Premises and Operations Vulnerability Assessment

• Site conducted

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

What food defense measures does your plant have in place for the exterior of the building?

• Are the facility’s grounds secured to prevent entry by unauthorized persons (e.g., by locked fence, gate or entry/exit doors, guard service)?

  Yes

  No

  N/A

• Is the perimeter regularly inspected for security breaches?

  Yes

  No

  N/A

• Do security personnel conduct regular patrols around the facility?

  Yes

  No

  N/A

• Is there enough lighting outside the building to properly monitor the plant at night/early morning, especially around entrances, exits, and parking areas?

  Yes

  No

  N/A

• Do emergency exits have self-locking doors and/or alarms?

  Yes

  No

  N/A

• Are there clear signs indicating restricted areas, surveillance, and security protocols?

  Yes

  No

  N/A

Are the following secured with locks, seals, or sensors when unattended (after hours/weekends) to prevent entry by unauthorized persons?

• Outside doors and gates?

  Yes

  No

  N/A

• Loading dock doors?

  Yes

  No

  N/A

• Trash compacting chutes?

  Yes

  No

  N/A

• Windows?

  Yes

  No

  N/A

• Roof openings?

  Yes

  No

  N/A

• Vent openings?

  Yes

  No

  N/A

• Trailer (truck) bodies?

  Yes

  No

  N/A

• Truck hatches?

  Yes

  No

  N/A

• Railcars?

  Yes

  No

  N/A

Does your plant have food defense procedures for people and/or vehicles entering the facility and/or parking in your lot?

• Does the property have a controlled or guarded entrance?

  Yes

  No

  N/A

• Is there a system in place for logging visitors and vehicles?

  Yes

  No

  N/A

• Are employee vehicles identified using placards, decals, or some other form of visual identification?

  Yes

  No

  N/A

• Are authorized visitor/deliveryguest vehicles identified using placards, decals, or some other form of visual identification?

  Yes

  No

  N/A

Does your plant have food defense measures inside the facility?

• Is there an emergency lighting system in the facility?

  Yes

  No

  N/A

• Does your plant have monitored security cameras (CCTV)?

  Yes

  No

  N/A

• Does your building have an emergency alert system that is tested regularly?

  Yes

  No

  N/A

• Are emergency exits clearly marked and easily accessible from the outside?

  Select Yes No N/A

  • Yes
  • No
  • N/A

• Is there a plan for evacuation in case of emergencies?

  Yes

  No

  N/A

• Are the locations of controls for emergency alert systems clearly marked?

  Yes

  No

  N/A

• Do you regularly take inventory of keys to secured/sensitive areas of the facility?

  Yes

  No

  N/A

• Are all restricted areas (i.e., areas where only authorized employees have access) clearly marked?

  Yes

  No

  N/A

• Are visitors, guests, and other non-employees (e.g., contractors, salespeople, truck drivers) restricted to non-product areas unless accompanied by an authorized employee?

  Yes

  No

  N/A

• Does local law enforcement (including the fire department) have up-to-date copies of facility layouts/blueprints?

  Yes

  No

  N/A

• Are procedures in place to check toilets, maintenance closets, personal lockers, and storage areas for suspicious packages?

  Yes

  No

  N/A

• Are ventilation systems constructed in a manner that provides for immediate isolation of contaminated areas or rooms?

  Yes

  No

  N/A

Are the controls for the following systems, areas or tanks restricted (e.g., by locked door/gate or limiting access to designated employees) to prevent access by unauthorized persons or tampering?

• Heating, Ventilation, and Air Conditioning systems?

  Yes

  No

  N/A

• Fossil Fuels?

  Yes

  No

  N/A

• Propane Gas?

  Yes

  No

  N/A

• Water systems?

  Yes

  No

  N/A

• Electricity?

  Yes

  No

  N/A

• Refrigeration systems?

  Yes

  No

  N/A

• Volatile chemicals used in refrigeration?

  Yes

  No

  N/A

• Engines / air compressor rooms?

  Yes

  No

  N/A

• Ingredient storage areas?

  Yes

  No

  N/A

• Labels and packaging materials?

  Yes

  No

  N/A

• Product batching areas?

