沃尔玛反恐最新要求自我评估表-中英文对照版

1、Supply Chain SecurityPre-Assessment ChecklistGeneral Merchandise, Food, and Goods Not For Resale Sourcing FacilityFebruary 2013中文版排在英文版之后，供参考A Walmart sourcing facility must possess security standards and procedures to guard against the introduction of unmanifested cargo, such as illegal drugs, expl

2、osives, weapons, and people into outbound shipments. A facility must comply with all domestic laws, rules and regulations governing the sale of goods and will cooperate with local, national, and foreign customs agencies to protect the supply chain from illegal shipments.This Pre-Assessment Checklist

3、 is used by a sourcing facility to determine their security status in preparation for an on-site audit to determine compliance with Walmart Security Standards. Mark each checklist question Yes, No, or N/A based on completing the requirement of the question. Provide a comment following each Category

4、for questions answered No or N/A.Send the completed checklist to the address below, if requested, based on the country where the facility is located: RegionContact address China and North Asiawgsscs1wal- Americaswgsscs2wal- Indian Subcontinent, Southeast Asia, wgsscs3wal- Australia, New Zealand, Phi

5、lippines Europe, Africa, Middle Eastwgsscs4wal-PERSONNEL SECURITYQUESTIONYESNON/A1. The facility has a written Employee Security Policy, which includes procedures for hiring, employment application and employee documentation, and screening of new employees. (Critical Question)· Facility must ha

6、ve a written Employee Security Policy that includes employee hiring, personnel records system, and a screening process. o The applicants name is verified by photo ID (country issued ID card, drivers license, passport, etc.).o Applicant's current address is verified.o Personal references, if any,

7、 are contacted.o Employment history is verified.QUESTIONYESNON/A2. The facility has a written policy to require that the Employee Security Policy is reviewed every 12 months to determine if updates are necessary.· The Employee Security Policy is reviewed every 12 months and updated where necess

8、ary and by documenting the 12 month review.QUESTIONYESNON/A3. Every permanent or temporary employee applicant completes a written employment application before being considered for employment.· Facility must require every prospective employee to complete an employment application prior to hirin

9、g.QUESTIONYESNON/A4. The facility has a written procedure to conduct a background check for an applicant applying to work in a sensitive position or a current employee working in a sensitive position.· The facility has a written procedure to perform a background check for sensitive positions su

10、ch as packing/loading area, security, shipping, IT managers, etc. · The facility has evidence of a background check. QUESTIONYESNON/A5. The applicant's photo ID card is reviewed during the application process. (Critical Question)· The facility must have a written procedure to review ap

11、plicants photo ID card prior to hiring. · Verification of this review is kept on file.QUESTIONYESNON/A6. A personnel file is maintained for each employee.· The facility must maintain a personnel file for each employee containing the original employment application, copy of the applicants p

12、hoto ID, documents verifying identity.QUESTIONYESNON/A7. The facility has a written policy to issue a photo identification card or an access card to each employee for access to the facility.· The facility must have a written policy to require issuing every employee including full-time, part-tim

13、e, and temporary an access credential. When an ID badge is issued it must include the employees picture and name and the employee must always wear their badge while at the facility. · High and Medium Risk: Either a photo ID or an access card is required. Although not required, the facility may

14、use a biometric system instead of photo ID or card access.· Low risk: The facility must have a written procedure that requires use of either a photo ID, access card, or a process by management/supervisors to verify only employees are permitted access. QUESTIONYESNON/A8. The facility has a writt

15、en procedure that requires review of the background check document every 12 months for an employee working in a sensitive position.· The facility must have a written procedure to review the background check of sensitive positions, such as packing/loading area, security, shipping, IT managers, e

16、tc., every 12 months. QUESTIONYESNON/A9. The facility has a written Employee Termination policy to remove the identification badge, facility access, and system access for an employee who is terminated or resigns?· The facility must have a written policy for employee termination.· The polic

17、y must include collection of and disabling of an employees facility identification, access keys and cards.· The policy must require that security and/or management is informed of employees who resign or are terminated. Personnel Security: Explain why a question was answered No or N/A.THREAT AWA

18、RENESS PROGRAM QUESTIONYESNON/A10. The facility has a written Threat Awareness Program to train employees about the security threat at each segment of the supply chain.· The facility has a written training program to discuss with employees the threat posed to the supply chain. · Training f

19、ocuses on security of the facility: access by only authorized employees and registered visitors, to report someone in a work area who does not belong there, especially in sensitive or restricted areas such as the shipping area, packing area, loading area, warehouse, systems rooms and to report attem

