global security manual

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DHL Internal Use Only DHL Express Global Security Manual

DHL Express

Global Security Manual

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Version History

Version Date Authored by Approved by

1.0 1 November 2008 Adrian Whelan,

Head of Global Security

Charlie Dobbie

EVP Global Network

Operations

Distribution List

Function Action/Information

EVP Global Network Operations Action

Regional Heads of Security Action

Regional Operations SVP’s/EVP’s Information

Head of Corporate Security Information

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TABLE OF CONTENTS

1 FOREWORD 7

2 GLOBAL SECURITY AND OPERATIONS STRATEGIES 8

3 DHL EXPRESS GLOBAL SECURITY 11

3.1 DHL Express Global Security Manual 11

3.1.1 Scope 1

3.1.2 Content Layout 11

3.1.3 Layout of Sections 11

3.1.4 Distribution and Implementation 12

3.1.5 Security and Distribution of the Global Security Manual 12

3.1.6 Change Management 12

3.1.7 Exceptions and permitted variations 12

3.1.8 References 2

3.2 DHL Express Global Security 13

3.2.1 General 3

3.2.2 Deterrence 3

3.2.3 Minimising the Risk 13

3.2.4 Threats to the Security of DHL 13

3.2.5 Major Event security 15

3.2.6 Compliance with National and International Regulatory Bodies 15

3.2.7 Confrontation with Criminal Activity 15

3.2.8 Responsibilities for Security 15

3.2.9 Monitoring, Implementation and Improvement 16

3.2.10 Regional Heads of Security and functional heads 6

3.2.11 Security Incident Reporting 16

3.2.12 Networking and Liaison 6

3.2.13 Response to increase in security risk 7

3.2.14 Business Continuity 7

3.2.15 Contingency Plans 7

3.2.16 Crisis Management Team 7

3.2.17 Failure to Comply with Security Requirements 7

3.2.18 Information System Security 8

4 PERSONNEL SECURITY 19

4.1 Recruitment and Termination 19

4.1.1 General 9

4.1.2 Directive 9

4.1.3 Business Rules 20

4.2 Contracts and terms of employment 21

4.2.1 General 1

4.2.2 Directive 1


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4.3 Training 3

4.3.1 General 3

4.3.2 Directive 3


4.4 Service Providers 5

4.4.1 General 5

4.4.2 Directive 5


5 FACILITY SECURITY 7

5.1 Physical Security 7

5.1.1 General 7

5.1.2 Directive 7


5.2 Procedural Security 8

5.2.1 General 8

5.2.2 Directive 8


5.3 Warehouse Area Security 9

5.3.1 General 9

5.3.2 Directive 9


6 VEHICLE SECURITY 1

6.1 Security of DHL Express vehicles 1

6.1.1 General 1

6.1.2 Directive 1


6.2 Security of DHL Express Pickup and Delivery vehicles 3

6.2.1 General 3

6.2.2 Directive 3


7 SHIPMENT SECURITY 5

7.1 Shipment Security Inspection 5

7.2 Shipment Security Screening 6

7.2.1 General 6

7.2.2 Directive 6

7.3 Business Rules Security Inspection and Screening 7

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7.4 Account Fraud 8

7.4.1 General 8

7.4.2 Account Setup rules 8

7.4.3 Account Maintenance rules 9

7.4.4 Customer Service – Shipment Processing Rules 9

7.4.5 Reception Desk – Shipment Processing rules 1

7.4.6 Drop Boxes 37

7.4.7 Customer Master Data Extract 1

7.4.8 Compliance 1

7.5 Secure Area 1

7.6 Redirection of shipments 2

7.7 Prohibited Commodities 3

7.8 Flight and routing information air express shipments 3

7.9 Free of charge (FOC) and employee shipments 3

8 AIRSIDE OPERATIONS AND AIRCRAFT SECURITY 4

8.1 Airside Operations and Aircraft Security 4

8.1.1 General 4

8.1.2 Directive 4

8.1.3 Business Rules Security Restricted and Airside areas 4

8.1.4 Business Rules for Incidents Involving Aircraft 5

8.1.5 Business Rules Access to Aircraft 6

9 SECURITY RELATED BUSINESS AREAS 7

9.1 Threat and Risk Assessment 7

9.1.1 Directive 7

9.2 Security Alert States 8

9.2.1 General 8

9.2.2 Directive 8

9.2.3 Business Rules Alert States 8

9.3 Security Audit 9

9.3.1 General 9


9.4 Fire and Safety 0

9.4.1 General 0

9.4.2 Directive 0


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9.5 Information Security 2

9.5.1 General 2

9.5.2 Directive 2


9.6 Disposal of Problem Shipments, Uniforms, Stores and Equipment 4

9.6.1 General 4

9.6.2 Directive 4


9.7 Administrative Area Security 5

9.7.1 General 5

9.7.2 Directive 5


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1 FOREWORD

Security in DHL Express is taken very seriously, and for very good reason. The essence of DHL

Express business is to earn and maintain the trust of those it employs and serves. It is

however inevitable that from time to time, the company may be at risk from those who

would try and perpetrate unlawful acts which may threaten the safety of staff or cause

harm to our business.

Our approach to security is a pro-active one aimed at prevention rather than cure. We have

a large team of dedicated security professionals employed to safeguard our staff primarily,

as well as our assets and the shipments we transport. These security professionals are led by

the respective Regional Heads of Security and are there to provide expert advice and

guidance on all matters relating to security. That being said, security in DHL is everybody’s

responsibility and this manual is applicable to all Express staff.

Concurrent with the conventional security threats to the company there is also risk in

today’s international security environment from terrorist organisations using the supply

chain as a means for the delivery of bombs, explosives and weapons. The company may also

be targeted as a representative, whether real or imagined, of the terrorists' enemy or have

facilities and offices close to potential targets. The fact that we have an aviation element to

our business means that we must be ever vigilant against the threat from terrorism.

In recent years there has been a growing demand from some Regulators to impose

increased security requirements upon DHL. Our position and response is based on our ability

to prove that we have had our own stringent security measures in place for many years and

that we can police ourselves rather than being policed by others. If we are to maintain this

position, our actions must match our words.

Accurately defined and effectively implemented security measures are demanded by our

customers. Providing a secure supply chain for shipments carried on our Network can satisfy

this demand. Achieving the standards of service that ensure outstanding customer

satisfaction with core services through secure and high quality delivery is the means by

which DHL Express can demonstrate competitive advantage and be recognised as the

market leader in terms of the provision of a secure supply chain.

The standards published in this Global Security Manual are designed to attain the highest

levels of security and safety in a fast moving global market. These standards are the

minimum Global security standards. At a Regional level, the security policies and procedures

as outlined in the Regional Security Manuals are more specific to Regional requirements and

are to be adopted and strictly adhered to by Regional staff.

To conclude, I would like to re-iterate that security is everybody’s business in DHL and I ask

for your continued support to ensure that we achieve our Vision, which is ‘To be

acknowledged internally and externally as the benchmark for security excellence in the

Express industry’

Adrian Whelan

Head of Global Security, DHL Express

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2 GLOBAL SECURITY AND OPERATIONS STRATEGIES

DHL EXPRESS GLOBAL SECURITY STRATEGY

Vision

To be acknowledged internally and externally as the benchmark for security excellence in

the Express industry

………. providing a safe and secure working environment for staff, a secure network for our

customers shipments and ensuring regulatory compliance.

Mission

Our Mission is to:

1. Customers

• satisfy customers’ expectations and increasingly complex demands for a secure, reliable

service;

• satisfy the company’s needs by supporting profitable acquisition and growth, by

minimising losses and supporting customer retention;

2. People

• ensure that management is aware of their responsibilities for the security of people,

company assets and customer shipments;

• provide a safe and secure working environment for all personnel;

• ensure that DHL has appropriately skilled resources to manage and drive change in a

secure network;

3. Operational Excellence

• implement consistent integrated security policies, processes and procedures aimed at

meeting the threats and risks to which DHL Express may be exposed;

• implement the appropriate tools to improve security incident visibility, reporting and

analysis;

• eradicate loss and security related incidents by institutionalising best performed

practices throughout the network;

4. Authorities

• pro-actively and positively manage regulatory requirements, focussing on appropriate

security measures while minimising any adverse impact on DHL Express

• position DHL Express as the lead industry representative and business partner of choice

to promote security initiatives and where necessary mitigate adverse impact on our

business

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GLOBAL NETWORK OPERATIONS STRATEGY

Vision

Customers trust DHL as the preferred supplier delivering Operational Excellence and a

leading Network presence.

Mission

We are committed to Delivering Operational Excellence.

1. Customers

• provide to customers the most reliable and secure door to door transportation service

available in DHL’s core markets, with full end to end visibility of shipment status and

progress and in the most cost effective manner possible

2. People

• achieve with market leading service performance at the lowest operating cost relative to

the service provided, driven by people focused, equipped, empowered and accountable

for both the performance of their area and of the end to end network


• ensure operational capability and process development, for a market leading product

portfolio breadth

• build and manage operational processes to enable a market leading customer service

and global consistency in customer interface

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DPWN CORPORATE SECURITY STRATEGY

Vision

Quality through security – Security through quality

With the fulfilment of our responsibility in all areas of security, we aim to be the

pace maker for security excellence in MAIL, EXPRESS, LOGISTICS and FINANCE.

In doing so, we will therefore proactively support the drive to be the world’s No. 1

logistics company.

Mission

Our mission is to:

1. Customers

• customers need to know that their material, economic and personal expectations will be

met through the focussed activities of a professional security operation

• security is critical for maintaining the trust of all internal and external customers

2. People

• people must act, not react – prevention ahead of corrective action

• executive management regards security as business obligation and treats security

matters with priority

• security matters are accepted by all (top-down - bottom up)


• security requirements are recognized early in the decision-making process

• potential dangers, residual risks are defined

• security-related responsibilities are clearly defined and carried out professionally

• measures are constantly adapted to the changing needs of the business

• security measures are differentiated and applied to the identified risks and dangers

• security measures are in line with Group policy

• internal security experts and executives work together

• emergency and crisis management plans are based upon accurate risk assessment

4. Authorities

• pro-actively and positively manage regulatory requirements, focussing on appropriate

security measures while minimising any adverse impact on Group’s business success

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3 DHL EXPRESS GLOBAL SECURITY

3.1 DHL Express Global Security Manual

3.1.1 Scope

The DHL Express Global Security Manual includes the security aspects of all functions of DHL

Express and must be incorporated into respective functional operating procedures and put

into practice by all persons employed by or responsible to the company with the objective of

minimising and where possible eradicating risks to the security of DHL Express.

