Pre-Employment Criminal Background Checks by bpn93372

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									   C-TPAT QUESTIONNAIRE FOR 3M SUPPLIERS THAT LOAD OCEAN CONTAINERS
                                                                                                COMMENTS AND ADDITIONAL
QUESTIONS:                                                                                      INFORMATION
 1. C-TPAT Certification Status
  1.1). If currently C-TPAT certified, please
transmit copy of certificate and SVI number to
Mark Laumann's email address:
mlaumann@mmm.com
  1.2). If not currently C-TPAT certified, but in
the process, describe your current situation:
                                                       Carrier Initiative Program(CIP)
                                                       Super Carrier Initiative Program(SCIP)
1.3). Please identify membership in other U.S.
Customs programs:
                                                       Business Anti-Smuggling Coalition

2. Physical Security

 2.1). Please describe operation in general terms,
(Example: property located in industrial      park
on 30 acres of land with two buildings – one
general office 20,000sq.ft/6,096m and one
warehouse with shipping/receiving operations
100,000sq.ft./30,480m. Operation - 24 hours a
day 7 days a week except during local holidays).

 2.2). Does a physical barrier such as a fence or
equivalent protect the company premise?

                                                        6 feet(1.83m) chain link
                                                        wooden fence
                                                        brickwall
  2.2a). If yes, identify type of barrier and           barbed wire
construction:
 2.3). Are all buildings constructed of materials
that resist unlawful entry and protect against
outside intrusion?
                                                        concrete block
                                                        poured or slab concrete
                                                        sheet metal
                                                        wood
2.4). Identify building construction:                   brick
                                                      a) external doors
                                                      b) internal doors
                                                      c) windows
                                                      d) gates
2.5). Do all buildings have locking devices for:

 2.6). Does management or security personnel
control the issuance of all locks and keys?


2.7). Identify key and lock system used.

 2.8). Is the system considered a high security
system?

 2.9). Is each issued key holder recorded in a key
log?


2.10). Are non-issued keys recorded in key log?

2.11). Are keys numbered or separately
identified?


2.12). Indicate last complete key inventory
conducted:
2.13). Is there a separate parking area for private
vehicles, separate from the shipping loading dock
and cargo areas?

2.14). Do barriers or other means separate
parking area from dock areas.

2.14a). If yes, identify barrier:
2.15). How many Shipping/Receiving docks are
in use?

2.16). Are employees allowed to use dock doors
for entrance/egress?
2.17). Describe procedure for shipment drop-off
and pick-up.
2.18). Does each facility or operation have a
designated individual or group responsible for
security?
2.19). Indicate: a). title, b). education c). years,
of security experience d). percent time dedicated
to security.

                                                       entrances and exits
2.20). Is adequate lighting provided inside and        cargo handling & storage areas
outside of the facility including the following
areas:                                                 fence lines
                                                       parking areas

2.21). Are alarm systems and video surveillance
cameras utilized to monitor premises and prevent
unauthorized access to critical areas?
2.22). List alarm system type

2.23). Is alarm system activated when the facility
is not occupied?

2.24). Last date the alarm system was reviewed
to determine that all points are in working order?



2.25). Is the alarm system monitored:
2.26). Describe alarm response procedures.

2.27). Are all exterior doors and windows
alarmed?
2.28). List video system make and model


2.29). Is system digital?


2.30). How many days are recorded images
stored?

2.31). Is video surveillance system centrally
monitored?

2.32). Is lighting adequate to insure quality
recorded images during evening hours?

2.33). Are Security Guards utilized?



2.34). Guard coverage time a day:


2.35). Number of guards during a shift:


2.36). Are guard rounds conducted?


2.37). Are guard rounds recorded?

2.38). Are there job descriptions or security post-
orders readily available for security employees?

2.39). Does perimeter fencing or other barrier
protect all company facilities?

2.40). Is fencing regularly inspected for integrity
and damage?

