供应商安全性自我评估.doc

Revision 2 SE SASU 002 July 27, 2006 Page 1 of 6 供应商安全性自我评估供应商安全性自我评估供应商安全性自我评估供应商安全性自我评估 审核中的供应商审核中的供应商/设备：设备：日期日期: 调查人调查人:调查人职位调查人职位: 1.1贵公司是否是 C-TPAT（海关商贸反恐怖联盟）的成员? Yes No 如果你的回答是“YES”，那么你不需要再完成以下的问卷调查。而是请提供你们的 SVI number: _ 如果你们还不是 C-TPAT 的成员, 你们是否是以下组织的成员: 商贸反走私联盟 (BASC)? Yes No 计划申请计划申请 自由安全贸易 (FAST)? Yes No 计划申请计划申请 Partners In Protection (PIP)? Yes No 计划申请计划申请 备注：部分问题可能不适用于你的设备，如果有这种情况，请不要留空格，请在程序简述上写上“N/A”“不适用”， 并说明原因。 1. 程序安全程序安全 问题问题YesNo程序简述程序简述 1.1你们的设备/工厂是否有正规的安全部门或指 定的安全人员进行介绍、卸货以及包装进行 监督？ 1.2你们是否会根据货物清单核实货物？ 1.3你们如何检测并对货物超量或不足负责？ 1.4如果集装箱或者拖车放在工厂过夜，必要时 是否做了锁住或封闭/封条等安全措施？如果 集装箱或拖车装满了货，也会封闭/封条吗？ 1.5是否设置了检查和核实封条的步骤？并立即 对不符点进行报告？ 1.6你们是否记录了所有进出工厂的集装箱、拖 车和司机？Are containers, trailers, and drivers that enter or leave the facility recorded? 1.7程序记录是否安全？Are security procedures documented? 1.8你们的安全程序自我评估表是否正式进行？ Do you conduct formal self-assessments of security procedures? Revision 2 SE SASU 002 July 27, 2006 Page 2 of 6 2. 物理安全物理安全 PHYSICAL SECURITY 问题问题YesNo程序简述程序简述 2.1你们的建筑材料是否能够抵御非法侵入 和外部袭击？Are buildings constructed of materials that resist unlawful entry and protect from outside intrusion? 2.2 你们是否监控出入口？当没有人工监测 出入口时，是否安全封锁？Are entrances and exits monitored? Are they locked and secured when not manned? 2.3 你们内外部的门、窗（和栅栏）是否能 抵御外部侵入？Are external and internal doors, windows, and/or fences protected from outside intrusion? 2.4 你们的入侵警报系统曾否探测到下班后 的非法进入？如果有，是由保安人员还 是局外人检测到的？Are intrusion alarms used to detect unauthorized entry after hours? If so, are they monitored by a security officer/outside agency? 2.5 你们是否把所有的外用门警报系统与主 要报警系统连接在一起？Are all external doors alarmed and linked to the main alarm system? 2.6 你们的窗户防护措施（是否）采用的是 警报器还是其他侵入防障物（栅栏、电 线等）？Are windows secured with alarms or other intrusion deterrents (bars, wiring, etc.)? 2.7 你们是否加固了出口门？码头大门的构 建材料是否能抵御非法入侵？Are exit doors reinforced? Are dock doors constructed of materials that prevent unlawful entry? 2.8 你们工厂的内外照明设施是否能照亮黑 暗的角落？Is lighting both inside and outside the facility adequate to eliminate dark corners? 2.9 你们的装卸区域是否使用泛光照明？晚 上的码头大门是否有照明设施？Is flood Revision 2 SE SASU 002 July 27, 2006 Page 3 of 6 lighting used on loading and unloading areas? Are dock doors illuminated at night? 2.10 工厂四周的清除区域是否得到维护？例 如，清除刷和植物是否有从周界屏障内 清除？Are clear zones maintained around the facility? I.e., are brush and growth cleared from the perimeter barrier? 2.11 你们是否有警卫或者接待员监控办公入 口？Does a guard or receptionist monitor the office entrances? 2.12 你们工厂是否有正规的访客登记程序？ Is there a formal registration process to document visitors to the facility? 2.13 你们是否把员工与停靠码头、货物区隔 离开来？Is parking for employees separate from the dock and cargo areas? 2.14 在工厂里停留过夜的容器或者拖车是否 会确保已锁定/密封？Are containers/trailers that remain at the facility overnight secured and locked/sealed? 2.15 拖车或者卡车是在验证了密封编号后从 工厂中解除的吗？Are seal numbers verified before trailers or trucks are released from the facility? 