维护货物的完整性reporting compromised seals and/or containers to localCustoms authorities / Employees must be made aware ofthe procedures the company has in place to address asituation and how to report it / Additional training shouldbe provided to employees in the shipping and receivingareas, as well as those receiving and opening mail /Specific training should be offered to assist employees inmaintaining cargo integrity, recognizing internalconspiracies, and protecting access controls / Specifictraining should be offered to assist employees inmaintaining cargo integrity, recognizing internalconspiracies, and protecting access controls 必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序/雇员必须了解公司应对某种状况以及如何进行报告的程序/对在装运和接收货物领域工作以及接受打开信件的雇员进行额外的培训/应该提供特定的培训以帮助雇员保持货物的完整性，识别内部阴谋以及保护进入控制。Within SixMonths（验厂后6个月内改善）299Written procedures must stipulate how seals are controlledand affixed to loaded containers, including recognizing andreporting compromised seals and/or containers to localCustoms authorities / IT security policies, procedures andstandards must be in place and provided to employees inthe form of training / Employees must be made aware ofthe procedures the company has in place to address asituation and how to report it / Additional training shouldbe provided to employees in the shipping and receivingareas, as well as those receiving and opening mail /Specific training should be offered to assist employees inmaintaining cargo integrity, recognizing internalconspiracies, and protecting access controls / Specifictraining should be offered to assist employees inmaintaining cargo integrity, recognizing internalconspiracies, and protecting access controls / Specifictraining should be offered to assist employees inmaintaining cargo integrity, recognizing internalconspiracies, and protecting access controls必须有书面程序规定对封条的管理以及如何贴到装有装有货物的集装箱上,包括识别和向美国海关和边境保护局或适当的外国主管部门报告受损封条或集装箱的程序/必须制定并实施信息技术安全政策、程序和标准，同时应对雇员进行培训/雇员必须了解公司应对某种状况以及如何进行报告的程序/对在装运和接收货物领域工作以及接受打开信件的雇员进行额外的培训/应该提供特定的培训以帮助雇员保持货物的完整性，识别内部阴谋以及保护进入控制。1895Other Exceptions Noted 其他New employee orientation does not include reportingWithin Sixcompromised security infrastructure (broken locks, windows,Months（验厂后6computer viruses, etc.) 新雇员培训不包括对危及基础建设安个月内改善）全的行为进行报告(打破锁,窗户,计算机病毒,等等)。Goods for shipment are tracked by the use of electronic andBest Practicehardcopy procedures.利用电子和硬拷贝程序对装运货物进行（不强制改善）跟踪。Recordings (e.g., tapes or electronic files) are not kept for aBest Practiceminimum of 30 days or according to client specific（不强制改善）requirement, whichever is longer.记录(如磁带或电子文件)没有依照客户的要求至少保留30天，或者是更长。1866Other Exceptions Noted 其他34Other Exceptions Noted 其他The facility has not conducted a site security assessment 工Within SixMonths（验厂后6厂没有进行安全评估内审。个月内改善）Corrective ActionPlan（改善方案）Verification Remarks（证明文件）Verified Acceptable