CTPAT Practice Guidelines
Required Document List
Record Documents Regarding Container Sealing (including license
plate, cargo number and seal number)
Record Documents for Incoming/Outgoing Goods (mainly finished
products)
Record Documents for Incoming/Outgoing Processed Materials
Record Documents for Raw Materials
Documents provided by customers, including details security
rules, specifications and product specifications
Employee Personnel Record
Factory Regulations and Rules
Detailed Security Rules and Manual for Workers
24hr/day Security Shift Record
Day-to-day Incoming/Outgoing Vehicle Record
Visitor Record
Post certificates for security guards and documents provided by
local governmental authorities verifying their identify
Chapter 1: Guidelines for Security and Safety Work
Purpose
The purpose of these procedures is to ensure that we comply with
US Customs CTPAT (Customs-Trade Partnership Against Terrorism)
security guidelines in the process of our product production,
storage and transportation in an attempt to avoid delayed customs
clearance at transport customs outside USA or to prevent thieves or
terrorists from taking advantage of the above aspects to smuggle
contraband goods into the United States.
Scope
These procedures are applicable to all safety maintenance
activities of our Security Dept within the factory.
Responsibilities
It is the responsibility of the Security Manager to take charge
of security planning and arrangements in the factory area.
Reference Documents
CTPAT US Customs-Trade Partnership Against Terrorism
guidelines.
Procedures
Security Training
All security personnel are required to receive security
education and trainings on recognizing hidden risks and identifying
internal conspiracies. Contents of training include: fire safety,
antiterrorism, check on incoming/outgoing personnel and vehicles,
and security maintenance in factory area.
Security Maintenance in Living Area
All employees are required to show valid employee cards (ID
cards) when entering and going out of the factory area. For those
without such cards, security guards should conduct relevant
cross-examination and keep them out. Visitors are required to
explain reason(s) of visit to security guards and complete Visitor
Record; after that, security guards may notify relevant employees
who should show notes issued by manager or factory director and
conduct relevant registry at Security Office before ushering any
visitor into the living area.
Security guards should maintain security in the living area,
have employees observe Dormitory Management Regulations, solve
disputes between employees and maintain normal living order.
Security guards should conduct unscheduled check on dormitory.
Once they find strangers there, they should cross-examine them
immediately, handle them correspondingly and report to local public
security bureau or police station for serious cases.
Security Maintenance in Factory Area
All employees are required to show valid employee cards when
entering and going out of the factory area or they should be
cross-examined and kept out of the factory area. To leave factory
area during working hours, employees should show Leave Permit
issued by department director or supervisor.
Visitors are required to explain reason(s) of visit at Janitor
Office and complete Visitor Record. After that, security guards may
notify relevant personnel by phone, issue VIP Card to visitors as
appropriate and decide whether to escort them based on actual
needs.
For incoming and outgoing vehicles, security guards should
conduct relevant registry in Record for Incoming and Outgoing
Vehicles and issue Driver Card when appropriate; release vehicles
in compliance with Leave Permit issued by warehouse, take back
Driver Card and record time of departure.
Security guards should keep monitoring on goods
loading/unloading zones, goods yards and parking places and keep
untrained or unauthorized personnel from entering such zones.
Security guards should conduct scheduled patrol in factory area,
cross-examine persons without valid certificates, keep relevant
records and report to local authorities for serious cases.
Security guards should implement Safety Improvement Plan,
maintain safety in factory area, conduct internal safety check on
quarterly basis and report relevant findings to security
manager.
Supervision on Goods Loading and Unloading:
When loading goods in goods loading zone, security manager or
his representative should conduct onsite supervision. Unauthorized
personnel or vehicles are not allowed to enter such zones.
After loading is complete, security guards should lock them up
immediately, and make sure that drivers send goods to factory after
they obtain transport sheet or report sheet issued by
warehouse.
Security manager or his representative should maintain
supervision on incoming materials in unloading zone and forbid
materials without shipping list to enter warehouse.
Dismissed Employees:
Personnel Dept should provide the name list of dismissed or
discharged employees. Security guards should supervise such
employees when they are packing their belongings and going through
relevant procedures, arrange for them to leave after work, conduct
check and cross-examination when they are leaving and take back
their employee cards.
After dismissed employees leave factory, security guards should
keep them from reentering factory area.
Fire Control:
Security guards should conduct monthly check on fire equipment
and submit written report to factory director once they find out
any outdated or damaged fire facilities.
Training on fire control and exercises on fire escape twice
every year.
Records:
Training Record
Visitor Record
Record for Incoming and Outgoing Vehicles
Chapter 2: Computer Security Management System
Computer equipment in this document includes computer equipment
in Computer Room and computer equipment installed by Computer Room
in other departments or units.
Requirements:
Software driver or CD-ROM is not installed in ordinary operation
departments. For computers installed with software driver or
CD-ROM, Virus Killer software should be used every time when CD is
used.
For Web-based computers, no one is allowed to copy software or
files to computer without authorization.
Data backup should be managed by relevant personnel and floppy
disk used for backup should be provided by designated person in
charge.
It is required to ensure floppy disk and CD are free from virus
before use.
Antivirus software should be installed in computers and for
confidential computers, protection software such as Firewall should
be installed.
Once virus is found in computers, it is required to report to
Computer Room personnel for corresponding handling.
Before leaving, operators should exit systems and shut off
computers.
No one should use others computers unless approved by relevant
operators.
Supervisory Measures:
It is the responsibility of the designated person to conduct
protection test and cleanup for all computers.
It is the responsibility of the designated person of Computer
Room to conduct checks in compliance with the above work plans.
It is the responsibility of the manager to supervise the
implementation of the protection measures.
Computers in which software driver is installed cannot be
networked. For computers that are not networked, Computer Room
should be responsible for software installation. To install
software for any computer, relevant personnel should submit written
report and Computer Room should conduct such installation upon
approval by manager. In case of any anomaly for software, it is
required to notify relevant personnel in Computer Room. No game
software should be installed in any computer. Data backup should be
managed by relevant personnel and floppy disk used for backup
should be provided by designated person in charge.
Hardware maintenance personnel should take necessary antistatic
measures when disassembling computers and reassemble those
disassembled computers after work and before leaving. Relevant
personnel should take practical measures to ensure proper use and
maintenance of the computers and auxiliary equipment under their
care. Relevant personnel should take necessary measures to ensure
that all computers and peripheral equipment are always in neat and
good condition. Computers with locks should be locked after use and
before operators leave. All critical computers should have relay
protection power as appropriate.
Relevant personnel should ensure proper use, cleaning and
maintenance of all computers in relevant departments; frequently
check the conditions of computers and peripheral equipment under
their care; try to find out and solve problems in a timely
manner.
Computer equipment is gradually becoming an indispensable part
of our work. Based on this, Computer Dept has decided to
incorporate computer management into the scope of performance
assessment for relevant personnel and strictly implement this
management.
In case of any one of the following circumstances, Computer Dept
will investigate into such cases and hold relevant personnel and
direct leader responsible as the case may be.
Computer affected by virus.
Unauthorized installation and use of unauthorized software
(including game software).
Failure to use password function available in computers.
Failure to exit systems or shut off computers before
leaving.
