C-TPAT反恐验厂问题点(350个问题点).xls

中国验厂论坛 www china coc org全国服务热线 400 8866 630 反反恐恐验验厂厂报报告告所所有有问问题题点点 NO英英 文文中中文文对对照照解解决决方方式式 I General Overview 1Does the facility have a written security procedure policy 工厂有无书面 成文 的安全政策 2Does the facility have a security department personnel 工厂有无安全部门 人员 3Is there a designated security chief at the facility 工厂有无指定的安全管理人员 If not are other officials responsible for 如果没有 是否有其他部门负责 4a Plant Security 工厂 车间 安全 b Personnel Security 个人安全 c Subcontractor Security 分包商安全 dConveyance Transport Security 运输安全 e US Customs Trade Partnership Against Terrorism C TPAT Compliance 美国海关贸易伙伴反恐计划 C TPAT的 遵守 f Security audits or evaluations 安全评估 5Has a C TPAT assessment been conducted 是否已经实施了反恐估价 6Is the facility ISO registered If so please provide 工厂是否有ISO登记证 有请提供 6a Country of registration登记的城市 6b Registration number登记证号 6c Registration company登记公司 7 s there an established procedure to conduct periodic unannounced security checks to ensure that all of theabove security procedures are being performed properly 有无建立程序 人工的定期的进行安全检查 以保证所有安全政策都合理有序的进行 8If so How often 如果是 多久检查一次 Quarterly一个季度 Six Months半年 Annually每年一次 As the need arises根据需求 In response to specific threats对特殊威胁的回应 9Who conducts such checks 由谁主导检查 10Are records maintained of the outcomes of the checks 检查结果是否都有记录 11Is all of the above information documented and verifiable 以上所有信息是否都被存档并可证实 中国验厂论坛 www china coc org全国服务热线 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 这些资料都被存档在哪 资料存档 硬盘 计算机储存 13Is the information readily accessible to the relevant employees 对于相关雇员 资料是否容易接近 获得 14Did the inspector review the documents 检查者是否查看存档资料 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 鉴于工厂书面政策文件与实际执行程序和实体 组织架构的一致性 请提供工厂近期的环境安 全评估来回答以下部分的问题 1 1 The facility s policies procedures and infrastructure are inadequate and fail to meet supply chain securitystandards in the areas addressed 工厂的政策 程序 和基础架构是不充分的 在标记的地方不符合供应商安全准则 2 2 Some of the facility s policies procedures and infrastructure are inadequate and fail to meet supply chainsecurity standards in the areas addressed 工厂的某一些政策 程序 和基础架构是不充 分的 在标记的地方不符合供应商安全准则 3 3 The facility s policies procedures and infrastructure are adequate and meet supply chain securitystandards in the areas addressed 工厂的政策 程序 和基础架构是充分的 在 标记的地方符合供应商安全准则 4 4 Some of the facility s policies procedures and infrastructure exceed supply chain security standards in the areas addressed 工厂的某一些政策 程序 和基础架构在标记 的地方超出供应商安全准则 5 5 The facility s policies procedures and infrastructure exceed supply chain security standards in the areas addressed 工厂的政策 程序 和基础架构在标记的地方 超出供应商安全准则 II Personnel Security个人安全 A Documented Personnel Security Policies Procedures个人安全存档的政策程序 General Standard Operators of cargo handling facilities and conveyances should designate aresponsible individual to be responsible for security 一般标准 货物运输场所和运输工具的管理者 应该制定为有责任心的的个人 从而可以对安 全负责 17 Does the facility have written personnel security guidelines for hiring If no skip to 21 工厂是否具有用于雇佣的书面的个人安全指导 如果没有 跳到21 18Are the guidelines evaluated periodically to ensure their effectiveness 该指导是否定期进行评估从而保证其有效性 if so how often 如果是 多久评估一次 19 a Annually一个季度 19 bTwo years两年一次 中国验厂论坛 www china coc org全国服务热线 400 8866 630 19 c As needed根据需要 19 d In response to a security failure发生安全事故以后 19 eOther其他 20Are the guidelines provided to recruitment hiring personnel 该指导是否适用于新员工和正式员工 21 Do the same security requirements apply to temporary and part time employees 同样的安全要求是否适用于临时工和兼职工 B Personnel Screening个人电脑 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 一般标准 货物运输场所和运输工具的管理者 应该将员工与被监控员工区分开来 22Are detailed employment applications required of applicants 申请人是否需要详细的雇佣申请 23Are applicants interviewed 申请人是否被面试 24 Are additional checks conducted to verify the identity of and previous employment of all applicants 后续 增加的检查行为 项目 是否适用于 先前的雇佣申请者身份的证明 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 有多少比例的申请者身份实 施了背景调查 26 Are local service providers and or government resources available for conducting