TARGET CTPAT反恐要求 和Target 验厂程序.docx
反恐（C-TPAT）验厂一整套资料包含文件及现场注意事项分析【全套】
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TARGET C-TPAT反恐要求和Target全球遵约（人权）验厂程序TARGET C-TPAT STANDThe Customs-Trade Partnership Against Terrorism (C-TPAT) Medium Audit General Guidelines are for the purpose of defining general rules as they apply to the C-TPAT Medium Audit form. These guidelines are an overview of the considerations to be taken with the questions. This standard should be used in conjunction with the C-TPAT Medium Audit Form.The C-TPAT Medium Audits are completed as part of the Factory Evaluation process. The C-TPAT Medium Audit should be completed by the same person completing the Factory Evaluation.The information you provide when completing a C-TPAT Medium Audit is important and is used in many ways:Allows International Supply Chain Security lo identify security concerns and work with the vendor to correct themAssists International Supply Chain Security in basic prioritization of C-TPAT security auditsProvides information on factories where C-TPAT audits have not been conductedProvides documentation for media, non-governmental organizations (G0 s), and shareholders that TSS/AMC has looked at security concerns in a particular factoryFor Target orders, the medium audit is also used to verify information provided to International Supply Chain Security at the time of C-TPAT registrationFrequency requirements of conducting a C-TPAT Medium Audit are as follows:Complete one C-TPAT Medium Audit for each Factory Evaluation per factory.Medium Audits should be completed for both TSS/AMC and non-TSS/AMCfactories/ordersPlease obtain the C-TPAT Medium Audit questionnaire and best method from email or EOL (Experts Online). The C-TPAT Medium Audit questions will be on a separate, temporary Excel form until FAS-T rolls out to the field. All required fields will need to be completed in full to obtain a Completed* status. Required fields are indicated by an asterisk ( * ) preceding the question on this Standard. Failure to complete a required field will result with an4 incomplete status. The completed audit forms should be sent via email to Rlobal. scurilylarml com. Please also retain a copy of the completed questionnaire in the local TSS/AMC office.GENERAL INFORMATION*Date of VisitComplete this* field using the date of your visit to thefactory. Use the format MM/DD/YY. (example: 05/12/04 represents May 12th, 2004)Dale Form is Received by ISCSThe International Supply Chain Security (ISCS) Team in*Minneapolis will fill in this field. NO ACTION REQLIRED BY THE FIELDField Assessment Factory IDComplete this field wilh the factory F#, if known, (example:F0000I234).The factory ID number is found in BPM (Business Partner Management) If you do not know the factory IDt please leave this field blank.Inspector Name/Title: Complete this field with the evaluator, s name and title.Inspector Offico/Country:Complete this field with the evaluator* office city andcountry location.Reason for Visit:Please check the appropriate reason for your visit for the question one.2. Does the factory have procedures in place on how seals are controlled and affixed to containers/trailers?Physically check to see if seals are kept in a locked andsecured place prior to applying to a container and logged on the Container Load Plan (Container Load Plan may not be available in factory for initial Factory Evaluation or Compliance Audit) or another form of a container seal log. If no seals are available ask management where seals are kept.Another form of a seal log should include, but not limitedto: date/time container is sealed, seal number, container number, and employee identification and number that completed the container sealing process.If containers are present and sealed, physically check ifthe container is sealed by viewing the seal and container locking mechanism for tampering. Verify the seal number against the documentation. Tug on the seal to make sure it is affixed to the container. Twist and turn the seal to make sure it does not unscrew.If seals# are not kept in a locked and secured place priorto applying to a container and not logged on the Container Load Plan or another form of container seal log, answer NO to question two.Reference Container Load Plan on page# 7.3. Is the container/trailer sealed at the factory immediately after loading?Ask management or observe if containers are sealed*immediately after loading.If containers are not sealed immediately* after loading, answer NO to question three.4. Does the factory have procedures in place for