《Lowes反恐标准》doc版.doc

SGS概况国际性质量控制和检测公司总部在日内瓦；全球超过140多家分支机构全球超过125名保安审核员拥有丰富的C-TPAT国际经验Lowes C-TPAT评估过程 审核过程概况SGS审核过程-编制时间表n 在制定时间表前联系供应商l 解释审核过程（包括邀请1-2名货运公司代表在结束审核前参加会议）l 对工厂环境设施的问卷调查（需要完成并返还SGS以便为审核做准备）l SGS条款和条件，包括付款方式（需要在制定时间表前签订并返还给SGS）n SGS办事处会联系供应商，制定审核的日期、开始时间、并告知审核员姓名n 为降低费用，并更有效率地编排审核时间，若在同一地区能同时安排4家工厂审核，即可开始编排。SGS审核过程-首次会议n 与保安/营运经理和其他相关人员举行首次会议l 介绍所有与会者和他们的职能l 讨论审核流程及时间l 确定邀请1-2名货运公司代表在结束审核前参加会议l 解释评分标准，强制性问题，改进措施A和措施B的时限n 审核员需要复查些什么文件l 保安流程的文件l 人力资源程序和人员背景调查的流程l 在工厂或营运单位内的保安设备及安排l 保安培训记录n 使用Lowes己发布的检查清单n 审核是指导信息，不是对审SGS审核过程-展开审核-2l 报警系统,中央监控系统,信息技术保安l 货物收发记录l 人员背景纪录,人事专员也需要和货运公司代表在审核结束前参加会议l 保安培训记录l 保安流程l 与货运公司代表和人事专员面谈SGS审核过程-展开审核-1n 标准审核流程l 四周的围栏和大门l 大楼构造/通道l 船坞/货柜储存区l 外部照明&中央监控系统覆盖l 通道控制l 访客控制l 内部站台,运输区域,存放易燃易爆/危险材料的区域,室内照明,警报系统,进入办公室的通道,生产区域,仓库等等.SGS审核程序-审核评分n 评分标准l 0=不符合标准l 1=符合最低标准l 2=超过标准l N=不适用n 审核后,改进措施必须央如下时间内完成l A(在强制性问题上得0分或1分)=90天l A(在任何一条非强制性问题上得0分)=90天l B(在任何一条非强制性问题上得1分)=180天n 建议:审核员会提供建议以帮助你们达到要求n Lowes将会追踪供应商直至整改完成SGS审核过程-结束会议n 总体达标情况n 对发现的问题进行讨论n 解释改进措施的时间表n 审核员提出改进建议帮助达标n SGS OFFICE(S)S和LOWES将会复审审核报告，复审后，供应商可以得到报告Corporate Cargo Security Requirements公司货物安全要求Section I: Physical Security and Access Controls第一部分：实体安全和访问控制Purpose: To ensure that the facility has implemented effective physical security and access controls to prevent unauthorized access to the premises,buildings,and conveyances.目的：确保工厂执行了有效果的实体安全和访问控制，预防对建筑物，运输工具进行未授权的访问Requirements要求1. Establish written physical security standards.建立书面的实体安全标准2. Ensure the facility has adequate perimeter fencing or natural barriers which are periodically inspected for damage or compromise.确保工厂有适当的栅栏或天然屏障，并定期检查其完好性3. Place security warning signage throughout the facility.放置安全警报在全厂所有区域4. Ensure that all buildings are constructed with materials that resist unlawful entry and provide protection from outside intrusion.确保所有建筑物的材料是能抵抗非法入侵和提供对外界闯入的保护5. Establish a segregated waiting area for drivers within the facility.建立一个独立的驾驶员休息室6. Ensure that adequate exterior lighting is utilized, including any parking lots.确保适当的外部照明，包括停车场7. Ensure that all doors/windows/openings are locked to prevent unauthorized access to the facility after regular business hours.确保所有门/窗户和出口能被锁上，以预防在休息时间对工厂未授权的访问8. Monitor exterior building, docks, and yards with CCTV that is either monitored or has recording capabilities.建筑物，装柜区和厂区内有CCTV时时监控或能录像9. Employ on-site security officers, Identify scope of coverage and patrols.雇用专职保安巡逻10. Establish inspection of personal belongings upon entry and exit from the facility for both visitors and employees.建立对来访者和员工进出工厂时进行财物检查Section II: Employee, Visitor and Vendor Access第二部分：员工，来访者和供应商访问Purpose: To ensure that all employees are properly screened before hiring to the fullest extent allowed by law; to ensure that all employees receive security training; and to ensure that all terminated employees are restricted from entering the facility.目的：确保所有员工在雇用前，在法律允许的范围内作了适当的筛选，确保所有员工得到安全培训；确保阻止所有离职员工进行工厂Requirements要求1. Establish controls to prevent unauthorized vehicles from entering the premises.建立控制预防未授权的车辆闯入2. Provide means of identification(badges, passes, labels, tags or photo identification)for all employees and authorized visitors.