Unauthorized use of others computer or peripheral equipment,
resulting in adverse effect or losses.
Failure to check or clean computers or relevant peripheral
equipment in a timely manner.
Relevant personnel should be held responsible for damage or
losses to hardware arising from the following circumstances.
Failure to operate in compliance with instructions.
Improper maintenance.
Unauthorized installation and use of hardware and electric
devices.
Employees e-mail may bring about several types of security
vulnerabilities for corporate network. For example, when receiving
unwanted e-mail, they directly open its files without any vigilance
or they directly open its files without scanning whether such files
contain virus. Besides, if we fail to send latest Virus Library to
employees computers and compulsorily implement our policies but let
employees freely update their Virus Library in their computers,
then, there exists some risk for virus attack even if employees
cautiously scan and open files every time after determining there
is no virus in such files. Whats worse, if unwanted e-mail,
pornographic contents or other invasive contents run in offices
uncurbed, we are likely to face many legal issues.
Password is the key vulnerability for most enterprises because
many employees often share password or use simple password for the
purpose of saving time. If password is too simple, it tends to be
guessed out by others and used to steal information. There are
other network security vulnerabilities. If users are not cautious
enough, their password can be easily disclosed to others when they
use some kind of trickery. For example, they can easily get
employees password via phone call or e-mail as a disguise.
Employees completely dont know how to protect against security
vulnerabilities. If employees password is defrauded by others,
corporate portal will be open unprotected and susceptible to
various types of attacks. Untrained employees or employees who are
not satisfied with their jobs are more likely to disclose our
exclusive or sensitive information to our competitors or those who
should not access such information.
Our enterprise should decide who will be responsible for
formulating and implementing our key policies. HR Dept should, in
written form, let employees know about corporate policies through
new employee training, require employees to sign and confirm that
they know about and are willing to comply with corporate policies,
and then, strictly implement corporate policies and regulations
without any exception. When enacting such policies, the company
should clearly define detailed rules for punishing those who
violate such policies. Generally, security system and network
management personnel should establish security protection
mechanism, set up contingency groups to handle possible
vulnerabilities, closely coordinate with HR Dept and report
suspected situations on timely basis.
Network Maintenance
It is required to formulate procedures stipulating the use of
Internet and have employees know about regulations governing their
use of e-mail and computers. In addition, clear procedures
stipulating the use of Internet can improve the efficiency of IT
personnel in setting up and monitoring network security plans.
It is required to use technologies that can scan whether e-mail
contains improper contents and record networking act against
corporate regulations.
According to legal experts, monitoring employees e-mail and
networking act may help protect corporate rights and interests in
legal proceedings. Therefore, we should establish corresponding
procedures and implement content-supervising mechanism to protect
employees from disturbance.
It is required to train employees how to download latest
antivirus information and how to determine whether their computers
have virus, and teach them how to scan before opening files whether
such files contain virus.
It is required to patch software vulnerabilities to reduce the
possibility for virus to access corporate network via network
interface or e-mail.
It is required to formulate password specifications, require
employees to change password frequently, teach them how to protect
against social frauds and require them not to disclose password in
any case.
It is required to determine whether specific employees need to
access confidential information and ensure confidential information
is only open to those employees who absolutely need such
information in their work.
It is required to warn employees of the risk resulting from
various procedures such as downloading free software.
Chapter 3: Responsibilities For Security Posts
Purpose
The purpose of this responsibility document is to ensure that
security personnel at different security posts clearly know about
their responsibilities and attentively perform their functions to
prevent the occurrence of accidents and maintain safe production
and living environments. This responsibility document is applicable
to all security posts in the factory. It is the responsibility of
security manager to manage employees at all security posts in the
factory. Security guards should attentively perform their post
functions and obligations.
Scope
When receiving visitors, security guards should be polite and
cordial to visitors, ask them to show their employer certificates
or personal certificates and inquire why and who they will visit.
Upon the approval from those they want to visit, security guards
should record details in Visitor Record and issue VIP Card to them.
For first-time visitors, security guards should escort them to
relevant office.
Procedures
It is required to check visitors luggage and parcels but
attention should be given to the following aspects:
Avoid contacting their body.
Mainly check if incoming visitors are bringing hazardous goods
or unidentified articles into the factory and check whether
outgoing visitors are taking factory property out of the factory,
including corporate products, materials, semi-finished products or
operating devices.
Be polite and friendly when checking, avoid arousing
misunderstanding or disgust in them, explain politely when
necessary and ask them to understand.
Incoming/Outgoing Vehicles
For transportation vehicles or business-related vehicles to
enter factory area, it is required to check drivers valid
certificates and shipping list, and carefully check if goods on
vehicles are consistent with shipping list. In normal situation, it
is required to record in Record in Incoming and Outgoing Vehicles
and issue Driver Card to drivers. For outgoing vehicles, it is
required to check leave permit and shipping list issued by
Warehouse Dept, check if there is any abnormal goods in drivers
cabs and cross-check shipping list with goods on vehicles. If goods
are consistent with shipping list, take back driver cards, release
such vehicles and keep records.
Factory Vehicle Management
It is required to intensify management on factory vehicles. To
get released, outgoing vehicles to deliver goods should have leave
permit issued by warehouse and approved by warehouse supervisor and
it is required to check if carriage door is locked. For cargo-free
vehicles as indicated in leave permit, it is required to check if
there is any cargo on such vehicles.
Forbidden to Take Food into Factory
Employees are forbidden to take food into factory area or to
enter or leave factory area during working hours. If they have to
enter or leave factory area under special circumstances, they must
have valid leave permit issued by department supervisor or
higher-level personnel and record should be made.
Weather Conditions
Security guards for night shift and morning shift should turn on
and turn off lights in factory area depending on actual weather
conditions.
Check for Water, Power and Door/Window
Security guards should check for water, power and doors/windows
in each workshop. In case of any abnormality, they should report so
immediately and make relevant records.
Responsibilities
Before leaving, security guards on duty should go through
handover and takeover procedures for takeover security guards,
including:
To complete procedures stipulated or instructed by
superiors.
To explain that incoming visitors or employees are still in
factory.
To hand over delivered or deposited goods.
To tell the next security guard to supervise or keep watch on
suspected situations in factory.
Responsibilities of Security Guards on Duty
Security guards for warehouse should keep unauthorized personnel
out of warehouse. For material-requisitioning personnel, they
should carefully check if they have material requisition form.
Security guards should direct transport vehicles and container
trucks to proper parking berths and then have drivers stay at
specified lounging locations without letting them to go to
workshop.
When external vehicles enter warehouse to unload goods, it is
required to check if they have delivery sheets, verify such sheets
with warehouseman and conduct onsite supervision in the process of
unloading.
When container trucks enter warehouse to unload raw materials,
it is required to check if sealing is in good condition or if
packing is normal. In case of any abnormality or shortage, it is
required to report so to security manager immediately.
When container truck enters loading zone to load goods, it is
required to check if there are any abnormal goods in the loading
zone, open containers to see if everything is normal and forbid
unrelated personnel to access loading zone.
When loading containers, security guards should stay on site to
closely oversee loading personnel and all goods loaded onto
containers. After loading is complete, they should oversee relevant
personnel taking photos, close container doors and check to make
sure all procedures are completed.