  Yes

  No

  N/A

Does your facility have food defense procedures in place for its computer systems?

• Are there up-to-date and comprehensive IT security policies in place?

  Yes

  No

  N/A

• Is there a list of the authorized personnel to carry-on IT maintenance and reparation services?

  Yes

  No

  N/A

• Is there a process to manage the risks associated with third-party access and services?

  Yes

  No

  N/A

• Are external network points (like Wi-Fi access) secure?

  Yes

  No

  N/A

• Are IT maintenance and reparation operations registered in an internal log?

  Yes

  No

  N/A

• Are firewalls and intrusion detection/prevention systems in place and up to date?

  Yes

  No

  N/A

• Are all operating systems and applications regularly updated with the latest patches?

  Yes

  No

  N/A

• Are anti-malware tools and virus detection tools installed and updated on all endpoints?

  Yes

  No

  N/A

• Are regular data backups performed and are they stored securely?

  Yes

  No

  N/A

• Are backups kept off-site?

  Yes

  No

  N/A

• Is there an effective disaster recovery and business continuity plan?

  Yes

  No

  N/A

• Are employees trained on cybersecurity best practices?

  Yes

  No

  N/A

• Is there ongoing awareness training about phishing, social engineering, and other common threats?

  Yes

  No

  N/A

• Are proper user authentication and authorization measures in place?

  Yes

  No

  N/A

• Are there secure protocols and practices in place for remote access?

  Yes

  No

  N/A

• Is there a policy for managing BYOD (Bring Your Own Device) and mobile devices?

  Yes

  No

  N/A

• Are vendors and third parties assessed for security compliance?

  Yes

  No

  N/A

• Is there a process to manage the risks associated with third-party access and services?

  Yes

  No

  N/A

• Is there a process to regularly review and update access privileges?

  Yes

  No

  N/A

• Are physical access controls in place for critical IT infrastructure?

  Yes

  No

  N/A

• Are digital systems used for labeling secure against unauthorized access and cyber threats?

  Yes

  No

  N/A

Which of the following food defense procedures does your facility have in place for the storage of hazardous materials/chemicals such as pesticides, industrial chemicals, cleaning materials, and disinfectants?

• Is the access to inside and outside storage areas for hazardous materials/chemicals such as pesticides, industrial chemicals, cleaning materials, and disinfectants restricted in some manner to allow use by designated employees only?

  Yes

  No

  N/A

• Are all containers and storage areas clearly labeled with the contents and hazard warnings?

  Yes

  No

  N/A

• Is there proper documentation, such as Safety Data Sheets (SDS), readily available for all stored materials?

  Yes

  No

  N/A

• Is a regular inventory of hazardous materials/chemicals maintained?

  Yes

  No

  N/A

• Is there an effective inventory management system to track quantities and ensure proper rotation of stock?

  Yes

  No

  N/A

• Is a procedure in place to receive and securely store hazardous chemicals?

  Yes

  No

  N/A

• Is a procedure in place to control disposition of hazardous chemicals?

  Yes

  No

  N/A

• Are there procedures for the safe disposal of hazardous material waste?

  Yes

  No

  N/A

• Is waste regularly removed by licensed hazardous waste contractors?

  Yes

  No

  N/A

Does your facility have food defense procedures in place for handling outgoing shipments?

• Are outgoing shipments sealed with tamper-evident seals?

  Yes

  No

  N/A

• Are the seal numbers on outgoing shipments documented on the shipping documents?

  Yes

  No

  N/A

• Do you keep records of the above-referenced inspections?

  Yes

  No

  N/A

• Is a bill of lading maintained for all outbound activity?

  Yes

  No

  N/A

• Is sensitive information about shipments protected?

  Yes

  No

  N/A

Which of the following food defense procedures does your facility have in place for handling incoming shipments?

• Yes

  No

  N/A

• Are there controlled access points for shipping and receiving areas?

  Yes

  No

  N/A

• Are loaded trailers and/or rail cars on the premises maintained under lock and/or seal?

  Yes

  No

  N/A

• Are trailers and rail cars inspected prior loading and unloading?

  Yes

  No

  N/A

• Is there a protocol for sealing and unsealing trucks and containers?

  Yes

  No

  N/A

• Is a bill of lading maintained for all inbound activity?

