Staples Factory Audit Report Security OnlyV07.docx
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Staples Factory Audit Report Security OnlyV07.docx
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StaplesFactoryAuditReportSecurityOnlyV07
FactorySecurityAssessmentReport
TheVendorCertificationprocesswillbeginwithanauditofthesecuritysystemofthefacilities.Itincorporatesagradingsystem,whichwillbeusedasaguideforselectingandimprovingStaples’suppliersofPrivateLabel,ContractedManufacturedandDirectImportproducts.
OutlinedbelowistheAuditingRatingScale,thecriteriaandassociatedauditingandfollow-upfrequency.
CertifiedVendor–Reauditinoneyear
C-TPATSecurityAssessmentScoreofatleast80%withnocriticalviolations
CertifiedVendorwithCorrectiveActionRequired–CompleteCAP/Reauditinoneyear
C-TPATSecurityAssessmentScorebetween70%to79%withnocriticalviolations
Failed
C-TPATSecurityAssessmentScorebelow70%oracriticalviolationisfound
StaplespersonnelorourdesignatedrepresentativewillperformallAuditsandCAPfollow-ups.
LastUpdated:
February1,2007
FactoryInformation
FactoryName:
Address:
Telephone:
Fax:
E-mail:
Agent:
TypeofAudit:
()InitialQualification()CriticalIssueorCAPFollow-upAudit
()RecertificationAudit()Post-probationAudit
()Other(pleasespecify):
SCOREOFTHEC-TPATSECURITYASSESSMENT
AssessmentScorePassConditionalPass*Fail
*CorrectiveActionPlan(CAP)Required
STATUSANDNEXTACTIONDUE
CertifiedVendor–Reauditinoneyear
C-TPATSecurityAssessmentScoreofatleast80%withnocriticalviolations
CertifiedVendorwithCorrectiveActionRequired–CompleteCAP/Reauditinoneyear
C-TPATSecurityAssessmentScorebetween70%to79%withnocriticalviolations
Failed
C-TPATSecurityAssessmentScorebelow70%oracriticalviolationisfound
Auditor’sName
ApprovedBy
Date
COMPANYORGANIZATIONMetduringAudit?
ManagingDirector/GeneralManager()Yes()No
SalesManager/MarketingManager()Yes()No
PlantManager()Yes()No
QC/QASupervisor/Manager()Yes()No
ProductionManager/FactoryManager()Yes()No
Factoryhasbeeninoperationsince
STAFFINGINFORMATION
ManufacturingPersonnel:
QualityControllers:
Engineers:
PRODUCTIONINFORMATION
MajorCustomers_________________________________________________________
MonthlyProductionCapacity___________________RequiredLeadTime____________
MainProductsProduced____________________________________________________
MajorMachinery:
ManufCalibrRemarks:
Date:
Date:
A.GENERALSECURITYCONDITIONSOFFACILITIES
1.Howmanybuildingsareoperatedatthislocation?
_____
2.Facilitybuilding(s)owned,rented,orleased?
____Owned____Rented____Leased
3.Size(s)ofthebuilding(s)insquaremetersorsquarefeet?
_____
4.Constructionofbuildings?
___Concrete___Wood___Metal___Other:
__________
5.Whatisthecurrentfacilityheadcount?
Total____
Management:
_____Manufacturing:
_____QA:
_____Admin:
_____Other:
_____
6.Howmanydaysperweekdoesthefacilitycurrentlyoperate?
_____
7.Numberofworkershiftscurrentlyoperating?
_____
8.Describecurrentshiftschedule(hours,#ofworkerspershift,etc.)_____
9.Whattypeofworkersdoesthefacilityemploy?
_____Union_____Non-Union____Both
10.Claimeddailyorweeklyoutputforthisfacility?
_____Units
11.Doesthefacilityunloadshippingcontainersof()Yes()No
components/rawmaterialson-site?
12.Doesthefacilityloadshippingcontainerswithfinished()Yes()No
producton-site?
13.Ifthefacility’sawarehouse,whattypeofcargoisstoredthere?
_____Bonded_____Non-Bonded_____Both
14.Doesthefacilityuseanyoff-siteprocessingfacilities,()Yes()No
warehouses,orsubcontractorsduringthemanufacturing
oftheproductsinconcern?
ItemNo.:
Remarks:
ItemsMarkedwithareconsideredcriticalitems.Any“NO”responsesinthesecategorieswillresultinanimmediateFailureoftheSecurityAssessment.
Yesanswersscore1,2,or5pointsasindicated.Noanswersscore0points.
B.
PROCEDURALSECURITY
YES
NO
SCORE
15.
DoesthefacilityhaveaSecurityPolicy(System,Procedure,orManual)thatisdocumentedinwriting?
(Note:
ThismaybeastandalonedocumentorpartofaQualityManualorProceduresManual)
16.
Isthereadesignatedmanagerorgroupresponsibleforsecurity?
2
0
17.
Doesthefacilityhaveadequateproceduresinplacetoprotectagainstunmanifestedorunapprovedparts,componentsorrawmaterialsbeingintroducedintoproduction?
5
0
18.
Doesthefacilityhaveadequateproceduresformonitoringanddocumentingthemovementofincomingandoutgoingproducts?
5
0
19.
