THEVA & CO
S.N
o
1
Self Assessment Template
Plan Management and Exercise - ALL FACILITIES
1.1
Are a designated site security team and FSC appointed to implement and
oversee the Security and Food Defense plan?
1.2
Are annual Security and Food Defense self-assessments conducted?
1.3
Does the facility quarterly assess the security of its overall posture through
the performance of a self-inspection of physical security systems and
effectiveness of security procedures and protocols?
1.4
Is the site security and food defense plan reviewed (and revised if necessary)
at a minimum annually?
1.5
Is the site security and food defense plan treated as proprietary company
information?
1.6
Are key emergency contact information for local fire, law enforcement and
ambulance maintained in the plan?
1.7
Is the above contact information reviewed and updated annually?
1.8
Are evacuation procedures in the defense plan?
1.9
Are procedures in place to control access during an emergency to authorized
personnel only?
1.10
Are periodic drills conducted on the operational elements of the security
plan?
Food Defense Planning Considerations - Warehouses, Plants,
and Sites that handle food
2.1
Are key emergency contact information for public health regulators included
in the plan?
2.2
Is there an established liaison between the site and public health officials and
appropriate security officials and other law enforcement officials?
2.3
Is there an established relationship between the facility and the appropriate
analytical laboratories for possible assistance in investigation of product
tampering cases?
2.4
Are procedures for responding to threats of product tampering included in the
plan?
2.5
Are procedures for responding to actual incidents of product tampering
detailed in the plan?
2.6
Are employees encouraged to report signs of possible product tampering?
Yes
No
N/A
THEVA & CO
2.7
2.8
Does the facility have a documented recall plan?
Are procedures in the recall plan reviewed and updated as necessary?
Physical and Procedural Security ALL FACILITIES
3.1
Are the grounds groomed and well maintained with clear lines of sight?
3.2
Are the facilitys exterior areas monitored for signs of suspicious activity or
entry (e.g., by guard or CCTV [Closed Circuit TV])?
3.3
Is there sufficient outside lighting to allow detection of unusual activities on
any part of the establishment outside premises during non-daylight hours?
3.4
Do emergency exits have self-locking doors and/or alarms?
3.5
Are all non-employees (e.g., outside vendors, contractors or similar visitors)
registered upon entry?
3.6
Is positive identification (government issued photo identification) required for
outside vendors and delivery personnel, contractors, or similar types of
visitors to verify identity when granting access to the facility?
3.7
Are the following secured with locks, seals, or sensors at all times to prevent
entry by unauthorized persons?
Outside doors and gates
Windows
Roof Openings
Vents
Trailers, railcars, containers, etc.
Utility controls
Storage areas
3.8
Is there emergency lighting within the facility?
3.9
Is active surveillance of the inside facility and operations maintained through
CCTV (Closed Circuit TV)?
Yes
No
N/A
THEVA & CO
3.10
3.11
Are emergency systems tested periodically?
Are the locations of controls for emergency systems clearly marked?
3.12
Is access to sensitive storage, manufacturing, etc. areas restricted and
access controlled to prevent entry by
unauthorized personnel?
3.13
Are visitors, guests, and other non-establishment employees (e.g.,
contractors, salespeople, truck drivers) restricted to non-production and
storage areas unless accompanied by an authorized employee?
3.14
Are evacuation routes posted?
3.15
Are procedures in place to routinely check toilets, maintenance closets,
personal lockers, and storage areas for
concealed people or packages?
3.16
Is a regular inventory of facility keys conducted?
3.17
Are the central controls for the following restricted (e.g., by locked door/gate
or limiting access to designated employees) to prevent access by
unauthorized persons?
Heating, Ventilation and A/C systems
Propane Gas
Water Systems
Electricity
Disinfection systems
Personnel Security Procedures - ALL FACILITIES
4.1
Are background checks conducted on prospective employees prior to hiring?
4.2
Are background checks required on contract employees?
4.3
Do employees receive training on security procedures as part of their
orientation training?
4.4
Are procedures in place to ensure positive identification/recognition of all
employees?
Are identification procedures in place to ensure the positive
identification/recognition for temporary employees and contractors (including
4.5
Yes
No
N/A
THEVA & CO
4.6
construction workers, cleaning crews, and truck drivers) in the facility?
