关于客户验厂反恐体制问题明细

FACTORY C-TPAT SECURITYAUDIT REPORTReport #:Page: 18 of 18A: RECORDS and DOCUMENTATIONNo.DescriptionYesNo1Does the facility have a documented policy that requires that all security procedures be documented?2Does the facility have a designated chief / head personnel responsible for overall site security?3Is there a designated security department/team at the facility?4Are there facility officials responsible for: Plant Security?5Are there facility officials responsible for: Personnel Security?6Are there facility officials responsible for: Contractor Security?7Are there facility officials responsible for: Conveyance/Transport Security?8Are there facility officials responsible for: Security audits or evaluations?9Has any (internal, second or third party) site security assessment been conducted?10Is there a documented procedure to conduct periodic security checks at least every 12 months to ensure that the security procedures in below sections are being performed properly with records retained?1) Personnel Security;2) Physical Security;3) Information Access Controls;4) Shipment Information Controls;5) Storage & Distribution;6) Contractor Controls;7) Export Logistics11Is there a documented security improvement plan that summarizes or identifies vulnerabilities and responsive corrective actions and is reviewed by Facility Management and the Security Supervisor by conducting meetings with security guards with records retained?12Is the facility security plan reviewed at least every twelve months and updated when necessary?Rating: score 1 point for each item marked “Yes”.Total:/12Item #:Remarks:B: PERSONNEL SECURITYNo.DescriptionYesNoB-1Documented Personnel Security Policies/Procedures1 Does the facility have documented personnel security guidelines/policy that includes hiring, identification system and facility access control procedures?2Are the guidelines evaluated every six months to ensure their effectiveness?3Are there documented personnel security guidelines that apply to the hiring of contracting, temporary and part-time employees the same as those that apply to the hiring of full-time employees?B-2Personnel Screening4Are employment applications required of applicants?5Are applicants interviewed before a hiring decision is made?6Are background checks conducted on all applicants? (Criminal records, employment history, references, drug screening and etc.)7Are identification verified on all applicants? (Birth certificate, national ID, passport, travel documents, school or others)8Are periodic, follow-up background checks conducted on employees based on circumstances and/or sensitivity/ scope of employee responsibility and procedure is documented? (Criminal records, drug screening and etc.) 9Does the facility maintain a permanent employee personnel file for each employee? (Including name, date of birth, national ID number/copy, driver license information, and etc.) B-3Identification System10Is facility identification required for the entry of personnel?11Do security guards monitor employee arrival at the facility for positive identification to ensure that only those with a company issued ID badge are allowed entry?12Does the ID used for entry include an indicator, i.e., a unique physical identifier such as a facial photograph or fingerprint?13Is the issuance of facility employee identification centralized and controlled by a specific department?14Is the control over distribution and inventory of employee ID badges and facility access keys/cards/codes restricted to a limited number of authorized employees?15Are documented procedures and records in place for employees to return their IDs when they leave the facility permanently?16Are documented Employee Termination policy and procedures in place to retrieve IDs and deactivate access as needed?17Is a list of terminated employees is given to security to deny access to facility?18Are lost IDs replaced and recorded as missing in employees personnel file before a replacement badge is issued?19Are lost or stolen key replaced and recorded as missing and incident is reported immediately to the factory management?20Is the security staff informed of such losses (name, ID number, etc) to prevent unauthorized use?21Is employee ID required to access the restricted areas such as loading/unloading/packing, IT, finance? (IDs specify by color, numeric, map, electronic code or other)22Do guards monitor access to the restricted areas by checking employee ID?B-4Education/Training/Awareness23Does the facility require new employee orientation? (including Confirming that all onsite personnel are wearing ID at all times while in the facility premise, Recognizing internal conspiracy, Detecting unlawful activity, Maintaining cargo integrity, Reporting compromised security infrastructure (broken locks, windows, computer viruses, etc.), Recognizing and detecting dangerous substances and devices.)24Is there a written security awareness program covering awareness of current terrorist threat(s), human trafficking, smuggling trends, and seizures in place to ensure employees understand the threat posed by terrorist at each point of the supply chain?25Do all personnel have to participate in new employee orientation and security awareness program?26Is all security program and threat awareness training participation documented (including information such as subject, date, and attendees) and recorded in the employee and security guard personnel record?27Is periodic security program update training required at least every twelve months?28Is the threat awareness training program includes training and encouraging personnel to report irregularities, suspicious activity and/or security violations and procedures used by the facility to resolve the situation? (Encouraged by incentives, suggestion box, phone or others). (Please specify frequency)29Does the facility have and maintain an employee code of conduct such as an employee handbook?30Are documented security procedures publicized throughout the facility (through such means as posters, bulletin boards, etc.)