工厂名称/ Favtory Name :

改善计划/
工厂信息/ Factory Information 答案/ answer
Improvement plan
1 工厂生产的产品类别/ What type of commodity's is produced by the factories?

2 公司成立日期/ what year was the company established?

3 向美国出口约占的比例/ what is the approximate percentage of export into the USA?

4 工厂每月或每年向美国运输的集装箱数量/ how many containers are shipped to USA per monthly or

yearly from this facility?
5 建筑物的数量和类别/ numbers/type of building?

6 大约的资产规模/ approximate property size?

7 公司主要有哪些客户/ who are the company's major customer?

8 工作时间/ what are the hours of operations?

9 进出门口的数量/ how many number of entrance ends?

10 有多少雇员（全职/兼职/季节性）/ how many employees are there? (full/part time/ seasonal)

11 公司货物航运商的名称/ what are the names of the company's brokers/ freght forwaders?

12 公司运输商的名称和现在地址/ what are the names of the company's transportation providers and their
current address?
是/不是/不适用
完成时间 /
一般要求/ general Complete time
Yes/No/NA

13 是否明文要求所有安全程序需要有书面规定/ Do you have a policy that requires all sercurity procedures

to be documented?
14 是否有专门管理安全的部门/主管？ Do you have a desgnated sercurity department/ chief ?
 是/不是/不适用
完成时间 /
员工培训 / Personnel training Complete time
Yes/No/NA

15 是否制定了聘用人员的筛选及定期核查现有员工的程序？Is a process in place to screen prospective

employees and to periodically check current employees?
16 在法律允许的情况下，是否对所有雇员进行背景调查？ When allowed by law, are back brownd checks
conducted on all employees?
17 员工证的发放是否有由指定的部门进行管理？ Is the issuance of emloyee indentification centralized and
controlled by a speciffic department?
18 新雇员指引培训是否包括安全和危险意识的培训？ Does new employee orientation include security and
threat awareness training?
19 是否明确界定出禁区以及可以进入禁区人员的授权程序？ Have you identified areas and how to
determine who is authorized to be presnet?
20 所有的新员工培训是否有书面记录（包括主题，日期和参加人员等信息）？Is all training for new
employees documented ( including information such as subject, date, attendees)?
21 是否编写书面的员工行为手册？ Do you have a written code of conduct for emplyees?

22 是否编制了相关程序，对所有重要区域进行定期的突击性安全检查？Is there an estalished procedure

to conduct unannouned security checks periodically for all areas of concern?
是/不是/不适用
完成时间 /
物理安全 / Physical secrity Complete time
Yes/No/NA

23 工程是否有非法进入监测和报警的系统？ Does the facility have an intrusion detection or alarm system?

24 是否实施了员工身份识别和进出控制系统？Is an emplyees identification system used for positive

identification and access control?
25 所有的通道入口是否有装置了足够的锁闭装置（门，窗，大门）？Do adequate locking devices protect
all access points ( doors, windows, gates) ?
26 各道出入口的钥匙是否有完善的书面管理程序（分发，当日发放和收回，跟踪）？ Do you have a
documented procedure regarding factility Key Control ( assign, date out-in, tracking) ?
27 工厂建筑周围是否有足够的围墙或护栏？ Is your building perimeter secured by an adequate wall or
fence?
28 出入口的外部，货物装卸及储存区是否有装足够的照明设备？ Is there any oyside fiood lighting of
entrances,exits, cargo handing and storage ares?
29 输入的货物是否装在集装箱内？ Are inbound shipments containerized?
30 是否对货物的封条进行检查并记录？ Are the shipments seals verified anh documented?

31 是否在工厂内存入空的或已装货的集装箱？ Do you store emply or loaded containers oon side?

32 是否为集装箱加贴封条或上锁？ Do you have sealed or locked the container doors?

33 是否有专职的保安人员？ Do you have a designated sercurity guard force?

