Security Audit - CFATS

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Section 1 Restrict Area Perimeter

• 1.0 Facility has perimeter fence?

  Yes

  No

  N/A

• 1.1 Are there any deficiencies in the fence? For example - holes, tears, missing fence, bent, broke or disconnected poles, more than 1 link gap from ground to the bottom of gate/fence.

  Yes

  No

  N/A

• 1.2 Is fence properly attached to all supporting poles and secured from top to bottom?

  Yes

  No

  N/A

• 2.0 Fence has Gates/Doors?

  Yes

  No

  N/A

• 2.1 External gates/doors are in good operational condition?

  Yes

  No

  N/A

• 2.2 Gates/ Doors are kept close and secure during non-operational hours?

  Yes

  No

  N/A

• 2.3 Gates/Doors open and close with access control system?

  Yes

  No

  N/A

• 2.4 Gates/Doors not within a secured perimeter may not be blocked open.

  Yes

  No

  N/A

• 2.5 Security strike plate covers in place.

  Yes

  No

  N/A

• 3.0 Fence top guard provided?

  Yes

  No

  N/A

• 6. Are camera views properly labeled? (1)<br><br>To receive 1 point, the auditor will verify that the cameras are labeled appropriately to depict what is being viewed via CCTV.

  Yes

  No

  N/A

• 3.1 Top guard in good condition?

  Yes

  No

  N/A

Section 2 Building Security

• 1.0 Gates/ Doors <br>

  Safe

  At Risk

  N/A

• 1.1 Facility doors are kept closed?

  Yes

  No

  N/A

• 1.2 Loading docks (at the facility perimeter line) are kept closed when not in operation?

  Yes

  No

  N/A

• 1.4 Gates/doors are closed and secured when unattended?

  Yes

  No

  N/A

• 1.3 External gates/doors are in good operational condition?

  Yes

  No

  N/A

• 2.0 Windows

  Safe

  At Risk

  N/A

• 2.1 Are windows in good condition?

  Yes

  No

  N/A

• 2.2 Locked and secured during non-operational hours?

  Yes

  No

  N/A

Section 3 Security Sign Posting

• 1.0 Facility posted security sign?

  Yes

  No

  N/A

• 1.1 "No trespassing" signs affixed to gates and perimeter fence?

  Yes

  No

  N/A

• 1.2 Directional signage (to direct traffic) posted for visitors and vendors?

  Yes

  No

  N/A

• 1.3 "No Smoking" and "No Weapons Permitted" signs posted?

  Yes

  No

  N/A

Section 4 Intrusion Detection System

• 1.0 Does the facility utilize an Intrusion Detection (Burglar Alarm) System?

  Yes

  No

  N/A

• 1.1 All entry points (i.e. doors,.) are covered by IDS?

  Yes

  No

  N/A

• 1.2 Have the police been supplied with the current names and addresses of key holders and authorized employees in the event of an alarm.

  Yes

  No

  N/A

• 1.3 Have pass codes been individually assigned and changed within 6 months?

  Yes

  No

  N/A

• 1.4 Alarm system operational, monitored, serviced and tested regularly. Open and close reports audited on a monthly basis?

  Yes

  No

  N/A

• 1.5 System maintenance contract in place?

  Yes

  No

  N/A

• 1.6 Date of last alarm test. Enter Date

  Date

• Select date

  Date

• 1.7 Does the alarm cover the entire premise?

  Yes

  No

  N/A

Section 5 Clear Zone

• 1.0 Facility maintains an external clear zone?

  Yes

  No

  N/A

• 1.1 Grass, weeds etc. around the fence are cleared on a regular basis?

  Yes

  No

  N/A

• 2.0 Facility maintains an internal clear zone?

  Yes

  No

  N/A

• 2.1 Pallets, barrels etc. are not stacked around the perimeter fence line?

  Yes

  No

  N/A

• 2.2 Are the clear zones monitored to ensure that the clear zones remain clear?

  Yes

  No

  N/A

Section 6 Lighting and Illumination

• 1.0 Does the facility maintains sufficient illumination levels (inside and outside)?

  Yes

  No

  N/A

• Illumination reading at<br>

  Date

• Select date

  Date

• 1.1 Perimeter Enter measurement

  Yes

  No

  N/A

• 1.2 Operational areas Enter measurement

  Safe

  At Risk

  N/A

• 1.3 Security / Entrance gates Enter measurement

  Safe

  At Risk

  N/A

• 1.4 Parking lot Enter measurement

  Yes

  No

  N/A

• 2.0 All perimeter lighting in good condition?

  Yes

  No

  N/A

Section 7 Vehicle Parking

• 1.0 Employee, Visitor and Contractors parking location is designated and controlled?

  Yes

  No

  N/A

• 2.0 Permission is required to allow to park vehicle in an area other then the designated parking area?

  Yes

  No

  N/A

Section 8 Emergency Preparedness

• 1.0 Facility maintains an Emergency Action / Contingency Plan?

  Yes

  No

  N/A

• 1.1 Facility conducts drills as per SW guidelines?

  Yes

  No

  N/A

• 1.2 Emergency team list is up-to-date and people know their responsibilities?

