最新_Pre-Assessment_Checklist__February_2013(中英版).docx

supply chain security沃尔玛供应链安全审核pre-assessment checklist 预审检查清单general merchandise, food, and goods not for resale sourcing facility百货、食品、及不是为了零售采购商品的工厂february 20132013年2月a walmart sourcing facility must possess security standards and procedures to guard against the introduction of unmanifested cargo, such as illegal drugs, explosives, weapons, and people into outbound shipments. a facility must comply with all domestic laws, rules and regulations governing the sale of goods and will cooperate with local, national, and foreign customs agencies to protect the supply chain from illegal shipments. 一个沃尔玛采购的工厂必须具备安全标准和程序,防止引入没申报的货物,如非法毒品、爆炸物、武器和人员。一个工厂必须符合所有的国内法律、法规出售货物和将配合地方、国家和外国海关机构保护供应链，禁止从事非法装运。this pre-assessment checklist is used by a sourcing facility to determine their security status in preparation for an on-site audit to determine compliance with walmart security standards. mark each checklist question yes, no, or n/a based on completing the requirement of the question. provide a comment following each category for questions answered no or n/a.此预审检查表是用来供采购的工厂来确定他们的安全状态,准备现场审核以确保符合沃尔玛的安全标准。基于需完成要求的问题，请在回答每个问题时，需要标注出yes,no或na。其中对于回答是no或n/a 的问题，需要做出解释说明。send the completed checklist to the address below, if requested, based on the country where the facility is located: 如果有要求，填写完此清单，然后发送到该工厂所在国的联系地址（参见如下地址）： region 区域contact address联系地址 china and north asia中国和北亚 americas 美洲 indian subcontinent, southeast asia印度次大陆国家，东南亚 australia, new zealand, philippines澳大利亚，新西兰，菲律宾 europe, africa, middle east 欧洲，非洲，中东personnel security人员安全question 问题yes是no否n/a不适用1. the facility has a written employee security policy, which includes procedures for hiring, employment application and employee documentation, and screening of new employees. (critical question) 工厂须有书面的员工安全政策,包括招聘程序、就职申请、员工档案、及筛选新员工。(关键问题) facility must have a written employee security policy that includes employee hiring, personnel records system, and a screening process. 工厂必须有一个书面的员工安全政策,包括员工招聘、人事记录系统,和一个筛选程序。o the applicants name is verified by photo id (country issued id card, drivers license, passport, etc.).应聘者的名字需与身份证件等证件相符(证件如身份证、驾照、护照等)。o applicants current address is verified .验证应聘者的当前地址验证。o personal references, if any, are contacted.个人联系参考资料,如果有，要联系。o employment history is verified.验证应聘者的工作就业历史。questionyesnon/a2. the facility has a written policy to require that the employee security policy is reviewed every 12 months to determine if updates are necessary .工厂须有书面的政策要求,并需要每12个月进行回顾审查员工安全政策，然后确定是否需要进行更新它 the employee security policy is reviewed every 12 months and updated where necessary and by documenting the 12 month review.需每12个月进行回顾审查员工安全政策，及确定是否需要进行必要的更新和做好记录questionyesnon/a3. every permanent or temporary employee applicant completes a written employment application before being considered for employment.不论是每一个长期员工或临时雇员考虑就业之前，应聘者都需要完成书面的就业申请表（如人事登记表，劳动合同书）。 facility must require every prospective employee to complete an employment application prior to hiring.工厂必须要求每个员工在就业招聘前，需要填写完成一个就业申请表（如人事登记表，签署劳动合同书）。question 问题yes 是no否n/a不适用4. the facility has a written procedure to conduct a background check for an applicant applying to work in a sensitive position or a current employee working in a sensitive position.工厂须有书面程序规定进行背景检查应聘者，要求对应聘申请到一个敏感的工作岗位及当前已工作在一个敏感工作岗位的员工都需要对他们进行背景调查。 