employee backgroundchecks or equivalent comprehensive pre employment screening services 当前的服务机构或政府人力资源部门是否可以 对雇员实施背景调查 或雇佣前进行相同的电 脑查询 What type of check s are conducted 调查了哪些内容 27 aCriminal records犯罪记录 27 bFormer addresses以前的地址 27 cPassport护照 27 d Foreign travel出境旅游 27 eEmployment history雇佣历史 27 fReferences联系人 27 g Other其他 28Does the facility examine and verify the applicant s official identification 工厂是否检验证实申请者的官方证明文件 29 If so for what percentage of applicants is identification verified Select the range that applies 如果是 有多大比例的申请者是被证明身份的 的 What type of identification is verified 有哪些身份信息是被核实的 30 a Birth certificate出生证明 中国验厂论坛 www china coc org全国服务热线 400 8866 630 30 b Passport护照 30 cTravel documents行程档案 30 d National ID card身份证 30 eSchool学校 30 f Other其他 31 Does the facility maintain a permanent employee personnel file for each employee 工厂是否为每一位员工提供固定长期的个人雇 佣资料夹 Does the personnel file include at a minimum 个人资料夹包括 32 a Name姓名 32 bDate of Birth出生年月 32 cNational identification number身份证号码 33Does the facility retain copies of the employee s official identification 工厂是否保存员工身份证复印件 34Does the facility keep records of employee international travel 工厂是否保存员工的出国旅游记录 C Identification System身份证明系统 General Standard All operators of facilities and conveyances handling cargo should employappropriate procedures to identify personnel authorized to enter cargo and document processingareas 标准 制定程序检查证明进入特定地点的员工 身份 35Is company identification required for the entry of personnel 个人进场身份证明 If so what kind of ID is required 如果是 需要什么样的身份证明 36 a Card key卡 36 bBadge徽章 标记物 36 c Other其他 37Does this identification include a photograph of the employee 这些证明是否具有员工照片 38 Does the ID include a biometric indicator ie a unique physical employee identifier such as a facialphotograph or fingerprint ID具有怎样的防伪标识 统一的人脸识别 手 印 39 aIf yes what type 如果是 通过什么方式 Is the issuance of employee identification controlled 员工身份识别控制由谁公布 39 a By security personnel 安全人员 39 b By other department 其他部门 40Do employees return their badges when they leave the company 员工离场时是否归还厂证 41Are lost IDs replaced and recorded as missing 丢失身份证的是否被取代并记录为缺席的 42Is the security staff informed of such losses name ID number etc 安全人员是否被告知以下的遗失信息 姓名 身份证号码 其他 中国验厂论坛 www china coc org全国服务热线 400 8866 630 43Is ID required to access restricted areas 进入禁止区域是否需要身份证明 44Do ID s specify access for loading packing dock areas 是否区分装卸货和包装区的进入证明 If so how 如果是 怎样区分 45 a Color coding颜色辨识 45 bNumeric coding数字辨识 45 cMap coding图形辨识 45 dElectronic coding电子辨识 45 eOther其他 46Do guards monitor access to restricted areas by checking employee ID 警卫人员是否进入限制区检查员工证明 D Education Training Awareness教育 训练 意识 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 标准 管理人员应该针对货物的相关文件和货 物处理过程研究出一个识别程序 另外 建立 违反安全的报告程序 47Is there a security awareness program in place for managers and employees 管理人员和员工是否有适用的安全察觉程序 48Do all managers and employees have to participate 所有的管理人员和员工都必须参加 Does employee orientation include procedures for 所有员工是否知道程序的目的 49 aConfirming that all onsite personnel are wearing ID 保证所有员工佩戴工作证 49 bChallenging and reporting unidentified persons to security 调查并报告身份不明人员的安全性 49 c Recognizing internal conspiracies辨识内部阴谋 利益 集团 49 d Recognizing internal conspiracies 50 Are there confidential means for employees to report internal violations to facility s security program 是否有相应的方式能够让员工报告内部违反工 厂安全程序 51 Is all training documented including information such as subject date attendees 有没有训练记录 包括主题 日期 与会人员 等 52Is periodic update training required 是否要求定期培训 53Are employees encouraged to participate actively in security 员工是否被鼓励积极参加安全项目 If so how 如果是 怎样做 54 a Incentives奖励 54 bSuggestion Box建议箱 54 cPhone Number Hotline电话热线 中国验厂论坛 www china coc org全国服务热线 400 8866 630 54 dOther其他 55Does the facility have and maintain a code of conduct for employees 工厂是否具有员工行为准则 56 Are safe security procedures publicized throughout the facility through such means as posters bulletinboards etc 安全程序是否全厂印发告知 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检查来 