designated employees to distribute container/trailer seals?We define employees to distributee container/trailer sealsto include security personnel and/or a manager/supervisor.Ask management or physically view procedures to know whodistributes the seals, if a security personnel and/or manager/supervisor is nol mentioned, answer NO to question four.5. Does the factory have a container/trailer seal log?Ask manager/supervisor to physically see the ContainerLoad Plan or another form of a container seal log.Another form of a seal log should include, but not limitedto: date/time container is sealed, seal number, container number, and employee identification and number that completed the container sealing process.If you are not presented one of the two containers seal logs,answer NO to question five.Reference Container Loade Plan on page 7.6. Are containers/trailers stored in a secure area to prevent unauthorized access?Physically check to see containers/trailers (trucks for less than container load product) are stored or parked within lhe fence/physical barrier surrounding the facility, or door to door/end to end, or backed against a structure high enough to keep doors from opening to prevent tampering/pi1ferage. If containers/trailers/trucks are not present ask management how containers/trailers/trucks are stored or parked.If no container/trailer is available please continue to askmanagement how containers/trailers are stored.If the factory does not have one of these four methods forstoring containers/trailers/trucks, answer NO to question six.7. Does the factory have procedures in place to verify physical integrity of the container/trailer by using the seven point inspection prior to loading?Ask a manager/supervisor* to physically see the seven pointphysical integrity of ainspection check list for verifying thecontainer.If the factory does not havethe seven point inspectioncheck list.ask to see their documentedprocedure for verifying thephysical integrity of the container.We define checking the* physical integrity of the containeras, but not limited to checking the front wall, left side, right side, floor, ceiling/rcx)ft inside/outside doors, and outside/undercarriage of the container.point inspectionIf the factory does not* have the sevencheck list or a procedure to verify the physical integrity of a container, answer NO to question seven.List on pages 8-9.Referencee Seven Point Inspection Check8. Does a security fence or physical barrier surround the facility? Physically check to see if a fence surrounds the factory.The height of the fence should be around 7 to 8 feet high (2.13 to 2.43 meters). If the fence is lower answer ys and include the height information in the comment section.If there is no fence, look to see if a physical barrier surrounds the factory. Physical barriers can include brick/cement walls or a solid barrier.If the factory does not have one of these two securitybarriers surrounding the facility, answer NO to quest ion eight.9. Are all gates through which vehicles and personnel enter/exit manned and/or monitored by security personnel?When you arrive at the factory physically check to see ifyou need to pass through a gate to get into the premise. The gate needs to be monitored by a person or a camera.If the factory does not have a person or camera to monitor tho galc(s), answer NO to question nine.10. Does the factory have employee/visitor parking areas segregated from all cargo handling and storage areas?Physically check to see if employee/visitor parking areas*are segregated from all cargo handling and storage areas. We define parking being segregated by means of not being able to park in the sciine area as the cargo handling and storage areas. If cargo handling and storage areas are segregated by a barrier, it is classified as segregated from all other areas.If the factory does not have employee/visitor parkingssegregated from cargo handling and storage areas, answer NO to question ten.11. Are buildings constructed of materials that resist unlawful entry?We define building materials that resist# unlawful entry tobe steel, cement and bricks.If the factory does， not have one of the three materialslisted, answer NO to question eleven.12. Does the factory have external and internal windows, gates, and fences secured with locking devices?Physically check to* see if each of the fol lowing has alocking device on them: windows, gates, and fences. You do not have to verify all windows, gates, and fences have a locking device. Verify that at least two of them do.Locking devices may be# unlocked during