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C-TPAT SURVEY

Section 1: Company Information


Company Name:
Street Address:
City:
Contact Person:
Phone:
E-Mail Address:
DUNS Number:

Postal Code:
Contact's Title:
Facsimile:

State:

Country:

MID Number:

Is the company public or private? If private, list majority owner(s) (holding over 10% ownership):

Indicate Type(s) of Business:

Manufacturer

Sea Carrier

Rail

Supplier

Forwarder

Warehouse

Air Carrier

Consolidator

Truck

Other (Specify):
Indicate if your company participates in any of the following programs:
C-TPAT: Customs-Trade Partnership Against Terrorism

CIP: Carrier Initiative Program


AEO: Authorized Economic Operator Security

BASC: Business Anti-Smuggling Coalition

SCIP: Super Carrier Initiative Program

PIP: Partners In Protection (Canada)

FAST: Free and Secure Trade

NOTE: If your company has already joined C-TPAT, PIP or AEO Security , do not complete this
survey. Instead, indicate the date Customs accepted your company into the program and return
the survey via email to the attention of PROGRAM ACCEPTANCE DATE:
__________

Instructions
1. Answer each question with one of the following answer codes:
The practice or procedure is firmly in place.
2 = Yes
The practice or procedure is partially in place.
1 = Partially
The practice or procedure is not in place.
0 = No
The practice or procedure does not apply to our company.
N/A = Not Applicable.
2. Provide any additional information in the "Comments" box. If additional space is needed to fully
respond, please attach a separate sheet, referring to the section number and question number.
3. Complete a separate questionnaire for each facility.
4. Return the completed questionnaire to the below by e-mail or mail:
E-Mail:
Fax:
Mail:

wendy.himebaugh@federalmogul.com
Federal-Mogul Corporation, 26555 Northwestern Highway, Southfield, MI 48033 USA

C-TPAT Questionnaire - 2012.xlsx

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C-TPAT SURVEY

Section 2: Physical Security

Code

Comments

Code

Comments

(a) Does your company have written physical security standards?


(b) Are all buildings and rail yards constructed of materials that resist
unlawful entry and protect against outside intrusion?
(c) Do you have an alarm system for theft and fire?
(d) Is there secure perimeter fencing around buildings and
warehouses?
(e) Are gates manned and/or monitored, and are they locked during
non-working hours?
(f) Are separate gates used for employees, for visitors, and for
truck/commercial traffic?
(g) Are parking areas for private vehicles separate from the shipping,
loading, and cargo areas?
(h) Are CCTV (closed circuit television) cameras used? If "yes", who
monitors them?
(i) Does the CCTV system cover interior and exterior areas?
(j) Are recorded CCTV tapes retained for a minimum of 30 days?
(k) Is adequate lighting provided inside and outside the facility,
including parking areas?
(l) Are there locking devices on external and internal doors, windows,
gates, and fences?
(m) Are there internal and external communications systems in place
to contact security personnel or local police?
(n) Are international, domestic, high-value, and dangerous goods
segregated and marked within the warehouse by a safe area that is
caged or fenced-in?
(o) Are there designated security personnel or security devices in the
cargo area? Describe.
(p) Is the facility in a Free Trade Zone, Industrial Park, or other
compound that provides additional security features? Describe.

Section 3: Access Controls


(a) Do controls include positive identification of all employees, visitors,
and vendors? Describe methods - badges, sign-in log, etc.
(b) Do you identify, record, and escort all visitors?
(c) Is unauthorized access to all facilities and conveyances prohibited
(shipping & receiving area, loading docks, etc.)?
(d) Are there procedures in place to challenge unauthorized or
unidentified persons in controlled areas? Describe.
(e) Are there procedures for drivers? Describe where they wait and
whether the waiting area is separate from cargo areas.
(f) Is the packing area restricted only to those employees assigned to
work there?
(g) Are there designated security personnel or security devices in the
packing area? Describe.