the facility has a written procedure to perform a background check for sensitive positions such as packing/loading area, security, shipping, it managers, etc. 工厂须有书面的程序文件规定来执行对敏感的工作员工进行背景调查，如包装/装货区、安全/保安、运输,it管理人员,等等。 the facility has evidence of a background check. 工厂须保存员工背景调查的证据资料。question 问题yes是no否n/a不适用5. the applicants photo id card is reviewed during the application process. (critical question)应聘过程中，需要进行仔细检查应聘者的身份证。(关键问题) the facility must have a written procedure to review applicants photo id card prior to hiring. 招聘前，工厂须有书面的规定程序来进行审查应聘者的身份证件。 verification of this review is kept on file.审查核实后的资料需要保存在档案里。question 问题yes是no否n/a不适用6. a personnel file is maintained for each employee.工厂需要为每个员工保存个人人事档案。 the facility must maintain a personnel file for each employee containing the original employment application, copy of the applicants photo id, documents verifying identity.工厂必须保持每个员工的人事档案，包括最初的就业申请表（应聘者的人事登记表），求职者的身份证复印件、身份证明文件等。question问题yes是no否n/a不适用7. the facility has a written policy to issue a photo identification card or an access card to each employee for access to the facility.工厂需要有书面的政策程序规定进行发放照片识别卡（如厂牌）或刷卡给到每个员工，以便能够进入工厂。 the facility must have a written policy to require issuing every employee including full-time, part-time, and temporary an access credential. when an id badge is issued it must include the employees picture and name and the employee must always wear their badge while at the facility. 工厂必须有一个书面的政策程序规定，要求对工厂每个员工包括全职、兼职和临时访问的进行发放通行证件。工厂发出的识别卡（如厂牌）必须要包括员工的照片和名字，工厂内的员工都必须始终佩戴好自己的厂牌。 high and medium risk: either a photo id or an access card is required. although not required, the facility may use a biometric system instead of photo id or card access.高风险和中等风险:不管是照片身份识别卡（如厂牌）或来访证都是需要的。若尽管不需要的话,工厂还是需要用手工系统进行登记来代替使用佩戴厂牌或来访证的方式。 low risk: the facility must have a written procedure that requires use of either a photo id, access card, or a process by management/supervisors to verify only employees are permitted access. 低风险:工厂必须要有一个书面程序,规定需要使用带有照片的确认身份的证件（如厂牌）、刷卡,或通过管理层/主管核实后，才可允许进入工厂。question 问题yes是no否n/a不适用8. the facility has a written procedure that requires review of the background check document every 12 months for an employee working in a sensitive position.工厂需有书面的程序规定,要求每12个月对于敏感工作岗位的员工进行背景审查。 the facility must have a written procedure to review the background check of sensitive positions, such as packing/loading area, security, shipping, it managers, etc., every 12 months. 工厂必须有一个书面的程序规定对敏感岗位的员工进行背景调查，如包装/装货区、安全/保安、运输出货,it管理人员等。question问题yes是no否n/a不适用9. the facility has a written employee termination policy to remove the identification badge, facility access, and system access for an employee who is terminated or resigns?工厂需有书面的程序规定，对于那些离职的员工要收回他们的身份识别证件（如厂牌）,进入工厂的钥匙和系统访问的接触卡等等。 the facility must have a written policy for employee termination.工厂必须要有一个关于员工任职终止日的书面政策规定。 the policy must include collection of and disabling of an employees facility identification, access keys and cards.这项政策必须包括收集和禁用那些离职员工的设备识别卡、钥匙和卡片等等。 the policy must require that security and/or management is informed of employees who resign or are terminated. 当有员工离职时，需把这些离职员工的信息通知到工厂保安部门及或管理层。personnel security: explain why a question was answered no or n/a.人员安全: 对于回答有no或na（不适用）的问题，需要对它们做出解释说明。threat awareness program 危机意识方案程序question问题yes是no否n/a不适用10. the facility has a written threat awareness program to train employees about the security threat at each segment of the supply chain.