C-TPAT Audit Checklist
- C-TPAT Audit ChecklistQuestion #QuestionYes or No1Business Partner Requirement1.01.00Does the facility participate in any Government sponsored or World Customs Organization (WCO) accreditedfacility se...
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C-TPAT Audit Checklist
Question # | Question | Yes or No |
1 | Business Partner Requirement | |
1.01.00 | Does the facility participate in any Government sponsored or World Customs Organization (WCO) accredited facility security programs administered by the local customs authority? | Yes |
1.01.01 | If Yes, please describe the name of the program and the date of participation. | Yes |
1.02.00 | Is the facility C-TPAT certified? | No |
1.03.00 | Does the facility have written processes for the selection of business partners including product suppliers and local transportation companies? | Yes |
1.03.01 | Does the facility require all 3rd party logistics providers to comply with importer CTPAT requirement or country specific security programs? | Yes |
2 | Container and Trailer Security / Conveyance | |
2.01.00 | Is the facility always using seals provided by 3PL or ocean carrier for sealing full container or trailer loads? | No |
2.02.00 | Are factory shipping personnel trained to know what type of seal is a high security seal? | Yes |
2.03.00 | Are there written procedures for seals to be controlled and affixed to loaded containers and trailers? | Yes |
2.03.01 | Do written procedures outline how seals are logged and handled regardless of which party provides the seals? | No |
2.03.02 | Are there written procedures for securing goods between additional stops en route to a forwarder or consolidator? | No |
2.04.00 | Are there written procedures on how to recognize and report to the freight forwarder and/or the appropriate foreign authority compromised seals and/or containers/trailers? | No |
2.04.01 | Are gate guards or shipping personnel trained on how to secure and identify compromised seals by twisting or pulling the seal? | Yes |
2.05.00 | Is gate guard or shipping personnel verifying the seal number against the bill of lading on containers when they leave the gate or premises? | No |
2.05.01 | Are there written records documenting this verification? | Yes |
2.06.00 | Is the facility taking a picture of the sealed container to photo-document seal? | Yes |
2.07.00 | If containers must be stored on premises, are they stored in a designated secure area? | Yes |
2.08.00 | Is a practice in place that stored containers are locked or positioned in a way to prevent unauthorized access? | Yes |
2.09.00 | During any pause between arrival and sealing of the container, and in the absence of security or other personnel, is the container secured by locking? | Yes |
2.10.00 | Are written procedures in place for reporting unauthorized entry into containers or storage areas to facility security and/or management? | Yes |
2.11.00 | Where human smuggling is a known threat, are procedures designed to address the risk of human concealment or smuggling? | No |
2.12.00 | Are there written procedures in place to verify the physical integrity of the container or trailer structure prior to stuffing, including the reliability of the locking mechanisms of the doors? |
Yes |
2.13.00 | Is the facility using a documented seven-point inspection for containers? | Yes |
2.14.00 | Has shipping personnel been trained on 7 point inspection and demonstrate understanding of the procedure? | Yes |
2.15.00 | Is the facility using a documented ten-point inspection for trailers? | No |
2.16.00 | Has designated shipping or security personnel been trained on 10 point inspection and demonstrate understanding of the procedure? | Yes |
2.17.00 | Does the facility keep records of the drivers name, shipping documentation check, guard's name, time and date of entry with container number? | Yes |
2.18.00 | Do conveyance carriers vary routes? | No |
2.18.01 | If the conveyance carrier varies their routes, does the facility require them to employ any of the following practices? - convoy - GPS - RFID | |
2.19.00 | Does the facility require owned trucks or trucking companies to transport cargo within defined and monitored time limits? | Yes |
2.20.00 | Does the facility require owned trucks or sub-contracted conveyance carriers keep records of the transport time of each load while within their custody? | Yes |
2.21.00 | If the shipment requires intermediate staging or a layover prior to reaching the consolidation center/port/border, has the staging area been assessed for standards of security prescribed by government sponsored or country specific security programs? |
No |
3 | Physical Access Controls | |
3.01.00 | Does the facility have procedures to control access to the property and building? | Yes |
3.01.01 | Does the facility utilize access control devices (for example, card readers, biometric scanners, etc.)? | Yes |
3.02.00 | Does the facility have a system or procedures in place to identify employees? | Yes |
3.03.00 | Are employees only allowed access to specific work areas (such as Packing, Shipping and Receiving) necessary to perform their duties? | Yes |
3.04.00 | Does the facility have written procedures in place for documenting the issuance, removal and changes of access devices? | No |
3.04.01 | Does the facility inspect bags and packages carried by employees, visitors or vendors? | Yes |
3.05.00 | Do visitors or vendors present photo identification for verification upon arrival? | Yes |
3.06.00 | Are visitors or vendors escorted and do they visibly display temporary identification? | Yes |
3.07.00 | Does the facility maintain a visitors or vendors log? | Yes |
3.07.01 | Is the gate guard or shipping personnel responsible for logging visitors and vendors in the log? | Yes |
3.08.00 | Are packages and mail periodically screened for dangerous materials before being distributed? | Yes |
3.09.00 | Does the facility have procedures in place to identify, challenge or remove unauthorized or unidentified persons? | Yes |
4 | Personnel Security | |
4.01.00 | Are written and verifiable processes in place to screen prospective permanent and temporary employees? | Yes |
4.01.01 | Is application information, such as employment history and references verified prior to employment? | Yes |
4.01.02 | Is there an employee file kept for each employee with copies of the employee's government issued identification, reference checks, background checks, etc.? | Yes |
