Audit Follow Up Corrective Action / SCAR If FSR requirements are not met, as discovered during the audit, the AA submits a Security Corrective Action Requirement (SCAR) to the relevant LSP/Applicant. The LSP/Applicant shall respond to the AA within ten (10) business days, documenting the action to be taken and the date the action will be completed. SCAR completion dates may be negotiated between the AA and the LSP/Applicant. However, unless the Regional TAPA Waiver Committee approves a waiver, corrective action implementation shall not exceed sixty (60) days from notification to the LSP/Applicant. In all cases, the LSP/Applicant shall submit progress updates/reports on all outstanding SCARs to the AA. Any SCAR not completed before its due date shall be escalated by the LSP’s/Applicant’s Security Representative to the LSP’s/Applicant’s Management. The reason(s) for noncompliance shall be documented and communicated to the AA. LSP’s/Applicant’s failure to address a SCAR may result in the withholding of the TAPA certification. The LSP/Applicant has the right to appeal directly to TAPA if the certification is withheld. TAPA shall arbitrate the dispute between the LSP/Applicant and the AA and retains the right to issue a binding resolution to the dispute. Note: It is not necessary for the AA to re-audit the facility in order to close a SCAR. Evidence of SCAR closure (i.e., achieving compliance) may be presented to the AA in the form of written correspondence, web meetings or conference calls, photographs, etc. Compliance Monitoring Self-Audits The LSP/Applicant will ensure they have an internal process in place in order to monitor compliance, in years two and three, in between formal audits conducted by an AA. The interim Self-Audits must reflect the FSR requirements.  For TAPA FSR certifications issued by an IAB: The interim SelfAudit must be documented on the TAPA Audit Form and submitted to the IAB within 30 days of the anniversary date of the original certification.  For Self-Certifications: The interim Self-Audit must be documented on the TAPA Audit Form and submitted to TAPA within 30 days of the anniversary date of the original Self-Certification.

1. 审核跟进

 

改进措施/SCAR

 

如果在审核过程中发现不符合 FSR 标准，AA 将递交安保改进措施要求（SCAR）给相关 LSP/申请人。 LSP/申请人应在十（10）个工作日内给予 AA 反馈，书面说明将采取的改进措施及完成时间。SCAR 完成的日期可由 AA 和 LSP/申请人协商而定。但是除非 TAPA 区域豁免委员会同意豁免，否则改进措施应在 LSP/申请人收到通知后的六十（60）天内完成。

无论在何种情况下，如有未完成的 SCAR，LSP/申请人都应提交进度更新/报告给 AA。无法在约定日期前完成的 SCAR，需要由 LSP/申请人的安保代表提交给 LSP/申请人的管理层。未完成的原因应被记载，并与 AA 沟通。未完成 SCAR 的 LSP/申请人，将可能被扣留 TAPA 证书。如被扣留证书，LSP/ 申请人有权直接向 TAPA 进行申诉。TAPA 应该仲裁 LSP/申请人和 AA 之间的纠纷，并有权做出最终决议，双方必须服从此解决方法。

注意：如要关闭 SCAR，AA 不需要对设施进行重新审核。关闭 SCAR 的证据可以通过书面信件、网络会议或电话会议、照片等方式呈递给AA。

 

合规性监督自我审核

LSP/申请人应确保有一个内部流程在第二年和第三年，即 AA 正式审核之间，进行合规性监督。中期自我审核须反映 FSR 的要求。

Ÿ 对于 IAB 发布的 TAPA FSR 认证：中期自我审核必须记录在 TAPA 审核表上，并在原始认证届满一年之日起 30 日内提交至 IAB。

Ÿ 对于自我认证：中期自我审核必须记录在 TAPA 审核表上，并在原始自我认证届满一年之日起

30 日内提交至 TAPA。

未能遵守将导致原始认证暂停，直到正确完成中期自我审核。确定的时间差必须记录在案，完成改进 措施应指定到期日，并在 60 日内进行追踪直至关闭。

Failure to comply will result in suspension of the original certification until the interim Self-Audit is properly completed. Gaps identified must be documented, assigned a due date for completion of corrective action(s), and tracked to closure within 60 days. Table 2: Audit & Compliance Monitoring Schedule Action Frequency A B C Certification Audit (IAB/AA Certification Audit) Every three (3) years    LSP/Applicant Self-Certification Audit Every three (3) years  Self-Audits (interim compliance checks) Annually at 1st and 2nd Anniversary    LSP/Applicant Subcontractor Audit In accordance with BuyerLSP/Applicant contract    Buyer Visits to LSP/Applicant The Buyer and the LSP/Applicant recognize the importance of working in partnership to reduce risk within the supply chain. Both parties agree to schedule Buyer visits with reasonable notice; e.g., 10 business days, with scope and parameters mutually-agreed upon in advance and/or in accordance with the Buyer- LSP/Applicant contract. Loss investigations; i.e., thefts, damage, etc., shall be performed in accordance with the BuyerLSP/Applicant contract. TAPA Complaint Investigation and Resolution If TAPA receives a formal complaint concerning the performance of a certified LSP/Applicant, TAPA (subject to validation) may require that the LSP/Applicant contract for a re-audit at the LSP/Applicant expense. If the LSP/Applicant fails the audit, or refuses to comply with this process, their certificate may be withdrawn.

表 2：审核与合规性监督日程表

 

频率

B

认证审核（IAB/AA 认证审核）

√

√

每三（3）年

 

 

自我审核（中期合规性检查）

√

√

按照买方与 LSP/申请人的合同

√