Doesthefacilityhaveadequateproceduresinplacetoprotectagainstunmanifestedorunapprovedfinishedproductsbeingswitchedwithorplacedwithacceptableproductsbeforeshipmentfromthefacility?
5
0
20.
Doesthefacilityhaveadequateproceduresforverifyingandsecuringsealsonincomingandoutgoingshippingcontainers,trailers,railcars,trucks?
5
0
21.
Doesthefacilityhaveadequateproceduresforcomparingcargoagainstmanifestdocuments(propermarking,weighing,counting,etc).
2
0
22.
Doesthefacilityhaveadequateproceduresfordetectingandreportingofshortagesoroverages?
1
0
23.
Doesthefacilitymanagementconductrandom,documentedsecurityassessments?
2
0
24.
DoesthefacilitymaintainanupdatedfileofCorrectiveActionproceduresforsecurityissues?
5
0
25.
Doesthefacilityhaveadequateproceduresfornotifyinglocallawenforcementandotherauthorities(i.e.Customs)incaseswhereanomaliesorillegalactivitiesaredetected,orsuspected?
2
0
26.
Doesthefacilityhaveavendorcertificationprogramforrawmaterialsvendors?
1
0
27.
Inthecaseofauthorizedsubcontracting,doesthefacilityprovideadequatesupervisionofsubcontractorstoensurecompliancewithsecurityissues?
2
0
28.
Isthefacility’sdocumentfilingsystemforclientinformation,productspecifications,manifests,andsecurityprocedures/recordsrestrictedandsecure?
2
0
29.
Doesthefacilityrestrictaccesstofiles,telephones,computers,computerdisksandstoragedevices,faxmachinesandsimilarequipmentandisthisequipmentlocatedinsecureareasatalltimes?
2
0
ItemNo.:
Remarks:
C.
PHYSICALSECURITY
YES
NO
SCORE
30.
Isthefacilityconstructedandmaintainedproperlytoresistunlawfulentry?
(solidwalls/ceilings,perimeterfences,workinglocksand/oralarmsonexternalandinternaldoors,windows,gatesandfences,etc.)
31.
Isthereadequateandfunctioninglightinginsideandoutsidethefacility?
5
0
32.
Doesthefacilityhavededicatedsecurityguard(s)onduty?
5
0
33.
DoesthefacilityhaveanyelectronicsecuritysystemsuchasCCTVcameras,electronicmotiondetectorsorautomaticalarms?
5
0
34.
Doesthefacilityhaveadocumentedprocedureinplacetoserviceandtesttheirelectronicsystems?
2
0
35.
Doesthefacilityhavesecuritycamerasthatcoverallcriticalareas(allexternalexitdoors,loadingdocks,productionareas,etc.)
5
0
36.
Doesthefacilitymaintainrecordedsecuritytapesinasecureareaforatleast30days?
1
0
37.
Doesthefacilityhaveelectronicmotiondetectorsandalarmsthatcoverallcriticalareas?
5
0
38.
Doesthefacilityhaveelectronicmotiondetectorslinkedtoasingle,centralalarmsystem?
1
0
39.
Doesthefacilityprovideforsegregationandmarkingofinternational,domestic,high-value,anddangerousgoodscargowithinthefacilitybyasafe,cagedorotherwisefenced-inarea?
2
0
40.
Areincomingtrucks/trailers/containerssubjecttoinspectionforcontentsandcleanliness?
2
0
41.
Areoutgoingtrucks/trailers/containerssubjecttoinspectionforcontentsandcleanliness?
2
0
42.
Doesthefacilityhaveadesignatedprocedureandrestrictedholdingareaforsegregatingnon-conformingmaterialsandfinishedproducts?
2
0
ItemNo.:
Remarks:
D.
ACCESSCONTROL
YES
NO
SCORE
43.
Doesthefacilityhaveanadequatesysteminplacetopreventunauthorizedaccess?
44.
Doesthefacilityrestrictemployee/visitoraccesstokeysandsecuritysystems/codes?
5
0
45.
Doesthefacilityrequirepositiveidentificationofallemployees,visitors,andvendors?
5
0
46.
Doesthefacilityrequireallvisitorsto“signin”?
2
0
47.
Doesthefacilityhaveanupdated“signin”book?
2
0
48.
DuringthisAssessmentwastheauditorrequiredto“signin”?
1
0
49.
AreallemployeesissuedIDbadges?
2
0
50.
AreallvisitorsissuedIDbadges?
2
0
51.
DuringthisAssessmentwastheauditorissuedanIDbadge?
1
0
52.
Doesthefacilityhavesignspostedstatingrequirementsforaccessbyvisitors?
1
0
53.
Doesafacilityrepresentativeaccompanyallvisitorsatalltimes?
2
0
54.
DuringthisAssessmentwastheAuditoraccompaniedbyafacilityrepresentativeatalltimes?
1
0
55.
DoesthefacilityhaveaCardAccessSystemforemployees?
5
0
56.
IffacilityhasaCardAccessSystem,doesitcoverallexternalexits?
2
0
57.
IffacilityhasaCardAccessSystem,arerecordsofdailytransactionsmaintainedinasecureareaforatleast60days?
1
0
58.
IffacilityhasaCardAccessSystem,isadocumentedprocedureinplacetoserviceandtestthesystem?
1
0
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