沃爾瑪C-TPAT（2006）部分調查問卷

編輯：admin 來源：未知日期: 2011-10-20 14:58

審核日期AUDIT DATE:
工廠/供應商名字FACILITY/SUPPLIER NAME:
工廠地址FACILITY ADDRESS (include Country)
在Wal-Mart註冊的工廠編號WAL-MART FACTORY ID NUMBER (Wal-Mart use only):
工廠管理者/負責人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-Martselecting 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	工廠是否有足夠的實體安全及屏障來阻止未經授權的進出？The factory has adequate physical security and barriers to guard against unauthorized access.	Y	N	N/A
1	工廠大門及四周是否有加設圍牆和可上鎖的大門? 圍牆是否有定時的巡查？Factory is enclosed within a secure fence and lockable gates? Fence is inspected on a routine basis.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

2	車輛與人員進出的大門是否始終有門衛駐守或監控？Gates through which vehicles and people enter or exit are always manned or monitored.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

3	窗戶，門，大門是否可上鎖？Windows, doors, gates are secured with lockable devices.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

4	出入口，貨物交接及儲存區，圍牆周邊及停車場的內部和外部是否有足夠的照明？There is adequate lighting inside and outside: entrances/exits, cargo handling and storages areas, fence lines and parking areas.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

5	厰區內是否裝有警報器和/或視頻監控錄像Alarms and/or video surveillance cameras are used to monitor the facility.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

B	是否達到工廠雇員相關安全需求？Factory employee security requirements are met.	Y	N	N/A
1	是否建立相應程式實施受聘員工的背景調查（以不違背當地法規為前提），如歷次受聘經歷和證明？Process in place to perform background screening of prospective employee, such as employment history and references (consistent with local regulations).
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

2	是否建立書面程式關於出入管制的發放，解除和更改（如門卡，身份識別卡等）？Documented procedure for issuance, removal and changing of access devices (key cards, ID badges, etc.)
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

3	雇員在進入厰區之前是否經過身份確認？Employee positive identification is used before entry into the facility.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

4	雇員是否只能進入其所在的工作區域？Employees have access to only those work areas necessary for performing their duties.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

5	是否建立相關程式關於解除離職雇員的身份識別卡以及進入資訊系統的授權？Procedure in place to remove factory identification and systems access for terminated employees.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

C	工廠是否有防止未授權進入的必要的內部安全措施？The factory has internal security necessary to protect from unauthorized access	Y	N	N/A
1	是否有自聘安全保衛：每天24小時，每週7天？如無，是否使用其他外聘安全服務？如果亦無，請詳細解釋。Employee security guards: 24 hours a day, 7 days a week. If not, is a Security Service used? If neither, explain.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

2	工廠保衛人員是否有接受背景調查及在職訓練? Security guards underwent a background check and necessary training.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

3	是否有書面程式提及如何質疑以及阻止未授權/未經核實的人員？Written procedure in place that addresses challenging and removing unauthorized/unidentified persons?
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

4	訪客是否需提交帶有相片的身份證供核實身份，並且在逗留期間始終由相関人員陪同或監控？Visitors present a photo ID for identification and are accompanied or monitored while at the facility.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

5	車輛進入廠區前司機是否經過必要的身份核實？Positive driver identification is necessary before a vehicle may enter the facility.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

6	工廠是否設有威脅意識課程教導員工認識恐怖分子的威脅？A Threat Awareness Program is maintained to recognize a threat by terrorist?
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

D	是否對裝貨區進行監控以防止未授權的物品裝入貨箱或貨櫃中？The Shipping Dock is supervised to prevent unauthorized materials from entering cartons or containers?	Y	N	N/A
1	裝貨區是否嚴格限定僅供授權的人員進出？Shipping dock is restricted to authorized employees only.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

2	是否不允許裝櫃員工攜帶個人物品進入裝貨區？Employees are not permitted to bring personal items into the shipping area.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

3	貨物的裝櫃或裝車是否在工廠的監控之下進行？Container stuffing or truck loading is performed only with factory supervision.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

4	雇員和訪客的停車區是否與裝貨區隔開？Employee and visitor parking areas are separated from the cargo loading area.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