3.1.2 Content Layout

The Express Global Security Manual is divided into seven main parts:

1 Global Security

Defines security measures and responsibilities and provides an explanation of the

communication and implementation of them.

2 Personnel Security

Recruitment, vetting, training and contractual standards.

3 Facility Security

Security of the working environment.

4 Vehicle Security

Security of vehicles

5 Shipment Security

Shipment acceptance and security inspection criteria.

6 Airside Operations and Airside Security

Security measures applicable to airport and aircraft operations

7 Security Related Business Areas

Additional business areas supporting security measures.

3.1.3 Layout of Sections

Each section of the manual is in the following format.

• General – explanatory information applying to the subject.

• Directive – Statement of requirement and driver for implementing business rules.

• Business Rules – essential mandatory requirements that are to be implemented.

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3.1.4 Distribution and Implementation

The Global Express Security Manual is issued to each regional head of security and functional

leader who is responsible for the distribution into their respective regions and business areas

and the incorporation into functional operating procedures within their respective business

areas.

3.1.5 Security and Distribution of the Global Express Security Manual

The information in this manual is exclusive to DHL Express and is security classified ‘Internal

Use Only’. Recipients are to disseminate and use the information contained herein on a

‘need to know’ basis to DHL Express staff only and not to customers or other outside groups

or associations without the express written approval from the Head of Global Security.

3.1.6 Change Management

Amendments to the Global Security Manual will be notified from time to time by means of

a Change Notification issued by the Head of Global Security. The manual is to be amended

as directed and outdated material is to be destroyed.

3.1.7 Exceptions and permitted variations

Variations to the Global Security Manual, required to meet specific Regional conditions, may

be made in consultation with the respective Head of Regional and Global Security. The

Global Head of Security may issue a dispensation, if appropriate, except where the Regional

Express or logistics operations are regulated by specific security legislation that override the

stated requirement. This will normally be defined in a countries national transport, logistics

or aviation security programmes.

3.1.8 References

Reference should also be made to functional operational policies and procedures such as:

• Operations (including engineering, Customs etc)

• Human Resources

• Finance

• Information Technology (IT)

• Fleet

• Procurement

• Commercial (including Customer Service)

• Air Carrier Security Manuals

All functional business areas are to be in compliance with the Global Security Manual.

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3.2 DHL Express Global Security

3.2.1 General

By the nature of its business as an Integrator, DHL Express is responsible for the security and

safety of people, property and shipments throughout the world.

3.2.2 Deterrence

It is the intention of DHL Express to minimise, and where possible, eradicate the risk of

threats to its staff, property, customers and their shipments, service providers and members

of the public to danger or damage to persons or property and assets of such persons by

deterring unlawful acts against facilities, operations or services. Our overall strategy is one

of prevention rather than reaction.

In making this statement, the company does not infer nor state that its requirements

override or abrogate the responsibilities of:

• staff to follow the prevailing laws, customs and conventions of the country in

which they operate;

• international, national and local police, security and regulatory authorities to

protect people, property and operations within their jurisdiction.

3.2.3 Minimising the Risk

It is the aim to minimise the risk from all real and perceived threats by means of standard

approved security measures that are to be published in the DHL Express Global Security

Manual. This document is the means by which the Head of Global Security communicates

the measures required to meet responsibilities for security for DHL Express globally.

3.2.4 Threats to the Security of DHL

The threats to the personnel and daily operations of a large and well-known multi-national

company operating worldwide are many and varied. Regional Heads of Security in

conjunction with country and security managers as well as functional heads are responsible

for identifying and where possible, minimising, the particular threats and risks prevalent in

each Region, country or area of operations and to ensure that all personnel are kept

informed of these threats.

The following are common threats that may be experienced by individuals and corporations

operating globally. Whilst there is no way of being able to script how to deal with any

particular situation in advance, effective threat and risk analysis, contingency planning and

consequence management may reduce traumatic or damaging effects of many of these

unlawful acts.

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Threat to Life Even the most trivial criminal act can result in an assault and

threat to life. In addition, in some areas tribal, social, cultural

differences and the distribution of wealth may contribute to a

lowering of value of life.

Burglary Is the single most prevalent and high-risk threat in most

countries.

Theft Rates with burglary as a high-risk threat. It will vary from petty

pilfering of company and customer property to organised

systematic theft. The source may come from inside as well as

from outside of the company.

Extortion May be by means of threats of force, to injure or kill

personnel; damage or sabotage the company to obtain money

other benefits or the release of valuable goods.

Hi-jack Must always be considered a possibility when implementing

security procedures. Shipments are particularly vulnerable. Not

only aircraft but also vehicles are susceptible.

Competitive Espionage Obtaining sensitive company information by any means. The

most common (in over 90 per cent of known cases) is the

bribing, blackmail, or coercion of an employee to provide

information. The information sought may involve company

strategic, business and pricing plans

Strike/ Civil Unrest Criminal damage or assault may result from strike and civil

unrest. Drivers, couriers’ and other DHL Express personnel are

not to cross picket lines or in any way involve themselves in any

strike action.

Protesters, action groups Protesters and action groups e.g. in case of labor disputes, may

organize a protest as a way of publicly and forcefully making

their opinions heard in an attempt to influence public opinion

or government policy, or may undertake direct action attempt

to directly enact desired changes themselves

Bombs and Terrorism Acts of terrorism continue to be a major threat throughout the

world. National and international transport modes can be

particularly attractive to terrorists who wish to try and

transport weapons and explosive devices.

Any such incidents are to be reported to the Head of Global Security by the respective

Regional Head of Security immediately.

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3.2.5 Major Event security

When planning, organizing and implementing internal events or participation in external

events, security measures must be planned well in advance. The event organizer must

involve the responsible security managers in the planning phase. If the event is a global

meeting or conference, the Head of Global Security and respective Regional Head of

Security shall liaise closely to ensure appropriate security measures are implemented.

Large scale events or those with a high public visibility can pose security risks to the

company’s reputation, assets, its employees, representatives, customers and the general

public. Large or prominent public event should therefore be subject to a risk assessment to

determine if any security measures are required.

3.2.6 Compliance with National and International Regulatory Bodies

DHL Express shall comply fully with all international and national laws, other prevailing

regulations and rules required of the company to ensure the safe, secure and proper

conduct of its business and in accordance with the law.

3.2.7 Staff Safety - Confrontation with Criminal Activity and Authority Support

In the event of a physical confrontation with criminals, the safety of staff is of paramount

importance. DHL Express expects that its staff will not take any action which may put them,

their colleagues or other innocent parties at risk of injury or loss of life.

In view of this, whilst DHL Express will support the Authorities with regard to an incident

relating to its network, company personnel are not to be used directly in the Authorities’

security activities. e.g. the company will cooperate and where required can provide DHL

uniforms for the Authorities use in a ‘controlled delivery’ type of operation but DHL staff

will NOT participate in such operations. Uniforms are to be lent for the duration of the

operation but must be returned to DHL immediately. Because of our insurance terms and

conditions, DHL vehicles will not be provided to the Authorities.

Under no circumstances are illegal items such as narcotics to be knowingly shipped through

the DHL Network. If the likes of narcotics are discovered in a DHL Express shipment and the

Authorities wish or ask for the shipment to proceed, they are to be advised that the

shipment must first be formally seized by the appropriate Authority. The illegal substance

must be removed before DHL Express will consider allowing the ‘dummy’ shipment to

proceed. A decision as to whether to allow the ‘dummy’ shipment to proceed must be taken

locally and agreement sought from the destination management team prior to the ‘dummy’

shipment being sent through the DHL Express Network. If necessary, legal advice should be

sought.

3.2.8 Responsibilities for Security

The Head of Global Security is to formulate and maintain security policies to a level

consistent with the threats and risk to which DHL Express may be subject. The Head of

Global Security is to further ensure that Regional Heads of Security in conjunction with

other functional leaders respond in a timely manner to changes in threats and risks to

security.

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3.2.9 Monitoring, Implementation and Improvement

The Head of Global Security is to monitor the implementation of, and level of compliance

to the Global Security Manual.

3.2.10 Regional Heads of Security and functional heads

The measures published in this manual are to be implemented by each Head of Regional

Security and functional leaders within their area of respective responsibility.

3.2.11 Security Incident Reporting

Any incident that places life and/or or vital interests at risk and demands immediate

response, deliberate recovery efforts, or use of alternative resources or methods in addition

to the local escalation and communication procedures must be reported immediately to the

respective Regional Head of Security. If deemed necessary, they shall in turn notify the Head

of Global Security.

At a Regional level, It is incumbent upon country security managers, and where applicable,

area hub and gateway security managers and functional heads to ensure that timely

information is provided by means of a security incident report, to the respective Regional

Security Group on factors and experiences their country has been subject to and in

particular to ensure that all unlawful acts against the company are subject to investigation

and corrective action.

Definition

Man made, unauthorized, intentional, internal or external action that will put DHL’s

personnel, assets, customer’s shipments in jeopardy, or violate laws or regulations that

might result in damage to DHL operational activity or reputation. One incident might be

related to more than one shipment, person, asset etc.

Reporting

All incidents which can be categorized as Security incidents (as per the definition above)

have to be reported in the DHL Security Incident Database (SID) as soon as practicable.

SID is the web based global DHL security incident database to be used for the reporting,

logging and managing of all security incidents.

The SID homepage can be found at : http://sid.apis.dhl.com/sid4

http://sid.apis.dhl.com/sid4

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3.2.12 Networking and Liaison

Active Networking and liaison and the establishment of good lines of communication with

national and local law enforcement, security agencies and other security organisations is to

be strongly encouraged at all levels within the DHL security organisation. Networking is a

critically important facet of a security manager’s role and should be seen as an essential

task. Promotion of the DHL security capability is a similarly important task and should be

undertaken whenever possible.