保证以上安全政策是被有效合理执行的 If so how often 如果是 多久检查一次 58 aQuarterly一个季度 58 bSix Months6个月 58 cAnnually一年一次 58 d As the need arises根据需要 58 e In response to specific threats当受到危险时 59Who conducts such checks 谁来主导此项检查 60Are records maintained of the outcomes of the checks 检查结果是否都有记录 61Is all of the above information documented and verifiable 以上所有信息是否都被存档并可证实 62 Where are the documents located kept stored i e hard electronic copy as well as physical location 如果是 这些资料都被存档在哪 资料存档 硬盘 计算机储存 63Is the information readily accessible to the relevant employees 对于相关雇员 资料是否容易接近 获得 64Did the inspector review the documents 检查者是否查看存档资料 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 鉴于工厂书面政策文件与实际执行程序和实体 组织架构的一致性 请提供工厂近期的环境安 全评估来回答以下部分的问题 1 The facility s policies procedures and infrastructure are inadequate and fail to meet supply chain securitystandards in the areas addressed 工厂的政策 程序 和基础架构是不充分的 在标记的地方不符合供应商安全准则 2 Some of the facility s policies procedures and infrastructure are inadequate and fail to meet supply chainsecurity standards in the areas addressed 工厂的某一些政策 程序 和基础架构是不充 分的 在标记的地方不符合供应商安全准则 3 The facility s policies procedures and infrastructure are adequate and meet supply chain securitystandards in the areas addressed 工厂的政策 程序 和基础架构是充分的 在 标记的地方符合供应商安全准则 4 Some of the facility s policies procedures and infrastructure exceed supply chain security standards in theareas addressed 工厂的某一些政策 程序 和基础架构在标记 的地方超出供应商安全准则 中国验厂论坛 www china coc org全国服务热线 400 8866 630 5 The facility s policies procedures and infrastructure exceed supply chain security standards in the areasaddressed 工厂的政策 程序 和基础架构在标记的地方 超出供应商安全准则 III Physical Security物理安全 Security Standards for Facilities Production or Otherwise 工厂安全标准 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 所有用于储放货物的建筑物必须合理构造以阻 止不合法进入 建筑物及周边必须进行定期的 检查和修缮 A Plant Security工厂安全 67Does the facility have intrusion detection or an alarm system 工厂是否具有入侵保护和报警系统 68Are all windows and doors monitored by the alarm system 所有的门窗是否有警报系统监视 If not does the alarm system monitor 如果没有 报警系统是否对以下系统进行监控 69 a All windows所有的窗户 69 bAll doors所有的门 69 cOnly ground level doors and windows只有接地面的门和窗 69 dOther其他 70Is the alarm actively monitored 警报是否有效监控 71Is the system working 系统是否运行 72 aIs the alarm tested regularly 系统是否经常进行检测 72 b How often 多久检测一次 72 cBy Whom 由谁检测 73 Are records maintained of tests and all responses including date time and explanation 所有检测是否有记录 记录包括日期时间和原 因解释 74Is the alarm connected with local authorities 报警系统是否与当地政府连接 a Are violations reported 侵入是否有报告 Do adequate locking devices protect external and internal doors windows and gates 是否有足够的锁来锁住所有的门窗 Do adequate locking devices protect the following access points 是否有足够的锁来保护以下进入点 75 aExternal Doors外门 75 b Internal Doors内部的门 75 c Windows窗 75 d Gates门 If yes do locking devices allow for easy emergency exit 如果是 上锁的门是否容易立即进入 中国验厂论坛 www china coc org全国服务热线 400 8866 630 75 fExternal Doors外门 大门 iWindows窗 jGates门 工厂内所有小门 How are locking devices activated 门锁的有效性如何 76 aKey钥匙 76 bCard卡 76 cCode密码 76 dOther 其他 77Are they used to limit access to controlled areas 限制区域是否限制进出 78Are locking devices in working order 门锁是否在工作状态 79Are locking devices inspected 门锁是否被检查 aIf so how often 如果是 多久检查一次 80Is a record kept of such inspections 检查有无记录 81Is there an individual responsible for distributing and maintaining keys cards 是否有独立的责任人保管钥匙 82Is there a record of individuals holding the facility s access keys codes cards 是否有保管工厂钥匙 密码卡的负责人的记录 83 When an employee leaves the company are keys cards returned or codes changed 当一个员工离开工厂时 钥匙和卡是否被回收 或更换 84Are these records maintained in a log book 此项是否记录在册 85 Are all buildings in the facility constructed of materials that prevent unlawful entry 工厂所有建筑物是否可以阻止非法入侵 86Are facility buildings properly maintained and repaired 工厂建筑是否被合适的保护修缮 87Is the perimeter fencing properly maintained and repaired 周围的栅栏门是否被合适的保护修缮 88Are there open areas through floors roof or broken walls 楼房 屋顶 破了的围墙旁是否有空旷敞开的 区域 B Perimeter Security周边安全 