20、pted unauthorized access to a computer terminal, etc.QUESTIONYESNON/A11. The Threat Awareness Program trains employees on how to report a security situation or incident.· The program includes the procedure for an employee to report a security issue.· Employees are trained to report a possi

21、ble security breach, such as a broken window, broken door lock, breach in perimeter fence/wall/barrier, broken or inoperable security alarms/CCTV/exterior lights. · Employees are trained to report unusual activity.· Training provides examples of security issues and the reporting process to

22、 help employees understand the procedure.QUESTIONYESNON/A12. The Threat Awareness Program provides specific job related training to shipping and receiving employees? · The facility provides specialized training to shipping and receiving employees regarding access to sensitive work areas, report

23、ing unauthorized people in the work area, ensuring that only authorized cargo is loaded into the container or trailer, and how to report situations that may involve a conspiracy to use the supply chain for illegal purposes.QUESTIONYESNON/A13. Threat Awareness training is provided during new hire ori

24、entation and then every 12 months as refresher training to all employees.· The facility provides training to all new hire employees. · The facility provides training to all employees as refresher training at least every 12 months.QUESTIONYESNON/A14. Employees who report suspicious activity

25、 and security violations are given some form of encouragement.· The Threat Awareness Program includes providing an incentive to employees who report suspicious activity and security violations.· An incentive could include a certificate, recognition during a meeting, cash bonus, time off, o

26、r some other form of encouragement.QUESTIONYESNON/A15. Are Threat Awareness Program security procedures publicized in common areas of the facility? · The Facility posts security procedures in common areas frequented by employees.· The facility can determine the best method and manner in wh

27、ich to display the procedures. Threat Awareness: Explain why a question was answered No or N/A.PHYSICAL ACCESS CONTROLSQUESTIONYESNON/A16. The facility has a written policy to ensure that only authorized employees are permitted access to sensitive or restricted areas. · The facility must have a

28、 written policy stating that designated restricted areas or sensitive areas are required to have access controls determining who can enter the areaQUESTIONYESNON/A17. Does facility management review and update employee lists that authorize access to sensitive and restricted work areas? · Facili

29、ty management should review the list of authorized employees permitted to enter sensitive and restricted areas.QUESTIONYESNON/A18. A security guard or designated facility manager or supervisor is designated to monitor access to the facility.· Security guard(s) or designated member(s) of managem

30、ent perform patrols of the facility premises and report security incidents to the facilitys management team. · Facility has designated checkpoints to ensure patrols are made.Exception for a food pack house: a security force is not required. It is sufficient for a designated member of management

31、 or an employee to patrol the immediate premises, offices, and any other building on the premises. However, patrol of the produce field or orchard is not necessary.QUESTIONYESNON/A19. The facility periodically performs an inspection of an existing perimeter fence or wall to check for damage, attempt

32、ed illegal access, and needed repairs.· The facility should have a procedure for inspection and maintenance of and existing perimeter fence or wall.Exception for a food pack house: some pack houses may operate seasonally, in a temporary structure, in a temporary location, or are a field locatio

33、n. In these cases, a wall or fence is not required, therefore, mark the question as N/A. It is sufficient for these facilities to have natural barriers or to use roving security patrol or designated employees to patrol the perimeter.QUESTIONYESNON/A20. The facility has a written procedure requiring

34、employees to immediately report any security incident to facility management.· The facility should have a policy and procedure requiring that security incidents are reported, logged, and investigated.QUESTIONYESNON/A21. Does the facility have a written policy and procedures to deny access of em

35、ployees who either resign or are terminated? · The facility must have a written policy to deny access of employees who have resigned or been terminated. · A list of recently resigned or terminated employees should be updated whenever an employee is terminated or resigns. QUESTIONYESNON/A22

36、. Additional security monitoring is applied for a building or structure that adjoins the facility that could enable unauthorized entry.· In case of an adjoining structure or building that could allow access to the facility additional security measures are applied to mitigate the risk. For examp

37、le, additional fencing, a security guard, use of CCTV, or designated employees may be assigned to monitor the area.QUESTIONYESNON/A23. The facility uses Closed Circuit Television (CCTV) or another surveillance method to monitor activity in sensitive areas within the facility such as receiving, shipp

38、ing, final packing, main offices, the lobby, and the computer server/systems room. (Critical Question)· CCTV is not required. If CCTV is not used, the facility uses another surveillance method such as security guard patrols or designated management to monitor areas of the facility. · If th

