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11999977--22001166AAssiiaaIInnssppeeccttiioonnLLiimmiitteedd..AAllllrriigghhttssrreesseerrvveeddC-TPATSTANDARDANDSCOPESubject:IntroducingBigLots'CTPATAuditProgramwithAsiaInspectionDearMerchandisingpartner,亲爱的销售合作方,InlinewithBigLots'strategyofincreasingcomplianceandvisibilitywithinoursupplychain,aC-TPATauditprogramisbeingimplementedtohelpensurethatBigLots'productsaremanufacturedatfactorieswhatsecuritycriterionsarecompliedwith.为符合增进相符性和供应链可见性的战略,BigLots将推行反恐审核项目帮助确保BigLots的产品能够在遵照安全准则的工厂中生产.Inordertofacilitatethisrequirement,BigLotshasselectedAsiaInspectionasthepreferredindependentauditprovidertovisitthefactorypremisesandcarryoutC-TPATaudits.为了促进这一需求,BigLots委托Asiainspection亚检作为独立的审计合作方对生产方进行反恐审核.ThefollowingareaswillbecoveredbyAsiaInspectionauditorsduringtheauditprocess:Asiainspection亚检审核员会在审核过程中按照如下范围进行审核:1.FactoryProfile工厂概况2.PersonnelSecurity人事安全3.PhysicalSecurity基础设施安全4.Storage&Distribution仓储及出货5.ShipmentInformationControl货运信息控制6.InformationAccessControls信息权限控制7.ContractorControls承包商控制8.ExportLogistics出口物流管理9.Records&Documentation文件与记录控制Theauditwillconsistofon-sitefactorytour(securityroom,warehouse,productionarea,loadingareaandetc.),documentreviewandinterviews.Pleasemakesureallproductionprocessesarerunningandrelatedmanagers/supervisorsareavailableduringauditday.Youneedtoprovidetherelatedevidenceordocumenttoauditorwhenconductingaudit.Fordetailspls.refertoattachedDocumentListandGeneralAuditPlan.本次质量审核由现场审核（包括原料、成品仓库，生产区，宿舍区，食堂及厨房等）、文件审核和员工访谈组成。请工厂确保在审核当天所有生产工序在有效进行中，相关经理和主管能够在现场解答审核员的疑问，相关的文件资料能够提前提供给审核员进行审核。具体内容请参考附页《质量体系审核文件清单》和《质量体系审核计划》Bookingentityisresponsibleforpaymentandthatpaymentmustbemadepriortotheservicedate.供应商(或工厂)应承担此审核费用,并且审核费用必须在审核前支付.Wethankyouinadvanceforyourco-operationwiththisauditprogramandpleasefeelfreetocontactAsiaInspectionshouldyourequireanyfurtherinformation.感谢您给予此项审核的支持与合作,如有问题请联系亚检.AsiaInspectionAuditServicesDepartment亚检审核服务部11999977--22001166AAssiiaaIInnssppeeccttiioonnLLiimmiitteedd..AAllllrriigghhttssrreesseerrvveeddDOCUMENTSLISTFORCTPATAUDIT反恐验厂文件清单Page1of2No.序号DOCUMENT文件1BusinessLicense营业执照2OrganizationChart组织结构图3JobDescriptions,includingresponsibilitiesforsecurity岗位职责(包括安全责任)4Roster(includingsecuritystaff)花名册(包括保安)5currentemployeesperiodicalcheckrecord在职员工定期检查记录6Employeeshiringprocedure招聘程序7Personalfiles人事档案8employeesRe-investigationrecords员工复查记录9Resignationpolicyandrecords辞职政策和记录10IssuanceandreturnrecordsforIDbadges(employeesandvisitors)身份证/访客证发放回收记录(员工/访客)11Trainingrecords(newemployeesorientation/securityprocedures/securitypersonnel/shippingandreceivingareasrules/raiseawarenessonsecurityandterroristthreats/informationnecessaryforshipmenttoUS)培训记录(新员工入职/安全程序/收发货区管理规定/提高安全和恐怖主义威胁的意识/发货到美国所必需的信息)12SecurityManagementProcedures安全管理程序13SecurityRiskAssessmentProcedures/records安全风险评估程序/记录14Issuanceandreturnrecordsoflocksandkeys锁和钥匙的发放回收记录15WorkingHoursRecordsforDoorSecurityStaff保安人员考勤记录16SecurityGuardsincidentrecords安保事故记录17SecurityPatrolrecords保安巡逻记录18ContainerLoadingProcedures货柜装载程序19ContainersSealsCheckProcedure货柜封条检查程序20Containerverificationprocedure(includingcheckingdimensions,weights)货柜验证程序(包括检查尺寸,重量)21Non-complianceprocedureoffailresultforcontainerverification装柜查验失败的不合格处理程序22Integrityprocedurefortransport,storageandhandlingofcargo货物运输、存储和处理的完整性控制程序23Anti-foreignmaterialintroductioncontrolprocessduringcontainerloading防止装柜混入外来物料控制程序24CargoWeightingandCountingrecords货物称重和计数记录25shipmentanomaliesInformProcedure装货过程异常情况通知程序26Cargodocumentationandpackinglists货物文件和装箱单27Goodstrackingsystemforshipment运输货物的跟踪系统28Containerstructureintegrityinspectionprocedureandrecords集装箱结构完整性检查程序和记录29DocumentedprocedureindicatingthekindofSealtouse(conformISO/PAS17712)封条选择程序（符合ISO/PAS17712）30sealsaffixing/replacing/recording/trackingProcedure封条张贴/更换/记录/跟踪程序11999977--22001166AAssiiaaIInnssppeeccttiioonnLLiimmiitteedd..AAllllrriigghhttssrreesseerrvveeddDOCUMENTSLISTFORCTPATAUDIT反恐验厂文件清单Page2of231Sealnumbersrecords(trucklicense,drivername,timeanddateoflading,conveyancenumber)封条记录(包括卡车执照、司机姓名、装货时间和日期、运输号码)32Verificationrecordsoffinalsealingbeforedeparture出货前封条查验记录33ShipmentRecords出货记录34employee(accesstorestrictedareas)identificationprocedures员工访问权限的识别程序35ITcontrolprocedureandrecordsIT控制程序和记录36contractorsSelectionandevaluationprocess承包商选择和评估程序37contractorssecuritystandardsandprocedures承包商安全标准和程序38Backgroundcheckrecordsofcontractorswithaccesstorestrictedareas可进入限制区域的承包商背景调查记录39carriersSelectionandevaluationprocess承运商选择评估过程40CTPATenrollmentProofofcarriers/contractors承运商/承包商CTPAT登记证明41Carriers/contractorssecurityviolationsreportingprocedure承运商/承包商违反安全行为的上报程序42Previousinternal,2ndor3rdpartyauditsforsecurity上次安全内审记录，第二方或第三方安全审核记录43regularinternalsecurityaudits/checkrecords定期安全内审/检查记录44SecurityImprovementplan安全改进计划45Securityplan安全计划11999977--22001166AAssiiaaIInnssppeeccttiioonnLLiimmiitteedd..AAllllrriigghhttssrreesseerrvveeddAUDITPLAN-1DAYCTPATAUDITTime时间Auditor审核员Procedure,DepartmentorFunction流程，部门或者职能Keycontact关键人事DAY1第一天09:30amArriveonsite到达工厂09:45amOpeningmeeting首次会议-Validateinformationprovidedbefo