3.2.13 Response to increase in security risk

DHL Express will respond to the increase in risk to its security through a system of enhanced

security measures notified in a 'Security Alert State'.

Country and where applicable, area, hub and gateway managers and functional heads must

authorise the change of the security alert state and the temporary measures to be put in

place as a result in their area of responsibility. Changing the alert state and the

implementation of temporary security measures is to take place in response to changing risk

levels and normally after consultation with the respective Regional Head of Security.

3.2.14 Business Continuity

Regional Heads of Security in conjunction with functional heads are to ensure that plans are

in place to protect the security, safety and health of personnel and continuity of business in

the event of any incident or disaster that may affect their area of responsibility.

3.2.15 Contingency Plans

The Regional Head of Operations is to ensure that contingency plans are in place to deal

with any disaster or incident that may be detrimental to the security, safety, or operations

of the company. Such plans must include suspending air, ground or road operations and

finding alternative means of continuing the business. Contingency plans must be available

in writing and maintained in a current state and regularly reviewed and updated.

3.2.16 Crisis Management Team

A crisis management plan and nominated crisis management team is always to be in

existence at a country and regional level as a minimum to enable management to quickly

respond and assemble the resources required to gather information and initiate appropriate

action to manage the consequences of any incident or crisis. The nominated crisis

management team leader may not necessarily be the most senior person but should be the

person most suited to lead the team in response to the particular incident or crisis. Crisis

Plans should be regularly reviewed and exercises conducted regularly to ensure that crisis

management team members are both familiar with and capable of responding to an

incident or crisis quickly and effectively.

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3.2.17 Failure to Comply with Security Requirements

Any employee, service provider, or person under the direct control of DHL Express that is

suspected on reasonable grounds, or proven to have acted unlawfully and/or in a manner

likely to put at risk its personnel, customers shipments and/or assets is to be dealt with in

accordance with the local disciplinary process. This may include suspension, dismissal,

reporting to the local Authorities or other actions as deemed appropriate by DHL

management.

3.2.18 Information System Security

The Corporate Information Systems group has the responsibility for Information Technology

(IT) security including the appropriate security policy and procedures.

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4 PERSONNEL SECURITY

4.1 Recruitment and Termination

4.1.1 General

All personnel are to be subjected to appropriate and legally acceptable pre-employment

screening and vetting.

In some countries and operations, pre-employment screening/vetting of employees may be a

legal requirement of the local aviation, customs, road haulage or other authority for

personnel that are to work within the authorities’ jurisdiction.

The requirements for the recruitment and vetting of personnel are to be implemented with

regard to the prevailing laws and conventions of employment in each country in which DHL

Express operates. There may be mandatory regulations or rules concerning what

information an employer can reasonably require of a prospective employee and the form of

contract of employment may vary from place to place. Nevertheless achieving a sufficient

standard of vetting should be a condition of employment. If permissible, personnel may also

be required to notify management of any acts or incidents which occur once employed and

which may be deemed to be materially relevant to their status as an employee.

4.1.2 Directive

Notwithstanding the above, human resources managers must ensure that the following

minimum standards are achieved:

1...1 The company properly conducts its relationship with employees and prospective

employees without detriment to the security standards required by DHL Express;

1...2 Use of DHL Express approved employment application forms; and fully

completed with a focus on previous working history

1...3 Positive identity check during the recruitment process

1...4 Validity check of driving licences where applicable

1...5 Where legally permissible, applicants do not have a criminal or court record that

would preclude their employment.

1...6 Applicants previous work history is checked for the previous five years as a

minimum or longer if permissible

1...7 Provided information and documentation is validated e.g. original copies of

certificates sighted etc

1...8 Copies of all provided documents and information are filed

1...9 All personnel must be issued with an approved identity card

1...10 Termination procedure in place for employees and contractors

1...11 Centralized recording of terminated employee details at country level

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4.1.3 Business Rules

1...1 DHL Express approved employment application forms are to ask for sufficient

information to allow for positive pre-employment check of the applicant and

whether the applicant has been convicted of a criminal offence or has a court

record

1...2 All persons recruited must produce positive photographic evidence of identity

(national passport or other official identity card) and residence permit if

appropriate. Copies of these documents must be retained in personnel files

1...3 Validity of Driving Licences of all persons required to drive company vehicles and

mechanical handling equipment must be verified at interview and checked

annually. A photocopy of the licence or permit and a record of subsequent

checks are to be held in the individuals personnel file.

1...4 Applicants do not have a criminal or court record that would preclude their

employment. Where permitted and appropriate, prospective employees should

provide evidence that they have no criminal record and produce a certificate of

good conduct as appropriate. Where permitted prospective employees are to be

subject to a court or police check

1...5 Applicants previous work history is checked, for the previous five years or to date

of leaving full time education. Whilst telephone references at the initial

screening are acceptable to determine the applicants suitability for employment,

these are to be recorded in the relevant personnel file and confirmed in writing

with the previous employers concerned. Reasons for gaps in continuous

employment are satisfactorily explained

1...6 All information, qualifications and licences or permits presented by prospective

employees are checked against original sources to ensure that they are true and

accurate. Written references presented at the interview by the applicant are to

be confirmed by the person or institution giving the reference (preferably in

writing.

1...7 Copies of all provided documents and information collected during the

recruitment process are to be filed in the employees individual personnel file for

future reference

1...8 It is the responsibility of regional/country/entity HR managers to ensure ID cards

are issued and accounted for. Administration of the production, issue and

accounting of identity cards is to be part of the induction and exit procedure for

employees.

Personnel are to wear a company identity card at all times when on company

premises or business. Identity cards are to provide the following minimum

information:

Photograph

Surname

Company logo

Expiry Date

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1...9 There is to be a termination procedure in place to ensure that employees return

all their equipment and uniform, including identity and pass cards of whatever

variety, when leaving the company's employ.

1...10 Centralized recording of terminated employees, supported by a process that

prevents DHL Express rehires terminated staff within the same country

4.2 Contracts and terms of employment

4.2.1 General

The following should be reflected in country employment contracts, and company rules as

appropriate.

4.2.2 Directive

Human Resources managers must ensure that the following minimum standards are

achieved:

1...1 Personal responsibilities for security included in employment contracts

1...2 Non-Disclosure of information agreements included in contracts

1...3 Terms of employment are to stipulate a minimum probationary period

1...4 Terms of employment cover random employee baggage searches where

applicable

1...5 Contract covers accountability for DHL uniforms and/or equipment

1...6 Prohibition of non-prescribed drugs and alcohol included in contracts


1...1 In contract, terms of employment, job description or company personnel guide

there must be a clear statement of personnel personal responsibilities for

security and that;

the individual must adhere to the DPWN Code Of Conduct and DHL

security procedures and that failures will be investigated and could

result in dismissal;

they are to notify their HR manager should they be subject to any

criminal investigation or charges (this requirement is not to be in

contravention of any personnel or employment legislation or rules);

failure to report to the appropriate management level known details

of unlawful acts committed or planned to be committed against the

company, its personnel and customers is considered a serious violation

of company policy and possibly a criminal offence

22


1...2 All information concerning the company, customers and employees is

confidential to the company and is not to be disclosed to those not authorised

to receive such information. This is particularly important where there may have

been a breach of security or an incident that would be of interest to the media

or subject the company to possible legal action.

• The individual responsibility is not to divulge confidential information

and DHL Express business outside of the company and is to be included

in terms of employment or company rules as appropriate.

• Within the terms of employment or company rules, employees are to

sign a statement that they understand that confidential information

and other information pertaining to company business is not to be

discussed or divulged to any third parties.

1...3 Terms of employment are to stipulate a minimum probationary period and that

failure to meet the required standard of vetting during this period may result in

their appointment not being confirmed.

1...4 There is to be an explicit term in company rules for all personnel that the

company has the right to carry out random or specific searches of the

employee’s person, baggage or vehicle where legally permissible. This may

relate to entering or leaving company property, whilst on company property, or

in company vehicles and to the level permitted by local country legislation or

required by management in response to specific security risks. If searches are not

allowed by local law, then personal items such as carry bags are not to be

allowed in the operation area. It is to be made clear to personnel that they are

required to permit such reasonable searches and assist security officers in the

carrying out of their duties. Under no circumstances however are male staff to

conduct searches of female staff.

1...5 The contract of employment is to contain a clear statement that employees,

whilst on duty, are to wear and account for company uniform and equipment

with which they have been issued.

1...6 Personnel are not to consume alcohol or take any drugs that reduce their ability

to safely and effectively carry out their duties. Personnel must report to their

superior when they are taking any drug that may impair their ability to carry

out their duties. Any employee found to be under the influence of non-

prescribed drugs or alcohol whilst on company business may be immediately

suspended from duty pending disciplinary enquiries.

23


4.3 Training

4.3.1 General

The standards of security training are embodied in the DHL Express 'Security Awareness For

Employees' (SAFE) programme. National regulatory authorities may require additional

training that is to be included in the country specific SAFE training programme.

Globally, the SAFE syllabus consists of a total of six compulsory modules for every member

of staff and an additional seven modules for operations staff. These GSOP compliant

modules are the minimum standard and have been agreed by the Global Security Steering

Group (GSSG). The modules are as follows:

SAFE Module Required For

General DHL Security Awareness

1 Introduction to Security and SAFE All Staff

2 Foundation of Security All Staff

3 Security in the Office and/or Facility All Staff

4 Fire Safety Procedures All Staff

5 Bomb Threat Guidelines All Staff

6 Information Security All Staff

7

Facility Security Armed Robbery Prevention and

Preparedness All Staff

Shipment Security and Integrity

8 Shipment Security Courier/Ops Staff

9 Shipment Inspection Courier/Ops Staff

10 Recognition of Drugs Courier/Ops Staff

11 Recognition of Explosives Courier/Ops Staff

Vehicle and Driver Security

12 Theft from PUD Vehicles Courier/Ops Staff

13

Vehicle Security Hijack & Robbery Prevention and

Preparedness Courier/Ops Staff

This list is the minimum Global SAFE standard and can therefore be expanded upon by

Regional Security with additional modules if deemed necessary. It is the countries’

responsibility to translate the SAFE pack (which is in English) into the local language.