Security guards should strictly execute dormitory gate access
regulations; conduct checks on incoming and outgoing employees;
refuse to let dismissed or discharged employees or unrelated
personnel enter or leave through dormitory gate. For visitors to
enter the factory under special occasions, they should show
application forms signed by supervisor in factory office and
security guards should check their valid certificates and
belongings and record so in Visitor Record. Security guards should
closely check the luggage and parcels of visitors and outgoing
employees. In this case, outgoing employees should show leave
permit issued by dormitory supervisor. However, attention should be
given to the following aspects:
Avoid contacting their body.
Mainly check if incoming visitors are bringing hazardous goods
or unidentified articles into the factory and check whether
outgoing persons are taking factory property out of the factory,
including corporate products, materials, semi-finished products or
operating devices.
Be polite and friendly when checking, avoid arousing
misunderstanding or disgust in them, explain politely when
necessary and ask them to understand.
It is strictly forbidden to abuse this power to place obstacles
intentionally.
Responsibilities of Patrolling Security Guards:
Patrolling security guards should tour the surrounding areas of
the factory to prevent external personnel from throwing hazardous
articles into the factory area; supervise employees compliance with
the laws and prevent the occurrence of internal conspiracies and
collusion between insiders and outsiders.
Patrolling security guards should check if personnel in factory
area have ID cards. In case they find any personnel without ID
cards, they should cross-examine them and report the case to
security manager.
Conduct supervision on parking lot, stop nonconforming parking
and forbid anyone to enter parking lot except drivers.
Conduct unscheduled check on attendance of security guards on
duty and correct nonconforming act of security guards in a timely
manner.
Conduct scheduled check on security facilities to find out
hidden hazards and immediately report hidden hazards, if any, to
security manager.
Chapter 4: Human Resources Security Procedures
Human Resources Security Audit Procedures
The purpose of formulating Human Resources Security Audit
Procedures is to meet the requirements of US Customs CTPAT
guidelines. These procedures are applicable to all employees. It is
the responsibility of Personnel Dept supervisor to plan and
supervise the implementation of the procedures and relevant
departments should coordinate.
Recruitment
In recruitment, it is the responsibility of Personnel Dept
supervisor or clerk to interview applicants, verify their ID cards
and other valid credentials and issue Application Form to them if
they are eligible in compliance with the Labor Law.
Application Form
Applicants should complete the Application Form with their
personal resume, educational background, political background and
specific address as the case may be.
Important Posts
For applicants for important posts (such as transport,
warehouseman and porter), Personnel Dept should verify their
identity and background via public security authorities and they
cannot be offered such posts unless verified as eligible.
Training
It is the responsibility of the Personnel Dept to arrange
training for new employees; enable new employees to establish an
understanding of corporate quality system, quality policy, factory
regulations and disciplines; issue New Employees Pre-job Rules in
Fire Control and Hygiene and file their records in Personnel
Dept.
Personnel Training
It is the responsibility of the Personnel Dept to organize
training for new employees; arrange instructors to offer training
on fire safety and antiterrorism, including such common sense as
fire control, first aid and escape as well as identifying
unauthorized access, reporting internal conspiracies, personal
safety and risk awareness; and keep training records.
Survey
To conduct in-depth survey in employee groups and focus on
investigating whether there is any suspected phenomenon or cliques
among employees.
Special Jobs
For employees for special types of jobs (such as transport,
warehouseman and porter), Personnel Dept should verify their
identity and background via public security authorities and verify
whether they have criminal records or belong to unidentified party
or have any complicated social relations.
Safety Reporting
To encourage and motivate employees to report against terrorism;
try to find out, investigate and handle abnormal conducts and
suspected objects in a timely manner; and protect those who report
and keep their reporting undisclosed.
Chapter 5: Guidelines for Personnel Dept
Purpose
The purpose of these procedures is to define the
responsibilities and arrangements of Personnel Dept in human
resources recruitment, training and appraisal in an attempt to
standardize our personnel management system.
Scope
These procedures are applicable to Personnel Dept.
Responsibilities
It is the responsibility of the Personnel Dept supervisor to
establish the personnel management system, plan and implement
personnel training and appraisal.
It is the responsibility of Personnel Dept clerk to implement
new employee recruitment and training, and manage employees
archives.
It is the responsibility of the manager to review and approve
the personnel management system and training programs.
Procedures
Employee Recruitment
When it is necessary to recruit new employees based on
production needs, relevant departments should submit written
application to Personnel Dept supervisor and the Personnel Dept
supervisor will formulate conditions for recruitment and the number
of new employees to be recruited and submit them to manager for
approval.
After approval, Personnel Dept issues recruitment notice to
recruit new employees from the public.
Applicants are escorted by security guards to Personnel Dept.
Personnel Dept supervisor or clerk will interview applicants and
review their ID cards and other valid credentials, and issue
Application Form to those eligible in compliance with the Labor Law
concerning such conditions as employment age.
Applicants should complete the Application Form with their
personal resume, educational background, political background and
specific address as the case may be.
For applicants for important posts (such as transport,
warehouseman and porter), Personnel Dept should verify their
identity and background via public security authorities and they
cannot be offered such posts unless verified as eligible.
Training
It is the responsibility of the Personnel Dept to arrange Grade
I training for new employees; enable new employees to establish an
understanding of corporate quality system, quality policy, factory
regulations and disciplines; issue New Employees Pre-job Rules in
Fire Control, Hygiene and Safety and file their records in
Personnel Dept.
It is the responsibility of the Personnel Dept to organize Grade
II training for new employees; arrange instructors to offer
training on fire safety and antiterrorism, including such common
sense as fire control, first aid and escape as well as identifying
unauthorized access, reporting internal conspiracies, recognizing
personal safety and risk awareness; and keep training records.
It is the responsibility of Personnel Dept to prepare corporate
Annual Training Project and Program and submit it to manager for
approval; organize and supervise the implementation of the program;
and file Employee Training Record in Personnel Dept.
Archives Management
It is the responsibility of Personnel Dept clerk to manage
personal archives of all employees and make reliable information
available for inspection by labor and legal authorities.
Personnel Dept should keep Record for Dismissed Employees,
clearly indicate names of such employees and the time and reason of
their leaving and present relevant data to Security Dept for the
purpose of avoiding reappointing those dismissed employees and
preventing them from entering the factory area.
Personnel Dept may destroy personal archives and training
records of dismissed employees but should permanently keep
Department Employee Roster and Record for Dismissed Employees.
Dismissed Employees
The Personnel Dept should present the name list of dismissed or
discharged employees to Security Dept and security guards should
supervise such employees when they are packing their belongings
when they are leaving and take back their employee cards.
Personnel Dept should not reappoint those dismissed employees
after they leave the factory.
Record
Personal Archives
Application Form
Record for Dismissed Employees
Chapter 6: Security Guidelines for Shipping Dept
Purpose
The purpose of these procedures is to ensure that we comply with
US Customs CTPAT (Customs-Trade Partnership Against Terrorism)
security guidelines in the process of our finished product
transportation in an attempt to avoid delayed customs clearance at
transport customs outside USA or to prevent thieves or terrorists
from taking advantage of the above aspects to smuggle contraband
goods into the United States.