工厂需有书面的危机意识方案程序，关于供应链的每个安全环节都要对员工进行培训。 the facility has a written training program to discuss with employees the threat posed to the supply chain. 工厂需有书面的培训计划，与员工讨论关于整个供应链的安全威胁分析。 training focuses on security of the facility: access by only authorized employees and registered visitors, to report someone in a work area who does not belong there, especially in sensitive or restricted areas such as the shipping area, packing area, loading area, warehouse, systems rooms and to report attempted unauthorized access to a computer terminal, etc.培训重点要关注在工厂安全方面：只有经过授权的员工和登记过的访客才可进入,当出现有不属于本区域的人员时，需要上报有关人员，特别是在敏感或限制区域如出货区、包装区、装货区、仓库、系统控制室和未经授权企图进入计算机终端的人员等。question问题yes是no否n/a不适用11. the threat awareness program trains employees on how to report a security situation or incident.危机意识方案程序需包含训练员工如何报告安全情况或事件。 the program includes the procedure for an employee to report a security issue.此安全程序要包括员工如何报告安全问题。 employees are trained to report a possible security breach, such as a broken window, broken door lock, breach in perimeter fence/wall/barrier, broken or inoperable security alarms/cctv/exterior lights. 培训员工怎样报告一个可能要发生的安全漏洞,如破碎的窗户,破坏的门锁,破坏围栏/墙/障碍物,破损或不实用的安全警报/闭路电视/外部的照明灯。 employees are trained to report unusual activity.培训员工如何报告异常的活动。 training provides examples of security issues and the reporting process to help employees understand the procedure.培训时需要提供关于安全问题的事例及帮助员工怎样理解关于安全问题的报告程序（即如何来进行报告安全问题）。question 问题yes是no否n/a不适用12. the threat awareness program provides specific job related training to shipping and receiving employees? 对于特殊的工作岗位如发货和收货员工，有否提供危机意识方案程序的培训? the facility provides specialized training to shipping and receiving employees regarding access to sensitive work areas, reporting unauthorized people in the work area, ensuring that only authorized cargo is loaded into the container or trailer, and how to report situations that may involve a conspiracy to use the supply chain for illegal purposes.工厂需对发货和收货区域的员工提供专门的安全培训，当有未经授权的人员出现在敏感工作区域时,需要上报有关人员,确保只有经过批准的货物才可装入集装箱或拖车,以及如何报告可能阴谋使用供应链为非法目的情况。question问题yes是no否n/a不适用13. threat awareness training is provided during new hire orientation and then every 12 months as refresher training to all employees.做新员工入职培训时需要提供安全意识培训,然后每12个月对所有的员工进行巩固练习。 the facility provides training to all new hire employees. 工厂要求对所有的新雇员工进行安全意识培训。 the facility provides training to all employees as refresher training at least every 12 months.工厂至少每12个月给所有员工进行复习训练培训。question 问题yes是no否n/a不适用14. employees who report suspicious activity and security violations are given some form of encouragement.员工报告可疑活动和安全违规行为，工厂需要给予某种形式的奖励。 the threat awareness program includes providing an incentive to employees who report suspicious activity and security violations.危机意识方案程序要包括激励员工报告可疑活动和安全违规的行为。 an incentive could include a certificate, recognition during a meeting, cash bonus, time off, or some other form of encouragement.一个激励计划要可能包括奖励证书,一个表彰会议,现金奖励,休假或其他形式的奖励。question 问题yes是no否n/a不适用15. are threat awareness program security procedures publicized in common areas of the facility? 危机意识方案安全程序文件有否公布张贴在工厂的公共场所？ the facility posts security procedures in common areas frequented by employees.工厂需把反恐安全程序文件张贴在员工经常光顾的公共区域。 the facility can determine the best method and manner in which to display the procedures. 工厂可以确定以最好的方法和方式来张贴显示反恐制度程序文件程序。threat awareness: explain why a question was answered no or n/a.