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1、Manufacturing and Warehouse Self-AssessmentCustoms Trade Partnership Against TerrorismC-TPAT Distribution Date: Rick Harrison, Operations Vice PresidentEmail:Kmart Far East Limited18 Floor, United Centre,95 Queensway, Hong Kong.Phone: Fax: Response Due: Introduction: As a result of the events of Sep
2、tember 11th the United States has undertaken a number of initiatives to improve U.S. Border Security. One of these initiatives is the Customs Trade Partnership Against Terrorism, referred to as C-TPAT. C-TPAT is a joint government/business initiative to improve supply chain security. Customs has rec
3、ognized that protecting our borders from terrorism requires the close cooperation of importers, foreign manufacturers, and transportation and distribution service providers. The C-TPAT program is voluntary. C-TPAT provides importers and their trade partners the opportunity to join in the war against
4、 terrorism and to ensure the timely delivery of imported goods into the United States. Through this initiative U.S. Customs is asking businesses to ensure the integrity of their security practices and to communicate these practices to their business partners within the supply chain. Further informat
5、ion is available at www.customs.treas.gov. Kmart has signed an agreement with United States Customs and is committed to assessing and improving supply chain security. It is our intent to work with our business partners as a team to improve supply chain security practices. The first step in the proce
6、ss is the attached supply chain self-assessment. Please complete the attached supply chain self-assessment and return it no later than June 17, 2003. Please email to KFEmails.Reply to: An electronic copy of the completed Microsoft Word document attached to an email is the preferred form of response.
7、 If you cannot reply by email, our fax number and mailing address are provided below. If sending a hard copy please be sure to allow for enough time to ensure receipt by June 17, 2003 . Please reply to:Via email KFEmailsVia MailKmart Far East LimitedUnited Centre,95 Queensway, Hong Kong.OrFax Manufa
8、cturing and Warehouse Security Vendor Self-Assessment Company Name & LocationRespondents Name and Title:Respondent Contact Information :Address: Email: lzmPhone: Section/QuestionYesNoBrief Description of Procedure and PracticesOr Why Not ApplicableA. Security Management System:1. Is there a mana
9、ger responsible for implementing security within the company or location? Please provide the security managers name and contact information2. Is there a designated security representative at each company location to supervise security practices and review the introduction and removal of cargo in the
10、 receiving and shipping process? 3. Do written security policies and procedures exist to include:· physical security· access controls· personnel security· education and awareness· manifest · conveyance security · shipping (inspection for accuracy/unmanifested mater
11、ial)· receiving (overages/shortages) 4. Is there a documented process for the timely reporting of security related incidents to Kmart Corporate Security, and law enforcement or Customs as appropriate if illegal activities or anomalies are detected or suspected?5. Are close working relationships
12、 maintained with local law enforcement authorities? 6. Are periodic internal audits/reviews/self-assessments conducted of security operations?7. Is there a documented security improvement plan? Please provide a summary of all identified security vulnerabilities and action plans to correct. 8. Do you
13、r contracts with sub-contract transportation and distribution service providers specify the minimum-security requirements expected of them?9. Do the minimum-security requirements placed on sub-contractors contain all the C-TPAT requirements? B. Physical Security and Access Controls: 1. Do written ph
14、ysical security standards exist?2. Are all company facilities protected by perimeter fencing or other barriers?3. Are all buildings constructed of materials that resist unlawful entry and protect against outside intrusion?4. Is security signage used at facilities?5. Are controls in place to prevent
15、unauthorized vehicles from entering the premises? 6. Are controls in place to positively identify drivers through photo identification or other means? 7. Is truck drivers access to the interior of the facility limited to a secure, segregated waiting area?8. Are controls in place to prevent unauthori
16、zed individuals from entering the facility or conveyances? 9. Are employees and visitors positively identified with photo identification or other means?10. Are records kept of visitors/contractors and are they provided identification badges?11. Are visitors required to be escorted?12. Is adequate li