4.3.2 Directive

1...1 Human Resources and operations managers are responsible to ensure that all

DHL personnel and contracted staff are given the applicable SAFE security

training

1...2 Regional Security departments are responsible for updating the SAFE training

material for their respective Regions

24



1...1 Human Resources an Operations managers are responsible to ensure that

personnel at all levels receive SAFE security training to the standards specified

in the SAFE syllabus as soon as possible after joining the company and every two

years thereafter.

1...2 All personnel are to be given the applicable security training, e.g. “Security

Awareness For Employees” (SAFE). SAFE or equivalent transportation security

training approved by an international or government regulatory body must be

part of the induction and continuation training programmes for all personnel

and other persons working for DHL Express.

1...3 As a minimum all personnel are to be trained in the six compulsory modules

listed under 4.3.1 (or thirteen for operations staff) and other regulatory security

training as may be required.

1...4 Personnel directly involved in handling shipments are to be trained in all

modules of the SAFE programme and other regulatory security training as may

be required.

1...5 Regional Security is to ensure that the content and syllabus of the SAFE

programme is kept up to date and reflects the training required to counter

current and potential threats to security.

25


4.4 Service Providers

4.4.1 General

This section details the measures that are to be taken when DHL Express employs service

providers and their employees to carry out sub-contracted services and also applies to

companies and individuals providing contract services such as security, cleaning, utility

maintenance and servicing.

4.4.2 Directive

1...1 All DHL managers are to ensure that all employees of service providers engaged

in activity on behalf of or in support of DHL Express meet vetting and training

standards equal to the standards for DHL personnel and are to be made aware in

writing of, and comply with, all applicable security standards and procedures.

The inclusion of the personnel vetting, training and procedural requirements

must be part of any signed contractual agreement with service providers.

1...2 Procurement and other relevant managers such as country and facility managers

are to ensure that any company invited to tender for security contracts are

approved and certified to the appropriate national standards.


1...1 Service providers, companies or individuals are responsible to ensure that their

employees assigned to DHL Express are vetted and trained to a standard equal to

or greater than that for DHL Express personnel.

1...2 It is to be ensured that security service providers meet the required national

approved training standards and programme for its personnel.

1...3 Contract cleaners should be supervised when working in shipment

handling/storage areas and areas where sensitive information, equipment and/or

cash are kept. This includes office environments.

1...4 Cleaning staff are not to be given access codes or keys to any part of a DHL

Express facility or allowed to take keys off of the premises.

1...5 The personal belongings of cleaning staff, not required for use in their work, are

to be checked in and held by the reception/security team or duty personnel

where possible.

1...6 All contract personnel are to be registered on and off site daily.

1...7 All service provider personnel must sign a non disclosure agreement.

26


1...8 Long-term service provider personnel may be issued with a permanent pass

showing permitted access areas.

1...9 Short term and temporary service provider personnel should be issued with a day

pass on which the appropriate access level should be shown.

1...10 Contract security personnel are to be uniformed and supervised to the standard

required by DHL Express.

27


5 FACILITY SECURITY

5.1 Physical Security

5.1.1 General

Every new DHL Express facility should be designed in conjunction with a DHL Express

security manager to ensure the appropriate security measures are designed-in and poor

security aspects are ‘designed out’. Ever DHL Express facility should have a level of security

commensurate with its operational requirements. In addition, each DHL Express facility is to

be classified in order to determine the appropriate physical security level and also has to

achieve compliance to the DHL security standards. Reference should be made to the

respective Regional Classification Programme to assess the facilities’ classification level.

Compliance to the Transported Asset Protection Association (TAPA) Freight Security

Requirements is globally preferred, whilst the decision to certify or not should be decided

by Regional Security in conjunction with country security managers.

5.1.2 Directive

...1 As a minimum all facilities are to be security classified according to the DHL

Express standard every 12 months.

...2 Action plans are to be prepared for all facilities which are not in compliance with

the security standards.

...3 Security Management is to be involved in all real-estate/operational projects

impacting the risk/security level of a facility.


...1 To assess the facility risk level and the required physical security standards, all

new and existing facilities are to be, as a minimum, security classified every 12

months by use of the regional classification tool. The security classification level

is required to assess at which level the Regional Security Audit is to be

performed.

...2 For all new and existing facilities which do not yet comply to the physical security

standard, a corrective action and investment planning is to be made.

...3 Security Management is to be involved in all real-estate/operational projects

which impact the facility security and require expertise input and planning to

ensure continuing compliance to the security standards.

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5.2 Procedural Security

5.2.1 General

The applicable procedural security standards for DHL Express facilities are set in the GSOP

Compliance Audit and Regional Security Compliance Audit. These audit tools are designed

to provide the facility security compliance level for the indicated classification level in order

to develop an action plan to achieve compliance to the standard. Reference may also be

made to the TAPA Freight Security Requirements or other prevailing requirements where

applicable.

5.2.2 Directive

...1 The GSOP Compliance Audit and Regional Security Compliance audit define the

procedural security standards that are to be applied to a facility.

...2 As a minimum all facilities are to be security audited every 12 months.

...3 Action plans are to be prepared and completed for all facilities which are not in

compliance with the applicable security standards.


...1 Before a security compliance audit can be performed the classification level of

the facility is to be assessed by use of the regional security classification tool. The

security classification level is required to assess at which level the Regional

Security Audit is to be performed.

...2 As a minimum each DHL Express facility is to be audited every 12 months

...3 Action plans are to be prepared and completed for all facilities which are not in

compliance with the applicable security standards.

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5.3 Warehouse Area Security

5.3.1 General

The warehouse area of each facility is the area that will experience high levels of

operational activity. It is also the area where our customers’ shipments will be processed,

often during short time windows. Under these circumstances, it is vital that security is not

compromised.

The warehouse and processing area is the point at which inbound, outbound and transit

shipments are to be the subject of final security checks. Such checks should preferably be

undertaken under CCTV coverage.

It is essential to good security practice that the warehouse area is at all times kept in a clean

and tidy condition. Housekeeping should be undertaken during periods of lower activity so

that any accumulation of waste and rubbish are disposed of in the appropriate manner.

All personnel are to be made aware of the importance of being vigilant and ensuring that

any unauthorised persons are denied access to the warehouse area.

5.3.2 Directive

...1 Physical security of shipments and warehouse to be in line with risk classification

and prevailing DHL Alert State.

...2 Access to the shipment processing area is to be restricted to authorised staff

...3 A ‘Clear Deck’ policy is to be operated in all warehouse process areas.

...4 All material On-Hold for whatever reason must be cleared to the appropriate On-

Hold area or the Secure Area e.g. High Value Cage if the material is at higher risk

of theft.


...1 The physical security of shipments in terms of prevention of theft/pilferage and

in terms of prevention of shipment tampering (integrity of shipment) and the

shipment processing area, is to be maintained at a level commensurate to the

security risk level (risk classification) and the prevailing security Alert State.

...2 Only staff, supervisors and management who are directly responsible for the

shipment handling are to have access to the warehouse. Access by visitors must

be approved by management. All visitors must be escorted at all times.

...3 Roller shutters and airlock type door systems are to be closed when not in use.

...4 A ‘Clear Deck’ policy is to be operated in all warehouse process areas. ‘Clear

Deck’ is a procedure whereby at the end of each process all material is cleared

and accounted for and moved into the secure or On-Hold (OH) area.

30


...5 All material On-Hold (OH) for whatever reason must be cleared to the

appropriate OH area and a checkpoint captured which indicates the current

status of the shipment and reason for OH. The reason for placing shipments OH

must be investigated and resolved. Material that is at high risk of theft must

normally be secured in the ‘Secure Area’ that is to be a locked security cage,

room and preferably under CCTV surveillance.

...6 There is to be a daily reconciliation of monies collected by the pickup and

delivery couriers against the pickup and delivery documentation

...7 Waste and material for disposal is to be gathered in clear trash bags. Random

inspections of trash are performed or alternatively the trash is compacted on site

under CCTV coverage.

...8 Shipment bags are not to be used as trash bags or used for anything other than

the bagging of shipments.

...9 All DHL packaging material and supplies (pick-up documents, AWB's /

consignment notes, labels, tapes, flyers and other documents) are to be securely

stored and their distribution controlled.

31


VEHICLE SECURITY

6.1 Security of DHL Express vehicles

6.1.1 General

Managing the control, movement and use of vehicles is an essential and integral component

of providing a safe and secure working environment for the protection of personnel and

shipments from unlawful acts.

Vehicles containing high risk commodities and loads, for example high volumes of finished

high-tech goods, perfumes, mobile phones or audio visual equipment, require additional

security measures during the loading phase, whilst en-route and during the off loading

phase.

Reference should be made to the Regional ‘Security Manual Road Transport’ (if applicable)

for both the standard and additional vehicle security measures to be utilised for vehicle

security.

6.1.2 Directive

...1 All inbound and outbound vehicles which contain shipments are to be locked

and security sealed. This is to ensure both the security and integrity of the

shipments.

...2 If there are indications that the security seal of a vehicle carrying security

controlled shipments for air uplift, has been tampered with, the shipments are to

be re-screened and the load checked for completeness

...3 Upon arrival the registration of the driver, truck and load are to be checked

...4 All vehicles are to be secured whilst en-route or parked

...5 All shipments loaded or unloaded from/to a vehicle are to be accounted for

...6 All DHL branding and identification is to be removed from DHL and

subcontractor vehicles upon the termination of the vehicle lease contract or prior

to the sale of the vehicle


...1 All vehicles transporting shipments e.g. line-haul and feeder vehicles are to be

locked and sealed with a DHL Express approved numbered security seal.

...2 Seals are to be fixed by a nominated person from the departure facility; the seal

number and the name of the nominated person who applied the seal are to be

recorded on the vehicle transport documents (e.g. CMR or loading list)

...3 For aviation security purposes the CMR or loading list is to contain as a minimum

the following information: name, address and unique regulated agent number,

unique consignment number, contents of consignment, name of driver and the

security screening level of the consignment as per National Aviation Security

Program (NASP) or equivalent if applicable. The completed CMR is to accompany

the movement and to be communicated to the destination station by means of a

32


movement message.

...4 Drivers are responsible for ensuring that their vehicles have been completely and

properly loaded and sealed with the appropriate number of seals for each

vehicle type before departure. During the transit they are responsible for the

security of the load and are to report any incidents associated with the load or

the security seal without delay to management.

...5 A nominated person at the receiving station is to be made responsible for

checking that upon arrival, all inbound vehicles are correctly sealed as per the

transport document and movement message from the departure station and that

the screening level for consignment for air uplift (if applicable), consignment

sender details, vehicle details, consignment details and driver ID match the

information on the CMR/loading list. Any discrepancies are to be reported

immediately to the operations Supervisor/Manager who is to investigate the

incident before processing the load.

...6 If there are indications that security controlled shipments for air uplift could have

been tampered with, were not protected from unauthorized interference for

some time or were not yet security screened to the appropriate level, these

shipments are to be re-screened before air uplift

...7 Operating procedures are to contain sufficient supervisory checks to ensure

compliance with the above business rules.

...8 Operational vehicles, trailers and containers used for the movement of shipments

are at all times to be given priority for the most secure parking, holding and

waiting area at DHL Express facilities. These should be as close as practical to

loading and unloading areas and within the facility security perimeter.

...9 Other than operational vehicles, where approved as part of the operating

process, staff, company or private vehicles (including motorcycles and bicycles)

are not to be permitted to enter, park in or pass through any shipment holding

or processing or loading area.

...10 Visitors should be provided with a designated parking area that is to be clearly

marked. The details of visitor's vehicles are to be registered as part of the

reception process in the visitors register.

...11 Vehicles are not to be routed through or left unattended in areas of high risk of

hi-jack, theft or vandalism.

...12 Drivers are to ensure that when the vehicles are unattended they are locked at all

times and any company, or personal belongings and shipments are kept out of

sight.

...13 Truck movements do not contain material that has not been accounted for and is

correct for the specific line haul. This is preferably achieved by a

scanning/handover process which is auditable.

...14 All vehicles owned or leased, when resold or at the termination of any lease

contract must have all DHL identification such as fleet numbers, logos or other

DHL markings removed within 10 days and this is to be confirmed in writing to

DHL Fleet Management that all outer DHL markings have been removed.

...15 In each service contract with subcontractors and owner drivers it should be clearly

stated that after the termination of the contract all DHL identification needs to

be removed and confirmed in writing to DHL that all outer signs have been

removed.

33


6.2 Security of DHL Express Pickup and Delivery vehicles

6.2.1 General

Managing the control, movement and use of vehicles is an essential and integral component

of providing a safe and secure working environment for the protection of personnel and

shipments from unlawful acts.

Pickup and Delivery vehicles containing high risk commodities and loads, for example high

volumes of finished high-tech goods, perfumes, mobile phones, audio visual equipment and

the like require additional security measures during the loading phase, whilst en route and

during the off loading phase.

6.2.2 Directive

...1 All shipments loaded or unloaded from/to a vehicle are to be accounted for

...2 All vehicles are to be secured while en-route or parked

...3 Drivers and Couriers are to ensure that the appropriate shipment security

acceptance procedures are complied with.

...4 The contents of shipments that require security inspection should be inspected

and checked in the presence of the customer.

...5 Shipments are to be loaded and secured in the courier vehicle as soon as possible.

...6 Cash is to be secured and accounted for

...7 All DHL branding and identification is to be removed from DHL and

subcontractor vehicles at termination of the vehicle lease contract or prior to the

sale of the vehicle


...1 Pick Up and Delivery vehicles contain material that has been accounted for and is

correct for the route. This is preferably achieved by a scanning/handover process

which is auditable. Alternatively, random checks of contents of driver’s vehicles

against the Tour plan prior to driver’s departure for Tour are to be performed.

Upon return to the facility, a courier debrief process is to account for all

shipments which have not been delivered.

...2 Drivers are to ensure that when the vehicles are unattended they are locked at

all times and any company, or personal belongings and shipments are kept out

of sight.

...3 Vehicles are not to be routed through or left unattended in areas of high risk of

hi-jack, theft or vandalism.

...4 Once a shipment is accepted, the shipment is to remain in the control of the

courier at all times and is to be recorded or entered into the DHL system.

34


...5 Sealed shipments from Unknown e.g. ‘cash’ or third party air express shippers are

not to be accepted unless the shipper agrees to open the shipment and permit

inspection of the contents. Particular attention is to be given to acceptance and

security inspection criteria when the acceptance is from a third party. An

example of this is a pickup from a hotel desk. Reference should be made to the

Shipment Inspection section of this manual for further information on shipment

inspection policies.

...6 If there are indications that security controlled shipments for air uplift may have

been tampered with or were not protected from unauthorized interference for

some time, these shipments are to be re-screened to the appropriate level before

air uplift

...7 For air express shipments (other than a reassurance of timely delivery), no specific

information regarding flights or airline details of the routing of shipments is to

be given. Suspicious enquiries are to be reported to the supervisor or manager

who is to report the incident to the Security Manager as soon as possible.

...8 Cash, cheque and credit card transactions are to be carefully checked to ensure

the money amounts are correct.

...9 All cash is to be properly secured and accounted for.

...10 All vehicles owned or leased, when resold or at the termination of any lease

contract must have all DHL identification such as fleet numbers, logos or other

DHL markings removed within 10 days and this to be confirmed back in writing

to DHL Fleet Management that all outer DHL markings have been removed.

...11 In each service contract with subcontractors and owner drivers it should be

clearly stated that after the termination of the contract all DHL identification

needs to be removed and confirmed in writing to DHL that all outer signs have

been removed.

35


7 SHIPMENT SECURITY

Shipment security measures and inspections are of paramount importance. If through

negligence or non compliance with shipment security measures, unauthorised explosives,

weapons, Dangerous Goods, hazardous materials or prohibited or restricted commodities

are carried in the network, the company faces the risk of endangering the safety of

personnel and the public, becoming liable to prosecution, incurring health and safety issues

and having a negative impact on its reputation.

For air express shipments, customer service agents must notify customers who pay by cash or

credit card and ‘unknown’ (definition varies by Region) customers to leave their shipments

open to enable the courier to carry out a security inspection.

There are legal requirements to meet the following parameters of security inspection and

security screening criteria for all air express material. Such requirements vary from Region to

Region so reference to Regional Security Manuals should be made for specific requirements.

7.1 Shipment Security Inspection

All air express shipments that are paid for by cash or credit card and other non-account

holder shipments have to be searched by hand (security inspection). Similarly, shipments

from third parties such as co-loaders are to be 100% inspected/screened. In addition, it is

important to look at a number of other factors concerning the customer and/or shipment in

order to assist in making an informed decision as to whether to accept, reject or investigate

the air Express shipment. If there is any doubt as to whether to accept a shipment, a

supervisor or manager should be consulted with.

The following is a list of points to be considered when making a determination as to

whether to accept a shipment for carriage:

• Was their anything suspicious about the pick-up location?

• Did the customer appear nervous or act suspiciously?

• Did the customer make any unusual request for the handling of the particular

shipment?

• Is the delivery or sender's address unclear, inaccurate or a post office box?

• Did the customer specify a particular flight or make related flight enquiries?

• Is the weight of the package consistent with the declared contents?

• Does the package emit an odour that is inconsistent with the declared contents?

• Does the balance of the package indicate an inconsistent weight distribution?

• Are the contents of the shipment relatively inexpensive and readily available i.e.

does the cost of sending the shipment exceed the vale of the contents?

The answers to the above questions should assist in the determination as to which course of

action to take. If the answer is “yes” to any of these questions then a thorough hand

search is to be carried out with the objective to satisfy two main criteria:

• that the shipment does not contain any detonating device, illegal drugs or any

other prohibited substances, or commodities;

• that the shipment does not contain any other form of contraband.

36


7.2 Shipment Security Screening

7.2.1 General

Air express shipments are required to be security screened in compliance with the National

and International aviation security legislation applicable in the respective country. The

objective of the security screening is to satisfy two main criteria:

• that the shipment does not contain any improvised or other explosive device,

unauthorised explosives or weapons material or contaminant designed to cause

injury or damage to people, the environment, transportation chain or

infrastructure;

• that the shipment does not contain unauthorised Dangerous Goods (DG) or other

hazardous materials;

7.2.2 Directive

The legal requirement to carry out security screening by nationally approved means of air

express shipments tendered for carriage varies from Region to Region. In Europe for

example, the requirement falls into six groups. These six are listed below but are for

reference only. Specific National requirements must be strictly adhered to.

...1 Import Express (IMPEX) consignments which are picked up or sent from an

address or entity that did not sign up as DHL account consignor or is not

registered as known consignor

...2 Consignments from Unknown Shippers, Cash Shippers, New account holders and

all account holders which did not sign up as DHL account consignors or are not

registered as known consignors

...3 All shipments that are accepted by DHL at front desk or reception

...4 All shipments accepted via, Service Points or unmanned Drop Points

...5 All cargo to be loaded on passenger aircraft (PAX)

...6 At any time or place in the process that the shipment becomes suspect for any

reason.

37


7.3 Business Rules Security Inspection and Screening

Business rules will vary from Region to Region and possibly from country to country, so

applicable Business Rules must be referenced and strictly adhered to. Examples of such

Business Rules are as follows:

...1 All cargo to be loaded on passenger aircraft (PAX) must be security screened by

means accepted by the local aviation authorities

...2 All cargo to be loaded on all cargo aircrafts is to be security screened by

regulated agent, known consignor or account consignor by means of X ray, Hand

search, Trace detection, dog screening or other by local aviation authorities

accepted means.

...3 All consignments or consolidation of consignments are to get a SI checkpoint

with the applicable standard remark after the security inspection and/or

screening has been successfully completed

...4 A duly completed security inspection sticker is to be affixed to all shipments

which have been security inspected by means of a hand search as per the GSOP

procedures.

...5 An account consignor or known consignor who delivers shipments on a daily

basis to a DHL entity may, with the express written authority of the local

manager, be excluded from shipment inspections.