  Yes

  No

  N/A

• Is advance notification from suppliers (by phone, e-mail, or fax) required for all incoming deliveries?

  Yes

  No

  N/A

• Are suspicious alterations in the shipping documents immediately investigated?

  Yes

  No

  N/A

• Are all shipments documented with accurate and detailed records?

  Yes

  No

  N/A

• Are unscheduled deliveries held outside facility premises pending verification?

  Yes

  No

  N/A

• Are off-hour deliveries accepted?

  Yes

  No

  N/A

• If off-hour deliveries are accepted, is the presence of an authorized individual to verify and receive the delivery required?

  Yes

  No

  N/A

• If off-hour deliveries are accepted, is prior notice of the delivery required?

  Yes

  No

  N/A

• Is the shipping and receiving area well-lit to deter unauthorized activities and ensure safety?

  Yes

  No

  N/A

• Are less-than-truckload (LTL) or partial load shipments vehicles checked?

  Yes

  No

  N/A

• Are incoming shipments of products required to be sealed with tamper -evident or numbered seals (and documented in the shipping documents)? Are these seals verified prior to entry?

  Yes

  No

  N/A

• Are vendors and carriers vetted for security compliance?

  Yes

  No

  N/A

• Are there clear security expectations and requirements for third-party carriers?

  Yes

  No

  N/A

• When choosing your compressed gas vendor do you consider whether or not they have implemented general security measures?

  Yes

  No

  N/A

If this facility allow returned goods, including returns, exported products, to enter the plant, what measures are in place?

• Are all returned goods segregated in the plant for evidence of possible tampering before salvage?

  Yes

  No

  N/A

• Are records maintained for returned goods?

  Yes

  No

  N/A

Which of the following food defense procedures does this facility have in place to ensure mail handling security?

• Is mail handling activity conducted outside operations? (For example, in a separate room or facility away from operations?)

  Yes

  No

  N/A

• Are mail-handlers trained to recognize and handle suspicious pieces of mail?

  Yes

  No

  N/A

• Are records maintained of received packages, especially those from unknown sources?

  Yes

  No

  N/A

• Are there secure procedures for disposing of sensitive information found in mail, like shredding confidential documents?

  Yes

  No

  N/A

Which of the following food defense procedures does your facility have in place for ensuring that personnel adhere to the security requirements?

• Do all employees receive training on security procedures as part of their orientation training?

  Yes

  No

  N/A

• Is access to sensitive areas and information controlled and limited to authorized personnel?

  Yes

  No

  N/A

• Are there mechanisms in place to revoke access promptly when necessary (e.g., termination or role change)?

  Yes

  No

  N/A

• Are background checks conducted on all employees and contractors (both permanent and seasonal) who will be working in sensitive operations?

  Yes

  No

  N/A

• Are employees, visitors, and contractors (including construction workers, cleaning crews, and truck drivers) identified in some manner at all times while on the premises?

  Yes

  No

  N/A

• Does your facility control access by employees and contractors entering the plant during working hours (e.g. coded doors, receptionist on duty, swipe card, etc.)?

  Yes

  No

  N/A

• Is their access closely monitored and limited to only what is necessary for their role?

  Yes

  No

  N/A

• Does your facility control entry of employees and contractors into the plant during non-working hours (e.g. access limited by key card or code number)?

  Yes

  No

  N/A

• Does your facility have a way to restrict temporary employees and contractors (including construction workers, cleaning crews, and truck drivers) to areas of the plant relevant to their work?

  Yes

  No

  N/A

• Is an updated shift roster (i.e., who is absent, who the replacements are, and when new employees are being integrated into the workforce) kept by management for each shift?

  Yes

  No

  N/A

• Do you inspect employee lockers?

  Yes

  No

  N/A

• Are employees and/or visitors restricted as to what they can bring (cameras, etc.) into the plant?

  Yes

  No

  N/A

• Are there clear channels for reporting suspicious behavior or security concerns?

  Yes

  No

  N/A

• Are there clear policies and training on ethical conduct and compliance with legal and regulatory standards?

  Yes

  No

  N/A

• Is there a mechanism for anonymously reporting unethical behavior or security concerns?

  Yes

  No

  N/A