沃尔玛C-TPAT(2006)调查问卷.doc

沃尔玛C-TPAT（2006）调查问卷审核日期AUDIT DATE:工厂/供货商名字 FACILITY/SUPPLIER NAME: 工厂地址 FACILITY ADDRESS (include Country)在Wal-Mart注册的工厂编号 WAL-MART FACTORY ID NUMBER (Wal-Mart use only):工厂管理者/负责人 FACILITY MANAGER/RESPONSIBLE PARTY:It is Wal-Mart policy that suppliers establish facility security procedures to guard against the introduction of non-manifested cargo into outbound shipments. Such items would include drugs, biological agent, explosives, weapons, radioactive material, illegal aliens, and other contraband. The supplier must comply with all domestic laws, rules and regulations governing the sale, use, or shipment of contraband. The supplier will cooperate with local, national, and foreign customs agencies to guard against the illegal shipment of contraband. Prior to Wal-Mart selecting a supplier/factory, the questions below must be answered. An action plan must be developed for negative responses. Respond to all of the questions with either Yes, No, or NA (Not Applicable) - explain any NA in the area provided for Comments. Include comments where appropriate. Wal-Mart auditors will fill in the WM Use Only boxes when performing the audit. A工厂是否有足够的实体安全及屏障来阻止未经授权的进出？The factory has adequate physical security and barriers to guard against unauthorized access.YNN/A1工厂大门及四周是否有加设围墙和可上锁的大门? 围墙是否有定时的巡查？ Factory is enclosed within a secure fence and lockable gates? Fence is inspected on a routine basis.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):2车辆与人员进出的大门是否始终有门卫驻守或监控？Gates through which vehicles and people enter or exit are always manned or monitored.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):3窗户，门，大门是否可上锁？Windows, doors, gates are secured with lockable devices.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):4出入口，货物交接及储存区，围墙周边及停车场的内部和外部是否有足够的照明？There is adequate lighting inside and outside: entrances/exits, cargo handling and storages areas, fence lines and parking areas.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):5厂区内是否装有警报器和/或视频监控录像 Alarms and/or video surveillance cameras are used to monitor the facility.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):B是否达到工厂雇员相关安全需求？Factory employee security requirements are met.YNN/A1是否建立相应程序实施受聘员工的背景调查（以不违背当地法规为前提），如历次受聘经历和证明？Process in place to perform background screening of prospective employee, such as employment history and references (consistent with local regulations).工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):2是否建立书面程序关于出入管制的发放，解除和更改（如门卡，身份识别卡等）？Documented procedure for issuance, removal and changing of access devices (key cards, ID badges, etc.)工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):3雇员在进入厂区之前是否经过身份确认？Employee positive identification is used before entry into the facility.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):4雇员是否只能进入其所在的工作区域？Employees have access to only those work areas necessary for performing their duties.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):5是否建立相关程序关于解除离职雇员的身份识别卡以及进入信息系统的授权？Procedure in place to remove factory identification and systems access for terminated employees.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):C工厂是否有防止未授权进入的必要的内部安全措施？The factory has internal security necessary to protect from unauthorized accessYNN/A1是否有自聘安全保卫：每天24小时，每周7天？如无，是否使用其它外聘安全服务？如果亦无，请详细解释。Employee security guards: 24 hours a day, 7 days a week. If not, is a Security Service used? If neither, explain.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):2工厂保卫人员是否有接受背景调查及在职训练? Security guards underwent a background check and necessary training.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):3是否有书面程序提及如何质疑以及阻止未授权/未经核实的人员？Written procedure in place that addresses challenging and removing unauthorized/unidentified persons?工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):4访客是否需提交带有相片的身份证供核实身份，并且在逗留期间始终由相关人员陪同或监控？Visitors present a photo ID for identification and are accompanied or monitored while at the facility.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):5车辆进入厂区前司机是否经过必要的身份核实？Positive driver identification is necessary before a vehicle may enter the facility. 工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):6工厂是否设有威胁意识课程教导员工认识恐怖分子的威胁？