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

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

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

8.06.00

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