C-TPAT Questionnaire v3

FACILITY DETAILS:

Date of Assessment: ___________________________________________________________________

Facility Name: ________________________________________________________________________

Facility Address: ______________________________________________________________________

____________________________________________________________________

City / Province: ______________________________________________________________________

Postal / Zip Code: ___________________________________________________________________

Country: _____________________________________________________________________________

Facility Contact Person(s) and Title(s): _________________________________________________

Phone #: __________________ Fax #: _____________________ Email: _____________________

Types of Products Manufactured: _______________________________________________________

BASIC FACILITY INFORMATION

1) How many buildings are operated at this location? ____________________________________

2) Facility building(s) owned, rented, or leased? Owned Rented Leased

3) Size(s) of the building(s) (square meters) _______________________________________________

4) Construction of buildings? Concrete Wood Metal Other

5) What is the current number of employees at this location? _________________________________

6) How many days per week does the facility currently operate? ______________________________

7) FDA Facility Registration or Establishment Registration numbers, if applicable: ______________

8) Does the facility load shipping containers with finished product on-site? Yes No

Security policy documentation

1. The company establishes a documented Security Policy (system, procedure, or manual). (Note this may
be a stand-alone document or part of a Quality Manual or Procedures Manual). Please include any security
certifications (C-TPAT, WCO, etc) that the company follows. Note: please attach the written procedures if you
answer "yes".
Yes
No
Add Note:
Attachment:
ATT: Scan full.pdf
Attach Document:

19 West 34th Street, 3rd Floor

New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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Security assessments
2. The company conducts random, documented security assessments on a regular basis.
Yes
No
Add Note:
Attach Document:

Security implementation

3. The company has a designated person responsible for implementation of security policy and procedures.
Yes
No
Add Note:
Attach Document:

Business document security

4. Security business documents, including stationery, items with the company logo, purchase orders,
invoices, manifests, customer information and archived records are restricted and secure.
Yes
No
Add Note:
Attach Document:

Employee security training

5. Please indicate where there is NOT training for new employees or a periodic refresher course (check off all
that apply). If you apply ALL of the training methods in lines 1-12, then check off box 13.
Security procedures
Facility procedures
Internal conspiracies
Cargo/packed product security
Container security
Unauthorized access
Security incident reporting
Theft prevention
Info system security and data integrity
Potential security issues observed by employees
Increasing security awareness
Monitoring any subcontractors that come into contact with the merchandise that is to be exported
All of the above are part of the employee training security process.
Add Note:
Attach Document:

Law enforcement notification

6. The company establishes procedures for notifying local law enforcement and other authorities (i.e.
Customs) in cases where anomalies or illegal activities are detected or suspected.
Yes
No
Add Note:
Attach Document:

Seal verification procedures

7. The company establishes adequate procedures for verifying and securing seals on incoming and outgoing
shipping containers, trailers, railcars, and trucks. Note: please attach the written procedures if you answer
"yes".
Yes
No
Add Note:
19 West 34th Street, 3rd Floor
New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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 Attachment:
ATT: Scan full.pdf
Attach Document:

Seals for ocean containers

8. Seals to be affixed to ocean containers are obtained in ONE of the following manners; (N/A if not
applicable):
from the trucker picking up the container at the facility
directly from the ocean carrier
stock or inventory of seals at the factory
stock or inventory of sealsat the factory are not kept in a secure or safe place
seals are affixed by the carrier or consolidator at their facilities,
other sources (please clearly specify in the audit finding)
None of the above
Add Note:
Attach Document:

Authorized seal distributor

9. A designated person is responsible for maintaining and distributing the seals.
Yes
No
Add Note:
Attach Document:

Inspection of ocean containers

10. Written procedures are established for inspection of empty ocean containers to detect false walls,
hatches, damages, or other security issues (multi-point inspection). Note: please attach the written
procedures if you answer "yes".
Yes
No
Add Note:
Attachment:
ATT: Scan full.pdf
Attach Document:

Ocean container security

11. Ocean containers stored overnight are effectively secured to prevent unauthorized access by ONE of the
following means: (none of the above if not applicable)
padlocks are used to lock containers
ultra-high security seals, such as "J-Bar" locks are used to lock containers
other locking devices are used to lock containers (specify such devises in the audit filing)
by backing container doors against a hard surface, such as a wall or concrete dock
by keeping containers in a secured, fenced-in yard with guards and closed-circuit television
None of the above
Add Note:
Attach Document:
Container tracking
12. Procedure for tracking the timely movement of containers is in place from factory to port (record truck#,
container #, seal #).
Yes
No
Add Note:
Attach Document:

