Internal Audit Report for C-TPAT

 

 

Date

 

 

….……………

SL	Particulars	yes	No	N/A	Responsible Person	Present Status	Dead Line	Remarks
1	Is the facility currently an active participant in the Customs-trade Partnership Against Terrorism (C-TPAT), the Carrier Initiative Program(CIP), the Super Carrier initiative program (SCIP),  the business Anti SmugglingCoalition (BASC), The Container Security Initiative (CSI), or any other similar initiatives with the U.S. Customs Service?
2	If so. Which one(s)?
3	Does the facility perform regular internal audits of its procedure its procedures to verify that maintenance of its facilities is consistent with principles outlined in the above initiatives?

 

Cargo Storage Facility

	BUILDING STRUCTURE
1	Does the facility have an alarm system?
2	What are the hours of operation for the facility?
3	When are Security Guards on duty?
4	Is cargo stored outside the building?
5	Is exterior fencing adequate?
6	Do adequate locking device protect external and internal doors, windows, gares
7	Are gates under surveillance by security and/or management personnel?
8	Is adequate lighting provided for the general cargogeneral cargoareas (internal and external)?
FACILITY ACCESS
1	How are visitors controlled?
2	Is there a gatehouse?
3	Who controls the gatehouse?
4	Are visitor records or logs maintained?

 

5	Is there an employee identification system?
6	Are visitors subject to search?
7	Is there a visitor pass system?
8	Is there a gate system for truckers?
9	Is private vehicle parking allowed inside the facility?
10	Is there an employee parking area?
11	Are contractors/ vendors required to display identification?
12	Is the company affiliation of each contractor/ vendor verified?
13	Is adequate lighting provided for the facility (internal and external)?

 

PROCEDURAL SECURITY (Cargo Reception, Storage, Delivery)
1	Are all packages weighed, marked, and counted uponcounted uponreceipt?
2	Are these procedures checked by second party?
3	What documents are used to receive cargo forcargo forexport?
4	Are the weights, descriptions and piece counts verified against the shipping
5	Are all shippers or delivery personnel photo-registered and identified prior ton
6	Once received, are the packages stored in a secure manner to prevent
7	Are import and export cargo segregated?
8	Is there cargo location system utilized?
9	Are import, export and specific cargo areas marked ormarked orlabeled?
10	Are adequate aisles available between rows of cargo?
11	Is cargo stored safely?
12	Is hazardous cargo preperly labeled?
13	Preferences employed to separate import andimportantdomestic/export cargo?
14	Are there frequent shortages or shortages or overages of cargo?
15	Are packages weighted and counted prior to delivery?
16	Are piece counts and weights certified by second party?
17	Are seala placed on arriving containers?
18	Are seal numbers verified at time of lading?
19	Are seal numbers verified at time of unlading?
20	Is there a seal control record and procedure in place?
21	Are full containers stored door to door prevent access?
22	Are export containers weighed upon receipt?

 

	Full?
	Empty?
23	Are ``last minute'' shipment accepted routinely?
24	Are there any cargo documents security procedures in place?
25	Are all cargo ducuments legible and complete?
26	Is there a container loding verification procedure in place ( ie. To prevent
27	Are empty containers examined upon receipt in the yard?
28	Are empty containers examined prior to lading?
29	Are empty containers examined upon discharge?
30	Are all containers placed in a segregated area uopn discharge?

 

Conveyance Lading/Unlading

	CARGO CARRIER
1	Are lights utilized to illuminate the conveyace and surrouding areas?
2	Is the cargo moved directly from the storage facility to the conveyac?
3	Is cargo arriving in the cargo storage facility segregated?
4	Is there unnecessary clutter in areas adjacent to the conveyac unlading area?
5	Is access to the ``docking'' areas restricted?
6	Do security personnel patrol the ``docking'' areas/

 

Security Personnel

1	Is there a designated Security Director?
2	Are security guards employed by the facility?
3	Who employs/ manages the security guards/
4	Are closed-circuit TVs utilized to monitor the activity the inside and outside the
5	Are the closed-circuit TVs monitored?
6	Is access to the closed-circuir TVs controlled?
7	Are security patrols conducted in both internal and external areas?
8	Are photo ID badges issued to facility employees?
9	Is the removal of cargo supervised?
10	Are invoices/ delivery tickets verified when cargo is removed from from the
11	What type of communication are in place?
	Internal?

 

	with police or other appropriate local government authorities?
12	Are drug detector dogs available?
13	Are drug detector dogs utilized?
Security Education and Awareness
1	Is there a security awareness program in place?
2	Are personnel security conscious?
3	Is access to the werehouse and/or cargo storage facility restricted?
4	Are random internal audits conducted of security procedures?
5	Are announced internal audits conducted of security procedures?
6	Are records of internal audits maintained?
7	Are records of security violation maintained?
8	How many documented security violations have occurred/
9	How many have occurred within the past year?
10	What type of steps or action plans have been implemented to remedy these security violations?
11	Is there an incentive program for active employee participation in security/

 

Personnel Screening

	General     Standards
1	How many employees work at the firm?
2	Are background checks conducted of all employee?
3	Are detailed employment applications required bof employees?
4	Is information provided in the application verified?
5	Are all prospective employees interviewed?
6	Is information provided in the interview verified?
7	Are police checks conducted?
8	Are home visits conducted?
9	Are credit checks conducted?
10	Is drug sereening required?
11	Is drug sereening conducted?
12	Are fingerprints and photographs taken as part of the application process?
13	Are photo IDs utilized to identify legitimate employees working inside the cargo

 

14

Are five (5) background checks conducted on all employees/

 

Identification System
1	Are photo IDs required of all employees?
2	Are restricted areas marked?
3	Are unathorized personnel prohobited from entiring restricted areas?
4	Are unathorized personnel challenged?
5	Are unathorized personnel escorted through restricted areas?
6	Are Shippers/receivers of cargo photo registered?
7	Are visitor passes issued?

 

Information Technology

1	CCTV record available (Min-45 days)?
2	Computertion back ups are not stored at an off site facility?
3	Information systems are not password system?
4	Is there implemented firewalls into its network system?
5	Computer password changing register (Alphabatic,Numeric & special key)
6	Is there a designated system administrator responsible to establish a user ID?
7	Computer access password are subject to regular forced changes and suspended after three failed access attempts.
8	Incident of unauthorized IT system access investigation & record
9	Automatic pc locking system installed?
10	Disciplinary action record against IT abuse?

 

 

 

 

                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              

Security Incharge                                                                                 Manager HR & Compliance

GM-Admin