Scope:
These procedures are applicable to original manufacturers,
warehouse personnel and transportation process.
Responsibilities:
It is the responsibility of the warehouseman to check data
concerning transport vehicles and loaded goods.
Reference Documents:
CTPAT US Customs-Trade Partnership Against Terrorism
Guidelines.
Procedures
Schedule for Goods Transportation:
After receipt of production order repeat order sheet issued by
customers, Shipping Dept should submit production order documents
to PMC Dept, and confirm unloading date specified or approved by
customers.
After confirming actual unloading date with customers, PMC
should submit to shipping company such information as unloading
quantity, volume and destination. Shipping company should decide on
Unloading Document number based on unloading documents, arrange and
submit to Shipping Dept such documents as carrier name and
forwarder. Shipping company should issue Unloading Document number
and arrange carrier name. Carrier is required to arrange
shipment.
After receipt of documents from shipping company, Shipping Dept
is required to submit such documents as Unloading Document number
and carrier name to relevant departments concerning Unloading
Document number, carrier name and forwarder; communicate with such
departments as shipping company, forwarder and PMC; and ensure
goods successfully go through customs procedures when conditions
are met.
Forwarder should arrange transport vehicles based on unloading
date, load and transport goods in manufacturers warehouse
department based on Unloading Document and Shipping Advice.
Warehouse Dept is required to review documents provided by
forwarder to determine whether they can load goods.
After loading, Warehouse Dept should complete and sign Report
Sheet and Consignment Bill and forwarder drivers sign Consignment
Bill to confirm after verifying. This means consignment is
successfully completed. Now, Warehouse Dept should fax to Shipping
Dept the documents concerning goods transfer.
Record
repeat order sheet
Shipping Advice
Unloading Document
Consignment Bill
Chapter 7: Physical Security Procedures
Purpose
The purpose of these procedures is to take effective measures to
ensure physical security for our company, resist unauthorized
access and external invasion and ultimately, to ensure the safety
of corporate property and employees.
Scope
The security procedures are applicable to all activities of all
departments to maintain physical security.
Responsibilities
It is the responsibility of security manager and department
supervisor to jointly plan and maintain physical security in the
factory.
Procedures
Security Standards
All buildings should have strong red-brick walls and windows in
goods storage zone should have firm anti-burglary nets.
Internal/external doors, windows, gates and railings should have
sufficient locks.
All environments inside and outside buildings and parking zone
should have sufficient safety warning signs.
All international, domestic, high-value and hazardous goods
should be kept in safe places or isolated by other railing methods
and properly identified.
Private car parking zone and transport vehicle parking zone
should be separated from goods loading zone by railings and all
railings should be 5ft high minimum.
CCTV systems should be installed in entire factory area, all
gates and loading/unloading zones. Loading and unloading zones
should keep video records for at least 31 days.
Factory gates should have 24-hour attendance by designated
security guards. All environments inside and outside factory area
and loading/unloading zones should be monitored by designated
security guards.
Security Maintenance
Security guards should be reserved to intensify patrolling in
factory area, ensuring all doors and windows are properly locked
whether they are attended by employees or not.
CCTV monitoring system should have standby generator to provide
emergency power supply and unauthorized access should be prevented.
It is required to conduct preventive maintenance on the CCTV system
at least once every three months.
Security manager should organize security guards to check and
assess physical security measures in the entire factory each
month.
When work is over and all employees have left, the following
personnel of the following departments should check and ensure all
doors and windows are properly locked:
Dept: Dept:
Dept: Dept:
Records
Monthly Internal Self-check Form
Chapter 8: Transportation Security Management Procedures
Purpose
The purpose of these procedures is to intensify security control
on goods transportation, avoid goods loss and substitution in
transit, prevent lawless gangsters or terrorist organizations from
creating terrorist events and ensure successful and timely customs
clearance.
Scope
All export goods should be loaded under the supervision of
security manager or his designated representative. During the
process of loading, strict monitoring should be maintained, no
unauthorized personnel or materials should be allowed to approach
or enter, and the entire process should be recorded.
Responsibilities
After loading/unloading, security manager or security
representative should conduct further check and confirmation, and
photos of goods should be taken. Photos should clearly indicate
carton mark and shipping date. After all this is complete, it is
required to lead-seal trucks and lock containers. Locking devices
should contain one-off sealing strips with effective tamper-proof
functions.
Reference Documents
After sealing and locking, high-definition and multi-angle
photos should be taken for cargo trucks. Such photos should clearly
indicate license plate, truck types, truck appearance, locking
devices, labels and time of photographing.
Procedures
In transit, customs-declaration clerk of the factory should
follow such trucks to customhouse, where customs-declaration clerk
should make sure sealing strips are complete and in good condition,
and cut them with scissors before delivering goods to
customhouse.
Record
For each shipment, records, video records and photos should be
maintained.
Chapter 9: Security Guard Training Procedures
Procedure 1
Security training should be offered to security guards twice
every month for the purpose of intensifying their security
awareness.
Procedure 2
When at work, security guards should be neatly dressed, well
postured, wear post cards and employee cards.
Procedure 3
Security guards should observe disciplines, comply with
regulations and rules, practice good working style, be polite and
enthusiastic, and give detailed explanations to possible
inquires.
Procedure 4
Security guards should strictly implement handover and takeover
systems, take detailed records for affairs occurring for the
current shift and hand over them for next shift to follow up.
Procedure 5
Security guards should improve their qualifications and security
protection skills and try to foster capabilities for handling
unexpected events.
Chapter 10: Security Survey & Handling Procedures
Procedure 1
The purpose of these procedures is to enable the company to
investigate and handle all security-related events in a timely
manner, minimize hidden hazards and prevent the occurrence of
terrorist activities. These procedures are applicable to all our
security-related activities. Security manager should plan and
arrange the implementation of these procedures.
Procedure 2
It is required to conduct scheduled internal security check and
report relevant results to security manager. For security-related
issues, security manager should supervise and arrange timely
investigation, conduct follow-up checks and ensure security-related
event survey and handling reports are properly filed.
Procedure 3
When carrying out security patrol, security guards should stay
alert, report to security supervisor (or security manager) when
finding any security-related event is occurring or to occur, and
immediately eliminate them when possible.
Procedure 4
For security-related events occurring in individual departments
or areas, it is required to contact and inform Security Dept
immediately. In case such events required immediate handling,
relevant personnel may stay onsite to handle them. If such events
require further investigation, relevant departments should
coordinate with Security Dept in investigation, probe into handling
proposals and submit such proposals for security manager to
implement.
Procedure 5
We encourage employees to actively participate in security
control and report security-related information. For information
involving hidden hazards or even terrorist activities, it is
required to stay highly alert and hand over such information to
Security Dept for filing purpose. In this case, security manager
should arrange investigations and handle such affairs
cautiously.
Procedure 6
If security-related event involving serious issues or even
violating the law is found out in security maintenance activities,
Security Dept should contact public security and legal authorities
in compliance with law and actively coordinate with them in
handling such affairs.
Procedure 7
The investigation and handling of all our security-related
events should be recorded and filed by Security Dept.
