Factory Security Certification Questionnaire

It is Academys policy that all direct import vendors establish facility procedures to
safeguard against the introduction of non-manifested cargo into outbound shipments.
Such items would include drugs, biological agents, explosives, weapons, radioactive
materials, illegal aliens and other contraband.

Vendor must comply with all domestic and local laws, rules and regulations governing
the sale, use of shipment of contraband. Also, the vendor will cooperate with local,
national and foreign Customs agencies to safeguard against the illegal shipment of
contraband.

As a business partner, Vendor is required to provide information of the following
questions and an action plan developed for any negative responses. Vendor will
respond to all questions with either a Yes or No, Inadequate or Not Applicable.
Make any comments for each if appropriate. Use the space provided at the bottom
for additional comments.

This questionnaire can be conducted and signed by both Vendor and Academy by:

1. Mail Correspondence
2. Email
3. Faxes
4. Vendors senior management representative while in the U.S. conducting business
5. Academy Merchandising Management Team member/staff, Logistics/Distribution
Managers while conducting business visitation at the factory overseas

If there is a question, you may contact:

Denise Sanchez
Customs Compliance
Academy, Ltd.
1800 N. Mason Road
Katy, TX 77449
denise.sanchez@academy.com




FACTORY SECURITY CERTIFICATION QUESTIONNAIRE

A A. . G GE EN NE ER RA AL L I IN NF FO OR RM MA AT TI IO ON N
YES NO COMMENTS:
1.
Does the facility have a written security policy?
2.
Is there a security awareness program?

B.

P PH HY YS SI IC CA AL L S SE EC CU UR RI IT TY Y ( (C CO OM MP PL LI IA AN NC CE E Q QU UE ES ST TI IO ON NS S) )
YES NO COMMENTS:
1.
Is the facility constructed and maintained properly to resist
unlawful entry? (solid walls/ceilings, perimeter fences, working
locks and/or alarms on external and internal doors, windows,
gates and fences, etc.)

2.
Are the shipping loading dock and cargo areas monitored and
secured?

3.
Are there adequate locking devices for external and internal
doors, windows, gates and fences?

4.
Is there adequate and functioning lighting inside and outside
the facility, including the parking areas?

5.
Is there a parking area for private vehicles separate from the
shipping/loading dock and cargo areas?

6.
Does the facility have dedicated security guard (s) on duty 24
hrs a day, 7 days a week?

7.
Have the security guards received a background check and
has training been verified?

8.
If the facility depends on a visible electronic security system
(for example; working security CCTV cameras, electronic
motion detectors, automatic alarms, etc.) does it covers all
critical areas (for example; entry/exit doors, loading &
receiving areas, storage)?

9.
If the facility has a visible electronic security system, is there a
documented procedure in place to service and test the
system?

10.
If facility has security cameras, is the recorded video
maintained in a secure area for at least 30 days?

11.
Does the facility provide for segregation and marking of
international, domestic, high-value, and dangerous goods
cargo within the facility by a safe, caged or otherwise fenced-
in area?

12.
Does the facility properly store empty and full
containers/trailers/railcars to prevent unauthorized access?

13.
Does the facility have a separate parking area for private
vehicles separate from the shipping, load dock, and cargo
areas?

14.
Does the facility have an internal/external communications
system in place to contact internal security personnel and/or
local law enforcement if necessary?




C C. . A AC CC CE ES SS S C CO ON NT TR RO OL L ( (C CO OM MP PL LI IA AN NC CE E Q QU UE ES ST TI IO ON NS S) )
YES NO COMMENTS:
1.
Does the facility have a documented system in place to
prevent unauthorized access to Production, Shipping, Loading
Dock and Cargo areas?

2.
Does the facility require positive identification of all
employees, visitors, and vendors?

3.
Do employees show a photo identification badge before being
admitted to the facility?

4.
Are employees restricted from taking personal items into the
production area?

5. Does the facility require all visitors to sign in?
6.
Can all employees be easily identified with provided ID
badges or other?

7.
Are all visitors issued ID visitor badges (including the
auditors)?

8.
Do authorized employees tightly control keys or entry codes to
the facility?

9.
Does the facility have procedures for challenging/confronting
unauthorized/unidentified persons?

10.
Are all visitors (including the auditor) accompanied by a facility
representative at all times if in secured areas?

11.
Does the facility have signs posted stating the requirements
for access to certain areas?

12.
If facility has a Card Access System, are records of daily
transactions maintained in a secure area?

13.
If facility has a Card Access System, is a documented
procedure in place to service and test the system?


D D. . P PR RO OC CE ED DU UR RA AL L S SE EC CU UR RI IT TY Y
YES NO COMMENTS:
1.
Does the facility have a Security Policy (System, Procedure,
or Manual) that is documented in writing that covers
PROCEDURAL SECURITY? (Note: This may be a stand
alone document or part of a Quality Manual or Procedures
Manual)

2.
Is there a designated manager or group responsible for
security?

3.
Does the facility have a designated security officer or manager
to supervise the introduction/removal of cargo?

4.
Does the facility have adequate procedures for monitoring and
documenting the timely movement of incoming and outgoing
goods?

