Organizational Security Evaluation Questionnaire

BU:
Report Number:
Audit Type:
Organizational Profile
Organizational Name
Address
City
State
Country
Phone
Fax
Email
Website
Total number of Employees
Number of permanent Employees
Number of temporary Employees
Number of migrant/overseas Employees
Religions of Employees
Nationalities of Employees

Business Overview
Type of Industry / Business
Principle Product / Services
Do you use other personnel to package client's merchandise for shipment to the
If so, list the names of all service providers
Do you use any transportation other than conveyances that you own to transport
client's merchandise for shipments to the U.S.?

If so, please list the names of all service providers

Please list all parties involved in the supply chain with the client's merchandise
Years in business at this location
Has the Organizational undergone a C-TPAT evaluation for another U.S. importer
before?
If so, list the name of each importer
Has the Organizational undergone a
C-TPAT validation by U.S. Supply Chain Security Specialist?
If so, list the date of validation and any security upgrades made
Is the Organizational eligible to join as a
C-TPAT member administered by U.S. Customs?
Has the Organizational been invited to join as a
C-TPAT member by U.S. Customs?
Does the Organizational participate in any other security initiatives?
If so, please list them
Do you have in place any other security measures not covered by this
questionnaire?

Physical Structure
Total number of buildings
Number of buildings for business (all inclusive)
Number of warehouses
Total land area

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 1 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Number of entrances/exits
Are the security guards company employees?
If not, please specify which company they work for?
Located in free trade zone?
Percentage of good exported to the US:
By air
By sea
By land

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 2 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
al Security Evaluation Questionnaire

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 3 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
Omega Compliance Limited
OFS Questionnaire
Form : OC-FS-010 4 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Question
A. CONTAINER AND TRAILER SECURITY
Container/Trailer Inspection
1 Prior to loading, do you inspect the reliability of the locking mechanism of the doors of the
containers/trailers?
2 Is there a seven-point inspection process in place to verify the physical integrity of the cargo
container structure prior to loading?
*Front wall
*Left side
*Right side
*Floor
*Ceiling/ Roof
*Inside/ outside doors
*Outside/Undercarriage

3 Does the security guard, shipping manager, and driver (if present for loading) verify the 7-point
inspection by signing off on the inspection checklist?
4 Is there a ten-point inspection process in place to verify the physical integrity of the trailer structure
prior to loading?
*Fifth wheel area- check natural compartment/skid plate
*Exterior-front/sides
*Rear-bumper/doors
*Front wall
*Left side
* Right side
*Floor
*Ceiling/ Roof
*Inside/ outside doors
*Outside/ undercarriage

5 Does the security guard, shipping manager, and driver (if present for loading) verify the 10-point
inspection by signing off on the inspection checklist?
Container/Trailer Seals
6 Is a high security seal meeting or exceeding the current PAS ISO 17712 standards affixed to all
loaded containers/trailers bound for the United States?
7 Are written procedures in place stipulating how seals are to be controlled and affixed to loaded
containers/trailers?
8 Do you maintain written procedures for recognizing and reporting compromised seals and/ or
containers/trailers to U.S. Customs and Border Protection or the appropriate foreign authority?
9 Are there only designated employees authorized to distribute seals for integrity purposes?
10 Is the loading and unloading of containers/trailers supervised by a security officer or another
designated person?
11 After the container/trailer is loaded, does the factory take a digital photo of the back of the
container/trailer before the doors are closed and sealed?
12 After the container/trailer is sealed, does the factory take digital photos of the seal and all sides of
the container/trailer?
Container/Trailer Storage
13 Are containers/trailers stored in a secure area to prevent unauthorized access and/ or manipulation?

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 5 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Question
14 Are written procedures in place to maintain the integrity of the shipping containers/trailers including
how to report and neutralize unauthorized entry into containers/trailers or container/trailer storage
areas?