Chapter 11: Dismissed Employee & Terminated Customer Control
Procedures
Procedure 1
The purpose of these procedures is to prevent dismissed
employees and terminated customers from entering our factory area,
and strictly meet CTPAT requirements concerning the control of
unauthorized entry.
Procedure 2
These procedures are applicable to all our dismissed employees
(including those who resigned, quit their jobs or were dismissed)
and customers that have terminated contracts with our company
(including suppliers and contractors).
Procedure 3
These procedures should be prepared by security manager and
implemented by Personnel Dept and PMC Dept in coordination with
Security Dept.
Procedure 4
When employees are dismissed, Personnel Dept should record so in
Dismissed Employee Record, clearly indicate their names as well as
when and why (how) they are dismissed, and present relevant
documents to Security Dept.
Procedure 5
When quitting jobs or dismissed, employees should return their
working clothes and hats to relevant workshops. Financial Dept
should take back their employee cards before paying wages to them.
When this is complete, such employees may leave the factory with
Leave Permit issued by security manager. When leaving factory,
their belongings should be checked.
Procedure 6
Security guards should keep close watch to keep out those who
quit their jobs without permission and still hold employee cards.
In this case, security guards may compulsorily take back their
employee cards and refuse to let them in.
Procedure 7
Normally, dismissed employees should not be reappointed; and
employees who leave the factory and quit their jobs without
permission should not be reappointed within three months.
Procedure 8
PMC Dept should submit to Security Dept on timely basis relevant
documents and information concerning suppliers, contractors and
customers who have terminated contracts with our company for any
reason, including such contents as customer name, date and reason
of termination, and names of those business clerks who often visit
our company. (Notice of Terminated Customers)
Procedure 9
After receiving the above notice, Security Dept may keep out
such terminated customers when they ask to enter the factory area.
If it is out of actual needs, they may enter the factory area after
obtaining approval and showing Entrance Permit signed by security
manager.
Chapter 12: Reception and Transport Procedures
Purpose
The purpose of these procedures is to standardize reception and
transport activities, avoid goods loss or unauthorized access and
meet the antiterrorist requirements of US Customs CTPAT.
Scope
These procedures are applicable to all warehousemen, drivers and
other relevant personnel involved in reception and transport
activities.
Responsibilities
Warehouse supervisor should plan and arrange goods
transportation at warehouse and transportation should be performed
by relevant drivers.
Procedures
Reception
Warehouse Dept and security manager or his designated
representative should check all materials against Purchase Order
issued by PMC and reject all materials with Purchase Order.
Incoming materials that have been verified should be placed in
independent acceptance zone as soon as possible. It is the
responsibility of IQC to conduct quality check on such materials
and record results in IQC Check Report.
The quantity of incoming materials should be consistent with
that specified in Purchase Order or Delivery Sheet. In case of
inconsistency, Material Dept should conduct corresponding
adjustment to avoid the entry of any materials without Purchase
Order or loss to such materials due to theft or unauthorized
requisition. For serious cases, it is required to report to factory
office or foreign headquarter.
After check by IQC, eligible incoming materials should be placed
in Accepted zones and suitable ID labels should be attached to
them. Incoming and outgoing materials should be recorded in
Material Storage Record for later tracking.
All storage environments should have firm doors and windows to
prevent burglary and unauthorized entry. Warehouseman should check
materials and report the results to the company or customer.
Goods Transport
For outbound finished products, warehouseman should check
drivers transport advice and instructions issued by Shipping Dept
(including Shipping Advice, Consignment Bill and container sheet)
before loading.
For outbound transportation, general materials and semi-finished
products can be loaded against presentation of advice issued by PMC
or Shipping Dept.
Before loading, all containers should be clean and subject to
routine check. When finding container doors are infirm or carriage
is broken or untidy, it is required to report to warehouse
supervisor and propose not to load goods.
When loading goods in loading zones, security manager or
designated security personnel should keep watch to prevent
unauthorized personnel or vehicles from entry.
After loading/unloading, it is required to lock trucks, attach
one-off sealing strips and fill in transport sheet with seal
number. Consignees should check whether transport sheet has been
obliterated in transit and in case of anomaly, report to factory
office and customer to discuss for possible solutions.
All vehicles should be managed by warehouse. Trucks should be
parked in different zones. It is required to keep monitoring on
truck parking zone to prevent unauthorized personnel from
entry.
Chapter 13: Security Rules for Computer Application
Rules
To avoid damage to computer systems arising from artificial
factors such as erroneous operation, ensure the security and proper
operation of our computer systems and further improve our
computer-based office efficiency, it is necessary to formulate
corresponding specifications for secure application.
Dont try any computer operating procedures you are unfamiliar
with. In case of any anomaly in computer that you cannot solve,
notify Computer Room immediately for help from professionals.
Dont run or delete files or programs in computer or modify
computer parameters.
Dont install or use software or program from unidentified
sources or open e-mail or e-mail files from unidentified
sources.
When receiving meaningless e-mail, delete them immediately and
dont intentionally or viciously send them back or send them to
others.
Never disclose password to others and prevent others from
creating anomaly by accessing computer systems.
Change password frequently (once a month). In case password is
disclosed, change it as soon as possible. Never use default
password or password provided by others.
Scan computer system with Virus-Killer program on regular basis.
For new software, files or e-mail, use Virus-Killer software to
scan and check if they contain virus/hazardous programming codes,
and conduct proper processing before opening them.
Use encrypted technology to protect sensitive data files before
transmitting via Intranet and Internet. When appropriate, use
digital protocol or add digital signature to encrypt information
and data.
Close the function available in e-mail software to automatically
process e-mail attachments and close the auto-processing function
in e-mail application system or other application software to
prevent virus invasion.
Offer regular training to all computer personnel on how to
encrypt their personal files.
For computers for dismissed employees, computer supervisor
should change their password and encrypt files in computer
immediately.
Chapter 14: Security Management Responsibility System
Purpose
The purpose of establishing this responsibility system is to
maintain our physical security, resist unauthorized access, prevent
unauthorized personnel or vehicles from entry and ultimately, to
ensure the safety of corporate property and employees.
Responsibilities
The responsibility of security manager includes:
To plan and maintain physical security in entire the factory,
assess, review and plan improving and preventive measures on
monthly basis.
To arrange work and training courses for security guards.
To mediate and handle safety-related accidents in factory area
and attend governmental meetings.
The responsibility of security supervisor includes:
Carry out tasks assigned by security manager, directly supervise
security guards in their work and listen to report concerning shift
handover and takeover.
The responsibility of security guards includes:
On-post security guards should be responsible for the
maintenance of the area behind factory building.
Patrolling security guards should take charge of day-to-day
security work, including vehicle parking, supervision on drivers
relaxation, monitoring on loading/unloading, turning on/off lamps
in areas around the factory and checking if all doors and windows
in workshops are properly locked after work.
On-duty security guards should check incoming and outgoing
visitors and vehicles at factory gate, receive phone calls and
perform registry for visitors.
Contact phone number of local law-enforcing authorities:
Police: 110
Fire brigade:119
Local police station:
First-aid hospital:
Town security/prevention office/Police zone:
Chapter 15: Warehouse Security Guidelines
Purpose
The purpose of these procedures is to ensure that our
warehousemen comply with US Customs CTPAT (Customs-Trade
Partnership Against Terrorism) security guidelines in the process
of our product production, storage and transportation in an attempt
to avoid delayed customs clearance at transport customs outside USA
or to prevent thieves or terrorists from taking advantage of the
above aspects to smuggle contraband goods into the United
States.