business hours, but they must have a locking device in place.If the factory does not have one the above criteria, answer NO to question twelve.13. Does lighting illuminate the building entrances and exit areas?Physically check to see if lights are* present in the building entrances and exit areas.If the factory does not have lighting the building entrances and exit areas, answer NO to question thirteen.14. Does lighting i1luminate the cargo handling and storage areas?Physically check to see if lights are present in the cargo handling and storage areas.If the factory* does not have lighting the cargo handling and storage areas, answer NO to question fourteen.15. Does outside lighting illuminate the fence line?Physically check to see if lights are present on the fence# line.Tf the factory does not have 1 ighting on the fence line, answer NO to question fifteen.16. Does lighting illuminate the parking area?Physically check to see if lights are present in the asked to presentidentification to be granted access?If you are not asked for identification, answer NO to question eighteen.19. Are all visitors escorted and visibly display temporary identification?We define temporary identification as a badge statingvisitor on* it, a sticker with visitor written on it, or a devicethat can be attached to a person identifying them as a visitor.When you tour the factory, are you escorted?If you are not required to wear a visitor badges and you arenot escorted, answer NO to question nineteen.20. Is application informationw such as employment history and references verified prior to employment?Ask a manager/supervisor if it is legal to verifyemployment history and/or references prior to employment. If it is legal ask the manager/supervisor if employment history and/or references are verified prior to employment.If it is legal and if employment history and/or referencesare not verified prior to employment, answer NO to question twenty.21. Docs the factory have procedures in place to remove identification, faci1ity and system access for terminated employees?Ask to view the procedure to remove identification, facility and system access for terminated employees.We define procedure for removing identification, facilityand system access for terminated employees as, but limited to, date/time of removal, terminated employees name, a record of the identification system device being returned, and the employee name and identification that completed the termination.If the factory does not have a procedure, answer NO toquestion twenty one.22. Are drivers delivering or receiving cargo positively identified before cargo is received or released?We define photo identification as government or workissued 1icense/badge. An example would be a driver* s license, passport or work badge.Ask a manager/supervisor when driveers arrive at the factory,are drivers asked to present identification to be granted access? Ask a manager/supervisor to physically see the truck/container check in/check out log or the truck/driver log.If drivers are not asked* for identification and the factory does not have one of the logs mentioned, answer NO to question twenty two.23. Does the facility have Target Corporation* s Integrily Hotline information displayed throughout? Ask a manager/supervisor to physically show you whereTarget Corporation* s Integrity Hotline information is displayed.If the factory does note have Target Corporation sIntegrity Hotline information displayed, answer NO to question twenty three.Copy of the CONTAINER LOAD PLAN(May not be avallable if this is initial Factory Evaluation or Compliance Audit)Factory/Vendor:Container No.Seal Number(s)Consignee:Container Delivery Date:CY or CFS?Carrier:Port of Loading:Port of Discharge:Initial Inspection of containerRemark s/C ommen t s:External condition of the container/externoOK/BienRoof condition of the container/techo:OK/BienWall condition of the container/paderes:OK/BienFloor condition of the container/piso:OK/BienDoor condition of the container/puerta: OK/BienOther/otros:OK/BienTotalTotalTotalROW：DPCIP0Style #CTNSVCPPcs/IternsKilos/ItemCbms/ItemGrand TotalShipment Re1ease/1nspection Certification (AMC/TSS Vendor Only)Date of Inspection and Inspector:Employee Who Sealed ContainerEmployee IDDate Container SealedTime Container SealedCopy of the Seven Point Inspection Check List*Must complete at least two checks in each section*Front WallChecks CompletedEnsure interior corner# blocks are visible and not false,and front wall is made of corrugated material.FORMCHECKBOXUse a 40 chain with a marker the middle to take an interior measurement from the front wall to the rear door of both 40-foot and 20-foot containers. The 40-foot container should measure39 5” or 12.01 meters. Th。 