提供方法识别所有员工和授权来访者（如证件，卡片，标签或照片）3. Provide means of identification(badges,passes,labels,tags or photo identification)for all visitors and contractors. 提供方法识别所有来访者和供应商（如证件，卡片，标签或照片）4. Establish means to positively identify drivers through photo identification or other means.通过图片或其他方法识别司机5. Establish a process for handling terminated employees or contractor and preventing subsequent access to the premises.建立处理辞职工人员和终止的供应商的程序，预防后续的访问6. Establish procedures to ensure unauthorized and unidentified persons are challenged and prevented access to the yard, shipping and receiving areas, and conveyances.建立程序确保预防未授权和未经确认的人员进入工厂，出货和收货区和运输工具7. Establish procedures to prevent personal vehicles from being parked in the truck pad, shipping, receiving and cargo areas.建立程序预防私家车停放在货车，出货和收货区域Section III: Human Resource第三部分：人力资源Purpose: To ensure that all employees are properly screened before hiring to the fullest extent allowed by law; to ensure that all terminated employees are restricted from entering the facility.目的：确保所有员工在雇用前在法律允许范围内作适当的背景调查，确保所有辞退人员被阻止进入工厂1. Conduct pre-employment background checks on all prospective employees to the fullest extent possible allowed by law in the country where employed. Include criminal checks wherever possible.所有员工在雇用前作法律许可范围内的背景调查，包括用无犯罪记录2. Conduct pre-employment background checks on all temporary or cntract personnel to the fullest extent possible allowed by law in the country where employed. Include criminal checks wherever possible. 所有临时或合同员工在雇用前作法律许可范围内的背景调查，包括用无犯罪记录3. Conduct drug testing (as allowed by law in the country where employed) on all employees and temporary or contract workers.对所有临时或合同工人进行药物检测（在法律允许的情况下）4. Conduct security training as part of a new employee orientation as well as on an annual basis for all existing employees.对新员工进行安全培训，并每年对所有员工培训一次5. Issue employee conduct guidelines or other documented code of conduct instructions to all employees.公布员工行为准则或其他书面的行为指导给所有员工6. Establish a system which encourages and rewards employees for reporting anomalies and/or wrongdoings.建立制度鼓励和奖赏员工报告异常事件和（或）不良行为。7. Provide key personnel with training in document fraud and computer security. 对主要人员进行有关文件伪造和电脑安全方面的培训Section IV: Shipping and Receiving Procedures第四部分：出货和收货程序Purpose: To ensure that receiving and shipping practices prevent the theft of cargo or the introduction of unmanifested materials.目的：确保收货和出货操作安全，预防货物偷窃或未购货物进入工厂Requirements要求1. Conduct pre-stuffing inspection on all empty containers to ensure integrity of container for shipping purposed and to detect concealed areas within container structure.对所有空柜进行检查确保货柜的完整性和发现货柜的隐蔽区域。2. Establish a restricted-access area for shipping and receiving areas which allows only authorized employee access.建立对出货和收货区的限制访问，只允许授权人员访问3. Establish written security procedures for shipping and receiving operations which prevent cargo loss and/or the introduction of unauthorized or unmanifested material.建立收货和出货安全运作程序，预防货物丢失或未授权或未申报的货物进入。4. Establish procedures which require that all unauthorized persons be removed from the shipping and receiving area. 