5.
Does the facility have adequate procedures for properly
marking, weighing, counting and documenting products?

6.
Does the facility have adequate procedures for detecting and
reporting of shortages or overages?

7.
Is the loading truck restricted to authorized employees only?
8.
Are outgoing trucks/trailers/containers subject to inspection for
contents?

9.
Are incoming trucks/trailers/containers subject to inspection
for contents?

10.
Does the facility maintain a Factory Outbound Shipment Log,
specifically designed to record outbound shipment information,
as they witness the loading of containers or trailers for delivery
to a freight-forwarder/consolidator or ocean freight terminal.
Information captured shall include: Carrier, Driver Name,
Container/Trailer Number, Seal Number (if applicable),
Destination, Purchase Order, Item Number, Manifest Quantity,
Date Loaded, Time Loaded, Security Guard Name.

11.
Are copies of the completed Factory Outbound Shipment
Log retained at the manufacturing facility / shipping facility
and readily available upon request?

12.
Are empty and full containers locked and stored in secure
area?

13.
Are inbound and outbound containers inspected for
tampering?

14.
Is there a process to protect seal integrity of outbound
containers between the factory and the in-gate at the ocean
terminal or approved container yard?

15.
Are the seals on inbound and outbound containers checked to
make sure that they match shipping documents?

16.
Where applicable, does the facility have written procedures for
affixing, replacing, recording, tracking and verifying seals on
containers, trailers and railcars?

17.
Is an authorized employee responsible to put seals on the
finished goods containers after loading?

18.
Does the facility management conduct random, documented
internal security assessments?

19.
Does the facility maintain an updated file of Corrective Action
procedures for security issues detected during the security
assessment?

20.
Is there a written procedure if a security guard or employee
notices any suspicious activity?

21.
Does the facility have adequate procedures for notifying local
law enforcement and other authorities (i.e. Customs and
Border Protection) in cases where anomalies or illegal
activities are detected, or suspected (including compromised
seals where applicable)?

22.
Does the facility have a vendor certification program/process
of some type for raw materials suppliers?

23.
In the case of authorized subcontracting, does the facility
provide supervision of subcontractors to ensure compliance
with security issues?


E E. . P PE ER RS SO ON NN NE EL L
YES NO COMMENTS:
1.
Does the facility document the formal education level,
qualifications, and experience of their staff responsible for
security?

2.
Does the facility conduct employment screening and
interviewing of prospective employees including periodic
background checks and application verifications?

3.
Does the facility have documented procedures for terminated
employees to ensure return of security instruments (access
cards, IDs, keys, etc.)

4.
DOES THE FACILITY HAVE A PROCEDURE FOR REPORTING OF
POTENTIAL SECURITY ISSUES OBSERVED BY EMPLOYEES?

5.
WHERE APPLICABLE, ARE ONLY DESIGNATED EMPLOYEES
APPROVED TO DISTRIBUTE CONTAINER SEALS?

6.
IS THE FACILITY AWARE OF AND COMPLIANT WITH THE U.S.
CUSTOMS 24-HOUR RULE?


F F. .
E ED DU UC CA AT TI IO ON N A AN ND D T TR RA AI IN NI IN NG G A AW WA AR RE EN NE ES SS S
( (I IN NT TE ER RV VI IE EW W 5 5 E EM MP PL LO OY YE EE ES S F FO OR R V VE ER RI IF FI IC CA AT TI IO ON N) )
YES NO COMMENTS:
1.
Does the facility have a documented security education and
awareness program?

2.
Is there a designated management representative responsible
for the education and training awareness program?


3.
Are periodic trainings for employees held using both verbal
and written means?


4.
Does the policy explain expectations of the employees about
what behavior will not be tolerated and related disciplinary
action?


5.
Does the policy include a clear explanation of how different
procedures work; for example, the correct channels for means
to report suspicious behavior, how an incentive program
works, gaining entrance to secure areas etc.?


6.
Do trainings include the following:
the importance of security
Addressing and preventing unauthorized access
preventing product tampering/integrity
recognizing and reporting illegal conduct and activities by
other employees


7.
Does the facility encouraged (with incentives of some kind)
employees to participate and / or to report any potential
security issues they have observed?


8.
Does the facility conduct periodic employee meetings where
security issues can be discussed?


9.
Does the facility have a method to inform employees on a
timely basis of potential security problems (bulletin,
announcements, etc.)?



G. T TH HR RE EA AT T A AW WA AR RE EN NE ES SS S
YES NO COMMENTS:
1.
Does the facility have a documented threat awareness
program established and maintained by security personnel?

2.
If yes, does the program include routine briefings/postings
about smuggling trends, seizures and information on terrorist
threats relevant to the facility own supply chain and location?


H H. . I IN NF FO OR RM MA AT TI IO ON N T TE EC CH HN NO OL LO OG GY Y S SE EC CU UR RI IT TY Y
1.
What internal controls does the factory have for IT Security,
i.e. firewalls, virus protection, etc.? (Answer below.)






2.
What internal controls does the factory have concerning password
protection and security? (Answer below.)






Vendor Name:

Facility Name:

Product:

Address/Country:

Signature of Facility Manager/Responsible Party:

Auditors Name and Signature and Date Conducted: