反恐资料

CTPAT New Wave Group CTPAT Self-Assessment 纽威集团关于海关-贸易伙伴反恐报自我检查 Supplier Name: (Legal Name) Factory Name: (Legal Name) Fulfilled by: (Name; Title) Fulfilled Date: (YY/MM/DD) # Item Question Scoring Physical Security Status Scoring 1.1 Physical Security Are the cargo area or storage facilities clearly marked, and fix the physical barriers or other warning signal to guard the facilities? 0 实体安全 货物存放区域是否设置标识，并在此区域设置围栏及警示擅入标志以保护该区域？ 1.2 Fencing Are the fencing integrity and have no damage? Does the factroy have an interior fencing with cargo handling structure to segregate domestic, international, high value and hazardous cargo ?Is the maintenance record of the fencing kept? 0 围栏 围栏是否保持完整没有损坏？工厂是否有设置一个内部围栏用以区分国内，国际，高标准及有害货物？工厂是否定期维护围栏并保留维护记录？ 1.3 Access Device Control Are any of changing, removal all kinds of keys, cards, card keys documented? Does the factory have the policy to stipulate the responsibility of each employee? 0 进出设施控制 工厂是否保存钥匙或卡片使用及变更移交记录？工厂是否制定相关制度规定员工的相关职责？ 1.4 Gates And Gate House Are all kind of gate, for the entering and exiting of vehicles and personnel monitored?Does it have the positioned safeguards? Are the quantity of the gates and entrance met the basic requirement? 0 大门及门房 工厂用于进出的所有大门，是否都有人员管理？是否配置驻守保安？大门和进口是否已满足基本要求？ 1.5 Parking Does the factory have a separated parking area? Is the parking mixed or adjacent to the cargo handling area? And the parking are clearly marked and cordoned? 0 停车 工厂是否分别设置停车区域，以避免与货物处理区域车辆混淆，停车区域是否清楚的设置标志标线？ 1.6 Building Is the building capable of resisting unlawful entering. Is the integrity of the building periodically checked ? If need repair, Is the record kept? 0 建筑物 建筑物是否能抵挡非法入侵？是否定期检查建筑物的完整性，如有维修，是否保存记录？ 1.7 Locking Devices And Key Controls Are all external and internal windows, gates and fences secured with locking devices.?Does the management or security personnel control the issuance of all locks and keys. Are the issue, change, removal of the keys documented and recorded? 0 锁闭装置和钥匙管理 是否所有外部和内部窗户，门，围栏是否可以上锁？管理人员或安全人员是否控制所有锁和钥匙的发放？这些发放，改变，取消是否记录和登记？ 1.8 Lighting Is adequate lighting provided inside and outside the facility including the following areas: entrances and exits, cargo handling and storage areas, fence lines and parking areas ? 0 照明 是否在工厂内的以下区域内提供足够的照明：入口和出口，货物处理和存储区域，围栏和停车区域？ 1.9 Alarm System And Video Surveillance Has the factory utilized the alarm or video surveillance to monitor, or report, record the unauthorized entry or break? Are video recordings tapes kept a minimum of 30 days? 0 报警系统和录像监控 工厂是否安装报警或视频监控用以监督，，记录未授权的进入或破坏？相关视频记录是否保存30天？ 1.10 Electonic Motion Dector Does the factory have electronic motion detectors and alarms that cover all critical areas?Has the factory electronic motion detector linked to a single,central alarm system? 0 电子移动监测器 工厂是否安装红外线报警器并与中央报警系统相连接？ 1.11 Incoming Inspection Are incoming trucks/trailers/containers subject to inspection for contents ？ 0 进入检查 进入的卡车/拖车/货柜是否检查其内容？ 1.12 Outgoing Inspection Are outgong trucks/trailers/containers subject to inspection for contents ？ 0 出发检查 出发的卡车/拖车/货柜是否检查其物品？ 1.13 Electonic Test Are electronic systems maintained and tested periodically? 0 电器测试 工厂内的电器设施是否进行定期的维护和测试？ # Item Question Scoring Container Security Status Scoring 2.1 Container Inspection Does the factory have the procedures to verify the physical integrity of the container structure prior to stuffing, to include the reliability of the locking mechanisms of the doors.?A seven-point inspection process is recommended for all containers, including front wall, left/right side, floor, and ceiling/roof, inside/outside doors. Outside / undercarriage. Does the above seven point inspection have the relevant inspection record? 0 货柜检查 工厂是否有制度标明在装货前验证货柜的完整性，包括门的上锁可靠性？对所有货柜推荐进行七点检验程序，包括墙，左/右侧，底部，顶/天花板，内/外站，外侧/底架。以上七点检验是否有相关记录？ 2.2 Container Inspection Document Does the documentation include evidence of container inspection, including date and name of employee who inspected trailer. Does the factory have a full set of form to record the date and name of the employee? 0 货柜检查文件 文件资料是否包含货柜检查证明，检查日期，检查员姓名？工厂是否有一套文件以记录相关检验的日期和姓名？ 2.3 Container Security Does the factory have the container integrity to protect against the introduction of unauthorized material and/or persons. At point of stuffing, Are there the procedures in place to properly secure and maintain the integrity of the shipping containers? A high security seal must be affixed to all loaded containers bound for the U.S. Do all seals meet or exceed the current PAS ISO 17712 standards for high security seals? 0 货柜安全 工厂是否保持货柜的完整性以防止未授权的物料/人员混入？在装载时，是否有制度保证和维护货柜的完整？对于前往美国的货柜应粘贴高度安全的封印，所有封印是否达到或超过目前PAS ISO 17712标准？ 2.4 Container Seal Does the factory check all the seals before the cargo departure? the type of the seals should be kept a high level. Does the factory record the seals level to make improvement? 0 货柜封印 工厂是否在货物寄出前检查所有封印？封印的类型应保持高的标准。工厂是否记录封印类型以进行提高？ 2.5 Container Storage Does the factory have a separated container area ?Are the container are clear marked ? 0 货柜存储 工厂是否有独立的货柜区域？该区域是否清楚标明？ 2.6 Seal Procedure Does the factory have a written procedures which stipulate how seals are to be controlled and affixed to loaded containers - to include procedures for recognizing and reporting compromised seals and/or containers to US CBP or the appropriate foreign authority? 0 封印程序 工厂是否有一个面程序，以说明封印用于集装箱的流程，包括识别并向美国海关或合适国外机构报告对封印或集装箱有危害的行为？ 2.7 Container Photo Does the factory take the photos of the container ? Which including photographing the container with record(empty,1/3,2/3,full container)? 0 货柜拍照 工厂是否对集装箱的装货情况进行拍照，并保存其记录(空柜,1/3,2/3,满柜）? 2.8 Seal Distribution Are seals distributed by designated employees only?Does the factory have the name list of who could distribute the seals. Who have the authorization? 0 封印分发 封印是否由专人发放，工厂是否制定允许发放的人员名单？ # Item Question Scoring Procedural Security Status Scoring 3.1 Suspicious Training Have the procedure in place to provide the additional training to employee,especially of the shipping and receving department,which including how to receive and open the mails? 0 可疑 在船运和接收部门，是否对员工提供额外培训，含如何接收和打开邮件？ 3.2 Shipping & Receiving Are all the cargo checked with the cargo manifest ? Does the factory have specific person to check the weights, labels, marks, and piece count? Are all the cargo information in accordance with the order purchase?and Is there a written procedure in place? 0 船运和接收 所有货物是否与货物清单相核实？工厂是否有专门人员检查重量，标签，标识和数量？所有的货物信息是否与订单信息相符，是否有书面核实程序？ 3.3 Cargo Discrepancies if any discrepancies or abnormal found, Does the factory inform the local customs or other local law policy,is there a written procedure in place ？Are all the events recorded and documented? 0 货物偏差 如果发现差异或异常，工厂是否通知海关或当地警方？所有的事故是否都记录和存档，是否有书面程序？ 3.4 Package And Mail Screening Does the factory scan or record all the package and mail?does the factory have a designated person to do this.?Otherwise, the package or mail will not be disseminated.and Is there a written procedure? 0 包裹和邮件挑选 工厂是否检查或记录所有的包裹和邮件？工厂是否指定员工负责？工厂是否制定相关制度？ 3.5 Manifesting Procedure Does the factory keep the integrity of cargo received from abroad ? Are there procedures in place to ensure that information received from business partners is reported accurately and timely? If the information received from business partner is not accurately, Does the factory make the record, and keep the record ? 0 载货单程序 工厂是否保持进口货物的完整性？是否有程序保持从商业合作伙伴处的信息是准确及时的？如果从商业合作伙伴处报告的信息是不准确的，工厂是作相关记录并保存记录？ 3.6 Documentation Process Are all information used in the clearing of merchandise/cargo, legible, complete, accurate, and protected against the exchange, loss or introduction of erroneous information? Does documentation control include safeguarding computer access and information? 0 文件进程 所有用于清理商品/货物的信息是可读，完整，准确的。并可防止交换，丢失或引入错误信息？文件控制是否包含保护电脑进入和信息？ 3.7 Shippping Mark Is there a unique shipping mark generated for each purchase order that gives the consignee the ability to verify that each shippment is legitimate ?is the same shipping mark never used twice? 0 船运标记 针对每一个订单是否只有一个唯一的船运标记，以使收件人有能力去识别每一次船运的合法性？同一个船运标记是决不会使用两次的？ 3.8 Seucrity Assessment Does the factory conduct random,documented security assessments on a regular basis? 0 安全评估 工厂是否定期进行，随机且有记录的安全评估？ 3.9 Stationery And Logo Are the factory stationery and logo(stamps,tape,carton bearing the company's logo) controlled and their use is monitored 0 文具和标签 工厂的文具和标签（印章，带，含公司标签的纸箱）是否受到控制和管理？ 3.10 Business Document Are the security business documents,including purchase orders, invoices,manifest,customer information,and archieved records are restricted and secure? 0 商业文件 包括订单，发票，装货单，客户信息，和旧的记录在内的商业文件是否受到限制，并且保持安全？ # Item Question Scoring Physical Acess Controls Status Scoring 4.1 Employee Identification Does the factory issue the employee card to the employee?Does the employee card contain the information of the employee ?the employee could enter the factory gate or authorized area with this card ? 0 员工识别 工厂是否对员工发放员工卡?员工卡是否包含员工的有关信息？员工是否须使用此卡方可出入大门或受权区域？ 4.2 Employee Access Are only designated people capable of entering the authorized area? Does the employee work in the authorized area or department? Does the factory train the employee about the procedure? 0 员工进入 是否仅有指定人员方可进入受权区域，工人是否在授权区域或部门工作？工厂是否培训工人相关程序？ 4.3 Visitors Does the factory register the visitor information? Does the visitor present the identification for the record?During the visiting factory,Does the visitor display the visitor card visibly .and be escorted by the factory employee? 0 访客 工厂是否登记访客信息？访客是否出示识别证并记录？在访问工厂期间，访客是否佩戴访客证，并由工厂员工陪同？ 4.4 Driver Identification During receiving or releasing the cargo ,Are the drivers positively identified and make the relevant record of the driver's information? Do the safeguards interogate what reason for entering? 0 司机识别 工厂接受或发放货物时，是否对司机进行识别并记录相关信息？保安人员是否核实进出原因？ 4.5 Delivery Does the factory have the proper vendor ID or photo presentation upon the arrival?does the factroy keep the relevant record? 0 收发 工厂是否拥有供应商代码或照片用以对供应商进行识别，工厂是否保存相关记录？ 4.6 Annual Checking Does the factory review the employee identification card on an annual basis? 0 年度核查 工厂是否每年核查员工卡？ 4.7 Extended Absences During the extended absences,does the employee's access to the factory and information is temporarily suspended until his/her return? 0 长期缺席 对于长期请假的员工，工人是否暂停其进入工厂的权限直到他恢复工作？ 4.8 Restriction On Access Are employees' entry and exit time are restricted according to their working schedule? Are the attempts to access work area outside normal hours are recorded and investigated? 0 进出限制 工人的进出时间是否根据他们的工作安排而有限制？在非工作时间的进入是否作相应记录其事由？ # Item Question Scoring Personnel Security Status Scoring 5.1 Personnel Security Does the factory conducts employment screening and interviewing of prospective employees including periodic criminal background checks and application verification? 0 人事安全 工厂是否对在职员工和面试员工进行犯罪记录调查？ 5.2 On-going Background Checking And Investigation. For the important or sensitive position .Does the factory HR department or management periodically check the employee background or investigation? Are the document recorded ? 0 背景调查 对于重要或敏感职位，工厂人事或管理部门是否定期检查员工背景 ？是否有文件记录？ 5.3 Employee Awareness Are employee informed and aware of a written factory's policy that addresses security practices and violations(interview at least 3 employees) 0 员工意识 工厂是否对员工进行安全纪律制度的培训？(员工面谈3人以上） 5.4 Termination Procedure Are presonnel termination procedures in written established to ensure termination procedure are strictly followed? 0 解聘程序 工厂是否已制定书面的离职程序并严格执行？ 5.5 Terminated Access Does the factory keep the employee termination records? Will the factory removal the access and authorization of the employee ? 0 解除权限 如果员工离职，工厂是否有相关记录标明已解除该员工的进入授权？ # Item Question Scoring Security Training And Threat Awareness Status Scoring 6.1 Reporting Threat Does the factory have the policy to report the threat ?Does the factory have the security manager ?what the manager name and contact?Does the factory have the designated person to train the employees ? Does the training include how to report, and report to whom? Are all the tainings documented? 0 报告威胁 工厂是否有一个制度报告威胁？工厂是否有安全经理？安全经理的姓名和联系是什么？工厂是否有指定人员培训员工？培训是否包含如何报告，以及向谁报告？所有培训是否记录？ 6.2 Threat Awareness Does the factory have a threat awareness program which maintained by security personnel to recognize and foster awareness of the threat posed by terrorists at each point in the supply chain ? Does the factory report the threat immediately once the threat occurs ? 0 威胁意识 工厂是否有安全人员负责识别由恐怖分子在供应链各点构成的恐怖威胁的安全意识？工厂是否有发生威胁事件时的报告制度？ 6.3 Challenging And Removing Unauthorized Persons Does the factory set up a clear procedure to challenge and remove authorized persons? Does the factory record the whole process?and the actions are appropriate? 0 质疑和解除未授权人员 工厂是否有程序以质疑和解除未授权人员？工厂是否对整个经过作记录，工厂采取的行为是否恰当？ 6.4 Security Training Are the security training offered to assist employees in maintaining cargo integrity, recognizing internal conspiracies, and protecting access controls? Are all the training documented?Does the factory have the internal and external communication protocols in place to notify security personnel and law enforcement in the event of an incident?Are internal reviews conducted annually for unannunced assessment for operation,and have a document security improvement plan? 0 安全培训 工厂是否提供安全掊训以帮助员工维护货物完整，识别内部阴谋，保护进入控制？所有的培训是否作有记录？内部是否每年作不通知的安全评估，是否有文件记录的安全改善？ 6.5 Incentive Of Participation Does the factory incentive the person who is active in participation? The incentive should be detaiedl and open? 0 参与奖励 工厂是否对积极参与者进行奖励？这些奖励的内容是否公开? 6.6 Employee Meeting Does the factroy conduct periodic employee meeting where security issues can be discussed and reported in order to increase the security awareness? 0 员工会议 工厂是否举行定期会议讨论和报告有关安全问题以提高安全意识？ # Item Question Scoring Information Technology Security-Computer System Status Scoring 7.1 Password Protection Does the factory have the written IT security policy, the policy should include the designated IT supervisor, the daily working routine of the IT department. ?Are the computer passwords changed periodically? Does the factory have the policy stipulate how long time should change the IT password ? who will responsible of change the computer password?Does the factory have the designated person to make the record of any change of computer password ? 0 密码保护 工厂是否有书面的IT安全制度，该制度须指定IT总管，IT部门的工作职责？工厂的电脑密码是否定期更换？工厂是否有制度说明多久更改电脑密码？谁将负责更换电脑密码？工厂是否有指定人员负责电脑密码的更改记录？ 7.2 IT Security Policy Does the factory have IT security policies and procedures in place and provided to employees in the form of training ?Does the factroy have independent IT area? 0 IT安全制度 工厂是否有IT安全制度及流程，并将这些以培训的形式提供给员工？工厂是否有单独的IT区域？ 7.3 Accountability Does the factory have a system to identify the abuse of IT including improper access, tampering or the altering of business data? Are all system violators subject to appropriate disciplinary actions for abuse? If above events occurs, does the IT department make the record of the improper access, tampering or altering of business data? If have the disciplinary actions, Are they open or explain to the employee,and let the employee acknowledge the dangerousness of the improper actions ? 0 责任 工厂是否有一个系统以识别非法使用IT，包括非法侵入篡改商业数据？是否所有的非法入侵者将因此受到纪律处罚？如果以上事件发生，IT部门是否记录这些非法入侵篡改商业数据的行为？如果将采取纪律处罚，是否是公开的并向员工解释，并让员工认识到此类非法行为的危害？ 7.4 Computer System Is the access to computer system is monitored and reviewed periodically? 0 电脑系统 进入电脑系统是否受到监管并定期核查? 7.5 Hardware Security Is hardware security controlled and monitored ？Such as controlling working station,security server,password protected screen servers 0 硬件安全 电脑硬件安全是否受控制和监督？如控制工作平台，安全服务器，受密码保护的服务器。 7.6 Contigency Plan Does the factory have a contigency plan to protect its IT systems.which include a full IT disaster recovery plan to prepare for any unforeseen incidents. 0 应急计划 工厂是否有一个保护IT安全的应急计划？如针对任何无法预见的事故的IT故障恢复计划？ 7.7 System Back-up Does the factory conduct system back-ups daily that are stored in a safe and secure place? is the additional back-ups stored off-site? 0 系统备份 工厂是否每天进行系统备份并安全存放？对额外的备份是否单独存放？ 7.8 Documentation Security Does the factory have the documents management policy, to stipulate the confidential classification of different types of documents?And are there designated persons to contact/adopt the confidential documents.Are these documents storaged in a seucre place ? 0 文件资料安全 工厂是否有文件控制制度，以说明不同文件的保密级别？是否只有指定的人员方可接触/使用受控文件,这些文件是否存放在安全区域？ &R&P of &N 作者: Yes = 1 No = -1 N/A = 0 作者: Yes = 1 No = -1 N/A = 0 作者: Yes = 1 No = -1 N/A = 0 作者: Yes = 1 No = -1 N/A = 0 作者: Yes = 1 No = -1 N/A = 0 作者: Yes = 1 No = -1 N/A = 0 作者: Yes = 1 No = -1 N/A = 0