危机意识:对回答是no或n/a的问题，需要做出解释和说明physical access controls 实际访问控制question问题yes是no否n/a不适用16. the facility has a written policy to ensure that only authorized employees are permitted access to sensitive or restricted areas. 工厂需有书面的政策,以确保只有经过授权的员工可允许进入敏感或限制区域。 the facility must have a written policy stating that designated restricted areas or sensitive areas are required to have access controls determining who can enter the area工厂须有一个书面的政策声明,来规定说明哪些人可以进入指定的限制区域或敏感地区。question问题yes是no否n/a不适用17. does facility management review and update employee lists that authorize access to sensitive and restricted work areas? 工厂管理是否审查和更新可授权进入敏感的和限制工作区域的授权员工名单? facility management should review the list of authorized employees permitted to enter sensitive and restricted areas.工厂管理需要审查可允许进入敏感和限制区域的授权员工名单。question 问题yes是no否n/a不适用18. a security guard or designated facility manager or supervisor is designated to monitor access to the facility.工厂需指定保安或工厂管理或主管来执行监控工厂的进出状况。 security guard(s) or designated member(s) of management perform patrols of the facility premises and report security incidents to the facilitys management team. 工厂需制定保安或管理来执行巡逻检查工厂，及报告安全事件给到工厂的管理团队。 facility has designated checkpoints to ensure patrols are made.工厂需设定有关巡逻检查点,确保巡逻到位。exception for a food pack house: a security force is not required. it is sufficient for a designated member of management or an employee to patrol the immediate premises, offices, and any other building on the premises. however, patrol of the produce field or orchard is not necessary.食品包装室除外:不需要安排一个安全队伍来执行巡查。因这已经是有安排足够的指定管理成员或员工来执行巡逻靠近食品包装室最近的场所、办公室、和屋内的任何其它建筑。因而，直接制造食品的生产现场是没有必要进行巡查的。question问题yes是no否n/a不适用19. the facility periodically performs an inspection of an existing perimeter fence or wall to check for damage, attempted illegal access, and needed repairs.工厂需定期执行检查目前的围栏或墙壁有否损坏,有否企图非法闯入，甚至需要进行维修。 the facility should have a procedure for inspection and maintenance of and existing perimeter fence or wall.工厂需有一份关于巡查检查和维护工厂围栏或围墙的程序规定。exception for a food pack house: some pack houses may operate seasonally, in a temporary structure, in a temporary location, or are a field location. in these cases, a wall or fence is not required, therefore, mark the question as n/a. it is sufficient for these facilities to have natural barriers or to use roving security patrol or designated employees to patrol the perimeter.食品包装房子除外：一些食品包装房可以是季节性的经营,可以在一个临时性的结构房,在一个临时位置或者一个室外地点。在这些情况下,是不需要围墙或栅栏的,因而,回答时可标注为n/a(不适用)。这些设施是有足够的自然障碍围栏或已经安排流动的安全人员或指定人员进行巡查周围状况。question问题yes是no否n/a不适用20. the facility has a written procedure requiring employees to immediately report any security incident to facility management.工厂需有书面的程序文件规定，要求立即把工厂的任何安全事件报告给到管理层。 the facility should have a policy and procedure requiring that security incidents are reported, logged, and investigated.工厂需有安全政策和程序文件，来规定如何报告，记录和调查安全事件。question 问题yes是no否n/a不适用21. does the facility have a written policy and procedures to deny access of employees who either resign or are terminated? 工厂有否书面的政策和程序文件规定禁止已辞职或离职的员工进入工厂? the facility must have a written policy to deny access of employees who have resigned or been terminated. 工厂须有一个书面的政策程序,来规定禁止已经离职的员工进入工厂。 a list of recently resigned or terminated employees should be updated whenever an employee is terminated or resigns. 一旦有人员离职时，工厂就需准备出一个最新的离职人员名单。