?Rating: score 1 point for each item marked “Yes”.Total:/30Item #:Remarks:C: PHYSICAL SECURITYNo.DescriptionYesNoC-1Plant Security1Does the facility have an automatic intrusion detection or alarm system installed in sensitive/controlled access areas?2Is there a back-up power source for the alarm system?3Is the alarm system tested regularly?4Are intrusions reported and records properly retained?5Do locking devices secure facility access points? (external doors, internal doors, window and gates)6Are locking devices in proper working conditions?7Are door and window locking devices inspected?8Is there a written Key Control Program which establishes an individual responsible for distributing and maintaining cards/codes/other mechanisms for activating locking devices?9Is there a Key Control Program which includes a Control Log that accounts for all keys/access cards on-hand, issued, and returned (name, date out, date in, reason, and name of issuing person)?10Is there a monthly record of the inventory of the facilitys access keys, codes, cards to employees?11When an employee leaves the facility permanently, are keys/cards returned or codes changed and a record maintained of these actions?12Are documented termination procedures in place to immediately terminate existing physical access when an individual terminates employment or transfers to a position with different access privileges?13Does facility management conducts review and approves an up-to-date list of employees with special access to controlled or sensitive areas every three months?14Are all buildings in the facility constructed of materials that prevent unlawful entry?15Are facility buildings inspected every three months?16Are the buildings properly maintained and repaired so that there are no open areas through floors, roof or broken walls?17Are inspection / checking records related to infrastructure integritykept (including inspection dates, reported damages, and completed repairs)?C-2Perimeter Security18If applicable, does a physical barrier surround and secure the perimeter of the property to deter unauthorized access? (chain-link fence, masonry wall, steel wall, electric fence, concertina wire, patrolled by security guards or others)19Are the perimeter barrier and gates regularly inspected on a weekly basis to check for damage and attempted illegal access, properly maintained and repaired?20Are fenced areas maintained to prevent illicit entry via any adjoining/overhanging structures or foliage or additional security monitoring is provided?21Are there gates at every entrance/exit for the facility?22Are all gates manned and/or monitored?23Do facility management and designated security guard supervisor only have keys or other controls necessary to open/close facility gates?C-3Outside Lighting24Is there adequate lighting inside and outside the facility including around entrances and exits, cargo handling and storage areas, fence lines and parking areas?25Does the lighting have an emergency power source (e.g. generator)?26Is access to the lighting switches restricted to only authorized personnel?27Are lights illuminated automatically?28During darkness, the facility perimeter fence/wall is well lighted?C-4Container Storage29Are loaded stored containers/trailers sealed with high security seals that meet or exceed ISO/PAS 17712 standard?30Are containers/trailers (both loaded and empty) stored door-end to door-end or in a secure area with mechanisms in place to prevent unauthorized access?31Are containers/trailers (both loaded and empty) stored in a designated container or trailer storage area?32Is the container/trailer storage area surrounded by a secure fence or wall?33Are containers/trailers stored an adequate distance away from the perimeter walls/fence?34Are documented procedures in place for reporting and neutralizing unauthorized entry to container storage areas?C-5Security Force35Does the facility have a designated security guard force?36Does the guard force staff the facility 24 hours a day, 7 days a week (24/7)?37Are the guards uniformed?38Do security supervisor/guards log incidents?39Do security guards report incidents related to compromised seals and/or containers/trailers to appropriate local authorities?40Do security guards report any security violation incidents including tampering involving a loaded or empty container/trailer to management personnel?41Is there communication between the central security office and the exterior guard posts? (Cell phone, pagers or others)42Do guards receive specific security training? (Terrorism threat awareness, unauthorized access, internal conspiracy and etc.)43Is periodic refresher and/or update training provided? (Please specify frequency)44Does the facility have a mandatory, regularly updated threat awareness program for all employees (including management and security guards) focusing on awareness of current terrorism threat (s), smuggling trends and seizures (via newsletter, announcement, briefings, etc.) and special training