2.41). Are perimeter gate which vehicles and
personnel enter/exit staffed and/or monitored?
2.42). Is interior fencing or equivalent barrier
segregate domestic, international, high value, and
hazardous cargo?

2.43). Are truck drivers allowed on the dock
area?

2.44). Is the loading of goods supervised by
supervisor or guard?

 3. Security Training and Threat Awareness
 3.1). Do you provide a security awareness
program to employees that addresses supply chain
security including: maintaining cargo integrity,
recognizing internal conspiracies and addressing
unauthorized access?



 3.2). How often are employees trained?

 3.3). Indicate last training date for all employees

 3.4). Are employees encouraged to report
security violations to management?

 3.5). Is there a confidential means that
employees can report violations?

 4. Information Technology Security
  4.1). Do automated system use individually
assigned accounts that require a periodic change
of password?


4.2). How often are passwords changed?

 4.3). Are IT security policies, procedures and
standards established and in place?

 4.4). Are employees trained regarding the IT
policies, procedures and standards?

 4.5). How often are employees trained every:

 4.6). Is a system in place to identify abuse of IT
systems including improper access, tampering or
the altering of business data? Please explain

 5. Personnel Security
 5.1). Pre-employment verification – are
processes in place to screen prospective
employees?
                                                       prior work history
                                                       education
                                                       criminal checks
                                                       civil checks
 5.2). Please indicate pre-employment verification
criteria:                                              personal references
 5.3). Identify if criminal background checks are
conducted.

 5.4). Are criminal background checks on
employees permissible by law?

 5.5). Are periodic checks and reinvestigations
conducted based on cause, and/or the sensitivity
of the employee’s position?
  5.6). Are procedures in place to remove
identification, facility and system access for
terminated employees?

  6. Physical Access Control
  6.1). Are access controls in place to prevent
unauthorized entry to facilities, maintain control
of employees and visitors and protect company
assets?
 6.2). Do access controls provide positive
identification of all employees, visitors and
vendors at all points of entry?

 6.3). Are visitors required to register at main
entry point?
 6.4). Are visitors required to present photo
identification for documentation purposes upon
arrival?



6.5). Are visitors escorted at all times?

 6.6). Are visitors required to visibly display
temporary identification?
 6.7). Are employees only given access to those
secure areas needed for the performance of their
duties?
 6.8). Are all employees required to wear or
have on their person an identification badge or
card?

  6.9). Is employee employment verified before
issuing a temporary badge?

6.10). Do employees use more than one
entrance/exit?


6.11). How many employee entrance/exists exist?
6.12). Does company management or security
personnel adequately control the issuance and
removal of employee, visitor and vendor
identification badges?

6.13). Do employees use electronic identification
badges?

6.14). Does electronic identification system
record entrance and departures from the facility?
6.15). Are procedures established and
documented for issuance, removal and changing
of access devices?
6.16). Is proper vendor ID and/or photo
identification presented for documentation for
delivery personnel?

6.17). Are vendor personnel required to register
upon each entrance and exit of the facility?

6.18). Is arriving packages and mail periodically
screened before being disseminated?
6.19). Are procedures in place to identify,
challenge and address unauthorized/unidentified
persons?


 7. Procedural Security
  7.1). Are 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?
  7.2). Documentation control incorporated to
include safeguarding computer access and
information?
  7.3). Is cargo accurately described, and the
weights, labels, marks and piece count indicated
and verified?

  7.4). Is cargo verified against purchase or
delivery orders?
  7.5). Are drivers delivering or receiving cargo
positively identified before cargo is received or
released?
 7.6). Are all shortages, overage, and other
significant discrepancies or anomalies resolved
and/or investigated appropriately?
 7.7). Is Customs and/or other appropriate law
enforcement agencies notified if illegal or
suspicious activities are detected?

 8. Container/Trailer Security
 8.1). Is container/trailer integrity maintained to
protect against the introduction of unauthorized
material and/or persons?

