GSV认证咨询-GSV 审核文件清单（2014 版）：企业合规准备关键指南
地区: 2014-09-03 文章来源： 阅读次数: 490 分享: 
Intertek GSV 文件审核清单
In each instance where applicable, please have the following documents ready for the GSV auditor’s review:
在需要的情况下，请准备好以下文件供 GSV 审核员审核：
| 序号 | 文件 / 记录相关名称 | 是 | 否 | 备注 |
|---|---|---|---|---|
| 1 | 要求所有反恐安全程序书面化的方针 / 规定 Documented policy that requires that all security procedures be documented. |
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| 2 | 反恐审核报告或记录 (如内审或外审) Site security assessment report |
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| 3 | 内审程序和记录 Documented procedure to conduct periodic security checks to ensure that all of the above security procedures are being performed properly (including the records of the outcomes of the checks |
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| 4 | 纠正措施计划或改善报告 Documented security improvement plan |
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| 5 | 企业反恐安全计划 Facility security plan |
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| 6 | 人事招聘指引 / 程序 Personnel security guidelines |
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| 7 | 员工入职背景调查和定期调查记录 Background check records (new and regular check) |
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| 8 | 人事档案 Personnel records |
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| 9 | 工牌发放记录和补办记录 Record of the distribution and inventory of employee IDs including lost IDs |
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| 10 | 离职人员工牌回收的管理规定和记录 Procedure for employee IDs returning and related records |
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| 11 | 工牌找回及解除访问权限程序 Documented procedures for retrieving IDs and/or deactivate access as needed and related records |
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| 12 | 钥匙发放 / 丢失记录 Record of the distribution and inventory of keys including lost keys |
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| 13 | 入职培训教材和记录 Training material and record of employee orientation |
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| 14 | 定期反恐安全意识培训 (培训计划 / 培训教科 / 记录等) Documented security training and awareness program (training plan, records and training material, newsletter etc.) |
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| 15 | 员工手册 / 行为守则 Written employee code of conduct / handbook |
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| 16 | 钥匙 / 权限码 / 权限卡发放，回收，更换记录 Record of the distribution, returning and changing of facility's access keys, codes, cards to employees |
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| 17 | 员工离职程序 Documented employee termination procedures |
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| 18 | 基础设施完整性检查记录 Inspection / checking records related to infrastructure integrity |
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| 19 | 上报和阻止非授权进入货柜存放区的书面程序 Documented procedures for reporting and neutralizing unauthorized entry to container storage areas |
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| 20 | 保安人员培训记录 Security guard / force training record |
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| 21 | 保安人员工作职责规定 Job duty / description of security guard |
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| 22 | 访客及车辆进出控制程序 Visitor / vehicle in-out access control / management procedure |
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| 23 | 员工进出记录 Employees in-out record |
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| 24 | 监控记录 CCTV records |
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| 25 | 访客及车辆进出记录 Visitor and vehicle / driver entries and exits log |
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| 26 | 承包商 (供应商、运输商、维修商等) 名单 Up-to-date list of names and addresses of all contractors |
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| 27 | 员工工牌和访客证 Employee badge and visitor badge |
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| 28 | 邮件、包裹分发前安全筛选控制程序 Documented procedures for screening arrived packages and mail prior to distribution. |
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| 29 | 人员来访 / 货物运输预约通知 Advance notice |
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| 30 | 货车进出记录 Entering/Exiting deliveries or conveyance log |
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| 31 | 封条管理程序 / 封条破损处理程序 Documented procedure to handle the broken seal case |
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| 32 | 封条破损检查记录及处理记录 Documented broken seal examination. |
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| 33 | 封条管理程序 (出货到下一级供应链时封条编号检查规定) Documented procedure to verify seal number against facility documentation when the container / trailer is turned over to the next supply chain link |
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| 34 | 封条管理程序 (出货到下一级供应链时封条完整性检查规定) Documented procedure to verify whether the seal is intact when the container / trailer is turned over the next supply chain link |
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| 35 | 短装 / 溢装检查和上报程序 Documented procedures for detecting and reporting shortages and overages |