to shipping and receiving employees on maintaining cargo integrity, how to recognize an internal conspiracy, and how to protect access control?45Does the facility have proper communication mechanism (e.g. phone, radio) to local law enforcement authorities?C-6Access Control46Are gates for employees and vehicles entrance/exit guarded and/or monitored during operating hours? (patrolling guards, motion detectors or others)47Are all gates locked and/or monitored during non-operating hours? (patrolling guards, motion detectors or others)48Are employees entries and exits logged (e.g., time cards, manual records)?49Is employee entry and exit behavior monitored for suspicious activity?50Are employees observed and/or subject to security inspection when entering the building?51Are closed circuit television cameras (CCTVs) used to monitor activity in the facility including fence/wall and entrance gates? (digital motion activated camera)52Are cameras located in cargo handling/packing areas?53Does the placement of the cameras provide adequate views of activities in relevant areas?54Do cameras have pan, zoom, and tilt capabilities?55Are recordings (e.g., tapes or electronic files) kept for a minimum of 45 days? 56Is CCTV or another surveillance method used by security to monitor activity at sensitive areas within the facility?57Is access to CCTV monitors controlled?C-7Visitor Controls58Is advance information from a vendor required before the visit with visitor name, company representing, date and time of arrival, purpose of visit?59Is there an up-to-date list of names and addresses of all contractor (e.g., canteen staff), vendor, and repair personnel?60Is photo identification required of all visitors?61Is there a positive identification process for recording all vendors and repair personnel and facility has a written procedure to challenge, identify, and remove unauthorized/unidentified persons?62Is a visitors log maintained which records date and time of entries and/or exits, visitors name, purpose of visit and escort name?63Are visitors subject to: Metal detector/scanner screening 64Are visitors subject to: X-ray of personal belongings 65Are visitors (including contractors) required to wear temporary ID badges? 66Are the ID badges controlled through: Numbering/coding (to identify any missing badges)67Are the ID badges controlled through: A log of badges issued/returned 68Does an authorized employee supervised contractors while at the facility? 69Are all visitors including customers escorted and monitored while accessing facility specifically on restricted areas (e.g., loading/unloading, IT, finance)?C-8Entering/Exiting Deliveries70Are documented procedures implemented to periodically screen arriving packages and mail prior to distribution? 71Are both incoming and outgoing cargo vehicles checked? 72Is advance notice required for a pick-up or delivery transport company (driver name, company, date and time of arrival, purpose of trip)? 73Are conveyance drivers required to show positive identification?74Are conveyance drivers required to show a truck manifest upon entry and/or exit?75Is a log maintained with truck license, driver name, time and date of entry/exit, manifest check, container number, name of guard, and seal number?76Are full outgoing containers/trailers sealed? (applicable to trucks and closed vans)77Are seals on outgoing shipments inspected and recorded?78Does the facility have documented procedure to handle the broken seal case?79According to documented procedure and actual reported broken seal case(if any), are broken seals immediately reported to Security, local law enforcement and/or customs authorities (as relevant), management and others?80According to documented procedure and actual reported broken seal case (if any), when broken seals (including cargo hold locks) are discovered, is there an examination of the containers/trailers contents (applicable to trucks and closed vans)?81Do broken seal examinations document includes overages/shortages and other anomalies?82According to documented procedure and actual reported broken seal case (if any),is the broken seal immediately replaced on outgoing containers/trailers (applicable to trucks and closed vans)?83According to documented procedure and actual reported broken seal case (if any), is the new seal numbers recorded for outgoing containers/trailers (applicable to trucks and closed vans)?84Is there a documented procedure to verify seal number against facility documentation when the container/trailer is turned over to the next supply chain link (applicable to trucks and closed vans)?85Is there a documented procedure to verify whether the seal is intact when the container/trailer is turned over the next supply chain link (applicable to trucks and closed vans)?86Are shipping/receiving parking lots separated from all other parking lots? C-9Employee/Visitor Parking87Are vehicles prohibited/prevented from parking near cargo conveyances?88If available, are the parking lots for visitors separated from those for employees?89Are vehicles prohibited/prevented from parking near the perimeter fencing?90If allowed to enter facility area, are vendor and visitor vehicles inspected?91Are visitor parking lots located away from entrances and exits?92Are employee parking lots located away from entrances and exits?93Are visitor and employee personal vehicle parking lots are monitored by security guards during facility operating hours?94Does the facility require the use of visual identification for visitor parking (e.g