C-TPAT反恐驗廠問題點(350個問題點).xls

中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 反反恐恐驗驗廠廠報報告告所所有有問問題題點點 NO英英 文文中中文文對對照照解解決決方方式式 I General Overview 1Does the facility have a written security procedure policy 工廠有無書面 成文 的安全政策 2Does the facility have a security department personnel 工廠有無安全部門 人員 3Is there a designated security chief at the facility 工廠有無指定的安全管理人員 If not are other officials responsible for 如果沒有 是否有其他部門負責 4a Plant Security 工廠 車間 安全 b Personnel Security 個人安全 c Subcontractor Security 分包商安全 dConveyance Transport Security 運輸安全 e US Customs Trade Partnership Against Terrorism C TPAT Compliance 美國海關貿易伙伴反恐計劃 C TPAT的 遵守 f Security audits or evaluations 安全評估 5Has a C TPAT assessment been conducted 是否已經實施了反恐估價 6Is the facility ISO registered If so please provide 工廠是否有ISO登記證 有請?zhí)峁?6a Country of registration登記的城市 6b Registration number登記證號 6c Registration company登記公司 7 s there an established procedure to conduct periodic unannounced security checks to ensure that all of theabove security procedures are being performed properly 有無建立程序 人工的定期的進行安全檢查 以保證所有安全政策都合理有序的進行 8If so How often 如果是 多久檢查一次 Quarterly一個季度 Six Months半年 Annually每年一次 As the need arises根據(jù)需求 In response to specific threats對特殊威脅的回應 9Who conducts such checks 由誰主導檢查 10Are records maintained of the outcomes of the checks 檢查結果是否都有記錄 11Is all of the above information documented and verifiable 以上所有信息是否都被存檔并可證實 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 12 If so Where are the documents located kept stored i e hard electronic copy as well as physical location 如果是 這些資料都被存檔在哪 資料存檔 硬盤 計算機儲存 13Is the information readily accessible to the relevant employees 對于相關雇員 資料是否容易接近 獲得 14Did the inspector review the documents 檢查者是否查看存檔資料 15 Comments Conclusions In addition to other comments please explain why the items listed to the right are Not Applicable 16 Considering the consistency of the facility s existing written policies together with its practiced proceduresand physical infrastructure please provide a general assessment of the facility s current securityenvironment as addressed by the questions in the preceding section Select only one of the followingstatements and enter the number of the statement in the cell on the right 鑒于工廠書面政策文件與實際執(zhí)行程序和實體 組織架構的一致性 請?zhí)峁┕S近期的環(huán)境安 全評估來回答以下部分的問題 1 1 The facility s policies procedures and infrastructure are inadequate and fail to meet supply chain securitystandards in the areas addressed 工廠的政策 程序 和基礎架構是不充分的 在標記的地方不符合供應商安全準則 2 2 Some of the facility s policies procedures and infrastructure are inadequate and fail to meet supply chainsecurity standards in the areas addressed 工廠的某一些政策 程序 和基礎架構是不充 分的 在標記的地方不符合供應商安全準則 3 3 The facility s policies procedures and infrastructure are adequate and meet supply chain securitystandards in the areas addressed 工廠的政策 程序 和基礎架構是充分的 在 標記的地方符合供應商安全準則 4 4 Some of the facility s policies procedures and infrastructure exceed supply chain security standards in the areas addressed 工廠的某一些政策 程序 和基礎架構在標記 的地方超出供應商安全準則 5 5 The facility s policies procedures and infrastructure exceed supply chain security standards in the areas addressed 工廠的政策 程序 和基礎架構在標記的地方 超出供應商安全準則 II Personnel Security個人安全 A Documented Personnel Security Policies Procedures個人安全存檔的政策程序 General Standard Operators of cargo handling facilities and conveyances should designate aresponsible individual to be responsible for security 一般標準 貨物運輸場所和運輸工具的管理者 應該制定為有責任心的的個人 從而可以對安 全負責 17 Does the facility have written personnel security guidelines for hiring If no skip to 21 工廠是否具有用于雇傭的書面的個人安全指導 如果沒有 跳到21 18Are the guidelines evaluated periodically to ensure their effectiveness 該指導是否定期進行評估從而保證其有效性 if so how often 如果是 多久評估一次 