Factory Security Assessment

1. GENERAL OVERVIEW
1 There is a policy that requires that all security procedures are documented?
2 The facility has a security department/personnel?
3 There is a designated security chief at the facility?
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5 An appointed facility official is responsible for security audits or evaluations?
6 A facility security plan is developed and is reviewed/updated semi-annually?
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PERSONNEL SECURITY
8 Personnel security procedures are written and evaluated quarterly?
9 Personnel security procedures are evaluated in response to security failures?
10 Personnel security requirements apply to contracting temporary and part time employees?
11 Employment applications are required for all applicants?
12 All applicants are interviewed?
13 When allowed by law, background checks are conducted on all applicants?
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18 The facility retains a copy of the employee's official identification?
19 A facility issued photo-badge is required for employee access?
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21 Procedures are used to retrieve an employee ID and/or deactivate access as needed?
22 Lost IDs are recorded as missing before replacement and security staff informed?
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24 Security guards monitor access to facility restricted areas?
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30 Security procedures are publicized throughout the facility on posters and bulletin boards?
PHYSICAL SECURITY
Level 1 Country (High Risk)
A site security assessment is conducted quarterly to identify vulnerabilities and necessary corrective
actions?
WAL-MART STORES, INC.
Factory Security Assessment
An appointed company official is responsible for facility, employee, and transport security?
Applicant background check includes employment history, reference check, and criminal records
check?
The applicant's examined identification includes a National ID Card and birth certificate?
When allowed by law, background checks are updated on all employees?
A permanent personnel file is maintained for each employee with the employee's name, date of birth,
and a National ID number?
Issue of employee identification is centralized and controlled by a specific department and restricted to
limited authorized employees?
A specific color coded ID is required to access restricted areas to include the receiving and shipping
areas?
New employee orientation includes confirming that anytime onsite the facility requires wearing an ID
badge?
New employee orientation includes reporting unidentified persons, breach of computer security, and
internal conspiracies?
New employees are asked to report compromised to security infrastructure such as broken locks,
windows, facility structure?
The facility has a documented security awareness program in place for all employees to include
training participation?
Employees are encouraged to report irregularities, suspicious activity, and security violations through
an incentive program?
Factory Security Assessment - Level 1

2. 31 The facility has an intrusion detection or an alarm system?
32 The intrusion detection/alarm system has back-up power and is tested regularly?
33 A record is maintained of employee access to keys, cards or codes?
34 Facility utilizes card or code activated locking devices to protect controlled areas?
35 Keys/cards are returned or codes are changed when an employee leaves the company?
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45 The entire facility and perimeter fence/wall is lighted during darkness?
46 The cargo conveyances/shipping area is lighted?
47 Lighting has an emergency power source/generator?
48 Access to the lighting switches is restricted to only authorized personnel?
49 Empty and loaded containers are stored in a designated area guarded by security at all times?
50 Containers stored on-site, in a designated area, are secured with a high security seal or lock?
51 There is a designated security guard force on duty to protect the facility 24/7?
52 There is radio communication between the central security office and the exterior guard posts?
53 Security guards have training specific to facility security?
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56 The facility has direct communication to local law enforcement authorities?
57 Security guards and/or security supervisor reports incidents to facility management?
58 Facility gates are protected during operating hours with guards and cameras?
59 Facility gates are protected during non-operating hours with guards and cameras?
60 Employee entries and exits are recorded?
61 Security guards patrol the interior of buildings of the facility?
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63 CCTV recordings which are kept for 45 days?
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65 Advance information from a vendor is required before the visit?
66 A positive identification process is used to record all visitors and vendors?
67 A visitors log is maintained which records all entries and exits?
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69 Visitors are escorted throughout their visit to the facility?
70 Procedures are used to screen arriving packages and mail prior to distribution?
Procedures exist to immediately terminate existing physical access when an employee terminates
employment or transfers to another position?
Management is provided with an current list of all employee access privileges on a monthly basis?
All facility buildings are constructed of materials that prevent unlawful entry and are kept in good repair?
As applicable, the facility perimeter is secured with either a chain-link fence, masonry, steel wall or an
equivalent barrier capable to deter illegal access?
Schedule daily inspections are performed of the perimeter including checking for damage, attempted
illegal access, and needed repair?
The perimeter fence/wall has concertina wire, barbed wire, or an equivalent substance as an additional
security element?
There are no adjoining/overhanging structures or foliage which would facilitate illegal and unnoticed
entry into the facility?
Underground access points such as culverts, utility tunnels, sewers are secured to prevent
unauthorized access?
Only the security guard supervisor and designated facility management have keys or access controls
to facility gates?
Security guards have training specific to Threat Awareness, Unauthorized Access and Internal
Conspiracy?
The facility provides an employee threat awareness program to recognize a security threat?
Closed circuit television cameras (CCTV) is used to monitor activity inside/outside the facility?
CCTVs are monitored constantly on all shifts by guards or security personnel with no other
assignments?
Visitor badges are controlled through a numbering system when issued and verified upon return?
Factory Security Assessment - Level 1