 8.2). At point of stuffing (loading), are
procedures in place to properly seal and maintain
the integrity of the shipping containers/trailers?
 8.3). Are high security seals affixed to all U.S.
bound loaded containers/trailers?

 8.4). Is a high security bolt seal with individual
number used?

 8.5). Do seals meet or exceed current PAS ISO
17712 standards for high security seals?

  8.6). Are procedures in place to verify the
physical integrity of the container/trailer structure
prior to stuffing to include: reliability of the
locking mechanisms of the doors, container front
wall left side, right side, floor, ceiling/roof,
inside/outside doors, outside/undercarriage?
  8.7). Are written procedures in place that
stipulate how seals are to be controlled and
affixed to loaded containers/trailers?
  8.8). Are procedures in place to recognize and
report compromised seals to appropriate
management personnel and authorities?
  8.9). Are only designated employees allowed to
access seals and distribute container seal for
integrity purposes?

8.10). Are seals stored in a secured locked
location?


8.11). Are seals limited to authorized employees?

8.12). Identify number of employee that have
access to seals:

8.13). Are containers stored in a secure area to
prevent unauthorized access and/or manipulation?
8.14). Identify measures that secure the area and
prevent unauthorized access.
    3M Company CTPAT Questionnaire
          Date form initiated by 3M to Supplier:

          Supplier Name:

          Supplier Contact (Name the person completing this form):

          Supplier Contact Title (Position, Job Discription):

          Supplier Contact Information (email, phone, fax):

          Supplier Completed this form and returned to 3M on this date:

          3M's Supplier Number:


                                                                                                     COMMENTS and ADDITIONAL
                         QUESTIONS & ACTIONS for Supplier:                                            INFORMATION: Provided by
                                                                                                            Supplier to 3M:
     1. C-TPAT Certification Status
     1.1). If currently C-TPAT certified, please transmit
    copy of certificate and SVI number to
    Mark Laumann's email address:
    mlaumann@mmm.com
     1.2). If not currently C-TPAT certified, but in the
    process, describe your current situation:
     1.3). Please identify membership in other U.S.
                                                            Carrier Initiative Program(CIP)
    Customs programs:
                                                            Super Carrier Initiative Program(SCIP)
                                                            Business Anti-Smuggling Coalition




6 of 17                                                        3M Supplier Number: _______                             11/17/2010   9:09 PM
     2. Physical Security
     2.1). Please describe operation in general terms,
    (Example: property located in industrial park on 30
    acres of land with two buildings – one general office
    20,000sq.ft/6,096m and one warehouse with
    shipping/receiving operations 100,000sq.ft./30,480m.
    Operation - 24 hours a day 7 days a week except
    during local holidays).
     2.2). Does a physical barrier such as a fence or
    equivalent protect the company premise?

     2.2a). If yes, identify type of barrier and
    construction:
                                                               6 feet(1.83m) chain link
                                                               wooden fence
                                                               brickwall
                                                               barbed wire
     2.3). Are all buildings constructed of materials that
    resist unlawful entry and protect against outside
    intrusion?
     2.4). Identify building construction:
                                                               concrete block
                                                               poured or slab concrete
                                                               sheet metal
                                                               wood
                                                               brick
     2.5). Do all buildings have locking devices for:
                                                             a) external doors
                                                             b) internal doors
                                                             c) windows
                                                             d) gates

     2.6). Does management or security personnel control
    the issuance of all locks and keys?




7 of 17                                                          3M Supplier Number: _______   11/17/2010   9:09 PM
     2.7). Identify key and lock system used.
     2.8). Is the system considered a high security system?


     2.9). Is each issued key holder recorded in a key log?


    2.10). Are non-issued keys recorded in key log?


    2.11). Are keys numbered or separately identified?


    2.12). Indicate last complete key inventory
    conducted:



    2.13). Is there a separate parking area for private
    vehicles, separate from the shipping loading dock and
    cargo areas?
    2.14). Do barriers or other means separate parking
    area from dock areas.
    2.14a). If yes, identify barrier:

    2.15). How many Shipping/Receiving docks are in
    use?