19 a Annually一個季度 19 bTwo years兩年一次 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 19 c As needed根據(jù)需要 19 d In response to a security failure發(fā)生安全事故以后 19 eOther其他 20Are the guidelines provided to recruitment hiring personnel 該指導是否適用于新員工和正式員工 21 Do the same security requirements apply to temporary and part time employees 同樣的安全要求是否適用于臨時工和兼職工 B Personnel Screening個人電腦 Italics indicate items to be answered by the interviewer General Standard Operators of cargo handling facilities and conveyances should conduct employment screening of prospective employees 一般標準 貨物運輸場所和運輸工具的管理者 應該將員工與被監(jiān)控員工區(qū)分開來 22Are detailed employment applications required of applicants 申請人是否需要詳細的雇傭申請 23Are applicants interviewed 申請人是否被面試 24 Are additional checks conducted to verify the identity of and previous employment of all applicants 后續(xù) 增加的檢查行為 項目 是否適用于 先前的雇傭申請者身份的證明 25 If not on all on what percentage of applicants are background checks conducted select the range that applies 如果以上不全是 有多少比例的申請者身份實 施了背景調查 26 Are local service providers and or government resources available for conducting employee backgroundchecks or equivalent comprehensive pre employment screening services 當前的服務機構或政府人力資源部門是否可以 對雇員實施背景調查 或雇傭前進行相同的電 腦查詢 What type of check s are conducted 調查了哪些內容 27 aCriminal records犯罪記錄 27 bFormer addresses以前的地址 27 cPassport護照 27 d Foreign travel出境旅游 27 eEmployment history雇傭歷史 27 fReferences聯(lián)系人 27 g Other其他 28Does the facility examine and verify the applicant s official identification 工廠是否檢驗證實申請者的官方證明文件 29 If so for what percentage of applicants is identification verified Select the range that applies 如果是 有多大比例的申請者是被證明身份的 的 What type of identification is verified 有哪些身份信息是被核實的 30 a Birth certificate出生證明 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 30 b Passport護照 30 cTravel documents行程檔案 30 d National ID card身份證 30 eSchool學校 30 f Other其他 31 Does the facility maintain a permanent employee personnel file for each employee 工廠是否為每一位員工提供固定長期的個人雇 傭資料夾 Does the personnel file include at a minimum 個人資料夾包括 32 a Name姓名 32 bDate of Birth出生年月 32 cNational identification number身份證號碼 33Does the facility retain copies of the employee s official identification 工廠是否保存員工身份證復印件 34Does the facility keep records of employee international travel 工廠是否保存員工的出國旅游記錄 C Identification System身份證明系統(tǒng) General Standard All operators of facilities and conveyances handling cargo should employappropriate procedures to identify personnel authorized to enter cargo and document processingareas 標準 制定程序檢查證明進入特定地點的員工 身份 35Is company identification required for the entry of personnel 個人進場身份證明 If so what kind of ID is required 如果是 需要什么樣的身份證明 36 a Card key卡 36 bBadge徽章 標記物 36 c Other其他 37Does this identification include a photograph of the employee 這些證明是否具有員工照片 38 Does the ID include a biometric indicator ie a unique physical employee identifier such as a facialphotograph or fingerprint ID具有怎樣的防偽標識 統(tǒng)一的人臉識別 手 印 39 aIf yes what type 如果是 通過什么方式 Is the issuance of employee identification controlled 員工身份識別控制由誰公布 39 a By security personnel 安全人員 39 b By other department 其他部門 40Do employees return their badges when they leave the company 員工離場時是否歸還廠證 41Are lost IDs replaced and recorded as missing 丟失身份證的是否被取代并記錄為缺席的 42Is the security staff informed of such losses name ID number etc 安全人員是否被告知以下的遺失信息 姓名 身份證號碼 其他 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 43Is ID required to access restricted areas 進入禁止區(qū)域是否需要身份證明 44Do ID s specify access for loading packing dock areas 是否區(qū)分裝卸貨和包裝區(qū)的進入證明 If so how 如果是 怎樣區(qū)分 45 a Color coding顏色辨識 45 bNumeric coding數(shù)字辨識 45 cMap coding圖形辨識 45 dElectronic coding電子辨識 45 eOther其他 46Do guards monitor access to restricted areas by checking employee ID 警衛(wèi)人員是否進入限制區(qū)檢查員工證明 D Education Training Awareness教育 訓練 意識 Italics indicate items to be answered by the interviewer General Standard Management should institute a security awareness program for all personnel involved in the handling and processing of cargo and cargo documentation Additionally procedures should be established for reporting security violations 標準 管理人員應該針對貨物的相關文件和貨 物處理過程研究出一個識別程序 另外 建立 違反安全的報告程序 47Is there a security awareness program in place for managers and employees 管理人員和員工是否有適用的安全察覺程序 48Do all managers and employees have to participate 所有的管理人員和員工都必須參加 Does employee orientation include procedures for 所有員工是否知道程序的目的 49 aConfirming that all onsite personnel are wearing ID 保證所有員工佩戴工作證 49 bChallenging and reporting unidentified persons to security 調查并報告身份不明人員的安全性 49 c Recognizing internal conspiracies辨識內部陰謀 利益 集團 49 d Recognizing internal conspiracies 50 Are there confidential means for employees to report internal violations to facility s security program 是否有相應的方式能夠讓員工報告內部違反工 廠安全程序 51 Is all training documented including information such as subject date attendees 有沒有訓練記錄 包括主題 日期 與會人員 等 52Is periodic update training required 是否要求定期培訓 53Are employees encouraged to participate actively in security 員工是否被鼓勵積極參加安全項目 If so how 如果是 怎樣做 54 a Incentives獎勵 54 bSuggestion Box建議箱 54 cPhone Number Hotline電話熱線 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 54 dOther其他 55Does the facility have and maintain a code of conduct for employees 工廠是否具有員工行為準則 56 Are safe security procedures publicized throughout the facility through such means as posters bulletinboards etc 安全程序是否全廠印發(fā)告知 57 Is there an established procedure to conduct periodic unannounced security checks to ensure that all of theabove security procedures are being performed properly 是否有程序文件支持定期不告知的安全檢查來 保證以上安全政策是被有效合理執(zhí)行的 If so how often 如果是 多久檢查一次 58 aQuarterly一個季度 58 bSix Months6個月 58 cAnnually一年一次 58 d As the need arises根據(jù)需要 58 e In response to specific threats當受到危險時 59Who conducts such checks 誰來主導此項檢查 60Are records maintained of the outcomes of the checks 檢查結果是否都有記錄 61Is all of the above information documented and verifiable 以上所有信息是否都被存檔并可證實 62 Where are the documents located kept stored i e hard electronic copy as well as physical location 如果是 這些資料都被存檔在哪 資料存檔 硬盤 計算機儲存 63Is the information readily accessible to the relevant employees 對于相關雇員 資料是否容易接近 獲得 64Did the inspector review the documents 檢查者是否查看存檔資料 65 Comments Conclusions In addition to other comments please explain why the items listed to the right are Not Applicable 66 Considering the consistency of the facility s existing written policies together with its practiced proceduresand physical infrastructure please provide a general assessment of the facility s current securityenvironment as addressed by the questions in the preceding section Select only one of the followingstatements and enter the number of the statement in the cell on the right 鑒于工廠書面政策文件與實際執(zhí)行程序和實體 組織架構的一致性 請?zhí)峁┕S近期的環(huán)境安 全評估來回答以下部分的問題 1 The facility s policies procedures and infrastructure are inadequate and fail to meet supply chain securitystandards in the areas addressed 工廠的政策 程序 和基礎架構是不充分的 在標記的地方不符合供應商安全準則 2 Some of the facility s policies procedures and infrastructure are inadequate and fail to meet supply chainsecurity standards in the areas addressed 工廠的某一些政策 程序 和基礎架構是不充 分的 在標記的地方不符合供應商安全準則 3 The facility s policies procedures and infrastructure are adequate and meet supply chain securitystandards in the areas addressed 工廠的政策 程序 和基礎架構是充分的 在 標記的地方符合供應商安全準則 4 Some of the facility s policies procedures and infrastructure exceed supply chain security standards in theareas addressed 工廠的某一些政策 程序 和基礎架構在標記 的地方超出供應商安全準則 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 5 The facility s policies procedures and infrastructure exceed supply chain security standards in the areasaddressed 工廠的政策 程序 和基礎架構在標記的地方 超出供應商安全準則 III Physical Security物理安全 Security Standards for Facilities Production or Otherwise 工廠安全標準 General Standard All buildings used to house cargo and associated support buildings should be constructed of material that prevents unlawful entry The integrity of the structure and perimeter must be maintained through periodic inspections and repairs 所有用于儲放貨物的建筑物必須合理構造以阻 止不合法進入 建筑物及周邊必須進行定期的 檢查和修繕 A Plant Security工廠安全 67Does the facility have intrusion detection or an alarm system 工廠是否具有入侵保護和報警系統(tǒng) 68Are all windows and doors monitored by the alarm system 所有的門窗是否有警報系統(tǒng)監(jiān)視 If not does the alarm system monitor 如果沒有 報警系統(tǒng)是否對以下系統(tǒng)進行監(jiān)控 69 a All windows所有的窗戶 69 bAll doors所有的門 69 cOnly ground level doors and windows只有接地面的門和窗 69 dOther其他 70Is the alarm actively monitored 警報是否有效監(jiān)控 71Is the system working 系統(tǒng)是否運行 72 aIs the alarm tested regularly 系統(tǒng)是否經常進行檢測 72 b How often 多久檢測一次 72 cBy Whom 由誰檢測 73 Are records maintained of tests and all responses including date time and explanation 所有檢測是否有記錄 記錄包括日期時間和原 因解釋 74Is the alarm connected with local authorities 報警系統(tǒng)是否與當?shù)卣B接 a Are violations reported 侵入是否有報告 Do adequate locking devices protect external and internal doors windows and gates 是否有足夠的鎖來鎖住所有的門窗 Do adequate locking devices protect the following access points 是否有足夠的鎖來保護以下進入點 75 aExternal Doors外門 75 b Internal Doors內部的門 75 c Windows窗 75 d Gates門 If yes do locking devices allow for easy emergency exit 如果是 上鎖的門是否容易立即進入 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 75 fExternal Doors外門 大門 iWindows窗 jGates門 工廠內所有小門 How are locking devices activated 門鎖的有效性如何 76 aKey鑰匙 76 bCard卡 76 cCode密碼 76 dOther 其他 77Are they used to limit access to controlled areas 限制區(qū)域是否限制進出 78Are locking devices in working order 門鎖是否在工作狀態(tài) 79Are locking devices inspected 門鎖是否被檢查 aIf so how often 如果是 多久檢查一次 80Is a record kept of such inspections 檢查有無記錄 81Is there an individual responsible for distributing and maintaining keys cards 是否有獨立的責任人保管鑰匙 82Is there a record of individuals holding the facility s access keys codes cards 是否有保管工廠鑰匙 密碼卡的負責人的記錄 83 When an employee leaves the company are keys cards returned or codes changed 當一個員工離開工廠時 鑰匙和卡是否被回收 或更換 84Are these records maintained in a log book 此項是否記錄在冊 85 Are all buildings in the facility constructed of materials that prevent unlawful entry 工廠所有建筑物是否可以阻止非法入侵 86Are facility buildings properly maintained and repaired 工廠建筑是否被合適的保護修繕 87Is the perimeter fencing properly maintained and repaired 周圍的柵欄門是否被合適的保護修繕 88Are there open areas through floors roof or broken walls 樓房 屋頂 破了的圍墻旁是否有空曠敞開的 區(qū)域 B Perimeter Security周邊安全 89Is the perimeter of the property secured 固定資產周邊是否安全 How is the perimeter secured 如何保證周邊安全 90 aChain link fence鐵鎖鏈柵欄 90 bMasonry wall石墻 90 cSteel wall鐵墻 90 dElectric fence電子柵欄 90 eConcertina wire線網 90 fOther其他 91If the property is not secured why not 如果固定資產是不安全的 為什么不安全 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 92Is the entire fence barrier at least 8 feet 2 4 meter high including all gates 進入柵欄包括所有的門最低是否達到204M 93Does the fence have a top guard to discourage entry 柵欄是否有防護物體以防止進入 If so what type of top guard is used 如果是 用的是什么樣子的物體 94 aBarbed wire有刺的線 94 bMetal spikes金屬的釘子 94 cOther其他 95 Are there any adjoining over hanging structures or foliage which would facilitate illicit entry over the fenced areas into the facility 是否有連接物體或者葉飾使能夠容易的翻過圍 