39、e facility uses CCTV, determine if recordings are kept for a minimum of 30 days.QUESTIONYESNON/A24. The facility has a written procedure that requires a visitor and a pick-up/delivery driver to show photo identification before entry is permitted.· The facility must have a written procedure requ

40、iring security staff or a receptionist to verify the photo identification of a visitor. QUESTIONYESNON/A25. The facility has a policy to issue a serial numbered visitor badge to each visitor and maintain a Visitors Log.· A facility has a written policy to issue a visitor badge.· Visits are

41、 recorded in a Visitors Log (name, date, time in and out, who at the facility is to be visited, and the badge number). QUESTIONYESNON/A26. The facility has a written policy that all visitors are escorted while at the facility.· The facility must have a written policy indicating that all visitor

42、s are escorted. QUESTIONYESNON/A27. The facility has a written policy that requires a control log is maintained for any pick-up or delivery truck arrival and departure to include the driver's name, drivers license number, truck license number, reason for visit, and that the control log is kept f

43、or 30 days. (Critical Question)· The facility must have a written policy to log a trucks arrival and departure to include the drivers name, drivers license number, truck license number, time of arrival, time of departure, and reason of visit. The log is kept for at least 30 days.QUESTIONYESNON/

44、A28. The facility has a written policy indicating that employees are not permitted to bring personal items into the final packing and shipping areas. (Critical Question)· The facility must have a written policy stating that no personal items (such as a lunch box, a purse, a backpack, etc.) are

45、allowed in the packing and shipping areas.· The facility may provide an appropriate location for employees to keep personal items while at the facility.Physical Access Controls: Explain why a question was answered No or N/A.PHYSICAL SECURITY QUESTIONYESNON/A29. The facility has appointed in wri

46、ting a company official responsible for facility, employee, and transportation security.· The facility has designated in writing a manager responsible for overall security to include creating the security policies and procedures and that physical security is accomplished in accordance with each

47、 security policy.QUESTIONYESNON/A30. The facility has a written policy that requires all security procedures are documented as either a policy or procedure. (Critical Question)· The facility must have a written policy that requires all security procedures are documented as a policy or procedure

48、. QUESTIONYESNON/A31. The facility security policies are reviewed every 12 months and updated when necessary. (Critical Question)· The facility requires that all security policies are reviewed every 12 months and necessary updates are made. QUESTIONYESNON/A32. A security assessment of the facil

49、ity site is conducted to identify weaknesses at least every 12 months? Are the weaknesses identified, recorded in a log, and corrected in a timely manner.· The facility must perform a security site assessment every 12 months. · Facility must document issues identified and take necessary co

50、rrective action. Exception for food pack house: some pack houses may operate in a temporary structure or a temporary location. In such cases, a site security assessment is not required. Mark the question N/A.QUESTIONYESNON/A33. The facility restricts access to cargo handling and storage areas.·

51、 The facility must use an appropriate method to ensure that only authorized employees and escorted visitors are permitted access to cargo handling and storage areas. · Cargo handling and storage areas should be designated as restricted areas and display signage.QUESTIONYESNON/A34. Facility acce

52、ss gates, exterior doors, and windows are secured with locking devices.· Locking devices could be a manual applied lock, locking bars, security latches, or electronically controlled devices.· Windows should be locked from the inside. Exception for a food pack house: some perishable food pa

53、ck houses may operate seasonally, in a temporary structure, in a temporary location. In such cases, there may not be any doors, windows or access gates. There may also be some “open” pack houses that have no walls, doors or windows. In this situation, mark the question not applicable (N/A).QUESTIONY

54、ESNON/A35. The facility has an intrusion detection system or a security surveillance method for sensitive/controlled access areas.· The facility can use either an electronic detection system or manual methods such as roving security guards or management/supervisors who monitor sensitive areas.E

55、xception for a food pack house: some perishable food pack houses may operate seasonally, in a temporary structure, or in a temporary location. There may also be some “open” pack houses that have no walls, doors or windows. In these cases, an intrusion detection system is not required. In this situat

56、ion mark the question N/A.QUESTIONYESNON/A36. The facility has a written Access Control Program that establishes responsibility to maintain control of all locks, keys and access cards? (Critical Question)· The facility has a written procedure for an Access Control Program that describes methods

57、 used to record and track of keys or other access devices issued to authorized employees for use within the facility. Exception for a food pack house: some perishable food pack houses may operate seasonally, in a temporary structure, in a temporary location that do not possess doors or gates that require the use of a lock/key or access cards. There may also be some “open” pack houses that have no walls, doors or windows. In these cases mark t