Locks on ocean containers

13. Written procedures are established for inspection of empty ocean containers door locks to ensure they
are secure and functioning. Note: please attach the written procedures if you answer "yes".
Yes
19 West 34th Street, 3rd Floor
New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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 No
Add Note:
Attachment:
ATT: Scan full.pdf
Attach Document:

Inspection records of ocean containers

14. Documented records are on file and up-to-date to validate that empty containers have been inspected
as per documented procedures. Note: please attach the written procedures if you answer "yes".
Yes
No
Add Note:
Attachment:
ATT: Scan full.pdf
Attach Document:

Inspection records of ocean container locks

15. Documented records are on file and up-to-date to validate that container locks have been inspected as
per documented procedures.
Yes
No
Add Note:
Attach Document:

Access controls
16. Appropriate access controls are in place to prevent unauthorized access. The following systems or
combination of access control systems can be used and at least ONE of them shall be in place. If none of
below measure is available, "None of the above" should be checked.
Photo identification badges for employees
Electronic proximity/swipe key cards
electronic buzzer/release doors
security guard checkpoints
biometric handprint identification system together with a 4-digit employee code
None of the above
Add Note:
Attach Document:

Driver identification
17. Drivers of delivery vehicles are positively identified before cargo/packed product is received and
released
Yes
No
Add Note:
Attach Document:

Employee access
18. Employees have limited access to finished products and storage areas.
Yes
No
Add Note:
Attach Document:

Card access

19 West 34th Street, 3rd Floor

New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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 19. If there is a card access system in place please indicate which of the following security protocols are
followed (more than one answer may apply). If you do not have a card access system, or none of these
protocols are in place for your card access system, then check off "None of the above":
System is serviced and tested periodically
Company reviews employee identifcation card on an annual basis
During extended absences the employees access to the facility & information systems is temporarily
suspended until his/her return
Employees entry & exit times are restricted according to their work schedule
Attempts to access work areas outside normal hours are recorded & investigated
None of the above
Add Note:
Attach Document:

Visitor/Vendor security

20. If there are visitors/vendors visiting please indicate which of the following security protocols are followed
(more than one answer may apply). If none of these procedures are followed then check off box that states
"None of the above". Note: please attach the written procedures if you answer "yes" to boxes 1-6.
Visitors/vendors are positively identified upon arrival at the facility
Visitors/vendors shall present photo identification
Logbooks are kept showing visitor/vendor name, company they are representing, and date/time in and
out of the facility
Visitors/vendors shall wear a badge or similar identification
Visitors/vendors are escorted by security personnel or company representative at all times in
manufacturing, loading, and packing areas
All of the above security protocols are followed at all times.
None of the above
Add Note:
Attach Document:

Incoming package security

21. The company establishes procedures and an isolated area to screen incoming packages and mail
before distribution.
Yes
No
Add Note:
Attach Document:

Incoming truck inspection

22. Incoming trucks/trailers/containers are subject to inspection for contents and cleanliness.
Yes
No
Add Note:
Attach Document:

Outgoing truck inspection

23. Outgoing trucks/trailers/containers are subject to inspection for contents and cleanliness.
Yes
No
Add Note:
Attach Document:

Subcontracting supervision
24. In the case of authorized subcontracting, the company provides adequate supervision of subcontractors
to ensure compliance with security issues.
Yes
No
Note:

19 West 34th Street, 3rd Floor

New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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 Factory has the vertical setup so that all processes are performed in the same premises. However if there
is a need to subcontract the product/ process factory will ensure the above policy.
Add Note:
Attach Document:

Security procedures
25. Procedures for identifying, challenging, and addressing the following are in place. Note: please attach the
written procedures if you check off "yes" to answers 1-3.
unauthorized persons attempting to enter facilities
dangerous or prohibited products (firearms, explosives, weapons, narcotics, etc)
employees personal items are subject to inspection
None of the above
Add Note:
Attachment:
ATT: Scan full.pdf
Attach Document:

Pre-employment practices

26. The company conducts employment screening and interviewing of prospective employees including
periodic criminal background checks and application verifications. Where local law prohibits criminal
background checks, the company utilizes alternative methods to check employees backgrounds.
Yes
No
Add Note:
Attach Document:

Termination procedures
27. Personnel termination procedures in writing are established to ensure termination procedures are strictly
followed. Issuing and recording of physical access devices is controlled and monitored. If an employee is
terminated, then the employee must return all company security property (e.g. ID badge, keys, access cards,
entrance codes or computer access). A final check shall not be issued to the employee until all security
property is returned.
Yes
No
Add Note:
Attach Document:

Product movement procedures

28. The company establishes adequate procedures for monitoring and documenting the movement of
incoming and outgoing products.
Yes
No
Add Note:
Attach Document:

Cargo vs. manifest procedures

29. The company establishes adequate procedures for comparing cargo against manifest documents
(proper marking, weighing, counting, etc.).
Yes
No
Add Note:
Attach Document:

Customer notification
19 West 34th Street, 3rd Floor
New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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30. Foreign customers are notified of any changes in type and quantity of goods actually shipped including
being supplied with revised commercial documentation.
Yes
No
Add Note:
Attach Document:

Commercial documentation
31. Commercial documentation is provided to the foreign freight consolidator or carrier prior to actual
exportation from the port of loading.
Yes
No
Add Note:
Attach Document:

Unapproved item procedures

32. The company establishes adequate procedures to protect against unmanifested or unapproved parts,
components, or raw materials being introduced into production or placed with approved finished products.
Yes
No
Add Note:
Attach Document:

Employee awareness
33. Employees are informed and aware of a written company’s code of conduct or policy that addresses
security practices and violations (interview at least 3 employees)
Yes
No
Add Note:
Attach Document:

Outside fencing

34. Cargo/packed product stored outside the exterior yard area and/or cargo storage area is enclosed with
fencing and/or is secured otherwise, to prevent unlawful access.
Yes
No
Add Note:
Attach Document:

Facility security

35. The facility is well protected by security systems and/or security personnel at all times. The following
systems or combination of security systems can be used and at least ONE of them shall be in place.
Electronic burglar alarm system
Surveillance cameras/closed circuit television (CCTV)
cameras monitored by local personnel and/or outside security company
alarms monitored by outside security company
Security guards on duty after (please note when the guards are on duty)
Security dogs/canine units
Security gate house monitored by employee or security guard
Area patrolled by local law enforcement
None of the above
Note:
Security Guards are on duty 24/7
Add Note:
Attach Document:

Parking Area
19 West 34th Street, 3rd Floor
New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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36. The company has a defined parking area for private vehicles which are separate from the shipping, load
dock, and cargo areas.
Yes
No
Add Note:
Attach Document:

Physical structure

37. The main manufacturing and final storage buildings are of a solid structure to prevent unlawful access.
Yes
No
Add Note:
Attach Document:

Locks
38. Are all external and internal windows, gates, and fences secured with locking devices with management
or security personnel controlling the issuing of all locks/keys?
Yes
No
Add Note:
Attach Document:

Lighting
39. Major access and security points are well lit (lights in all critical areas must be functioning).
Yes
No
Add Note:
Attach Document:

Password changes
40. Passwords are changed periodically (at least every 90 days).
Yes
No
Add Note:
Attach Document:

Computer security policies

41. Written computer security policies/procedures are established. Note: please attach the written
procedures if you answer "yes".
Yes
No
Add Note:
Attachment:
ATT: Scan full.pdf
Attach Document:

Computer system access

42. Access to computer systems is monitored and reviewed periodically.
Yes
No
Add Note:
Attach Document:

Firewall protection
19 West 34th Street, 3rd Floor
New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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 43. Firewalls/anti-virus/tampering prevention software are used to allow the system to both log and detect
viruses, security violations and tampering.
Yes
No
Add Note:
Attach Document:

Forced Labor and Slavery 1

44. Can you confirm that you and your suppliers do not employ prison labor?
Yes
No
Add Note:
Attach Document:

Forced Labor and Slavery 2

45. Do you have processes to ensure that all your employees and your supplier’s employees are legally
allowed to work in the country?
Yes
No
Add Note:
Attach Document:

Forced Labor and Slavery 3

46. Do you take steps to ensure that your employees and your supplier’s employees voluntarily enter into
employment?
Yes
No
Add Note:
Attach Document:

Forced Labor and Slavery 4

47. Can you confirm that none of your employees or your supplier’s employees are required to deposit any
identity papers, such as passports, with their employer in order to work?
Yes
No
Add Note:
Attach Document:

Forced Labor and Slavery 5

48. Are all of your employees and your supplier's employees free to leave their employment after providing
their country's notice requirements?
Yes
No
Add Note:
Attach Document:

Forced Labor and Slavery 6

49. Do you and your suppliers verify the ages of your employees?
Yes
No
Add Note:
Attach Document:

19 West 34th Street, 3rd Floor

New York, NY 10001
T: 212.889.7800
F. 212.213.4296
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Forced Labor and Slavery 7
50. Are all your employees and your supplier’s employees at or over the legal age to work?
Yes
No
Add Note:
Attach Document:

19 West 34th Street, 3rd Floor

New York, NY 10001
T: 212.889.7800
F. 212.213.4296
10