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 6 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Score

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 7 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Score

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 8 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Question
B. PHYSICAL ACCESS CONTROLS
Employees
15 Are all employees given an identification badge?
16 Does the employee identification badge include the following information?
*Employee photo
*Employee name
*Department
*Employee ID, if applicable
17 Is employee's access to restricted areas (such as loading/unloading areas, finished goods
warehouses, packing area, IT server room and document control room) limited to access needed for
the performance of their duties?
18 Is the issuance and removal of employee identification badges adequately controlled?
19 Does the factory require that all employee identification badges are reviewed on an annual basis,
and are renewed if necessary?
20 Is a list of names and photos of involuntary terminated employees given to security to aid them in
the access control to the factory?
21 Are there documented procedures for the issuance, removal and changing of access devices (e.g.
keys, key cards, etc.)?
22 Do employees wear an identification badge while on the premises?
Visitors
23 Do visitors need to present photo identification for documentation purpose upon arrival at the
factory?
24 Are visitors required to wear temporary identification badges while on the factory premises?
25 Is the issuance and removal of visitor badges adequately controlled?
26 Are visitors escorted by an authorized person while on the factory premises?
Deliveries (including mail)
27 Do vendors need to present vendor ID and/or photo identification for documentation purpose upon
arrival?
28 Are arriving packages and mail periodically screened before dissemination?
29 Is the issuance and removal of vendor identification badges adequately controlled?
Challenging and Removing Unauthorized Persons
30 Are there procedures in place to identify, challenge and address unauthorized/unidentified persons?
31 Do security guards verify that all employees wear their photos identification badges?

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 9 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Response

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 10 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Question
C. PERSONNEL SECURITY
Pre-Employment Verification
32 Is employee application information such as employment history and reference verified prior to
employment?
Background Checks/ Investigations
33 Does the factory conduct background checks and investigations upon prospective employees
consistent with federal, state and local regulations? Examples include criminal record checks and
verifications of former addresses?
34 For factories located in a country where local law prohibits criminal background checks, does the
factory use alternative methods to investigate potential employees:
i. Asking probing yet noninvasive questions to stimulate conversation with the applicant including in-
depth questions regarding gaps in employment?
ii. Verifying an applicant’s background by conducting in-depth reference checks and requesting
additional references from those personal references?
iii. Conducting personal visits to references and applicant’s homes?
iv. Verifying driving records (as relevant)?
v. Verifying current and previous addresses?
vi. Requesting educational transcripts directly from schools?
vii. Checking the applicant’s reputation through local associations?

35 Do you perform periodic checks and reinvestigations based on cause and/or the sensitivity of the
employee’s position? Employees working in the shipping department, loading/unloading area,
finished goods storage area, packing area, security, IT and HR are considered sensitive positions.
Personnel Termination Procedures
36 Are there procedures in place to remove identification, facility, and system access for terminated
employees?
37 Does the factory have written employee termination procedures?
38 Upon termination of employment, does the factory utilize a checklist to ensure that the employee no
longer has access to the factory premise and that all company property has been returned?

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 11 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Response

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 12 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Question
D. PROCEDURAL SECURITY
Documentation Processing
39 Are there procedures in place to ensure that all information used in the clearing of
merchandise/cargo is legible, complete, accurate and protected against the exchange, loss or
introduction of erroneous information?
40 Are all business documents, including purchase orders, invoices, manifests, and customer
information kept under lock and key when the factory is not operating?
Manifesting Procedures
41 To help ensure the integrity of cargo, are there procedures in place to ensure that information
received from business partners is reported in an accurately and timely manner?
Shipping and Receiving
42 Is departing cargo reconciled against information on the cargo manifest?
43 Is departing cargo accurately described with weight, labels, marks and piece count and also verified?
44 Does the factory conduct random documented examinations of cartons prior to palletizing?
45 After cartons are examined, are they stamped “EXAMINATED” and resealed with tape?
46 Does the factory send goods to forwarder’s CFS warehouse by using closed top truck?
47 Does the factory affix a security seal which meets PAS ISO 17712 standard during the transportation
to forwarder’s CFS warehouse?
48 Is departing cargo checked against purchase or delivery orders?
49 Are drivers delivering or receiving cargo positively identified before the cargo is received or
released?
50 Are procedures established to track the timely movement of incoming and outgoing goods?
Cargo Discrepancies
51 Are all shortages, overages, and other significant discrepancies or anomalies resolved and/ or
investigated appropriately?
52 Are U.S. Customs and Border Protection and/or other appropriate law enforcement agencies notified
if anomalies, illegal or suspicious activities are detected?
Business Partner Requirement
53 Do you have written and verifiable processes for the selection of trucking companies who are
responsible for moving merchandise from your site to the CFS/Terminal/Port?
54 Do you require trucking companies to demonstrate that they are meeting the C-TPAT security
criteria via written/electronic confirmation? Examples include a letter from the trucking company's
senior officer attesting to compliance; a written statement from the trucking company demonstrating
compliance with C-TPAT security criteria or an equivalent World Customs Organization (WCO)
accredited security program administered by a customs authority; or a completed security
questionnaire.