8 of 17                                                       3M Supplier Number: _______   11/17/2010   9:09 PM
    2.16). Are employees allowed to use dock doors for
    entrance/egress?

    2.17). Describe procedure for shipment drop-off and
    pick-up.
    2.18). Does each facility or operation have a
    designated individual or group responsible for
    security?
    2.19). Indicate: a). title, b). education c). years, of
    security experience d). percent time dedicated to
    security.
    2.20). Is adequate lighting provided inside and
    outside of the facility including the following areas:    entrances and exits
                                                              cargo handling & storage areas
                                                              fence lines
                                                              parking areas

    2.21). Are alarm systems and video surveillance
    cameras utilized to monitor premises and prevent
    unauthorized access to critical areas?
    2.22). List alarm system type
    2.23). Is alarm system activated when the facility is
    not occupied?

    2.24). Last date the alarm system was reviewed to
    determine that all points are in working order?
    2.25). Is the alarm system monitored:




9 of 17                                                        3M Supplier Number: _______     11/17/2010   9:09 PM
    2.26). Describe alarm response procedures.
    2.27). Are all exterior doors and windows alarmed?


    2.28). List video system make and model
    2.29). Is system digital?

    2.30). How many days are recorded images stored?




    2.31). Is video surveillance system centrally
    monitored?

    2.32). Is lighting adequate to insure quality recorded
    images during evening hours?

    2.33). Are Security Guards utilized?


    2.34). Guard coverage time a day:


    2.35). Number of guards during a shift:



    2.36). Are guard rounds conducted?


    2.37). Are guard rounds recorded?




10 of 17                                                     3M Supplier Number: _______   11/17/2010   9:09 PM
    2.38). Are there job descriptions or security post-
    orders readily available for security employees?

    2.39). Does perimeter fencing or other barrier protect
    all company facilities?

    2.40). Is fencing regularly inspected for integrity and
    damage?

    2.41). Are perimeter gates which vehicles and
    personnel enter/exit staffed and/or monitored?

    2.42). Is interior fencing or equivalent barrier
    segregate domestic, international, high value, and
    hazardous cargo?
    2.43). Are truck drivers allowed on the dock area?


    2.44). Is the loading of goods supervised by
    supervisor or guard?


    3. Security Training and Threat Awareness
     3.1). Do you provide a security awareness program
    to employees that addresses supply chain security
    including: maintaining cargo integrity, recognizing
    internal conspiracies and addressing unauthorized
    access?
     3.2). How often are employees trained?



     3.3). Indicate last training date for all employees
     3.4). Are employees encouraged to report security
    violations to management?

     3.5). Is there a confidential means that employees
    can report violations?




11 of 17                                                      3M Supplier Number: _______   11/17/2010   9:09 PM
     4. Information Technology Security
     4.1). Do automated systems use individually
    assigned accounts that require a periodic change of
    password?
     4.2). How often are passwords changed?



     4.3). Are IT security policies, procedures and
    standards established and in place?

     4.4). Are employees trained regarding the IT
    policies, procedures and standards?

     4.5). How often are employees trained every:



     4.6). Is a system in place to identify abuse of IT
    systems including improper access, tampering or the
    altering of business data? Please explain.

    5. Personnel Security
     5.1). Pre-employment verification – are processes in
    place to screen prospective employees?

     5.2). Please indicate pre-employment verification
                                                            prior work history
    criteria:
                                                            education
                                                            criminal checks
                                                            civil checks
                                                            personal references




12 of 17                                                     3M Supplier Number: _______   11/17/2010   9:09 PM
                                                               personal references
     5.3). Identify if criminal background checks are
    conducted.
    5.4). Are criminal background checks on employees
    permissible by law?

     5.5). Are periodic checks and reinvestigations
    conducted based on cause, and/or the sensitivity of the
    employee’s position?
      5.6). Are procedures in place to remove
    identification, facility and system access for
    terminated employees?
    6. Physical Access Control
     6.1). Are access controls in place to prevent
    unauthorized entry to facilities, maintain control of
    employees and visitors and protect company assets?