17、ghting provided inside and outside the facility to include parking areas?13. Are all doors/windows/openings locked and alarmed to prevent unauthorized access to the facility?14. Is the alarm system monitored by a central station?15. Are buildings, truck/trailer yards, docks, parking lots and personn
18、el entrances monitored by recorded CCTV systems with a minimum or 30 day history?16. Do you utilize security officers on site? If yes, please describe coverage and duties. The duty is protect the company property and worker Human body the safety17. Do you inspect personal belongings upon ingress or
19、egress to the facility to prevent the introduction or removal of unauthorized material? 18. Are controls in place to prevent unauthorized access to computer systems and information? C. Human Resources (Personnel Security, Education & Awareness):1. Are pre-employment background investigations con
20、ducted that includes criminal searches and application verification to the fullest extent allowed by law?2. Are the same background investigations required of temporary and contract personnel? 3. Are temporary and permanent personnel and contractors subject to drug testing?4. Do all employees receiv
21、e security training both during new employee orientation and on an ongoing basis that covers, unauthorized access, maintaining cargo integrity, and the recognition of internal conspiracies?5. Do you have a documented Code of Conduct, or other forms of employee conduct guidelines?6. Do you have an em
22、ployee hotline or other means of communication to enable anonymous reporting of wrongdoing? We have the suggestion box and employee hotline7. Are employees encouraged and rewarded to report irregularities and wrongdoings? 8. Do personnel receive training in document fraud and computer security?9. Is
23、 there a process for handling terminated employees or contractors and preventing subsequent access to the premises?D. Shipping and Receiving Procedures (Manifest Procedures and Conveyance Security): 1. Are there written security procedures covering shipping and receiving operations to prevent cargo
24、loss or the introduction of unauthorized or unmanifested material? 2. Is access to the shipping and receiving areas restricted-to only those employees who work in the area/ 3. Are procedures in place to ensure unauthorized and unidentified persons are challenged and prevented access to the yard, shi
25、pping and receiving areas?4. Are personal vehicles and cars prevented from parking in the shipping, receiving and cargo areas? 5. Is the loading/unloading of trucks and trailers supervised to prevent the introduction of unmanifested material? If so, by whom?6. Are incoming and outgoing vehicles, dri
26、vers, containers, trailers and railcars verified and logged?7. Are the shipping and receiving dock doors and trailer/container/railcar storage yards monitored by recorded CCTV with a minimum of 30 days of history?8. Are adequate records kept of incoming and outgoing goods?9. Is there a procedure for
27、 detecting and reporting shortages and overages?10. Are finished products properly marked, counted, weighed (if necessary), documented and reported on the manifest and bills of lading?11. Is conveyance integrity maintained to prevent the introduction of unauthorized personnel or material into a cont
28、ainer, trailer, railcar, including physical searches and the use of locks and seals? 12. Are all trailers/containers/railcars of solid walled construction and in good condition?13. Are trailers/containers/railcars properly sealed and/or locked so tampering would be evident prior to departure?14. Are
29、 seal numbers recorded on the shipping instructions and records kept of seal numbers and verified at the arrival point?15. Are seals kept under lock and key to prevent unauthorized access? 16. Are shipments secured to prevent pilferage or the undetected introduction of unmanifested goods (e.g. shrin
30、k-wrapped or banding). 17. Are procedures in place to ensure that manifests are complete, legible, accurate, and submitted to Customs in a timely manner?18. Are containers (empty and full) stored in a secure yard to prevent unauthorized access, theft or the introduction of unmanifested and unauthori
31、zed material? 19. Are international, domestic, high-value, and dangerous goods properly marked, segregated, and secured by a safe, cage, or fenced-in area with access restricted to need?E. Other Security Measures:Please Note any additional security measures taken below that were not covered above. We train the workers safe consciousness everyday