Attachment 1 C-TPAT Checklist

Factory Security (C-TPAT) Checklist Examples
1. General security
1. Does the factory have a written security policy plan?
2. Does the factory have a designated security department / personnel?
2. Personnel Security
1. Does the factory have written personnel security guidelines for hiring, and are the
guidelines evaluated periodically to ensure their effectiveness?
2. Does the factory conduct employment screening and interviewing of prospective personnel
(including temporary, part-time) that includes application verifications and periodic
background checks?
3. Does the factory have established policies and procedures for handling terminated
employees including how they physically depart the premises, removal of access and IT
IDs, the return of keys and IT equipment?
4. Does the factory examine and verify the job applicants official identification?
5. Is there an established procedure to conduct periodic unannounced personnel
security checks to ensure that all personnel security procedures are being performed
properly?
3. Physical Security
1. Is the factory constructed of materials which resist unlawful entry and protect against
outside intrusion?
2. Does the factory have security personnel present to prevent unauthorised entry?
3. Does the factory have locking devices for external and internal doors, windows, gates and
fences, while maintaining proper safety rules for employee egress in an emergency?
4. Does the factory prevent unauthorised access to raw materials and finished cargo within
warehouse?
5. Does the factory have adequate lighting inside and outside facility, including parking areas?
6. Are private vehicles not able to freely access shipping, loading and cargo areas?
7. Does the factory have a communication plan with internal/external communication systems
in place to contact factory security personnel or local law enforcement agencies, should the
need arise?
8. Does the factory have intrusion detection or an alarm system, and is there a back-up power
source for the alarm system?
9. Are all buildings properly maintained and repaired?
10. Are records kept of building infrastructure integrity (including inspection dates,
reported damages, and completed repairs)?
11. Are underground access points, culverts, utility tunnels, sewers, etc. secured to
prevent unauthorised access?
12. Are employees/visitors entries and exits recorded, and monitored for suspicious
activity?
13. Are closed circuit television cameras (CCTV) utilised to monitor the activity
inside/outside the factory?
14. Does an authorised employee escort visitors and vendors through the building?
15. Is there an established procedure to conduct periodic unannounced physical

security checks to ensure that all physical security procedures are being performed
properly?
4. Information Access Controls
1. Does the factory have procedures in place to limit access to keys, key cards and computer
systems to only those persons who have a job related need for such access? Are
terminated employees immediately denied access to keys, computer system, etc.?
2. Are information systems password protected, and are relevant employees provided with
individually assigned IT system accounts?
3. Are passwords subject to regular forced changes?
4. Is there an established procedure to conduct periodic unannounced information

access control security checks to ensure that all information access control security
procedures are being performed properly?
5. Shipment Information Controls
1. Is there a designated company representative responsible for providing accurate

information on the company products to the cargo broker/forwarder/carrier?
2. Are records properly maintained on all shipments?
3. Has the designated company representative been trained on the information

requirements for shipments to the United States?
6. Storage and Information Disbursement Controls
1. Does the factory have procedures for handling incoming and outgoing goods to protect
against introduction, exchange or loss of any legal or illegal material?
2. Does the factory have a security officer to supervise the introduction or removal of cargo?
3. Does the factory have procedures to properly mark, weigh, count, and document
products?
4. Does the factory have procedures for affixing, replacing, recording, tracking, and verifying
seals on containers, trailers, and rail cars?
5. Does the factory conveyances use high security seals to place on departing containers/
cargo?
6. Does the factory have procedures for detecting and reporting shortages/overages?
7. Does the factory have procedures for tracking the timely local movement of incoming and
outgoing goods?
8. Does the factory properly store empty/full containers to prevent unauthorised access?
9. Does the factory conduct inspection prior to loading container?
10. Does the factory have procedures to notify Customs and other law enforcement agencies in
cases where abnormal or illegal activities are detected or suspected?
11. Is dangerous cargo, including hazardous materials and munitions and explosives, secured
and stores separately?
12. Are international and domestic cargo segregated?
13. Is the cargo moved directly from the storage facility/ assembly line to the
conveyance without intermediate staging?
14. Is there a cargo verification procedure in place to prevent unmanifested cargo from
being loaded?
15. Are all containers and trucks checked for tampering, false compartments, and other
evidence of unauthorised access before loading, and are relevant records properly
maintained?
16. Are there procedures for affixing, replacing, recording, and tracking the seals
placed on containers, trucks, and/or railcars?
17. Is there an established procedure to conduct periodic unannounced storage and

distribution security checks to ensure that all storage and distribution security controls
procedures are being performed properly?
7. Contractor Controls
1. Does the factory select and hire contractors to perform services which require access to the
factory?
2. Does the factory select the land carriers, sea carriers, rail carriers, consolidators, freight
forwarders, or other 3rd party logistics providers hired to transport goods destined to the
US?
3. Is there a procedure for contractor store port security violations to the factory management?
4. Where applicable, does the factory require C-TPAT enrolment of its contractors?
5. Is there an established procedure to conduct periodic unannounced contractor

controls checks to ensure that all contractor controls procedures are being performed
properly?
8. Education and Awareness
1. Does the factory provide a security reporting mechanism for employees, including
confidential reporting?
2. Does the factory conduct security awareness training for management, supervision and
employees to include recognition of internal conspiracies, maintenance of product integrity,
and determination of unauthorised access and procedures to address unauthorised
access?
3. Is there an established procedure to conduct periodic unannounced checks to ensure that

the current security awareness and training program in place for all personnel is being
delivered properly?

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Factory Security (C-TPAT) Checklist Examples

1. Does the factory have a written security policy plan?

2. Does the factory have a designated security department / personnel?

9. Are all buildings properly maintained and repaired?

15. Is there an established procedure to conduct periodic unannounced physical

4. Information Access Controls

3. Are passwords subject to regular forced changes?

4. Is there an established procedure to conduct periodic unannounced information

5. Shipment Information Controls

1. Is there a designated company representative responsible for providing accurate

2. Are records properly maintained on all shipments?

3. Has the designated company representative been trained on the information

6. Storage and Information Disbursement Controls

9. Does the factory conduct inspection prior to loading container?

12. Are international and domestic cargo segregated?

17. Is there an established procedure to conduct periodic unannounced storage and

5. Is there an established procedure to conduct periodic unannounced contractor

8. Education and Awareness

3. Is there an established procedure to conduct periodic unannounced checks to ensure that

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