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SASDOC-22 - General Documents Checklist For CTPAT or Security or SCAN Audit

This document is a checklist of 52 documents that a factory would need to provide for a CTPAT/security/SCAN audit. The documents include factory licenses, incorporation certificates, security policies and procedures, training records, shipment records, vehicle tracking records, personal employee files, and contracts with service providers. The checklist covers a wide range of documents to assess the factory's supply chain security, employee screening, and risk management practices.

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Faruque Uddin
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793 views2 pages

SASDOC-22 - General Documents Checklist For CTPAT or Security or SCAN Audit

This document is a checklist of 52 documents that a factory would need to provide for a CTPAT/security/SCAN audit. The documents include factory licenses, incorporation certificates, security policies and procedures, training records, shipment records, vehicle tracking records, personal employee files, and contracts with service providers. The checklist covers a wide range of documents to assess the factory's supply chain security, employee screening, and risk management practices.

Uploaded by

Faruque Uddin
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Download as DOCX, PDF, TXT or read online on Scribd
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Format number SASDOC/22

SGS Bangladesh Limited Issue no 01


Revision 00
SUPPLY CHAIN ASSESSMENT & Effective date 15 July
SOLUTIONS 2013
General Documents Checklist for CTPAT/Security/SCAN Audit
Factory Name: Audit Date:
Factory Location:
SL List of documents CK SL List of documents CK
1 Factory License / Factory setup permission 30 Commercial Documents:
(EPZ)
2 Original Incorporation certificate • Recent: 1 set (Export)
3 Original Bond License • Recent: 1 set (Import) set (If
applicable)
4 CTPAT Policies & procedures
• One year back:1 Export set (If
5 Visitor Log applicable)
6 Visitor card inventory Log • Bill of Lading & Shipping Advice:
7 Key Inventory 5 Sets (If applicable)
8 Key issue-return log 31 CCTVs List & record
9 Shipment/Export Log 32 IT Policy & procedure
10 7-point Inspection Record 33 IT User List &Training Record
11 Incoming Mail Parcel screening record 34 Password change system & record
12 Patrol Duty Register 35 IT Back-up system
13 Building check Record 36 IT Incident Log
14 Perimeter check record 37 IT Disciplinary Log
15 Incident Log 38 Service provider list (i.e. transport service
16 Incentive Policy / Declaration provider, C&F agent, security guards
service provider, loader service provider,
food supplier)
17 Attendance Record for Security Guard 39 Sub-contractor List (i.e. Washing, printing,
embroidery)
18 Duty Roster for Security Guards 40 Job related and Threat Awareness
Tainting for security guards
19 Tally/counting for shipment goods Register 41 Job related and Threat Awareness
Tainting for packer.
20 Pre-final/final inspection record of packing 42 Job related and Threat Awareness
section Tainting for loader
21 ISO/Pas 17712 High Security Seal Purchase 43 Threat Awareness Training for new
Order Copy & Certificate employees as induction/ orientation
22 ISO/Pas 17712 High Security Seal Inventory 44 Threat Awareness Training for all regular
Log employees (Annual)
23 ISO/Pas 17712 High Security Seal Issue 45 Training on fraudulent document
Record detection (If applicable)
24 Shipment Incident Reporting Policy to 46 Training for security guard, packer, loader
Internal authority and External Authority: etc. on;
(If applicable)
• Factory representative
• Law enforcement Agency, • Threat Awareness
• Customs (if applicable) • Contraband
• Customer (if applicable) • Human Smuggling / Trafficking
• Terrorism
25 Air Shipment policy (if applicable) 47 Contract / Agreement with business
partners (i.e. transport service provider,
C&F agent, security guards, loader,
Driver)
26 Export/Shipment Vehicle Movement Tracking 48 Contract / Agreement with sub-
Record/System (GPS) contractors (i.e.
washing, printing, embroidery)
27 ID card issue/reissue Register 49 Security Assessment/Internal
Audit/security control system of service
provider
28 Termination Checklist for Resign Employees 50 Risk Assessment (CTPAT) of service
providers
29 Personal Files: 51 Bank Solvency Certificate (financial
stability status) of business partners;
• Security Guard (self and/or
contractual) • transport service provider
• Packer • C&F agent
• Loader (self and/or contractual) • security guards service provider,
• Driver with driving License (self • loader service provider
and/or hired who engage the • Others (if applicable)
shipment.) if applicable 52 Other documents & records (if required)
• New employee
• Resigned employee

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