...6 Shipments that are required to be security inspected must not be accepted if the

customer refuses to allow the shipment to be opened

...7 Where possible, a photo-ID should be requested in order to verify the identity of

the person lodging a shipment at a front-office counter (point of sale) etc. If

permissible, a copy of the ID should be retained for record purposes for a defined

period of time prior to destruction. Local privacy laws should be observed when

requesting and storing such personal information.

...8 Where there is reason to suspect that the contents of any shipment may give

cause for concern, or the shipment has been tampered with, the shipment is to

be stopped, secured, the incident reported to the Operations

Supervisor/Manager and the contents re-screened.

...9 Drivers and Couriers are to be instructed to take particular care that all

shipments remain under their close supervision and are secured immediately on

acceptance.

...10 Once received into DHL Express care and at any stage of the shipment movement

through the Network, any discrepancy, damage or evidence of tampering of a

shipment is to be reported to the Operations Supervisor/Manager who is to re-

screen the contents of the shipment and investigate and resolve the incident.

Appropriate checkpoints are to be captured.

...11 Regional Security Guidelines are to be adhered to with respect to the inspection

of Account Holder’s shipments.

38


7.4 Account Fraud

7.4.1 General

The use of a DHL account is designed to make DHL easy and flexible to do business with.

Authorized use of DHL customer accounts is based on provision of a valid 9 digit account

number. The flexibility designed into the processes has unfortunately made DHL the target

of both organised gangs and ad hoc abusers.

The abuse results in unauthorized use of valid customer accounts (both locally billed and

Import Express) as well as the set-up of credit accounts using either stolen identity or false

details.

Global, Regional and Country security teams have actively followed up identified or

suspected cases and have worked with both international and country police authorities. In

some cases it has been identified that employees have co-operated either knowingly or

unknowingly with those involved in the fraudulent use of accounts. In order to reduce

fraudulent abuse of the Network, it is now required that additional process checks be put

into place.

Account fraud is committed either by an unauthorized shipper using a valid customer

account or by someone setting up an account (usually with false details) with the intent of

using this account themselves or passing on the account details to others to allow them to

send shipments, with the specific intent of evading all shipment related charges.

There have also been incidents where Customer Services have been requested to book a

collection on a local account but from an address different from that pre-defined by the

account holder. In a number of cases the customer account details have been “stolen” and

used by unauthorized shippers.

Whilst it is recognised that it may not be possible to completely eliminate fraudulent use of

customer accounts there are basic process checks/ controls that will reduce the existing level

of fraud.

The DHL Express Network Service Standard 26.3 (NSS 26.3) outlines the standards to prevent

the misuse of Customer Account Numbers and account fraud, this NSS can be found as

below. Please go to website:

Express => Global Functions => Global Finance => Express Billing => Express Network Service

Standards

7.4.2 Account Setup rules

...1 An Import Express account must not be opened via web application and must not

be automatically allocated when a local billed account is opened.

39


...2 Granting of credit for local billed accounts including those opened via web or

Customer Service must follow country/ regionally defined policy or in absence of

local policy must comply with DPWN Group Order to Cash policy. Under this

policy, every account opened must be credit vetted using an appropriate credit

reference agency or tool (Please see website as described under 7.4.1)

...3 All Accounts opened must have a permanent address and a fixed landline

number where they can be contacted.

7.4.3 Account Maintenance rules

...1 If an Import Express or locally billed account is not used for a period of 12

months it must be closed (credit stopped) to minimize potential abuse. Any

subsequent reopening of the account should be subject to standard credit check

procedures.

...2 Any credit account, where the payment is authorized via credit card must be

revalidated if the credit card authorized for payment has expired or is stopped

for any reason.

...3 If an invoice remains unpaid after 60 days the account should be viewed as

potential risk and require priority attention.

...4 The details of any account where fraudulent use is suspected must be provided

to the Country or Region Security Officer for further investigation. There is no

prescribed format of data as each case will be different. All facts as known

should be provided by email and Security team must respond within 24 hours. If

there is fraudulent use of an account by others, it is recommended to discuss

circumstances with the valid account holder, to close the account and if

appropriate to provide new account.

7.4.4 Customer Service – Shipment Processing Rules

1. Accept a pick-up request for an Import Express shipment if the shipment is to a

consignee in the country where the IMP account is owned or; accept a pick-up

request for a 3rd

Country Import Express shipment only if the shipper is able to verify

name and country of account holder or; accept a pick-up request if the shipper is an

established account holder and the shipment is collected from the account holder

address.

If an Import Express pick-up request does not conform to the above condition then

a. Accept the booking if:

i. Import Express shipments have been authorized by Routing Order or blanket

authorisation from the IMP account owner (issued in writing by either

Account holder or DHL Sales Executive in Account holder country from DHL e-

mail address – see page 8 as example of information required) or

40


ii. the shipment is part of an identified pattern of shipments between

established businesses, e.g. shipment sent to company branches located

worldwide or e.g CSV has an existing record of Shipper under Customer

Lookup screen or Booking Query screen; or past AWB records traced through

SIS, GEMA/ NPTS

b. Refuse the pick-up request and advise the shipper requesting the service that

the Import Express account holder should initiate the collection request

either by

i. using “Import Express Online” (IEO) or

ii. contacting their local DHL Customer Service

c. Advise the shipper that the pickup will be delayed by minimum 1-2 business

day(s) while the request is verified with the Import Express account owning

country. In this case Customer Services in requesting country must contact

Customer Services in the account owning country and ask for the verification

that the account holder has authorised the shipment, confirmation by

account owning country should be by close of business next working day. If

account holder can not be contacted for verification the requesting location

should be advised on status. Customer Services in the account owning country

must not confirm if they are in any doubt as to the credit worthiness of

account or legitimacy of request.

For pick up request “under review”, customer Service Agent must complete

“Booking Request Declined Template” for follow up purposes (see Appendix II) – the

data and follow up results should be provided monthly by the Country and Regional

Security Manager.

2. Accept a pick-up request for a local billed shipment only if the pickup address is held

in the Customer Services database for the account (known shipper). If the pick-up

request for a locally billed shipment is for an address different from that defined in

the Customer Services pick up address for the account, the pick-up request must be

verified before passing to dispatch by one of the following methods:

a. Customer Service to call the account holder on the telephone number held on

the Customer Master Data (not a number provided by the caller making the

booking) or

b. Customer Service verifies that the call was received from the correct company

telephone number, e.g. through “call display” or

c. The Account holder sends a confirmation fax on a company letterhead or an

e-mail confirmation from and e-mail address held in the Customer Master

Data for the account, authorizing the pick-up form the requested address.

Unless authorization for pick up request is verified, pick up to be denied.

41


3. A Pickup request for collection of a shipment from a public location e.g. meeting

point at airport, a parked vehicle, outside of a business premises or local coffee

shop, must be refused. These shipments have frequently been found to be

unauthorized or to contain prohibited contents.

7.4.5 Reception Desk – Shipment Processing rules

...1 A walk-in Import Express shipment must only be accepted if the shipment is

going to the Import Express account holder as identified in the Customer Master

Data.

...2 A walk-in/ drop off shipments on local billed accounts must be refused unless

DHL receives a written confirmation from the account holder confirming that

they authorized the drop off. Where an account holder regularly arranges for

shipments to be dropped at reception than a standing authorization will suffice.

...3 Regionally defined security checks on content for drop off shipments must be

strictly adhered to.

...4 If the value of the content is significantly lower than the likely DHL charges, then

treat shipment as suspicious e.g. 20 kg of “second hand clothes” sent under

Import Express account. Basic rules is If it looks suspicious, always validate.

...5 Where there is doubt a Duty Supervisor should be requested to review and

determine if they are satisfied that shipments are not obviously fraudulent.

7.4.6 Drop Boxes

Shipments deposited in drop boxes with request for 3rd country Import Express account

should be verified with account holding country as 9.4.4.1 before processing.

7.4.7 Customer Master Data Extract

Any request for a full or partial customer master data extract must be authorized in writing

by the Country CFO or Country Sales & Marketing Director. Country requests for Import

Express customer data extracts must be routed to Central Bureau via Regional Collect Billing

Coordinators.

7.4.8 Compliance

All Express time Definite entities and Day Definite entities processing Day Definite

International shipments must comply with the business rules included within this standard

(NSS26.3).

7.5 Secure Area

High theft risk shipments that cannot be immediately processed and/or repacked are to be

moved to the secure area and recorded. A record is to be maintained for all items in the

secure area that is to show the reason for segregating the items and progress action to date.

Contents of the secure cage are to be accounted for on a daily basis with appropriate

checkpoints captured.

42


7.6 Redirection of shipments

The DHL Express Network Service Standard 22.8 (NSS 22.8) outlines the standards for the

redirection of shipments. This NSS can be found at the following link:

http://nar2000.dhl.com/nar/. This policy is to be strictly complied with.

No changes are permitted to the delivery address shown on delivery documents unless the

named Receiver and/or the Account Holder issued an official request for redirection.

In order to request the redirection of a shipment, DHL must receive a Letter of Authority

from the named Receiver and/or the Account Holder on company letterhead (an e-mail is

acceptable if the sender's domain name is evidently that of the Account Holder entity, e.g.

[email protected]).

A manager, supervisor or person with designated authority must review all documentation

and sign off each shipment for redirection. A copy of all documentation must be archived by

Customer Service.

In order to request the regular redirection of shipments, DHL must receive a Letter of

Authority from a director of the receiving company, outlining the reasons for the request.

This must be on either company letterhead or e-mail, if the domain is evidently that of the

Account Holder's entity.

The responsible manager must ensure that the request is genuine, e.g. by confirming that a

company has moved premises through discussions with couriers covering the current and

proposed delivery runs.

A manager must review all documentation and sign off each request for redirection. A copy

of all documentation must be archived by Customer Services.

http://nar2000.dhl.com/nar/

43


7.7 Prohibited Commodities

DHL Express is not to transport any illegal or prohibited commodity as per the Global DHL

Express Prohibited and Restricted Commodities Policy:

http://wcms.intra.dpwn.net/wcms/global_corporate_services/folder23414724/folder3786665/f

older80273068/

If such commodities are discovered, the processing of the shipment is to be immediately

stopped, the shipment secured and the incident reported to the appropriate authority. All

shipment handling staff are to be trained (e.g. SAFE) in the recognition of explosive devices,

weapons, unauthorised Dangerous Goods or hazardous material and any prohibited items

that may be of danger to express and logistics transport modes.