4.01.03 | Consistent with local laws, does the facility conduct criminal background checks on prospective employees? | Yes |
4.02.00 | Are written and verifiable processes in place to periodically re-screen current employees based on cause, and/or the sensitivity of the employee’s position, such as management, security, packing, shipping etc.? | Yes |
4.03.00 | Are the same employment procedures required of contract personnel? | Yes |
4.04.00 | Does the facility have written procedures to remove identification, facility, and system access for terminated or resigned employees? | Yes |
5 | Procedural Security | |
5.01.00 | Are there written procedures in place to ensure that all documentation regarding merchandise/cargo is legible, complete and accurate? | Yes |
5.02.00 | Are there written procedures to restrict access to, and the processing of, shipping and receiving documentation to authorized persons only? | Yes |
5.03.00 | Are there written procedures to ensure that information is transmitted to business partners accurately and timely? | Yes |
5.04.00 | Are there electronic data transmissions (EDI or otherwise) of advance shipping information between the facility, the forwarder/consolidator, and/or the importer? | Yes |
5.05.00 | Does the facility verify accuracy of data that is transferred to the freight forwarder? | Yes |
5.05.01 | If yes, provide details how accuracy and accountability is reviewed, including consequences to noted non- compliance. | Yes |
5.06.00 | Are finished products properly marked, counted, weighed (if necessary), documented, and reported on the manifest and bills of lading? | Yes |
5.07.00 | Are there written procedures in place to verify driver identity prior to accepting inbound or releasing outbound cargo? | Yes |
5.07.01 | Is a driver log maintained to identify details of the shipments arrival or departure? | Yes |
5.08.00 | Are outbound shipments tracked for timely movement? | Yes |
5.08.01 | Are inbound shipments tracked for timely movement? | No |
5.09.00 | Are there written security procedures covering the introduction of unauthorized or un-manifested material during the packing, stuffing, receiving and shipping process? | No |
5.10.00 | Are there written procedures in place to detect or resolve all shortages, overages, and other significant discrepancies or anomalies? | Yes |
5.11.00 | Are their written procedures in place to notify the Importer and/or law enforcement agencies if significant anomalies, illegal or suspicious activities are detected? | Yes |
6 | Physical Security | |
6.01.00 | Is there perimeter fencing enclosing the facility/area? | Yes |
6.02.00 | Is there perimeter fencing enclosing the cargo handling area? | Yes |
6.03.00 | Is there fencing segregating domestic, international, high value and hazardous product? | Yes |
6.04.00 | Does the facility regularly inspect the fencing or other physical barriers for damage? | Yes |
6.05.00 | Are gates through which vehicles and or personnel enter or exit manned and monitored? | Yes |
6.06.00 | Does the facility have a contingency for electronic monitoring during power outages? | Yes |
6.07.00 | Are passenger vehicles prohibited from parking in the cargo handling or storage areas? | Yes |
6.08.00 | Is the building constructed of materials that resist unlawful entry such as brick, cement, or wood? | Yes |
6.09.00 | Does the facility regularly perform building maintenance and structural inspections? | Yes |
6.10.00 6.10.01 6.10.02 6.10.03 6.10.04 | Does the facility have adequate locking devices on all of the following? External Windows Internal Windows, if used in a secure area Gates / Fences Doors | |
Yes | ||
Yes | ||
Yes | ||
Yes | ||
6.11.00 | Does management or security personnel controls the issuance of keys? | |
6.12.00 6.12.01 6.12.02 6.12.03 6.12.04 6.12.05 6.12.06 | Does the facility have adequate lighting in/at the following areas: Entrances/Exits Emergency Exits Cargo Handling Storage Areas Fence Lines Parking Areas | |
Yes | ||
Yes | ||
Yes | ||
Yes | ||
Yes | ||
Yes | ||
6.13.00 | Does the facility have an electronic security alarm system? | Yes |
6.13.01 | Is the security alarm system monitored by dedicated personnel? | Yes |
6.13.02 | Does the facility perform periodic maintenance inspections on security alarm system? | Yes |
6.14.00 | Are CCTV or surveillance cameras used to monitor the premises? | Yes |
6.14.01 | Are CCTV or surveillance cameras strategically positioned to monitor high risk areas? | Yes |
6.14.02 | Are surveillance tapes/recording/images kept for at least 30 days? | Yes |
7 | Security Training and Threat Awareness | |
7.01.00 | Does the facility have a documented threat awareness program for training workers in security issues relevant to their positions? | Yes |
7.01.01 | Are key employees such as shipping and finished goods storage and handling personnel made aware of the procedures the company has in place to address a situation and how to report it? |
Yes |
7.01.02 | Is periodic training on Security and Threat Awareness being conducted at least annually? | Yes |
7.02.00 | Does the security awareness program cover security issues including but not limited to: security procedures challenging and reporting unidentified persons to security or management personnel security incident reporting | |
7.02.01 | Yes | |
7.02.02 | Yes | |
7.02.03 | Yes | |
7.03.00 | Does the facility give incentives or recognition to encourage employee participation in reporting security issues and recommending improvements? | Yes |
8 | Information Technology Security | |
8.01.00 | Is there a written information technology system security policy for the facility? | Yes |
8.02.00 | Are information technology policies, procedures and standards trained to all relevant employees? | Yes |
8.03.00 | Do automated systems use individually assigned accounts that require periodic passwords changes every 90 days at a minimum? | No |
8.04.00 | Does the facility only grant user rights based on job functions? | Yes |
8.05.00 | Is a system in place to prevent and identify abuse of IT including improper access, tampering, or altering of business data? | Yes |
8.06.00 | Are all systems violators subject to appropriate disciplinary actions? | Yes |
8.07.00 | Does the IT server room have access controls in place to restrict access only for authorized personnel? | No |
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