2.16 卡车司机在获得货物监护权前，他（她） 的身份是否得到证实？ Is the identification of the truck driver verified before cargo is released to his/her custody? 2.17 卡车司机对设施的监督使用权是否总是 有限的？Are truck drivers given limited access to the facility and supervised at all times? 2.18 在发生紧急事故时，是否有通讯系统与 内部保安人员或者当地执法部门取得联 系？Are communication systems in place to contact internal security personnel or local law enforcement in the event of an emergency? Revision 2 SE SASU 002 July 27, 2006 Page 4 of 6 NOTE 注: 我们知道，由于公司的规模和结构，不是所有的措施都适合此工厂，但是，公司应该 尽最大努力采取多项措施确保商品的使用权只限于已授权员工。We understand that all measures may not be appropriate for this facility because of the companys size and structure. However, the company should strive to implement as many measures as possible to ensure that access to the merchandise is restricted to authorized employees. 3. 访问控制访问控制 ACCESS CONTROLS 问题问题YesNo程序简述程序简述 3.1你们工厂对永久性和暂时性员工，是否有 正规的身份证制度？身份证徽章上是否有 员工的姓名和照片？Does the facility have a formal ID system for permanent and temporary employees? Are ID badges with the employees name and photo issued? 3.2 员工在进入工厂前是否必须出示他们的徽 章？Must employees show their badges upon entering the facility? 3.3 你们是否给徽章表上色标以助于区分工人 的指定工作区？Are badges color-coded to help distinguish workers assigned areas? 3.4 装载码头的进出权只限于那些已认可或者 已排定好在装载码头上工作的员工吗？Is access to loading docks limited to those employees approved or scheduled to work on the loading docks? 3.5 你们工厂的进出口处是否具有监控设备？ Is there a controlled access gate to monitor activity coming in and out of the facility? 3.6 你们是否有一个正规的来访者登记程序？ Is there a formal registration process for visitors? 3.7 你们是否有员工陪同来访者一起参观装载 设施或者货物仓库？Do employees escort visitors while in a loading facility or warehouse? 3.8 你们的员工或者保安人员会警惕工厂里的 陌生人吗？Do employees or security personnel challenge unknown persons in the facility? Revision 2 SE SASU 002 July 27, 2006 Page 5 of 6 3.9 你们计算机网络里的敏感资料是否有保护 机制以抵御未授权访问？是密码保护吗？ Are computers and networks containing sensitive data secured to prevent unauthorized access to such data? Are they password-protected? 3.10 如果是在公共领域可得的信息（如互联网） ，是否有设置防火墙保护？If information is available in the public domain (e.g., the Internet), is it protected by a firewall? 3.11 对那些必须访问敏感信息才能完成工作的 员工，他们的访问权是否受限？Is access to sensitive information limited to those employees who must access the information to perform their jobs? 3.12 日志的访问权限是否保持更新？公司员工 对日志的访问权是否会随着其离开公司而 撤回？Is a log of access rights maintained? If an employee separates from the company, are access rights revoked? 3.13 员工离开公司后，是否有一个程序确保已 撤回此员工的访问权？Is there a procedure in place to ensure that access rights are revoked if an employee separates from the company? NOTE 注: 我们认识到以下列出的许多标准是美国/加拿大的常见做法，虽然这一标准对我们在其 他国家经营的公司也许并不适合。我们也承认，有些数据或信息在加拿大可以获得的，但在别的 国家也许就得不到。We recognize that many of the standards listed below are the common practice in the U.S./Canada, though this might not be