墻進入工廠 96How many perimeter gates allow entry exit to the facility 工廠有幾個門可以進出 97Is damage to the perimeter repaired immediately 如果立即進行修繕是否有損害 If interim repairs are made 如果過渡期間進行修繕 98 aIs the repaired section the same height as the rest 被修繕地方是否和剩下的一樣的高度 98 bAre repaired sections solid e g not loose rocks or bricks 修繕的地方是否用的是堅硬的巖石 99Are manhole covers within the property secured 固定資產范圍內人造的洞口是否安全 C Outside Lighting室外燈光 100Is there any outside lighting If no enter Not Applicable for 98 102 室外 圍墻外 有無燈光設施 101Is the entire perimeter of the facility lit 工廠周圍是否均可被照亮 102 Are all areas of the yard and facility illuminated visibly to eliminate any opportunities for concealment 工廠院內或廠房可被照亮的地方是不是消減可 隱藏東西的可能性 103Are all sides of the facility s exterior walls lit 工廠外墻是否都可被照亮 104 Is the lighting sufficiently high to clearly illuminate the tops and sides of stored containers 光照是否足夠高和亮以保證儲存室的上部和周 圍都可清晰地看見 105Does the lighting have an emergency power source generator 燈源是否有應急的動力發(fā)電機 D Container Storage容器儲藏 106 Does the company s facility store containers If not enter not applicable for 106a 108 是否有 106 aIf yes is there a designated container storage area 如果有 是否有指定的儲藏區(qū)域 Are any containers stored 都儲存哪些容器 107 aNear exterior building walls 靠近建筑物外墻 107 bNear the perimeter walls fence 籬笆或墻的周圍 108 Are the containers positioned an adequate distance from the fence to prevent illicit entry to the facility 容器存放地到外部籬笆墻是不是有效距離以防 止非法入侵 Please note the following questions 109 117 apply to section III A D 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 109 Is there an established procedure to conduct periodic unannounced security checks to ensure that all of theabove security procedures are being performed properly 有沒有建立一個程序來進行定期的無宣告的安 全檢查 以保證以上所有安全程序都在有效地 執(zhí)行 If so how often 如果是 多久檢查一次 110 aQuarterly一個季度 110 bSix Months六個月 110 cAnnually一年一次 110 dAs the need arises根據(jù)需要 110 eIn response to specific threats當發(fā)生某些危害時 111Who conducts such checks 誰來主導此項檢查 112Are records maintained of the outcomes of the checks 檢查結果有沒有記錄 113Is all of the above information documented and verifiable 以上所有信息是否都被存檔并可證實 If so 如果是 114 Where are the documents located kept stored i e hard electronic copy as well as physical location 如果是 這些資料都被存檔在哪 資料存檔 硬盤 計算機儲存 115Is the information readily accessible to the relevant employees 對于相關雇員 資料是否容易接近 獲得 116Did the inspector review the documents 檢查者是否查看存檔資料 117 Comments Conclusions In addition to other comments please explain why the items listed to the right are Non Applicable E Security Force強制安全 118Does the facility have a designated security guard force 工廠有無指定的安檢人員 保安 What percentage of the facility s guards are please enter a whole number not a decimal 工廠保安所占比例 119 aEmployees雇員 119 bContractors合同工 120If contractors are background checks run on them 如果是合同工 有沒有對他們進行背景調查 121Do they man the facility 24 hours a day 7 days a week 24 7 他們是否一周七天 一天24小時的看護工廠 121 aIf not what hours do guards man security posts 如果不是 保安在崗多長時間 121 bWhat provisions are taken to monitor the facility during unmanned periods 在沒有人執(zhí)勤的情況下 工廠有什么安保措施 122 Is there communication between the central security office and the exterior guard posts 中心區(qū)辦公室安全和門衛(wèi)保安之間是否有聯(lián)絡 溝通 If so do guards have 如果是 門衛(wèi)都有什么裝置 123 aRadios無線電 123 bCell phones電話 123 cPagers傳呼機 中國驗廠論壇 www china coc org全國服務熱線 400 8866 630 123 dOther其他 124Do the guards receive specific security training 門衛(wèi)是否進行特殊的安全訓練 If so are they trained in如果是 他們在哪些方面進行訓練 124 aThreat awareness恐怖威脅 124 bUnauthorized access無告知進入 124 cInternal conspiracy內部陰謀 124 dOther其他 125How many hours of training are provided 進行多長時間的培訓 126Is periodic refresher and or update training prov