Avsec Audit

• Conducted on

  Date

• Prepared by

• Location
  Address

Physical Security

• Are fences & gates in a good state of repair

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are all windows & exterior doors secure

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are warehouse doors at ground level able to resist vehicular incursion (TAPA) only

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• If an access control system is present is its use correctly controlled

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Do external doors have welded or pinned hinges (TAPA Only)

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Do staff have and display valid ID cards

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are external warehouse fire doors secured with a glass smash bolt and/or alarmed

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are all external doors and shutters able to resist forced entry using basic hand tools

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are internal doors to restricted areas secured and controlled

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is building structure in good condition

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are exterior windows & doors secure

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Intrusion Test - Is site secure from exterior penetration

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

HR Process

• Are background checks free of any gaps greater than 28 Days

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are staff trained to the correct level

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are application forms completed in all sections

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is a process in place to ensure that training & CRC checks do not lapse

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are Criminal Record Checks completed for all employees with access to cargo areas and documentation

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Do application forms have a signed declaration and has it been signed by the applicant - is the the current version

  Select Fully Compliant Improvement Required Deficient Serious Deficiency Not Applicable

  • Fully Compliant
  • Improvement Required
  • Deficient
  • Serious Deficiency
  • Not Applicable

• HR - Are Interview notes available for inspection

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are 5 Year background checks completed for employees with access to cargo and documentation

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• HR - Are application forms completed and compliant with SCD

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Do agreements exist in relation to safety & security for Temporary Workers

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Please review 2 employment files for last starters for compliance

  Select Compliant Non-Compliant N/A

  • Compliant
  • Non-Compliant
  • N/A

Office Process

• Can staff explain a definition of SPX cargo

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are supply chain checks carried out as required

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are staff able to demonstrate the correct procedure for database checks

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Do office staff have Supply Chain Database access

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Indicate if 2 job files have been checked and that requirements for documentary evidence for both Known and Unknown Consignor is met

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

Training

• Has a training needs analysis been completed for operational roles in respect of AVSEC

  Select Compliant Non-Compliant N/A

  • Compliant
  • Non-Compliant
  • N/A

• Are training records complete and up to date

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are 6X6 records up to date and available

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

General

• Program - Has the RA security programme been reviewed and compliant with latest version of SCD

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• RA Listed on RAKC Database

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Do written agreements exist for sub contracted hauliers who carry SPX Cargo

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

Cargo Screening

• Are screening areas covered by CCTV

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Review Screening Activity on CCTV & record example

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is equipment on DFT approved list

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are algorithms current for ETD machines

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are screeners aware of what cannot be hand searched

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are screeners able to demonstrate the correct use of hand search procedure

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are the screening records complete and free from erors

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are the STP sheets correctly completed

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are the maintenance records for screening available

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is there adequate spacing of X ray items

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are screeners aware of correct machine operation

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Can the operator demonstrate the zoom function

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are screeners able to demonstrate the correct use of X Ray Enhamcements

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are screeners able to recognise "dense" cargo

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Can screeners demonstrate the correct procedure for resolving images

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Covert IED Placement - did screener find covert IED

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are CSD's completed correctly by the screener

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is the X ray operator aware of the requirements for screening of personal effects

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are the maintenence records up to date

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are ETD protocols followed where applicable

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Can ETD Operators demonstrate/explain the correct procedure for the resolution of provisional alarm and when to declare a full alarm

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Can ETD operators demonstrate the correct procedures to reduce the risk of cross contamination

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are machine algorithms current

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are machines on DFT approved list

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are HRCM procedures correct

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

Warehouse Process

• Is warehouse audit trail sufficient to identify and track all SPX cargo

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is warehouse SPX Delivery Log complete and legible

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is the last 6 of the driver ID recorded

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are warehouse records/slips correctly completed

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is warehouse CCTV coverage sufficient

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are exterior cargo areas where SPX cargo is unloaded suitably controlled & covered by external CCTV

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are screening operations sufficiently covered by CCTV

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are temporary workers correctly signed in and supervised

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are warehouse doors closed when not in use or suitably manned

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Do staff have an understanding of the requirements relating to the handling of SPX cargo

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are vehicles correctly secured when collecting or delivering SPX cargo

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is there a control mechanism for vehicle seals used for SPX Cargo

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are temporary workers correctly signed in and eligibility to work in secure areas checked

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

Visitors

• Are Visitor Badges Displayed

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are Visitor Badges returned and visitors signed out

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Is Office Visitor Book / System In Use and Up to Date

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Are visitors adequately supervised

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable

• Do all visitors require an appointment

  Fully Compliant

  Improvement Required

  Deficient

  Serious Deficiency

  Not Applicable