20-foot container should measure19 4 or 5. 89 meters.FORMCHECKBOXEnsure ventilation holes are# visible, not covered or absent.FORMCHECKBOXUse a tool* to tap the front wall, there should be a hollowsound.FORMCHECKBOXLeft SideChecks CompletedLook for unusual* repairs to structural beamsFORMCHECKBOXLook for repairs on the walls that are visible on the inside and outside of the container.EORMCHECKBOXUse tool to tap on the sides, there should be a hoi low sound.FORMCHECKBOXRight SideChecks CompletedLook for unusuale repairs to structural beamsFORMCHECKBOXLook for ventilation holes are visible, not covered or absent.FORMCHECKBOXLook for repairs on the ceiling/roof that are visible on the inside and outside of the container.FORMCHECKBOXUse a tool to tap on the ceiling/roof, there should be a hollow sound.EORMCHECKBOXInside/Outside DoorsChecks CompletedEnsure that ihc container door has secure and reliablelocking mechanisms.FORMCHECKBOXObserve the rivet type and color, they should notdifferent colors or have colored putty surrounding the rivets.FORMCHECKBOXEnsure that there are not sol id plates, where there are usually cavities.FORMCHECKBOXOuis i de/Undercarr iageChecks CompletedThee outside/undercarriage of a container should beinspected before it enters the facility.FORMCIIECKBOXInspect the underneath of the containers visually or with a mirror to make sure that all support beams are visible and no foreign objects are mounted to the container.FORMCHECKBOXLook for repairs on the outside that are visible on the flowin the same order of the formsRemoved Date ISCS Received field as a mandatory fillfield. This will be filled in by Minneapolis Team after complexed form is received.Target Global Compliance Audit ProcessTarget全球遵约（人权）验厂程序Compliance audits are conducted to ensure all vendors and their factories meet the requirements of local laws, federal regulations, U.S Customs requirements and Target5 s policies.全球遵约（人权）验厂程序被执行以确保所有供应商及其工厂符合以下标准：当 地法律的要求，美国联邦政府规章，美国海关要求及Target公司政策.*Compliance Audits are:*全球遵约（人权）验厂是：1. Mandatory-All registered vendors and factories are required to participate and are subject to compliance audits.强制性的-所有Target已注册供应商及其工厂必须参与旦必须接受全球遵约 验厂.2. Unannounced-No notification is given to weither the vendor or factory in advance of the compliance audit. This allows us to see the factory on a typical day.不事先通知的（突击）-无论是供应商还是工厂在全球道约验厂前都不会得到 事先通知.这样可以使我们在一个具有代表性一天来了解工厂.3. Verification of Global Compliance registration informatin- Information in BPM, including address information and contact infonnation must be accurate and up-to-date. U. S. Customs and Border Protection required Target to know where our products are being produced.对于全球遵约注册信息的査证-对于供应商在Target-生意伙伴管理系统注 册的信息，包括工厂地址及联系信息必须准确且最新.美国海关与边防局要求 Target 了解我们的产品是在哪里生产的.4. Factory has up to three chances to become compl iant with local laws and Target Standards of Vendor Engagement. Vendor will be required to pay for the third audit if a third audit is necessary.每个工厂至多有三次机会通过全球遵约验厂（遵从当地法律规定与Target供 应商合约准则）.如果必须进行第三次（最后一次机会）验厂，T厂或供应简需支 付第三次验厂費用.Lnannouced Factory Audit consists of 7 parts: 突击验厂包含以下7项内容：1. Opening Meeting-Auditor will expain the intent of visit and the audit process.开始会议-审凝员解释凝厂冃的及验厂程序2. Factory tour-General Walkthrough of the factory and dorms（if applicable）T厂走览-对于厂区及宿舍等进行-般性走査3. Employee interviews-Confidential, conducted one-to-one of in small groups.雇员而谈-秘密的，一对-或分小组进行而谈4. Factory management interview-Review hiring process, factory rules, work schedules, and other procedures used by factory management.T厂管理层面谈-评估雇佣程序，工厂规章制度，T作计划，以及工厂管理的其 它程序.5. Country of Origina review-Review production records and shipping records.原产国审糜-检査生产记录和运输记录.6. Closing meeting-Review any findings found during the audit with factory management. This includes detailing how to correct the issue(s) and negotiate the correct by date. The audit recap is signed by both the auditor and factory management and a copy is left with the factory.结束会议-与工厂管理层评论审验期间发现的何题.包括详细的如何改正发现的 问题以及协议改正日期.然后一份验厂概要需要验厂员和工厂管理人员共同 签署.旦留一份拷贝于工厂.Types of Audits:验厂类型First Round Audit:首轮验厂1. This is Target initial audit of a factory to determine if the factory is acceptable.这是Target进行的首次验厂，以决定该工厂是否可以接受.2. Target pays for the first and second audits. After the second audit, if a follow-up audit is required the vendor will be charged per additional audit.Target支付第一次和第二次验厂
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