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 13 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Response

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 14 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Question
E. SECURITY TRAINING AND THREAT AWARENESS
55 Does the factory have a threat awareness program maintained by security personnel to recognize
and foster awareness of the threat posed by terrorists and contraband smugglers at each point along
the supply chain?
56 Are employees made aware of the security procedures the company has in place and how to report
suspicious activities and/or security violations?
57 Is additional training provided to employees in the loading/unloading areas, as well as to those
receiving and opening mail?
58 Is specific training offered to assist employees in maintaining cargo integrity, recognizing internal
conspiracies and protecting access controls?
59 Does the factory integrate security training into employee orientation and hold periodic refresher
training sessions?
60 Are employees in the Human Resources Management office trained to conduct checks on
employment references, driving records, education documents and for a criminal background?
61 Does the factory offer incentives for participation in the above security programs?

62 Do security guards have a clear understanding of the organization and receive site-specific training?
Are they familiar with the factory's physical layout, security features, and vulnerabilities?
63 Are periodic meetings held with guards to discuss the factory security and alerts?

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 15 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Response

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 16 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Question
F. PHYSICAL SECURITY
Fencing
64 Does perimeter fencing (physical barriers and deterrents that guard against unauthorized access)
enclose the loading/unloading areas, packing areas and finished goods storage areas?
65 Are domestic, international, high value, and hazardous cargos segregated by interior fencing?
66 Do you regularly inspect all fencing for integrity and damage?
Gates and Gate Houses
67 Are gates through which vehicles and/ or personnel enter or exit manned and/ or monitored?
68 Is the number of gates kept to a minimum for security purposes?
Parking
69 Are private passenger vehicles and parking lots separated from the loading/unloading and finished
goods storage areas?
Building Structure
70 Are all buildings in the factory constructed of materials which prevent unlawful entry?
71 Are factory buildings periodically inspected and repaired?
Locking Devices and Key Controls
72 Are all windows, external and internal gates and fences secured with locking devices?
73 Is a lost, misplaced or stolen key reported immediately to the factory management?
74 Do designated management or security personnel control the issuance of all locks and keys?
Lighting
75 Is there adequate lighting inside and outside the factory? This includes all entrances, exits,
loading/unloading areas, packing areas, finished goods storage areas, parking areas and fences?
Alarm Systems and Video Surveillance Cameras
76 Do alarm systems and video surveillance cameras monitor the loading/unloading areas, packing
areas and finished goods storage areas?
77 Are CCTV records kept for at least 2 months?

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 17 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Response

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 18 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Question
G. INFORMATION TECHNOLOGY SECURITY
78 Does the factory limit the access to its computers and other information systems via individually
assigned accounts with passwords?
79 Are individual passwords used consisting of a combination of letters, numbers and symbols that
cannot be personal identifiers?
80 Are IT passwords deactivated and changed once every 90 days?
81 Is the user locked out of the system after 3 unsuccessful attempts to login?
82 Do computers lock after a period of inactivity?
83 Are there IT security policies, procedures and standards in place?
84 If applicable, are employees trained in these IT policies, procedures and standards?
85 Is there a system in place to identify the abuse of information technology including improper access,
tempering or the altering of business data?
86 Are all system violators subject to appropriate disciplinary actions for abuse?
87 Does the factory regularly hold meetings attended by senior management which address IT security
issues?

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 19 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Response

Omega Compliance Limited

OFS Questionnaire
Form : OC-FS-010 20 of 21
Effective : 2009/04/14
Version : 8_x000D_ Classification:
# Internal
 Dimensions Acceptable Needs Improvement Unacceptable
Container Trailer 0 0 0
Physical Access Controls 0 0 0
Personnel 0 0 0
Procedural 0 0 0
Training 0 0 0
Physical 0 0 0
IT Security 0 0 0
Total 0 0 0

RESULT: PASS

_x000D_ Classification: Internal

#