A Threat Awareness Program is maintained to recognize a threat by terrorist?工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):D是否对装货区进行监控以防止未授权的物品装入货箱或货柜中？The Shipping Dock is supervised to prevent unauthorized materials from entering cartons or containers?YNN/A1装货区是否严格限定仅供授权的人员进出？Shipping dock is restricted to authorized employees only.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):2是否不允许装柜员工携带个人物品进入装货区？Employees are not permitted to bring personal items into the shipping area.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):3货物的装柜或装车是否在工厂的监控之下进行？Container stuffing or truck loading is performed only with factory supervision.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):4雇员和访客的停车区是否与装货区隔开？Employee and visitor parking areas are separated from the cargo loading area. 工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):5是否建立和使用员工安全意识课程，指导关于货物完整性，认识内部阴谋，以及维护进出管制的安全意识？An Employee Security Awareness Program regarding cargo integrity, recognizing internal conspiracies, and protecting access controls is available and used.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):E钥匙/货柜封条的控制 Key Control and Seal Control procedures utilized.YNN/A1是否仅授权的员工可以存取钥匙与货柜封条？Only authorized employees have access to keys and container seals.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):2是否建立钥匙控制日志，以记录收发日期、钥匙名称以及谁来领取和归还钥匙？A Key Control Log is maintained indicating the name and date of keys taken and returned - and by whom.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):3是否建立货柜封条控制日志，记录当前存有的封条以及过去120天内所使用的封条？是否按封条号码编写，注明使用日期、货柜编号以及封条使用者的名字？A Container Seal Control Log is maintained indicating seals currently on hand and seals used during the past 120 days - by seal number - with the date the seal was used, the container #工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):4是否使用关于如何汇报货柜封条丢失的程序（包括联络人和所采取的措施）？A procedure indicating how to report a missing container seal is used (contact person, action to take).工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):F是否使用安全程序，以防止未经授权的物品进入发运的货品内？A Security process is used to protect against unauthorized materials introduced into a shipment?YNN/A1在装货前是否对货柜的7个检查点（柜墙、左侧和右侧柜墙、柜地板、柜顶/天花板、柜门、柜下部）进行检查以防货柜被擅自改装？Container 7-point inspection is made before stuffing to check for tampering (front wall, left and right side walls, floor, ceiling/roof, doors, undercarriage). 工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):2是否对发运货柜上的封条进行核查以确保其与船务文件上的封条一致？Seals on outbound containers checked to ensure that they match shipping documents? 工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):3发运货柜上是否仅使用符合ISO PAS 17712标准的高安全性封条？Only an ISO PAS 17712 High Security Seal is used on shipping containers.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):4是否仅有特别指定的员工才能对发运的货柜安装封条？Only designated appointed employees may install a seal to an outbound container.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):5空柜满柜是否储存在固定的、有警卫的区域？Empty and loaded containers are only stored in a secure, guarded area.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):6是否建立书面程序关于如何汇报未经授权进入货柜或货柜储存区域的情况？Written procedure is in place to report unauthorized entry into containers or container storage areas.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):7是否建立书面程序，以确保船务文件准确、完整、合法、防止被偷换、丢失或包含错误信息？Procedures are written that ensure shipping documents are accurate, complete, legible, and protected against exchange, loss or introduction of erroneous information工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):G货柜或货物移送至装船点途中是否受到保护？Container or merchandise movement to the ship point is protected.YNN/A1货物运出之前是否对接货的司机进行身份核实？Drivers picking up cargo are positively identified before cargo is released.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):2货柜离厂前是否比照船务文件对货柜封条编号进行核实？Container seal number is verified against shipping documents when departing the factory.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):3工厂方面是否指定一条安全/固定的运送路线到装船目的地，并指示司机仅可使用该路线？Factory officials have outlined a safe/secure transit route to the shipment destination and instructed drivers to only use this route.工厂解释 Factory comments:审核员观察专用栏 Auditors Comments (Wal-Mart use ONLY):4是否指示司机向工厂方面汇报运送途中的任何延误？Drive