1.The facility has a written Employee Security Policy, which includes procedures for hiring, employment application and employee documentation, and screening of new employees. (Critical Question)
•Facility must have a written Employee Security Policy that includes employee hiring, personnel records system, and a screening process.
oThe applicants name is verified by photo ID (country issued ID card, drivers license, passport, etc.).
oApplicant’s current address is verified.
oPersonal references, if any, are contacted.
oEmployment history is verified.
5.The applicant’s photo ID card is reviewed during the application process. (Critical Question)
•The facility must have a written procedure to review applicant’s photo ID card prior to hiring.
•Verification of this review is kept on file.
23.The facility uses Closed Circuit Television (CCTV) or another surveillance method to monitor activity in sensitive areas within the facility such as receiving, shipping, final packing, main offices, the lobby, and the computer server/systems room. (Critical Question)
•CCTV is not required. If CCTV is not used, the facility uses another surveillance method such as security guard patrols or designated management to monitor areas of the facility.
•If the facility uses CCTV, determine if recordings are kept for a minimum of 30 days.
27.The facility has a written policy that requires a control log is maintained for any pick-up or delivery truck arrival and departure to include the driver’s name, driver’s license number, truck license number, reason for visit, and that the control log is kept for 30 days. ((Critical Question)
•The facility must have a written policy to log a truck’s arrival and departure to include the drivers name, driver’s license number, truck license number, time of arrival, time of departure, and reason of visit. The log is kept for at least 30 days.
28.The facility has a written policy indicating that employees are not permitted to bring personal items into the final packing and shipping areas. (Critical Question)
•The facility must have a written policy stating that no personal items (such as a lunch box, a purse, a backpack, etc.) are allowed in the packing and shipping areas.
•The facility may provide an appropriate location for employees to keep personal items while at the facility.
30.The facility has a written policy that requires all security procedures are documented as either a policy or procedure. (Critical Question)
•The facility must have a written policy that requires all security procedures are documented as a policy or procedure.
31.The facility security policies are reviewed every 12 months and updated when necessary. (Critical Question)
•The facility requires that all security policies are reviewed every 12 months and necessary updates are made.
36.The facility has a written Access Control Program that establishes responsibility to maintain control of all locks, keys and access cards? (Critical Question)
•The facility has a written procedure for an Access Control Program that describes methods used to record and track of keys or other access devices issued to authorized employees for use within the facility.
Exception for a food pack house: some perishable food pack houses may operate seasonally, in a temporary structure, in a temporary location that do not possess doors or gates that require the use of a lock/key or access cards. There may also be some “open” pack houses that have no walls, doors or windows. In these cases mark the question N/A.
52.The gate security guard or a designated facility manager performs a container or trailer inbound inspection? (Critical Question)
•The facility maintains a container/trailer inspection process to include looking for signs of modification and inspecting the undercarriage for hidden devices or packages.
61.Prior to loading a container or trailer integrity and security is verified by performing a 7-point inspection (Critical Question)
•The facility has a process to perform a 7-point inspection consisting of checking the front wall, left side wall, right side wall, floor, ceiling/roof, inside and outside of doors, and the undercarriage of the container or trailer.
•Anomalies are reported to a security guard, the shipping supervisor, or a designated member of management.
63.The facility places an ISO 17712 High Security Seal on a container or trailer immediately after loading is completed. (Critical Question)
•The facility secures the conveyance door latch with an ISO 17712 high security seal immediately after loading is complete.
oHigh risk: High security cable seal is used.
oMedium risk: High security bolt seal is used.
oLow risk: High security bolt seal is used.
Exception for a food pack house: When the facility ships break-bulk items, or cartons moving to a freight consolidation facility, a pad lock may be used to secure the conveyance.
64.The facility has a process to ensure that only authorized management and the shipping supervisor has access to high security seals. (Critical Question)
•The facility has designated specific management /supervisor employees with access to high security seals.
69.The facility uses security methods to prevent tampering with goods during final packaging. (Critical Question)
•The facility may employ security guards, employees designated by management, or CCTV to monitor the final packing of goods.
•If CCTV is used, the recording should be maintained for a minimum of 30 days.
70.The facility has a process to screen arriving packages and mail prior to distribution. (Critical Question)
•The facility has a process to screen arriving mail prior to distribution.
71.The facility has a written procedure to ensure that data used to create cargo documents and manifests are accurate, legible, complete, and protected against tampering or loss. (Critical Question)
•The facility has a written procedure to ensure that data used to create cargo documents and manifests is accurate, legible, complete, and protected against tampering or loss.
•Cargo shipping documents are kept in secure location to prevent tampering.
81.The facility has a written policy that designates which employees are permitted access to the information systems. (Critical Question)
•Facility security policy designates specific company employees or job functions with responsibility for IT system security.
•Policy permits access to the systems control room by designated systems contractors or service providers when accompanied by a facility supervisor.
90.The facility has a written procedure regarding security vetting of service contractors who require routine or scheduled access to the facility. (Critical Question)
•The written procedure requires vetting of contractors with access to sensitive or restricted areas to be vetted.
•Vetting considers the contractor’s security controls, employee hiring process, and corporate history.