34 是否安装了闭路电视（CCTV）对工厂内外的活动进行监视？ Are closed sircuit televidon cameras

(CCTC) used to minitor the activity inside/ ouside the factory?
35 是否安装了闭路电视（CCTV）对装卸区和集装箱进行监视？ Are closed sircuit televidon cameras
(CCTC) used to minitor the loading area and the container?
36 是否将记录资料进行存档？ Do you have stored the recording data?

37 是否进行来访者登记？ Is there a vistors log maintained?

38 访客，送货司机和其他运输工具的司机在进入工厂前是否需要出示带有照片的身份证件？Are vistors
delivery and transportation drivers to show a picture ID before permitted access to the factory?
39 集装箱离开工厂前是否按照运输单据对集装箱安全封条的准确性进行检查？Is a container security seal
verified for accuracy against shipping documents prior to departing the factory?
40 访客车辆的停泊区是否远离出入口和装货台？ Is vistors parking away from entrances and docks?

41 车辆是否禁止/防止被停放在货物运输工具附近？ Are vehicles prohibited/prevented from packing near

cargo conveyances?
42 是否有相应程序可以发现并上报来货的短缺或超量？Are there procedures in place for detecting and
reporting shortages or overages in incoming shipments?
是/不是/不适用
完成时间 /
信息控制/ Information access controls Complete time
Yes/No/NA

43 是否有相应程序控制对自动系统和文件的接触？ Do you have procedures concerning access to

automated systems and documents?
44 自动系统是否有密码控制？ Do you have established password controls for your automated sytems?

是/不是/不适用
完成时间 /
货运信息控制 / Shipment onformation controls Complete time
Yes/No/NA
 是否有专职人员代表公司负责向货运经纪人提供准确的信息？Is there a designated company
representative responsible for providing accurate information to the broker?
是/不是/不适用
完成时间 /
存储/ 运输/ 分销 Storage & transpotation/ distribution Complete time
Yes/No/NA

45 存放的集装箱门是否有高安全性的锁闭装置或封条确保安全性? Are stored container doors secured

with a high sercurity locking device or a seal?
46 谁负责为运输工具提供并加贴封条？ Who provides and affixes te seals to conveyances?

47 危险货物（包括有害材料）是否单独存放并妥善标识？Is dangerous cargo ( including hazardous

materials ) stored separately and properly identified?
48 集装箱的装载是否有保安或专职人员进行监督？ Is loading of containers supervissed by a security guard
or designated supervisor?
49 是否拥有对货物进行跟踪的程序（从哪里到哪里）？ Are there procedures for tracking shipments
( from where to where ) ?
50 货物运输是否使用集装箱 ？Are containers utilized gof shipments ?

51 海运货物是否只使用符合 ISO17712 高安全标准的封条？ Do you use only an ISO17712 high security

compliant seals for ocean shipments?
52 是否有对集装箱封条进行加贴，更换，记录和跟踪的书面程序？ Do you have a documented policy on
how to affixed, replace, record and track seals placed on containers?
53 是否拥有对集装箱完好性进行检查的程序（7点检查）？Do you have procedures in place to properly
check the integrity of containers ( 7-point inspection )?
54 是否将集装箱从工厂运至港口的运输商之间是否签订了书面合同？ Is there a written contract with the
transporter that moves containers from the factory to the port ?
55 是否拥有相关程序使国内的承运人可以向工厂管理层汇报运输过程中出现的安全问题？ Is there a
procedure for in-country carriers to report in-transit security violation to the factory management?
是/不是/不适用
完成时间 /
集装箱控制 / Container control Complete time
Yes/No/NA

56 是否向承包商提供书面的安全标准和实施步骤？ Do you have written sercurity standards and

procedures for contractors?
57 在使用的情况下，是否要求承包商也达到C-TPAT的要求？ Where appliceble, do you require C-TPAT
enrollment of contractors?
是/不是/不适用
完成时间 /
集装箱控制 / Container control Complete time
 完成时间 /
集装箱控制 / Container control Complete time
Yes/No/NA

58 是否对工厂选用的拼装商，航运商，3PL或承运人进行背景调查？ Doeas the factory perform a

background check on the consolidators, freight forwarders, 3PL or carries ?

部门/职务 Departmemt / Title :

日期/ Date ：