Scope
These procedures are applicable to original manufacturers and
warehouse personnel for their production, storage or transportation
as well as their loading of goods, review and acceptance of
incoming materials.
Responsibilities
Security manager is required to supervise the process of goods
loading and the entry of visitors into the warehouse. Warehouse
supervisor is required to check and accept loaded goods and
incoming materials.
Reference Documents
CTPAT US Customs-Trade Partnership Against Terrorism
guidelines.
Procedures
Security Training
All warehouse employees are required to receive security
education and trainings on recognizing hidden risks and identifying
internal conspiracies. Untrained or unauthorized personnel are not
allowed to enter goods loading/unloading areas. All incoming and
outgoing goods should be recorded.
Acceptance and Storage for Incoming Materials
Warehouse Dept and security manager or his designated
representative should check all materials against Purchase Order
issued by PMC and reject all materials with Purchase Order.
Incoming materials that have been verified should be placed in
independent acceptance zone as soon as possible. It is the
responsibility of IQC to conduct quality check on such
materials.
The quantity of incoming materials should be consistent with
that specified in Purchase Order or Delivery Sheet. In case of
inconsistency, Warehouse Dept should conduct corresponding
investigation to avoid the entry of any materials without Purchase
Order or loss to such materials due to theft or unauthorized
requisition. For serious cases, it is required to report to factory
office or foreign headquarter.
After check by IQC, eligible incoming materials should be placed
in Accepted zones and suitable ID labels should be attached to
them. Incoming and outgoing materials should be recorded in
Material Storage Record for later tracking.
Finished product warehouse should be managed by dedicated
personnel and unauthorized entry is prohibited. When visitors or QC
personnel enter the warehouse, they should be escorted by
supervisor or higher-level personnel.
All storage environments should have firm doors and windows to
prevent burglary and unauthorized entry. Warehouseman should check
materials and report the results to the company or customer.
Outbound Goods Transport
For outbound finished products, warehouseman should check
drivers transport advice and instructions issued by Shipping Dept
before loading. Shipping instructions include Shipping Advice,
Consignment Bill and container sheet.
For outbound transportation, general materials and semi-finished
products can be loaded against presentation of advice issued by PMC
or Shipping Dept.
Before loading, all containers should be clean and subject to
routine check. When finding container doors are infirm or carriage
is broken or untidy, it is required to report to warehouse
supervisor and propose not to load goods.
When loading goods in loading zones, security manager or
designated representative should keep watch to prevent unauthorized
personnel or vehicles from entry.
When loading goods in loading zones, security manager or
designated representative should keep watch to prevent unauthorized
personnel or vehicles from entry.
After loading, warehouse supervisor is required to ensure the
correctness of loaded quantity and lock it immediately. After
confirmation by security personnel, drivers can obtain transport
sheet or report issued by warehouse and transport goods out of
factory.
If one-off sealing strips are attached to carriage, it is
necessary to fill in transport sheet with seal number such that
consignees can check whether transport sheet has been obliterated
in transit. If they are obliterated, both sides should conduct
investigation and report the results to factory office and
customer.
Vehicle Management
All vehicles should be managed by warehouse. Passenger cars and
trucks should be parked in different zones. It is required to keep
monitoring on truck parking zone to prevent unauthorized personnel
from entry.
Incoming trucks and containers should enter loading/unloading
zone immediately. If there are too many loading trucks for the
loading/unloading zone to accommodate, they should be parked in
designated parking place which should be supervised by security
guards.
Record
Visitor Entry Record
Material Loss Report
Record of Scheduled Check on Stored Materials
Chapter 16: CTPAT Security Control Procedures
Purpose
The purpose of these procedures is to ensure that we comply with
US Customs CTPAT (Customs-Trade Partnership Against Terrorism)
security guidelines in the process of our finished product
transportation in an attempt to avoid delayed customs clearance at
transport customs outside USA or to prevent thieves or terrorists
from taking advantage of the above aspects to smuggle contraband
goods into the United States.
Scope
These procedures are applicable to product production, storage
and transportation by manufacturers and warehouse personnel outside
USA.
Reference Documents
CTPAT US Customs-Trade Partnership Against Terrorism
Guidelines.
Procedures
Human Resources Security Control
All employees are required to wear their employee cards when
entering and going out of the factory area. For those without
wearing such cards, security guards should conduct relevant
cross-examination and keep them out. Visitors are required to
explain reason(s) of visit to security guards and complete relevant
registry; after that, security guards may notify relevant employees
by phone, issue Visitor Card to visitors as appropriate and let
them in or escort them in when needed.
New employees should have valid ID cards and fill in educational
background, political background and detailed address. Those who
fail to fill in the above basic contents correctly or cannot verify
their true identity or social background should be excluded from
recruitment.
Every new employee should receive pre-job training, including:
factory regulations and disciplines, fire and hygiene knowledge,
regulations on entry to important zones and goods storage as well
as the method to report suspected person or suspected lawless act
once they are found out.
It is required to set up employees complaint letterbox and
encourage employees to report the above issues once they are found
out.
For employees for important positions (such as transport,
warehouseman, porter and loading/unloading), the company and
relevant departments should verify their identity and background
and verify whether they have criminal records or belong to any
unidentified party.
Production Site Security Control
Materials released or requisitioned on production site should
have reception/release documents and materials without such
documents are prohibited for use on worksite. It is required to
record the entry of unidentified materials and materials without
documents, report to factory office and make adjustment for serious
cases.
Nonproductive personnel are not allowed to enter worksite.
Visitors on inspection, check and acceptance tour should be
escorted by supervisor or higher-level personnel when they enter
worksite.
It is required to designate personnel to manage packing zone.
All finished products should be sent to finished product zone
immediately. When finding finished product boxes are open, it is
required to notify workshop supervisor, assign QC to check and
place them in finished product zone after verifying them as
accepted. Entry into finished product zone is prohibited without
authorization.
The release, use and withdrawal of sharp objects should be
recorded by designated person. It is required to collect broken
sharp objects. If such sharp objects are not fully collected, it is
required to report to leaders and record when and where such sharp
objects were broken and record their codes.
Warehouse and Transport Security Control (Incoming materials,
storage environment and shipping)
All materials entering warehouse should have corresponding
documents. Warehouse personnel should check incoming materials
against waybill and check report issued by IQC on quality before
unloading. All incoming goods should be sent to independent
acceptance zone as soon as possible.
Goods that have been verified by IQC as accepted should be sent
to Accepted zones for storage and attached with proper labels,
indicating their name, quantity, weight and date of warehousing.
Material Storage Record may help track the incoming and outgoing of
such materials.
Warehouseman should conduct scheduled check on materials in
warehouse, complete Material Loss Report and report to factory
office in case of any loss or shortage.
Storage environment in warehouse should have one (only one)
approach through only one gate. Windows should be firmly closed to
prevent entry from outside.
It is required to establish independent finished product
warehouse and designate dedicated person to take charge. No entry
is allowed without authorization. When visitors or QC personnel
enter the warehouse, they should be escorted by supervisor or
higher-level personnel.