89Is the perimeter of the property secured 固定资产周边是否安全 How is the perimeter secured 如何保证周边安全 90 aChain link fence铁锁链栅栏 90 bMasonry wall石墙 90 cSteel wall铁墙 90 dElectric fence电子栅栏 90 eConcertina wire线网 90 fOther其他 91If the property is not secured why not 如果固定资产是不安全的 为什么不安全 中国验厂论坛 www china coc org全国服务热线 400 8866 630 92Is the entire fence barrier at least 8 feet 2 4 meter high including all gates 进入栅栏包括所有的门最低是否达到204M 93Does the fence have a top guard to discourage entry 栅栏是否有防护物体以防止进入 If so what type of top guard is used 如果是 用的是什么样子的物体 94 aBarbed wire有刺的线 94 bMetal spikes金属的钉子 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 是否有连接物体或者叶饰使能够容易的翻过围 墙进入工厂 96How many perimeter gates allow entry exit to the facility 工厂有几个门可以进出 97Is damage to the perimeter repaired immediately 如果立即进行修缮是否有损害 If interim repairs are made 如果过渡期间进行修缮 98 aIs the repaired section the same height as the rest 被修缮地方是否和剩下的一样的高度 98 bAre repaired sections solid e g not loose rocks or bricks 修缮的地方是否用的是坚硬的岩石 99Are manhole covers within the property secured 固定资产范围内人造的洞口是否安全 C Outside Lighting室外灯光 100Is there any outside lighting If no enter Not Applicable for 98 102 室外 围墙外 有无灯光设施 101Is the entire perimeter of the facility lit 工厂周围是否均可被照亮 102 Are all areas of the yard and facility illuminated visibly to eliminate any opportunities for concealment 工厂院内或厂房可被照亮的地方是不是消减可 隐藏东西的可能性 103Are all sides of the facility s exterior walls lit 工厂外墙是否都可被照亮 104 Is the lighting sufficiently high to clearly illuminate the tops and sides of stored containers 光照是否足够高和亮以保证储存室的上部和周 围都可清晰地看见 105Does the lighting have an emergency power source generator 灯源是否有应急的动力发电机 D Container Storage容器储藏 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 是否有指定的储藏区域 Are any containers stored 都储存哪些容器 107 aNear exterior building walls 靠近建筑物外墙 107 bNear the perimeter walls fence 篱笆或墙的周围 108 Are the containers positioned an adequate distance from the fence to prevent illicit entry to the facility 容器存放地到外部篱笆墙是不是有效距离以防 止非法入侵 Please note the following questions 109 117 apply to section III A D 中国验厂论坛 www china coc org全国服务热线 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 有没有建立一个程序来进行定期的无宣告的安 全检查 以保证以上所有安全程序都在有效地 执行 If so how often 如果是 多久检查一次 110 aQuarterly一个季度 110 bSix Months六个月 110 cAnnually一年一次 110 dAs the need arises根据需要 110 eIn response to specific threats当发生某些危害时 111Who conducts such checks 谁来主导此项检查 112Are records maintained of the outcomes of the checks 检查结果有没有记录 113Is all of the above information documented and verifiable 以上所有信息是否都被存档并可证实 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 这些资料都被存档在哪 资料存档 硬盘 计算机储存 115Is the information readily accessible to the relevant employees 对于相关雇员 资料是否容易接近 获得 116Did the inspector review the documents 检查者是否查看存档资料 117 Comments Conclusions In addition to other comments please explain why the items listed to the right are Non Applicable E Security Force强制安全 118Does the facility have a designated security guard force 工厂有无指定的安检人员 保安 What percentage of the facility s guards are please enter a whole number not a decimal 工厂保安所占比例 119 aEmployees雇员 119 bContractors合同工 120If contractors are background checks run on them 如果是合同工 有没有对他们进行背景调查 121Do they man the facility 24 hours a day 7 days a week 24 7 他们是否一周七天 一天24小时的看护工厂 121 aIf not what hours do guards man security posts 如果不是 保安在岗多长时间 121 bWhat provisions are taken to monitor the facility during unmanned periods 在没有人执勤的情况下 工厂有什么安保措施 122 Is there communication between the central security office and the exterior guard posts 中心区办公室安全和门卫保安之间是否有联络 沟通 If so do guards have 如果是 门卫都有什么装置 123 aRadios无线电 123 bCell phones电话 123 cPagers传呼机 中国验厂论坛 www china coc org全国服务热线 400 8866 630 123 dOther其他 124Do the guards receive specific security training 门卫是否进行特殊的安全训练 If so are they trained in如果是 他们在哪些方面进行训练 124 aThreat awareness恐怖威胁 124 bUnauthorized access无告知进入 124 cInternal conspiracy内部阴谋 124 dOther其他 125How many hours of training are provided 进行多长时间的培训 126Is periodic refresher and or update training prov