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| 36 | 有权使用电脑系统 / 电脑记录 / 船务预约 / 封条 / 货物搬运的人员规定 (或程序) Documented procedures for identifying which employees are allowed access to: electronic information systems / facility documents / shipping forms / shipping data / high security seal / shipping/cargo movement |
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| 37 | 信息控制程序 (调整或解除员工信息系统权限的管理规定) Documented procedures to adjust or rescind IT system access |
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| 38 | 信息控制程序 (违反 IT 管理制度的处罚规定 Procedures for disciplining IT system violators |
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| 39 | 电脑资料备份记录 Computer information back-up records |
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| 40 | 船务和出货记录 Shipment information or export records |
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| 41 | 货物文件的管理程序 / 规定 Documented procedure to ensure that accurate, legible and complete cargo documents and packing slips prepared |
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| 42 | 出货异常处理程序 (异常状况调查和报告给管理层的规定) Documented system that management is informed of and investigates all anomalies found in shipments and/or the accompanies documents |
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| 43 | 出货异常处理程序 (报告异常状况给海关或当地执法部门的规定) Documented procedure that customs and/or local law enforcement is notified of shipment anomalies, as appropriate |
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| 44 | 出货追踪的管理规定 Documented procedures for tracking goods for shipment |
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| 45 | 防止未申报货物装入集装箱的管理规定 Documented cargo verification procedure to prevent unmanifested cargo from being loaded |
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| 46 | 货柜七点检查的管理规定 Documented procedures to verify the integrity of the container structure (7-point inspection procedure) |
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| 47 | 拖车十点检查的管理规定 (如适用) Documented procedures to verify the integrity of the trailer structure (10-point inspection procedure) (If applicable) |
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| 48 | 货柜、拖车、箱式货车等检查记录 Container, trailer, truck, closed van inspection records |
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| 49 | 装货记录 Cargo loading record |
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| 50 | 封条管理程序 (封条符合 ISO/PAS17712 标准的规定) Documented procedure to affix a high security seal which meets or exceeds ISO/PAS 17712 on each container / trailers bound for the US |
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| 51 | 封条测试报告 ISO/PAS 17712 test reports or certification of seals |
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| 52 | 封条管理程序 (上封条、更换、记录编号、追踪的规定) Documented procedures for affixing, replacing, recording, and tracking the seals placed on containers, trailers, trucks, and/or railcars |
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| 53 | 承包商 (供应商、运输商和服务商) 现场反恐评估记录 Internal or external on-site inspection report for contractors |
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| 54 | 承包商 (供应商、运输商和服务商) 的自我评估记录 Contractor's security self-assessment record |
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| 55 | 运输商的选择标准、记录 Documented selection of logistic contractors |
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| 56 | 拼装商的安全标准 / 要求 Documented freight consolidator security standard |
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| 57 | 国内运输商报告安全违规行为给企业管理层的书面程序 Documented procedure for in-country carriers to report security violations to the facility management |
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| 58 | 运输商符合 C-TPAT 及同等标准的书面 / 电子证明 Written or electronic confirmation of its partners' compliance with C-TPAT or C-TPAT-equivalent security criteria (e.g., contract language, a letter of commitment signed at the management level or above, signed acknowledgement of receiving the facility's C-TPAT participation announcement) |
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| 59 | 与运输商订立的合同 Written legal contract with a transport company |
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| 60 | 运输商不通知反恐审核记录 Periodic unannounced security check |
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| 61 | 异常状况 (包括贩卖人口) 调查和上报企业管理层的有关文件系统 Documented system in place to ensure that management is informed of and investigates all anomalies found in shipments including human trafficking |
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| 62 | 防止装载未申报货物或非法出入境者的货物验证程序。 Documented cargo verification procedure in place to prevent unmanifested cargo and/or illegal aliens from being loaded |
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| 63 | 风险评估项目文件 Risk Assessment Program |
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| 64 | 风险评估指引 Risk Assessment Process Guide |
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| 65 | 其他 (请列举) Other (Please specify) |
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文件编号：GSV-D06
版本号：06
发布日期：2014 年 9 月 3 日
版本号：06
发布日期：2014 年 9 月 3 日