7.8 Flight and routing information for air express shipments

Other than a reassurance of timely delivery, no specific information regarding flights or

other details of the routing of air express shipments is to be given to any person. Suspicious

enquiries are to be reported to the supervisor or manager immediately who will in turn

report the incident to the Security Manager.

7.9 Free of charge (FOC) and employee shipments

All free of charge and employee shipments have to be approved by local management,

recorded, regularly reviewed and be in compliance with NSS 24.9.

The DHL Express Network Service Standard 24.9 (NSS 24.9) can be found at the following

link:

http://wcms.intra.dpwn.net/wcms/folder22034788/folder18199205/folder17898077/folder397

95330/folder102065514/index

http://wcms.intra.dpwn.net/wcms/global_corporate_services/folder23414724/folder3786665/folder80273068/

http://wcms.intra.dpwn.net/wcms/global_corporate_services/folder23414724/folder3786665/folder80273068/

http://wcms.intra.dpwn.net/wcms/folder22034788/folder18199205/folder17898077/folder39795330/folder102065514/index

http://wcms.intra.dpwn.net/wcms/folder22034788/folder18199205/folder17898077/folder39795330/folder102065514/index

44


8 AIRSIDE OPERATIONS AND AIRCRAFT SECURITY

8.1 Airside Operations and Aircraft Security

8.1.1 General

The responsibility for the security of DHL Express aircraft and airport facilities normally rests

with the local hub or gateway manager.

Whilst implementing DHL Express security measures there should be no conflict between

local rules, regulations and legal requirements in the conduct of airside operations and

those of the international governing bodies.

Hi-jacking of aircraft is a constant threat. The standard operating procedures governing the

responses to be activated in the event of a hi-jack situation are embodied in the

internationally agreed procedures for aircraft pilots and crews that are not within the remit

of this manual.

8.1.2 Directive

...1 DHL Express is to conduct its operations in accordance with both international

and national regulations and the legislation of the host country.

8.1.3 Business Rules Security Restricted and Airside areas

...1 All personnel working in the security restricted area of an airport must be

authorised to work there and are to wear their official identification card and

any other identification or access pass required by regulatory authorities at all

times.

...2 Access to airside operational areas and the security restricted area of an airport is

to be strictly limited to authorised persons only.

...3 Airside authorised personnel are to receive such additional training as may be

required, to ensure that they comply with all legal and regulatory requirements.

...4 Any individual either directly or indirectly working for DHL Express is to

immediately report any infringement of the rules or regulations to their

supervisor.

...5 Any unauthorised person discovered airside or any person acting suspiciously is

to be reported to the local security authority immediately.

...6 DHL Express service providers required to work airside are to be security cleared

to the same standard as DHL employees and are to be authorised by the local

airport authority to have access to the security restricted area of an airport.

...7 DHL Express personnel should supervise or escort service provider personnel in

restricted areas. Local circumstances may dictate a variance from this

requirement in the case of long term contractors. Approval may be given by the

hub or gateway manager to issue the required dispensation.

45


...8 The access of vehicles to airside operational areas is to be limited to those

specifically authorised. Drivers of such vehicles must be similarly authorised.

Access control passes and such additional markings that may be required must be

displayed on the vehicles. Drivers are to comply with all movement instructions as

dictated by the local airport authority.

...9 Personal private vehicles are not normally to be permitted airside. Where local

regulations or operational needs permit, the use of private vehicles airside

should be controlled and restricted to those requiring essential access only.

...10 Personnel working airside should be provided with a list of call signs, telephone

or pager numbers, as appropriate, of those to whom they are to report any

emergency. e.g. Airport fire, medical and security services, air traffic control, DHL

Express hub or gateway security manager. Personnel are to know the local means

of, or be provided with a means of communication (such as approved back to

back or open channel hand held radio).

8.1.4 Business Rules for Incidents Involving Aircraft

...1 Any incident that may affect the safety or security of DHL Express staff, or its

aircraft is to be brought to the immediate attention of the DHL Express hub or

gateway manager or, in their absence, a nominated deputy.

...2 The area of any incident is to be isolated and cordoned off to preserve evidence

at the scene. Other than immediate action to protect life and property or to

prevent further damage, nothing is to be touched.

...3 The appropriate authority to deal with the type of event and the captain of the

aircraft are to be immediately informed with an outline report of the known

facts of any incident.

...4 At the earliest opportunity after an incident has been resolved, the persons

involved should be required to write a report detailing the incident and actions

taken appertaining to the incident.

...5 Reports on incidents involving aircraft should be collated by the hub or gateway

manager who is to investigate the incident to establish the cause, possible

weaknesses in the security or other procedures and the action required to

prevent a recurrence of such an event.

...6 Copies of incident reports and the findings and recommendations of the hub or

gateway manager should be submitted to the regional office at the earliest

opportunity.

...7 Also refer to the respective air carrier security manuals.

...8 Where circumstances dictate, the hub or gateway manager may refer to regional

office for specialist assistance.

46


8.1.5 Business Rules Access to Aircraft

...1 Access to all aircraft under DHL Express control is to be strictly limited to

authorised DHL personnel and service providers only.

...2 All aircraft under direct DHL Express responsibility are to be security controlled

when not specifically attended by DHL personnel.

...3 When aircraft are unattended, their doors must be closed, sealed and steps

removed or air-bridges withdrawn. When considering how to access aircraft,

operators are to take into account measures provided by airport authorities to

protect the area in which the aircraft is parked. Security levels may be increased

or decreased from time to time by airport authorities and aircraft operators will

be obliged to adhere to such changes.

...4 In case of heightened risk situations security seals are to be used to secure doors

and access panels on aircraft.

...5 Prior to loading, cargos handling supervisors or flight crew are to inspect such

seals. In case of any evidence of tampering with the seals of the aircraft airport

appropriate actions must be taken.

47


9 SECURITY RELATED BUSINESS AREAS

9.1 Threat and Risk Assessment

9.1.1 Directive

...1 Country managers and possibly area hub and gateway managers (depending on

Regional structure) and functional heads are to ensure that a threat assessment

and risk analysis is carried out that should ideally include each facility in their

area of responsibility. Ideally, security measures are to be devised and detailed in

a Country Security Plan (CSP) and Facility Security Plan for each facility. At a

minimum, key facilities such as Hubs and Gateways should have such plans.

Regional Security departments should be referred to for further detailed

requirements.

...2 Each country area hub and gateway must have a nominated security threat

assessor (usually the security manager) who is to act as the central point of

contact for any significant incident or crisis. At a Regional level, the Head of

Security shall act as the central point of contact. The assessor must investigate

reported incidents or threats and initiate any response. Where appropriate, the

senior management team must be notified and take action to escalate and

initiate contingency and emergency plans including activating the Crisis

Management Team to action, to manage the incident or crisis.

...3 Through the SAFE training programme, HR, operations and security managers

are to ensure that all personnel are sufficiently trained and familiar with threats

and risks to the company and approved responses expected of them.

...4 Unlawful acts against the company are to be investigated and reported to the

police by appropriate persons such as security managers.

...5 The company must always support police action against those who commit an

unlawful act against it.

...6 HR and operational training is to ensure that all personnel are aware of the

requirement to report and act upon suspicions of unlawful acts and to whom

they should report. Normally this will be their immediate superior or the security

manager.

48


9.2 Security Alert States

9.2.1 General

DHL Alert states are the means by which the level of physical and procedural security in

effect at any particular facility or country can be communicated and changed in response to

a perceived or actual change in risk from any specific threat.

A threat and the level of risk associated with it will vary from time to time and place to

place. It is therefore both costly and ineffective to apply the highest level of security

protection at all times in all facilities when the need does not exist.

The alert state procedure is designed to enact certain pre-define and planned increases in

the security of facilities and/or countries in response to changes in the security and threat

environment.

9.2.2 Directive

...1 Country managers, (area) hub and gateway managers and functional heads are

to ensure that each facility and within their area of responsibility is operated at

the appropriate security alert state to minimise the risk to DHL Express. Regional

security departments shall oversee the Alert Status of countries within their

Region and act as advisors to country security managers if necessary.

...2 The current security alert state and any changes are to be communicated to all

personnel and displayed at all entrances to DHL Express facilities.

9.2.3 Business Rules Alert States

For business rules related to the different alert states, reference should be made to the

respective DHL Express Regional Security Manual.

49


9.3 Security Audit

9.3.1 General

Security audits are a tool used to measure the level of compliance to the DHL Express

security standards and procedures in order to identify areas of non compliance with a view

to initiating timely corrective action.

The following are three of the common types of Security audits which are performed:

• Periodical Security Audit: Initiated by the Country Security Manager as part of the

Country annual security audit programme.

• Special Security Audit: Initiated by the Global or Regional Head of Security or

Country Security Manager in response to an incident, event or performance issue

affecting security.

• Local Compliance Audit: Initiated by the facility manager or Local Security

Representative (where applicable) to carry out their own compliance check to the

DHL Express standards and procedures and the effectiveness of their security

systems. It is particularly important that the functioning of security equipment

such as access control, CCTV and Intruder Detection Alarm Systems (IDAS), are

frequently tested to ensure operational effectiveness. Other security measures and

the effectiveness of perimeters, identity cards, passes, permits and vehicle security

are to be constantly monitored.


...1 Regional Heads of Security and Country Security Managers are to monitor the

implementation of security measures within their Region or country respectively

through an annual Regional and/or Country security audit programme.

...2 For every facility the compliance level against the Regional Express Security

Manual has to be measured as a minimum once every 12 months

...3 All Security audits are to be performed by usage of the respective Regional

Security Audit template and the audit results are to be stored.

...4 Failures to comply with security measures are to be corrected

...5 Facility managers are to constantly monitor the effectiveness of security within

their area of operations against the requirements of the Express Security Manual

50


9.4 Fire and Safety

9.4.1 General

Fire health and safety is a basic responsibility of the company and employees. It is the

responsibility of country security managers, area hub and gateway managers (where

applicable) and functional heads to ensure that legislative and legal requirements for fire

health and safety in their area of operations are complied with.