Finished products and goods should have independent loading
zones where no entry is allowed for unauthorized personnel and
vehicles. Loading personnel are subject to direct management by
warehouse and should receive training on security knowledge. After
parking their trucks in proper parking place, drivers should stay
waiting in suitable lounging place.
Warehouse supervisor should supervise loading process and
prevent the entry of unauthorized personnel and vehicles as well as
the occurrence of anomaly. When finding any anomaly or entry of
unauthorized personnel into the loading zone, warehouse supervisor
should stop them immediately and record what has happened as the
case may.
Immediately after loading, warehouseman should seal and lock
carriage doors to prevent them from being unlocked in transit.
Drivers should not access such keys. For outbound export goods,
warehouseman should attach factory seals and insert customs seals
after customs check.
Comprehensive Environmental Security Control
CCTV system is installed in finished product warehouse to
prevent pilferage in finished product warehouse.
CCTV system is installed in loading/unloading zones to monitor
goods loading/unloading process and prevent the occurrence of
lawless acts.
Cargo trucks entering factory area should not be parked in the
same parking zone as private cars or passenger couches.
Unauthorized personnel are forbidden to enter cargo truck parking
zone. Warehouseman should keep close supervision on such zones.
Factory area should have sufficient lighting. Logistics Dept
should assign persons on duty to tour factory facilities and
establish attendance records in factory area.
Generator house should have standby generating system to provide
sufficient power supply for lighting.
Access control should be established for cargo truck depot,
warehouse and office zones, allowing no one to enter except
authorized personnel and those who work in such zones. Preventive
maintenance should be conducted on CCTV system at least once every
three months.
Record
Records in CCTV system should be maintained for two months
minimum.
Visitor records should be maintained for 6 months minimum.
Records for visitors entering such departments as workshop and
warehouse should be maintained for 3 months minimum.
Chapter 17: Computer Security and Anti-fraud Files
Security Regulations
To protect our confidential documentation in computers from
being disclosed and avoid severe disasters arising therefrom, all
computer operators should abide by the following security
regulations:
Store corporate or personal confidential files and protected
files in specific directory at a proper location.
To avoid disclosure or damage to files, never open or try to
open others files unless authorized by superiors or relevant
personnel.
To prevent virus or Trojan Horse from attacking your computer,
dont view or try to open unidentified e-mail or files. Once this
occurs, ask Computer Room professionals for check immediately.
In some e-mail attachments, if there are any executable
attachments or suspected attachments with append filenames such as
EXE or COM, it is necessary to scan and kill virus with
Virus-Killer software or ask Computer Room professionals before
use.
Dont try any computer operating procedures you are unfamiliar
with. In case of any anomaly in computer that you cannot solve,
notify Computer Room immediately for help from professionals.
Dont install or use software or program from unidentified
sources. Dont run or delete files or programs in computer or modify
computer parameters.
When receiving meaningless e-mail, delete them immediately and
dont intentionally or viciously send them back or send them to
others.
Never disclose password to others and prevent others from
creating anomaly by accessing computer systems.
Change password frequently. In case password is disclosed,
change it as soon as possible. Never use default password or
password provided by others.
Scan computer system with Virus-Killer program on regular basis.
For new software, files or e-mail, use Virus-Killer software to
scan and check if they contain virus/hazardous programming codes,
and conduct proper processing before opening them.
Use encrypted technology to protect sensitive data files before
transmitting via Intranet and Internet. When appropriate, use
digital protocol or add digital signature to encrypt information
and data.
Close the function available in e-mail software to automatically
process e-mail attachments and close the auto-processing function
in e-mail application system or other application software to
prevent virus invasion.
Dont let unfamiliar personnel to use your computer. If you have
to, someone should stand by to keep watch.
Dont send corporate or personal files to others or open such
files for others to view or use without authorization.
In case of any inquiry concerning computer application or
management, please consult Computer Room professionals.
Chapter 18: Surplus & Shortage Handling Procedures
Purpose
The purpose of these procedures is to facilitate timely
inventory count on materials in warehouse, report and handle
surplus and shortage and ultimately, to intensify effective control
on corporate materials.
Scope
Warehouse supervisor is required to plan and make specific
arrangements. Warehousemen are required to check materials and
report on timely basis. Warehouse supervisor and PMC supervisor are
required to discuss for solutions and submit such solutions to
production manager for approval.
Responsibilities
Before issuing new Purchase Order, PMC Dept should notify
Warehouse Dept to conduct inventory count on materials to be
supplemented. Warehousemen should count the quantity of such
materials, check them against Material Storage Record, record
inventory count for each type of materials (indicating material
name, type, quantity and incoming date) and submit the record to
PMC Dept.
Warehousemen should count incoming materials according to
Purchase Order and Delivery Sheet, make proper records, store
materials in proper zones and attach Material Storage Record to
them.
When Production Workshop requisitions materials, warehousemen
should go through rigorous procedures, make proper records in
incoming material record and Material Storage Record.
Warehouse Dept supervisor should arrange scheduled checks on
warehoused materials focusing on materials shelf life, damage,
shortage and surplus; record results in Warehouse Check Record;
maintain supervision and control on consumption of customer
materials; and report to PMC Dept via Customer Material Inventory
Record.
When any order is cancelled or production is complete, it is
required to count relevant materials (customer materials in
particular) and report the quantity of backlogged materials to PMC
for filing purposes.
Surplus or Shortage Handling
PMC Dept and Warehouse Dept should jointly track and investigate
material shortage and surplus, and conduct investigation on
material shortage, loss in production process, loss and erroneous
storage in circulation, damage resulting from extended storage or
expiring shelf life, and unidentified loss. Investigation should be
conducted for reasons resulting in material surplus, including
situations where ordered quantity is excessively large, different
types of materials are mixed, erroneous materials are released and
orders are cancelled. The results of such checks should be recorded
in detail and submitted to PMC Dept.
Product director and Warehouse supervisor should probe into
solutions based on material surplus and shortage survey report,
submit solutions to Production manager for approval and record such
solutions in Warehouse Check Record. Relevant departments should
handle materials according to such decisions.
Product director should communicate with customers in a timely
manner concerning material damage, loss and backlog, and probe into
solutions with them.
Chapter 19: Cargo Document Control Procedures
Purpose
The purpose of these procedures is to define the control
procedures for issuing and safekeeping of delivery documents; to
ensure that we have clear accounts and complete procedures for
inbound and outbound goods; to keep transportation data and data
systems from unauthorized access and prevent lawless personnel from
taking advantage of this to commit theft or terrorist events.
Scope
These procedures are applicable to all personnel who may access
transport documents and data, including warehouse personnel and
drivers.
Responsibilities
Warehouse personnel are required to verify and sign
reception/release documents after reception or release. Warehouse
supervisor is required to review such documents and submit original
documents to corporate financial supervisor.
Reference Documents
Warehouse personnel should not receive or release goods until
they have received relevant mandatory documents and data, including
Purchase Order issued by PMC Dept and Shipping Advice issued by
Shipping Dept. They should verify name, specifications and quantity
for goods. In this process, they should keep alert to prevent
unauthorized materials from entry and sign only after verifying as
all right.