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C-TPAT SURVEY

Section 4: Procedural Security

Code

Comments

Code

Comments

(a) Are procedures in place to protect against unmanifested or illegal


material being introduced into the supply chain?
(b) Do you have a transportation tracking system to monitor and report
the timely movement of incoming and outgoing freight?
(c) Are empty cargo containers inspected on arrival?
(d) Are empty and full containers properly stored to prevent
unauthorized access?
(e) Do security controls include an employee and/or a security officer
to supervise the loading and unloading of cargo?
(f) Is tamper-proof tape used to secure boxes?
(g) Do you have documented procedures for affixing, replacing,
recording, tracking and verifying seals on containers or trailers?
(h) Are storage areas secured and inspected?
(i) Do controls include the proper marking, weighing, counting, and
documenting of outgoing cargo and cargo equipment?
(j) Are there procedures for detecting and reporting cargo shortages or
overages?
(k) Is the delivery of containers to a forwarder/carrier/airport made by
your own company trailers? If "no", indicate carriers) used.
(l) Are random, unannounced security assessments conducted on
areas in the supply chain within your company's control?
(m) Are there procedures for reporting any abnormalities in the
movement of cargo?
(n) Are there procedures for notifying Customs and/or other law
enforcement agencies in cases where you have detected or suspected
unusual or illegal activities?

Section 5: Documentation Security


(a) Do you have controls in place to check the accuracy of all shipping
documents, including invoices and packing lists?
(b) If your documents are prepared on a computer system, do you
have procedures to maintain the integrity of the data and to prevent
unauthorized data changes or access to the system?
(c) Is the documentation of cargo and cargo equipment verified
against manifest documents?
(d) Is required documentation supplied to government officials for
export control purposes?
(e) Carriers Only: Do you participate in the Automated Manifested
System (AMS)?
(f) Carriers Only: Do you ensure that cargo manifests are complete,
legible, accurate, and submitted to Customs in a timely manner?
(g) Brokers Only: Are there procedures to ensure that all information
provided by the importer, exporter, freight forwarder, etc., and used in
the clearing of goods, is legible and protected against the exchange,
loss, or introduction of erroneous information?
(h) Brokers Only: Do documentation controls include (where
applicable) procedures for ensuring the accuracy of the information
about the cargo to be cleared, including: shipper and consignee
names and addresses, first and second notify parties, description,
weight, quantity, and unit of measure (e.g., boxes, cartons, etc.)?

C-TPAT Questionnaire - 2012.xlsx

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C-TPAT SURVEY

Section 6: Conveyance Security

Code

Comments

Code

Comments

Code

Comments

(a) Are there procedures to protect against the introduction of


unauthorized personnel and material into the conveyance (trailer, van,
rail car, etc.)?
(b) Does conveyance security include the physical search of all readily
accessible areas of the trailer, van, etc.?
(c) Do procedures include the securing of internal and external
compartments and panels?
(d) When parked, are all trucks locked and the keys removed?
(e) Are there procedures for reporting cases in which unauthorized
personnel, unmanifested materials, or signs of tampering of the
conveyance are discovered?

Section 7: Personnel Security


(a) Do you conduct pre-employment screening and interviewing of
prospective employees?
(b) Does the company verify applicants' former employment, reasons
for leaving, and references, consistent with federal, state, and local
regulations and statutes?
(c) Does the company conduct employee background/police checks,
credit checks, or drug testing, where permitted by law?
(d) Will the company be implementing any other form of personnel
checks in the near future? Describe.

Section 8: Education & Training


(a) Do you have written security policies and practices to guard
against the insertion of illegal or unauthorized material into a
shipment?
(b) Does your company provide a security training program to
employees? If "no", will the company be implementing any form of
security training in the near future?
(c) Does the security awareness program include how to recognize
internal conspiracies, how to maintain cargo integrity, and how to
determine and address unauthorized access?
(d) Do you provide training in documentation fraud?
(e) Do you provide training in computer security controls?
(f) Does the company conduct random security tests and/or a yearly
security audit?
(g) Does the company offer incentives for active employee
participation in security controls?

C-TPAT Questionnaire - 2012.xlsx

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