3. 71 There is a procedure to conduct a security check of incoming and outgoing cargo vehicles?
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73 Conveyance drivers are required to show personal photo identification?
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77 Shipping and receiving parking lots are separated from all other parking lots?
78 Visitor and employee vehicles are prevented from parking near cargo conveyance vehicles?
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80 Vehicles are prohibited/prevented from parking near the perimeter fencing?
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83 Methods exist to detect and report cargo shortages and overages during container loading?
INFORMATION ACCESS CONTROLS
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87 There are procedures to identify which employees have access to High Security Seals?
88 Information systems passwords are protected?
89 Only relevant employees are provided with individually assigned IT system accounts?
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91 The facility has procedures to adjust or rescind computer access?
92 There is a designated system administrator responsible to establish a user ID?
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94 Incidents of unauthorized IT system access is investigated and recorded?
95 The facility has implemented into its computer network an intrusion warning system?
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SHIPMENT INFORMATION CONTROLS
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99 Records are maintained on all shipments?
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STORAGE AND DISTRIBUTION
101 International and domestic cargo is segregated at the facility?
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103 Loading dock access is restricted to only authorized employees?
A person is trained on the information requirements for shipments to the United States?
A conveyance truck arrival and departure log is maintained with the driver's name, truck license
number and reason for visit?
Outbound conveyance inspection includes a manifest check and recording the container number and
seal number?
Any outbound conveyance seal number discrepancy or a broken seal is reported to security
management immediately and the container examined?
Written procedures exist to identify which employees are allowed access to Automated systems?
Computer access passwords are subject to regular forced changes and suspended after three failed
access attempts.
There are security logs kept and reviewed weekly that report invalid password attempts and file
access?
Computer information is saved on a back-up system and a plan exists to restore data in case of a
failure?
Procedures exist to select which employees are allowed access to cargo shipping documents?
The container seal number is verified for accuracy when turned over to the next supply chain link?
Visitors and employee vehicle parking lots are monitored by security guards and are separate from
facility entrances?
Facility requires use of visual identification for visitor parking? (color coded parking sticker,
tag, decal)
Methods exist to prevent tampering with goods during production, during assembly, and
during packaging?
Procedures exist to select which employees are allowed access to shipping/cargo movement?
The facility has a designated employee responsible to provide accurate information on shipped
company products?
The facility conducts quarterly and unannounced checks to ensure that shipment information controls
are properly performed?
Container loading and departure is supervised by a security officer and/or a facility management?
Factory Security Assessment - Level 1

4. 104
105 Accurate, legible and complete cargo documents and packing slips are prepared?
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107 There are automated procedures for tracking goods/containers during domestic shipment?
108 Cargo cartons are properly labeled and weighed before loading?
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114 Seal control logs are kept for 6 months.
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119 Contractors are retained through legally binding contracts?
EXPORT LOGISTICS - TRANSPORTER/CARRIER
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125 Records of the security check is kept on file for 12 months.
Security controls are in place to prevent the introduction of non-manifested cargo into the container
during stuffing?
Procedures are utilized to report to management anomalies found in shipments and/or the
accompanying documents?
Container integrity is inspected by using the 7-point inspection process prior to stuffing and records are
kept for 45 days?
There are procedures to identify which employees have access to High Security Seals and the Seal
Control Log?
The facility conducts periodic unannounced procedure security checks to ensure that the transport
security contract is followed?
There is a procedure for contractors to report security violations to the facility management?
When selecting a domestic land carrier, the facility consider security history, hiring practice and
corporate history?
An in-country transport service contract restricts the driver's route to the seaport or consolidator and
defines the transit time-limits?
An in-country transport service contract requires container tracking, intermediate staging/rest period or
layover requirements?
An in-country transport service contract indicates reporting in-transit security violations to factory
management?
The facility has written procedures regarding selection of contractors to perform services which require
access to the facility?
The company has written security standards and procedures for its contractors (contracts, manuals,
etc.)?
A written procedure ensures that only an ISO-17712 High Security Cable Seal is placed on a container
bound for the US?
When selecting a contractor, the facility consider the contractor's security controls, hiring practice and
corporate history?
Only appointed facility management or security supervisor have access to High Security Seals and the
Seal Control Log?
Procedure for affixing, replacing, recording, and tracking container seals, to include maintaining a seal
control log, is utilized?
Factory Security Assessment - Level 1