  Yes

  No

  N/A

• 2.0 Facility maintains site specific security plan - based on the actual facility specific risks?

  Yes

  No

  N/A

• 3.0 Facility maintains a written procedure for inspection, testing, maint. and calibration of security systems?

  Yes

  No

  N/A

• 4.0 Facility has a plan to deploy temporary security measures?

  Yes

  No

  N/A

Section 9 Security Posts / Personnel

• 1.0 Are security personnel used at the facility entrances?

  Yes

  No

  N/A

• 1.1 Are security personnel used at the Shipping and receiving area?

  Yes

  No

  N/A

• 1.2 Security personnel meet or exceed standards of security guard policy? and comply with the site's post instructions?

  Yes

  No

  N/A

• 1.3 Security posts are clean, free of newspapers, magazines, or personal reading materials?

  Yes

  No

  N/A

• 1.4 A copy of post instructions with adequate supplies to carry out post responsibilities available?

  Yes

  No

  N/A

• 1.5 Background check conducted for security personnel?

  Yes

  No

  N/A

Section 10 Screening and Access Control

• 1.0 Entrance/exit into site and or building is controlled?

  Yes

  No

  N/A

• 1.1 Access control system is operational and functioning?

  Yes

  No

  N/A

• 1.2 Procedures in-place for entering and exiting plant/building/secured areas? (Non-management employees' access restricted during non-working hours).

  Yes

  No

  N/A

• 1.3 Entry and exits are recorded?

  Yes

  No

  N/A

• 2.0 Key offices and areas like Site Manager, HR manager, telephone and server rooms, important cabinets etc. are locked and secured (when not occupied)?

  Yes

  No

  N/A

• 3.0 Visitors and contractors are required to provide their govt. issued photo ID?

  Yes

  No

  N/A

• 4.0 Visitors/Contractor sign in/out controlled with badges? (not required at facilities with less then 15 employees)

  Yes

  No

  N/A

• 4.1 Access cards issued and accounted-for by name and card number. Is a current record of all badges maintained on site?

  Yes

  No

  N/A

• 4.2 Are access control records maintained and checked for deviations or discrepancies?

  Yes

  No

  N/A

• 4.3 Visitors are escorted?

  Yes

  No

  N/A

• 4.4 Are printouts maintained for 1 year on site? (clarify this question with DOT)

  Yes

  No

  N/A

• 5.0 Correct date and time displayed on access control mainframe?

  Yes

  No

  N/A

• 6.0 PII is submitted to DHS?

  Yes

  No

  N/A

Section 11 Key Inventory Control Program

• 1.0 Key/Card issuance controlled?

  Yes

  No

  N/A

• 1.1 and keys distributed per policy?

  Yes

  No

  N/A

• 1.2 Key/Access card issuance log maintained?

  Yes

  No

  N/A

• 1.3 Key/card acknowledgement letter signed by employees?

  Yes

  No

  N/A

• 1.4 Excess or unwanted keys/cards destroyed?

  Yes

  No

  N/A

• 1.5 Spare keys/cards secured and accounted for?

  Yes

  No

  N/A

Section 12 Material Management

• 1.0 COI is included in the periodic cycle counts?

  Yes

  No

  N/A

• 2.0 COI is stored away from the facility entrance points and dock doors etc.?

  Yes

  No

  N/A

• 3.0 COI transfer is tracked?

  Yes

  No

  N/A

Section 13 HR Policies

• 1.0 Is the company policy regarding locker inspections posted in the locker room?

  Yes

  No

  N/A

• 2.0 Pre-employment background checks completed as per SW requirements?

  Yes

  No

  N/A

• 2.1 Records maintained on site?

  Yes

  No

  N/A

• 2.2 Are conflict of interest forms being utilized properly and maintained on site with employee files.

  Yes

  No

  N/A

Section 14 Training

• 1.0 Site conducted a business ethics training within the previous year?

  Yes

  No

  N/A

• 1.1 Date of last Business Ethics training

  Date

• Select date

  Date

• 1.2 Are employee purchases and "give aways" prohibited.

  Yes

  No

  N/A

• 1.3 Is a control log of all personal items (i.e.. Radios, artwork, furniture) maintained and updated?

  Yes

  No

  N/A

• 1.4 Are all lockers assigned and locks issued by site management? Is a current locker assignment list maintained on site?

  Yes

  No

  N/A

• 2.0 Employee Security Training conducted?

  Yes

  No

  N/A

• 3.0 FSO and AFSO completed required trainings? (CVI, CFATS and ChemSec application etc.)

  Yes

  No

  N/A

Section 15 Record Keeping

• 1.0 Training records are kept for 3 years?

  Yes

  No

  N/A

• 3.0 CVI information is managed as per DHS requirements?

  Yes

  No

  N/A

• 2.0 Equipment maintenance Records are available at site?

  Yes

  No

  N/A

• 4.0 Findings from the last security audit are addressed?

  Yes

  No

  N/A

• 5.0 Security incidents are reported, investigated and maintained as per SW requirements?

  Yes

  No

  N/A

Audit Recap & Acknowledgment

• Management Signature

  Sign

• Auditor Signature

  Sign