5	是否建立和使用員工安全意識課程，指導關於貨物完整性，認識內部陰謀，以及維護進出管制的安全意識？An Employee Security Awareness Program regarding cargo integrity, recognizing internal conspiracies, and protecting access controls is available and used.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

E	鑰匙/貨櫃封條的控制Key Control and Seal Control procedures utilized.	Y	N	N/A
1	是否僅授權的員工可以存取鑰匙與貨櫃封條？Only authorized employees have access to keys and container seals.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

2	是否建立鑰匙控制日誌，以記錄收發日期、鑰匙名稱以及誰來領取和歸還鑰匙？A Key Control Log is maintained indicating the name and date of keys taken and returned - and by whom.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

3	是否建立貨櫃封條控制日誌，記錄當前存有的封條以及過去120天內所使用的封條？是否按封條號碼編寫，註明使用日期、貨櫃編號以及封條使用者的名字？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 #
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

4	是否使用關於如何匯報貨櫃封條丟失的程式（包括聯絡人和所採取的措施）？A procedure indicating how to report a missing container seal is used (contact person, action to take).
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

F	是否使用安全程式，以防止未經授權的物品進入發運的貨品內？A Security process is used to protect against unauthorized materials introduced into a shipment?	Y	N	N/A
1	在裝貨前是否對貨櫃的7個檢查點（櫃墻、左側和右側櫃墻、櫃地板、櫃頂/天花板、櫃門、櫃下部）進行檢查以防貨櫃被擅自改裝？Container 7-point inspection is made before stuffing to check for tampering (front wall, left and right side walls, floor, ceiling/roof, doors, undercarriage).
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

2	是否對發運貨櫃上的封條進行核查以確保其與船務檔上的封條一致？Seals on outbound containers checked to ensure that they match shipping documents?
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

3	發運貨櫃上是否僅使用符合ISO PAS 17712標準的高安全性封條？Only an ISO PAS 17712 High Security Seal is used on shipping containers.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

4	是否僅有特別指定的員工才能對發運的貨櫃安裝封條？Only designated appointed employees may install a seal to an outbound container.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

5	空櫃滿櫃是否儲存在固定的、有警衛的區域？Empty and loaded containers are only stored in a secure, guarded area.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

6	是否建立書面程式關於如何匯報未經授權進入貨櫃或貨櫃儲存區域的情況？Written procedure is in place to report unauthorized entry into containers or container storage areas.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

7	是否建立書面程式，以確保船務文件準確、完整、合法、防止被偷換、丟失或包含錯誤資訊？Procedures are written that ensure shipping documents are accurate, complete, legible, and protected against exchange, loss or introduction of erroneous information
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

G	貨櫃或貨物移送至裝船點途中是否受到保護？Container or merchandise movement to the ship point is protected.	Y	N	N/A
1	貨物運出之前是否對接貨的司機進行身份核實？Drivers picking up cargo are positively identified before cargo is released.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

2	貨櫃離厰前是否比照船務檔對貨櫃封條編號進行核實？Container seal number is verified against shipping documents when departing the factory.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

3	工廠方面是否指定一條安全/固定的運送路綫到裝船目的地，並指示司機僅可使用該路綫？Factory officials have outlined a safe/secure transit route to the shipment destination and instructed drivers to only use this route.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

4	是否指示司機向工廠方面匯報運送途中的任何延誤？Drivers are instructed to report any delay in transit to factory officials.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

5	是否指示司機匯報運送途中發生的任何未經授權的人員慾接近所運貨品的企圖？Drivers are instructed to report any attempts to gain access to the shipment by unauthorized persons.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

H	是否建立電腦系統的管制以防止未經授權的進入？ Computer Systems controls are in place to prevent unauthorized access.	Y	N	N/A
1	是否對每台電腦設定密碼並定期更換密碼？Computers must have individually assigned passwords which are changed periodically.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

2	電腦之登錄是否僅限於相關授權人士？Computer access is protected to authorized employees only.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

3	工廠大門及四周是否有加設圍牆和可上鎖的大門? 圍牆是否有定時的巡查？Factory is enclosed within a secure fence and lockable gates? Fence is inspected on a routine basis.
	工廠解釋Factory comments:

	審核員觀察專用欄Auditor's Comments (Wal-Mart use ONLY):

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