question 问题yes是no否n/a不适用22. additional security monitoring is applied for a building or structure that adjoins the facility that could enable unauthorized entry.工厂需另外装一些安全监测装置在工厂建筑或紧邻的建筑物上，以能够防止非法侵入。 in case of an adjoining structure or building that could allow access to the facility additional security measures are applied to mitigate the risk. for example, additional fencing, a security guard, use of cctv, or designated employees may be assigned to monitor the area.如果能够通过紧邻的结构或建筑物进入工厂的话，就需要再增装一些安全措施来减轻风险。例如,增装一些栅栏,增派巡查保安,使用闭路电视,或指定一些员工来进行监控工厂区域。question 问题yes是no否n/a不适用23. the facility uses closed circuit television (cctv) or another surveillance method to monitor activity in sensitive areas within the facility such as receiving, shipping, final packing, main offices, the lobby, and the computer server/systems room. (critical question)工厂需使用闭路电视(cctv)或其他监测方法来监测敏感区域内的活动情况，如监控收货区、出货运输区域,最终包装区,主要办公室、大厅,和计算机服务器/系统的房间。(关键问题) cctv is not required. if cctv is not used, the facility uses another surveillance method such as security guard patrols or designated management to monitor areas of the facility. 如果不适用闭路电视（cctv）监控的情况,工厂就需采用另外的监控方式，例如安排保安巡查或指定管理人员来监控工厂区域。 if the facility uses cctv, determine if recordings are kept for a minimum of 30 days.工厂采用cctv监控的话，需保存监控录像至少30天。question 问题yes是no否n/a不适用24. the facility has a written procedure that requires a visitor and a pick-up/delivery driver to show photo identification before entry is permitted.工厂需有书面的程序规定,要求来访人员和装货车辆出示有效照片证件后才可允许进入工厂。 the facility must have a written procedure requiring security staff or a receptionist to verify the photo identification of a visitor. 工厂必须要有一个书面的程序规定，要求保安人员或接待人员核实来访人员的有效带照片的证件后才可进入工厂。question 问题yes是no否n/a不适用25. the facility has a policy to issue a serial numbered visitor badge to each visitor and maintain a visitors log.工厂需有政策程序文件规定进行发出编有序号的来访证给到来访人员并做好登记。 a facility has a written policy to issue a visitor badge.工厂需有政策程序文件规定进行发放来访证。 visits are recorded in a visitors log (name, date, time in and out, who at the facility is to be visited, and the badge number). 访问事宜，需记录在来访登记上(包括来访者姓名，日期,进出工厂时间,访问工厂谁，来访证编号)。question 问题yes 是no否n/a不适用26. the facility has a written policy that all visitors are escorted while at the facility.工厂需有书面的政策规定,所有的来访者在工厂时都需要安排陪同人员。 the facility must have a written policy indicating that all visitors are escorted. 工厂必须有一个书面的政策表明所有的参观者都需安排陪同人员。question 问题yes是no否n/a不适用27. the facility has a written policy that requires a control log is maintained for any pick-up or delivery truck arrival and departure to include the drivers name, drivers license number, truck license number, reason for visit, and that the control log is kept for 30 days. (critical question)工厂需有书面的政策程序文件规定,要求保存好管控记录到工厂的任何车辆或装卸货物的车辆，需要记录车辆的到厂和离厂时间，司机名字，司机驾照号码，车辆牌照号码，来厂原因，这些管控记录需保存30天。(关键问题) the facility must have a written policy to log a trucks arrival and departure to include the drivers name, drivers license number, truck license number, time of arrival, time of departure, and reason of visit. the log is kept for at least 30 days.工厂必须要有一个书面的政策来记录每一辆货卡车的到达和离开情况的有关记录,包括司机的名字、驾照号码、货卡车车牌号、到达时间、离开时间、来工厂的原因。这些管控记录需保存至少30天。question 问题yes是no否n/a不适用28. the facility has a written policy indicating that employees are not permitted to bring personal items into the final packing and shipping areas. (critical question)工厂需有书面的政策规定声明员工不得携带个人物品进入最终包装区和出货区域。(关键问题) the facility must have a written policy stat