Procedures
Original documents such as reception/delivery documents and
finished product consignment bills should be submitted to Financial
Dept supervisor on the next day (preferably within 24 hours).
Warehouse Dept keeps copies of transport documents for one month
and submit document copies to company for filing purpose at the end
of each month.
Records
It is required to keep corporate transport documents and systems
confidential and particularly, to keep customers valuable
information and systems from unauthorized access.
Chapter 20: Unexpected Event Handling Procedures
Procedure 1
The purpose of these procedures is to define how employees
should report unexpected events to relevant departments and
security personnel in an accurate and timely manner; to ensure that
unexpected events are handled in a timely manner to minimize their
hazard or damage to life and property.
Procedure 2
Reportable unexpected events include: theft of goods, containers
and trailers; unauthorized entry of transport vehicles and
personnel; deliberate sabotage to corporate property and personal
safety; fire alarm; fighting between employees; work-related
injuries and sudden disease attack to employees.
Procedure 3
In case of any accident, employees engaged in production in
factory should report to supervisors immediately.
Procedure 4
In case of any accident, employees living in living zone should
report to security guards on duty immediately.
Procedure 5
After receiving such reports from employees, department
supervisors or security guards on duty should immediately report
the same to security manager.
Procedure 6
In case of unexpected events, security guards on duty should
immediately report the same to security manager.
Procedure 7
After receiving such reports, security manager should, in case
of serious case, immediately report to local law-enforcing
authorities and report details of such unexpected events to
customers security supervisors within 24 hours.
Contact List
Security Manager:
Department Director:
Telephone Number for Emergency Calls:
Police 110 Extension:
Fire brigade: 119 Telephone exchange:
Local police: Factory director:
First aid: Security office:
Town security/prevention office/Police zone: Police office:
Security manager:
Chapter 21: Anti-theft Procedures
Purpose
The purpose of these procedures is to intensify our physical
security and management system, effectively prevent theft
activities and protect the security of corporate property.
Scope
These procedures are applicable to the safekeeping and
management of all corporate properties.
Responsibilities
Security manager is required to arrange supervision and control
on incoming and outgoing properties. Supervisors of various
departments are required to maintain secure environments for
material storage. Material personnel are required to verify the
accounts of incoming/outgoing materials and quantity of inventory.
Maintenance Dept is required to maintain and install corporate
physical security facilities.
Procedures
Physical Security
All doors and windows in the company should have anti-burglary
functions. Gates should have anti-burglary locks and windows should
have bolts to prevent unauthorized entry.
CCTV system is installed within factory area and
loading/unloading zones to monitor security activities concerning
goods delivery and reception.
Only one gate is used as entrance and exit for factory area and
attended 24hours/day by security guards.
For high-value articles, it is required to enhance physical
protection, and establish iron boxes or precious article room to
accommodate them.
Incoming/Outgoing Control
For visitors to enter factory area, security guards should
conduct relevant registry, including visitor name, employer name
and why, who and when to visit as well as Visitor Card number.
No employee is allowed to carry private articles into factory
area. When any article is taken out of factory area, security
guards should check them and record accordingly. It is prohibited
to take anything out of the company without authorization.
It is required to intensify security patrol in factory area,
keep close watch on and cross-examine unidentified or suspected
persons and record accordingly.
Sufficient signs should be set up to warn employees not to enter
restricted areas, including unloading zone, loading zone, finished
product warehouse and parting lot for cargo trucks.
Material Tracking
For warehoused materials, Material Storage Record should be
properly maintained and materials should be received and released
in FIFO (first-in and first-out) sequence. Material management
personnel should conduct scheduled checks on materials under their
control. In case of material shortage, they should immediately
report to department supervisors. For serious case, relevant
departments should report to factory office and Security Dept; and
Security Dept should conduct relevant investigations as needed.
Chapter 22: Antiterrorist Training Materials
Rules
Since the September 11 terrorist attack in USA, terrorist events
have occurred frequently in the world and thus affected the growth
of global economy. To protect our corporate property and employees
personal safety, respond to CTPAT antiterrorist program, avoid
delayed customs clearance for our goods and intensify all-staff
security awareness, we hereby formulate the following antiterrorist
training outlines:
To explain to employees the importance of wearing valid
employees cards when entering or leaving through factory gate for
the purpose of preventing unauthorized personnel from entry into
factory area.
To conduct security check on all articles carried by personnel
entering and leaving factory area, prevent hazardous articles and
prohibited articles from entry, and effectively avoid loss to
corporate property.
To train employees how to identify internal conspiracies,
including: conspiracy to steal corporate materials or finished
products; deliberate substitution of finished products; failure to
pack in compliance with instructions; vicious input of prohibited
articles in finished product cartons.
To train employees how to maintain cargo integrity and prevent
the entry of unauthorized articles in day-to-day production
activities.
To instruct employees not to go around workshops without
authorization or enter such important zones as cargo warehouse,
finished product warehouse, loading/unloading zones, transport
zone, parking place, distribution house, chemical storage zone, oil
depot and other zones with Danger and No Entry signs.
To educate employees to concentrate their minds on their work,
cherish their positions and protect corporate property; operate and
maintain tools and machines in compliance with instructions and
report to supervisors when finding any anomaly or damage; clear up
work stations and close doors and windows close to their work
stations.
To help employees establish an understanding of the
characteristics of the chemical substances used by our company,
issue chemical safety training materials to them and train them on
procedures to use and store chemicals as well as handle injuries;
instruct them to pay attention to warning labels before use and
avoid unauthorized contact.
To intensify training for personnel at important posts and
particularly, security training for security personnel,
warehousemen, stevedores and statistic clerks.
To instruct warehousemen and statistic clerks to take care of
precious articles in their workshops, lock them in iron boxes,
conduct scheduled check and make relevant records.
To ensure warehousemen and statistic clerks maintain consistency
between accounting and actual quantity concerning material
incoming, outgoing and storage.
To ensure they conduct scheduled inventory check and report to
supervisors immediately when finding any damage, loss, shortage or
surplus.
To ensure warehousemen and stevedores are aware of the
importance of their posts, accept and release goods based on
documents, keep highly alert, prevent entry of goods without
documents, and assist security personnel in supervising and
controlling the entry of unauthorized personnel into
loading/unloading zones; report to supervisors or security manager
immediately when finding suspicious phenomenon or unidentified
goods.
To focus on antiterrorist training for security personnel,
emphasize their compliance with Security Post and Duties, probe
into and formulate security solutions in combination with the
characteristics and trends of terrorist activities.
To educate employees to enhance security awareness; participate
in security control; and report to workshop supervisors immediately
when finding suspicious strangers without employee cards or anyone
suspicious of carrying hazardous goods.
To inform all employees of our antiterrorist reporting
procedures, name list and telephone numbers to contact in case of
emergency; encourage employees to actively supervise and report
phenomenon suspicious of terrorism, including act against factory
regulations and rules, abnormal status, suspicious signs and
cliques; internal conspiracies; suspected involvement in
unidentified organizations; terrorist tendency through external
collusion.
To let employees know of our award-giving reporting system,
motivate employees to participate in antiterrorist activities,
offer proper award to employees who provide valuable clues, keep
their reporting undisclosed and protect their personal safety.