建立程序要求所有未授权人员不得进入收货和出货区域5. Ensure that loading and unloading of trucks, trailers and/or containers is supervised appropriately.确保装载和未装载的货车，货柜得到适当的管理6. Maintain records of incoming and outgoing goods.保持进出货物的记录7. Ensure conveyance integrity for containers/trailers/railcars in order to prevent the introduction of unauthorized persons or materials.确保货柜/拖车等运输工具的完整性，预防未授权人员或物料的访问8. Utilize containers/trailers that are of solid wall construction and in good working order.货柜或拖车是实体结构并处理良好的工作状态9. Establish procedures to ensure that trailers/containers/railcars are properly sealed and or locked prior to leaving the facility.建立程序确保拖车/货柜在离开工厂前是适当密封或上锁的10. Establish procedures which record and track use of seal numbers.建立程序确保记录和追溯封条的使用11. Establish procedures to ensure that manifests or bills of lading area complete, legible, accurate and meeting the requirements of advance notification(i.e.24 Hour rule.)建立程序确保装货清单是完整的，清晰的，准确的并能满足预定的要求12. Establish a procedure for detecting and reporting overages and shortages.建立程序发现和报告超多和短少13. Establish procedures which require proper marking, counting, weighing(if necessary)for reporting on the transport document or manifest.建立程序要求在运输单或装货单上报告适当的标识，数量，重量（如果必要）14. Retain control of all unused seals.保持对未使用的封条的控制15. Establish anti-pilferage measurements.建立反偷窃的方法16. Establish storage area for empty and full containers so as to restrict opportunity to introduce unmanifested or unauthorized materials or persons.设置空柜和满柜停放区域，以便限定未申报或未报权的货物或人员进入17. Establish a storage area for international, domestic, high-value and dangerous goods within a cages, fences or restricted areas.在有栅栏或受限的区域里设置国际，国内，高价值和危险货物储存区域Section V: Security Management System第五部分：安全管理制度Purpose: To ensure that individuals responsible for security have been identified, that security responsibilities have been clearly defined, that security policies and procedures are documented, that liaison and communication protocols with law enforcement have been established, and that random unannounced security assessments are performed.目的：确保安全人员被识别，安全职责清楚的定义，安全方针和程序书面规定，建立于当地执法机构沟通和通信协议，执行随机的未通知的安全评估Requirements要求1. Designate manager or supervisor with security responsibilities for the company. Reflect this in writing, such as job description or security procedure.书面指定公司的安全管理人员，如工作说明书或安全程序2. Assign or designate a security representative for each facility.指定一名安全代表3. Establish written security policies and procedures to include physical security, access controls, personnel security, education and awareness, manifest and conveyance security and the handling of incoming and outgoing goods to identify overages and shortages or the introduction of unmanifested or illegal goods.建立书面的安全方针和程序包括实体安全，访问控制，人员安全，知识教育，载货单和运输工具安全和处理进出货物，确定货物数量超多和短少或未申报的或违法货物4. Document processes for reporting and/or investigating security-related incidents. Include any reporting to law enforcement, if warranted.报告和调查安全事故的书面程序，如果有证据，包括对法律实施的报告，5. Establish working relationship with local law enforcement agencies.建立与当地执法机构的工作联系6. Establish internal and external communication systems to notify internal security personnel and law enforcement in the event of a security incident.建立发生安全事故时，通报内部保安人员和当地执法机构的内外沟通制度7. Conduct pe