     6.2). Do access controls provide positive
    identification of all employees, visitors and vendors at
    all points of entry?
     6.3). Are visitors required to register at main entry
    point?

     6.4). Are visitors required to present photo
    identification for documentation purposes upon
    arrival?
     6.5). Are visitors escorted at all times?

      6.6). Are visitors required to visibly display
    temporary identification?

     6.7). Are employees only given access to those
    secure areas needed for the performance of their
    duties?




13 of 17                                                        3M Supplier Number: _______   11/17/2010   9:09 PM
     6.8). Are all employees required to wear or have on
    their person an identification badge or card?
      6.9). Is employee employment verified before
    issuing a temporary badge?

    6.10). Do employees use more than one
    entrance/exit?

    6.11). How many employee entrance/exists exist?



    6.12). Does company management or security
    personnel adequately control the issuance and removal
    of employee, visitor and vendor identification badges?

    6.13). Do employees use electronic identification
    badges?

    6.14). Does electronic identification system record
    entrance and departures from the facility?

    6.15). Are procedures established and documented for
    issuance, removal and changing of access devices?

    6.16). Is proper vendor ID and/or photo identification
    presented for documentation for delivery personnel?

    6.17). Are vendor personnel required to register upon
    each entrance and exit of the facility?

    6.18). Is arriving packages and mail periodically
    screened before being disseminated?
    6.19). Are procedures in place to identify, challenge
    and address unauthorized/unidentified persons?

    7. Procedural Security


14 of 17                                                     3M Supplier Number: _______   11/17/2010   9:09 PM
      7.1). Are 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?
      7.2). Documentation control incorporated to include
    safeguarding computer access and information?

      7.3). Is cargo accurately described, and the weights,
    labels, marks and piece count indicated and verified?

     7.4). Is cargo verified against purchase or delivery
    orders?

     7.5). Are drivers delivering or receiving cargo
    positively identified before cargo is received or
    released?
     7.6). Are all shortages, overage, and other significant
    discrepancies or anomalies resolved and/or
    investigated appropriately?
     7.7). Is Customs and/or other appropriate law
    enforcement agencies notified if illegal or suspicious
    activities are detected?




15 of 17                                                       3M Supplier Number: _______   11/17/2010   9:09 PM
     8. Container/Trailer Security
     8.1). Is container/trailer integrity maintained to
    protect against the introduction of unauthorized
    material and/or persons?
     8.2). At point of stuffing (loading), are procedures in
    place to properly seal and maintain the integrity of the
    shipping containers/trailers?
     8.3). Are high security seals affixed to all U.S.
    bound loaded containers/trailers?

     8.4). Is a high security bolt seal with individual
    number used?
     8.5). Do seals meet or exceed current PAS ISO
    17712 standards for high security seals?
     8.6). Are procedures in place to verify the physical
    integrity of the container/trailer structure prior to
    stuffing to include: reliability of the locking
    mechanisms of the doors, container front wall left
    side, right side, floor, ceiling/roof, inside/outside
    doors, outside/undercarriage?
     8.7). Are written procedures in place that stipulate
    how seals are to be controlled and affixed to loaded
    containers/trailers?
     8.8). Are procedures in place to recognize and report
    compromised seals to appropriate management
    personnel and authorities?
     8.9). Are only designated employees allowed to
    access seals and distribute container seal for integrity
    purposes?
    8.10). Are seals stored in a secured locked location?


    8.11). Are seals limited to authorized employees?




16 of 17                                                       3M Supplier Number: _______   11/17/2010   9:09 PM
    8.12). Identify number of employee that have access
    to seals:

    8.13). Are containers stored in a secure area to
    prevent unauthorized access and/or manipulation?

    8.14). Identify measures that secure the area and
    prevent unauthorized access.




17 of 17                                                  3M Supplier Number: _______   11/17/2010   9:09 PM

								
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