In many countries there are existing health and safety regulations to protect staff at their

place of work.

In countries in which the regulatory requirements may be less than adequate, the minimum

acceptable standards as set out in this section are to be applied.

• Personnel should be made aware of and apply good safety practices and are to

report anything which may adversely impact safety immediately.

9.4.2 Directive

...1 DHL Express personnel, facility designers and operating procedures are to be in

compliance with the fire health and safety legislation and regulations of the

country in which they operate.

...2 Personnel are to be given fire health and safety training under the SAFE training

programme.

...3 Country managers, area hub and gateway managers and functional heads are to

ensure that all fire, health and safety regulations applicable to their area of

operations are complied with.

Personnel and persons working at or visiting any DHL Express facility or representing the

company, are to exercise their 'Duty of Care' not to create any risk or danger of injury,

accident or health and safety in the area in which they work.


...1 Country managers, area hub and gateway managers and functional heads are to

ensure that a manager is nominated as 'Safety Officer' at each facility. This

requirement may vary according to prevailing legislation/regulations.

...2 Each facility is to be surveyed to ensure that there are sufficient safe evacuation

routes for those who work there. These are to be marked by 'Emergency Exit'

signs and any other markings as legally required

...3 A 'Fire Warden' is to be nominated for each facility or working area as required.

The fire warden must be a person who works in and has good knowledge of the

area and is to be the focal reporting point in terms of fire safety for employees

working in that area. In the event of an emergency the warden will be the

person best qualified to declare the area clear in the event of an evacuation,

bomb search or other such emergency.

51


...4 Sufficient fire fighting appliances and extinguishers appropriate to the fire risk

of each area are to be provided at DHL Express facilities. Legal and regulatory

requirements are to be fully complied with and appropriate training provided to

ensure that staff know how to operate such appliances.

...5 Signage or notice board information is to be provided at facilities giving the

'Action in Event of an Emergency'. The signage should give any legal or fire

authority instructions and contain the following minimum instructions:

• In the event of discovering a fire, sound the alarm. If the outbreak is small

attempt to put it out with any suitable appliance available;

• If there is any doubt of ability to immediately extinguish the fire. No risk

is to be taken. The area is to be evacuated, closing all windows and doors;

• Ensure that the fire service has been notified;

• Put into effect evacuation drills and account for all personnel and visitors.

...6 The Safety Officer is to maintain an 'Accident Report' book and to ensure that

details of all accidents and breaches of safety are recorded in this register. All

such incidents are to be investigated and action initiated to prevent a recurrence

of the event.

52


9.5 Information Security

9.5.1 General

All commercially sensitive documentation, such as internal reports and client lists etc, are to

be kept away from public view and inaccessible to the public and customers. Additionally,

DHL Express documentation, such as pick-up documents, AWB or consignment notes, flyers,

seals and packing materials that could be used for unlawful purposes and are therefore to

be kept secure. The following classifications apply to all DHL Express documentation and

media:

UNCLASSIFIED – This caveat applies to all information that has not been given a higher

classification. It is information that is generally available to the company and the public

and whose disclosure would not harm the company or any individual.

INTERNAL USE ONLY – Is to be applied to information that is important to day to day

conduct of the company’s business and available to all employees, but is not to be

disclosed outside of the company.

CONFIDENTIAL - Must be applied to information that may expose the security of DHL

Express to danger from unlawful acts or is of a legal or commercial sensitivity that is

likely to impact upon company profitability, operational efficiency or public image and

may also include financial, marketing and competitive information. Disclosure of this

information to persons, other than those with a direct need to know could be

detrimental to the company.

RESTRICTED - Is to be applied to information which if disclosed to any organisation or

person other than those with a direct need to know would be seriously detrimental to

personnel or to the company. This would include information protected by local privacy

legislation and personnel disciplinary and performance reports.

9.5.2 Directive

...1 All company information and documentation is proprietary to DHL Express and is

restricted to company personnel and other persons or organisations required and

authorised to have access by DHL Express in the conduct of its business.

...2 Heads of departments and sections are responsible for safeguarding company

information and documentation in their area of operational responsibility.

...3 Whilst all company information is to be considered sensitive, there are

documents and information which are to be circulated on a need to know basis

only and strictly controlled.

...4 Regional and country IT departments are responsible for ensuring the security of

information held in computer and electronic storage media.

...5 Documents, media and other information classified ‘Confidential’ or ‘Restricted’

is to be subject to special handling procedures.

...6 Loss of sensitive documents and information, irrespective of the security

classification, is to be investigated and action taken against those found to be

responsible and to correct any procedural failure.

53



...1 Department Heads are responsible for protecting information.

...2 Originators are responsible for the secure transmission, accounting for and

disposal of any Confidential or Restricted information.

...3 The outside of the front and back covers of all documents and media carrying

the 'Confidential' or 'Restricted' classification are to be marked with that

classification in bold and also at the top and bottom of every page or each

container in the case of other media.

...4 Whether classified material is being sent by internal or external mail, it is to be

sent in two envelopes or special envelopes marked confidential.

...5 All classified mail is to be distributed and accounted for by secure internal mail,

registered mail or by the AWB system as appropriate.

...6 Personnel may be authorised to carry classified information away from DHL

Express premises, with the originators approval providing the documents, media

or information is not to be discussed with, or shown, to unauthorised persons

and sensitive papers, electronic data retention devices such as computers, PDA’s

and storage devices (e.g. memory sticks) must not be left unattended.

...7 Classified information is only to be released to third parties when they have

signed an approved DHL Express confidentiality agreement.

...8 Disposal of Confidential and Restricted classified documents and media is to be

by shredding.

...9 Internal Use Only and Unclassified material and other less sensitive material must

be disposed of by use of a proprietary security material waste bin or shredder.

...10 The suspect or actual loss of any classified material or information in any form is

to be reported to the country security manager who is to carry out a full

investigation.

54


9.6 Disposal of Problem Shipments, Uniforms, Stores and Equipment

9.6.1 General

Problem pieces/shipments may be of value or attractive. They are not the property of DHL

Express and must be kept secure. A number of factors may determine at some stage that

undeliverable and damaged shipments are to be disposed of. Such disposal should be

conducted in accordance with the local legal or other regulatory controls.

Worn and obsolescent uniforms, stores, items of equipment and vehicles could be used to

imitate DHL Express for the purpose of carrying out an unlawful act or identify the company

in unfavourable circumstances.

9.6.2 Directive

...1 Country managers, area hub and gateway managers and functional heads must

ensure that undelivered shipments, uniforms and equipment are disposed of in a

manner that does not permit the unauthorised reuse of DHL Express marked

items or material by unauthorised persons.

...2 Uniforms marked with DHL Express logos or that can be identified as of DHL

Express origin must be destroyed in a manner that prevents reuse.

...3 Equipment and vehicles that can be identified as DHL Express property must have

all DHL Express identifying characteristics removed before disposal or sale.


...1 Undeliverable shipments other than those for which customs authority rules

apply (or other local regulatory body) must be disposed of after three months

from receipt into the delivery facility.

...2 A written record must be kept of all shipments disposed of, by any means, for a

minimum of thirteen months from the date of disposal.

...3 Uniforms, stores and equipment that can be identified as originating from DHL

Express must either have all identifiable marking removed or be destroyed in the

most appropriate manner locally available.

...4 Where it is considered appropriate or beneficial unmarked and unidentifiable as

DHL Express uniforms, stores and equipments may be sold or donated to

charitable institutions with the express written authority of local management

55


9.7 Administrative Area Security

9.7.2 General

The following applies to the security of facility, office and administrative areas. Sensitive

areas are to be identified in the facility threat and risk assessment review and the

appropriate security measures implemented to minimise the risk from any identified threat

and detailed in the facility security plan.

Typical key areas are:

• Senior Executive Offices

• Sales/Commercial Management Offices

• Finance and Accounting

• Pay and Personnel Records

• Customer Reception

• Computer and communications equipment areas

• Facility safes, vehicles keys and security system controls.

• Facility utility supplies, plant and heating/air conditioning services

9.7.2 Directive

...1 Vulnerable equipment and areas of sensitivity are to be identified in the overall

facility security plan and measures devised and incorporated to provide

additional security protection commensurate with the nature of threat and level

of risk identified for each security alert state level.

...2 A 'Clear Desk' policy should be operated at offices and facilities at the end of

working periods or when workstations are unmanned.

...3 Sufficient lockable storage space should be provided in offices and working areas

to permit a clear desk policy to be implemented.

...4 Country finance managers are to ensure that, cash from sales and other sources is

kept secure and properly accounted for in all facilities and departments.


...1 Petty cash is to be under the control of a nominated cashier only. This person and

a nominated manager are to be the only people with access to petty cash.

...2 Keys providing access to petty cash are to be kept on the person of the cashier at

all times. A set of spare keys for use by the nominated manager is to be kept

securely in the senior managers' office for use by the nominated manager in the

absence of the cashier.

...3 A petty cash account is to be kept and maintained up to date by the cashier.

...4 Payments are only to be made with the authority of the minimum number of

authorised managers at any facility. All transactions are to be supported by

invoices and vouchers or expense claim forms.

56


...5 Cash receipts from sales by couriers and reception staff will include money from

transport collect transactions and collectable duties. These transactions are to be

closely supervised and monitored and all cash accounted for and reconciled daily.

...6 There is to be a secure lockable container for cash that is to be out of sight and

reach of any public area and accessible by authorised personnel only.

...7 A person is to be nominated to be responsible for reconciling the daily

transactions against cash taken and to follow local procedure for cash handling.

...8 Courier transactions should be reconciled and cleared to a safe as soon as

possible after the return of the courier.

...9 Cash, cheques and credit card transactions are not to be allowed to accumulate

at reception or cash collecting areas. Any monies other than a change float are

to be cleared to a back office safe periodically and should be banked daily. The

amount of petty cash permitted to be held and the number of accounts should

be the minimum practicable.

...10 Banking of cash should preferably be contracted out to an approved security

company. Where this is not practical, security precautions are to be taken to

ensure that the person banking cash is escorted and that a vehicle is used for

transport. Routes and times are to be varied so that the risk of injury, loss or

theft is minimised.

END