Are procedures in place to screen employees entering the establishment
during business hours and non-business hours?
4.7
Are procedures in place to screen the entry of contractors into the
establishment during business hours and non-business hours?
4.8
Is access to sensitive areas of the facility denied to those individuals
performing work functions, such as temporary employees, construction
workers, cleaning crews, truck drivers, and contractors?
4.9
Are procedures in place to ensure clear identification of personnel with their
specific functions?
4.10
Does the facility have a policy regarding items (cameras etc.) that employees
or visitors may be bring into the facility?
4.11
Is a policy in place on what personal items may and may not be allowed
inside production, warehouse and food storage areas?
4.12
If employees are provided with lockers for personal items, are announced
and unannounced inspections of employees lockers conducted (within the
limits of local law)?
4.13
Are employees instructed on the proper protocol for handling and reporting
tampering, illness, or other threats?
Food Production Plants and Sites that Handle Food
5.1
Is access to product production and preparation areas limited to employees,
escorted visitors, and regulatory inspection personnel only?
5.2
Is the mixing and batching of product and ingredients and other operations
where large amounts of exposed product are handled continuously
monitored?
5.3
Are lines that handle and transfer products, water, oil, or other ingredients
monitored to ensure integrity?
5.4
Is the packaging integrity of ingredients examined for evidence of tampering
before use?
5.5
Are records maintained to ensure the capability to trace-back raw materials
to suppliers?
5.6
Are records maintained to ensure the capability to trace-forward finished
products to vendors?
Storage Security - Warehouses, Plants, and Sites that handle
food
6.1
Is access to raw product storage areas, including holding coolers restricted
(e.g., by locked door/gate) to designated employees?
Yes
No
N/A
Yes
No
N/A
THEVA & CO
6.2
Is an access log maintained for raw product storage areas?
6.3
Is access to ingredient storage areas restricted to designated employees
only?
6.4
Is an access log maintained for ingredient storage areas?
6.5
Is access to finished product storage areas restricted to designated
employees?
6.6
Is access to external storage facilities restricted to designated employees
only?
6.7
Are periodic security inspections of storage facilities and warehouses
(including temporary storage vehicles) conducted?
6.8
Are records maintained on facility security inspections results?
6.9
Are product labels and packaging held in a secure area to prevent theft and
misuse?
6.10
Is the inventory of finished products regularly checked for unexplained
additions and withdrawals from existing stock?
6.11
Is the access to inside and outside storage areas for hazardous
materials/chemicals such as pesticides, industrial chemicals, cleaning
materials, sanitizers, and disinfectants restricted to designated employees?
6.12
Are hazardous material/chemical storage areas separated from production
areas of establishment?
6.13
Is a monthly inventory of hazardous materials/chemicals maintained?
6.14
Are discrepancies in the inventory of hazardous materials/chemicals
immediately investigated?
6.15
Are the storage areas for hazardous materials/chemicals separated from
stock, storage or production/preparation areas?
6.16
Is a procedure in place to receive and securely store hazardous chemicals?
6.17
Is a procedure in place to control disposition of hazardous chemicals?
6.18
Is access to incoming water lines and water wells restricted? (e.g., by locked
door/gate or limiting access to designated employees)
6.19
6.20
Is access to storage tanks for potable water restricted?
Are potable water lines periodically inspected for possible tampering?
Laboratories Sites with laboratories will complete this section.
Yes
No
N/A
THEVA & CO
7.1
Is access to laboratories restricted (e.g., by locked door) to designated
employees?
7.2
Is an access log maintained for laboratories?
7.3
Are periodic security inspections of laboratories conducted?
7.4
Are records maintained on security inspections results?
7.5
Is the inventory of controlled reagents regularly checked for unexplained
additions and withdrawals from existing stock?
7.6
Are procedures for reporting to incidents of missing reagents reviewed
annually and updated as required?
Shipping and Receiving - Warehouses, Plants, and Sites that
handle food
8.1
Are trailers on the premises maintained under lock and/or seal when not
being loaded or unloaded?
8.2
Are deliveries monitored and controlled by the shipping and receiving
personnel?
8.3
Are outgoing shipments of product sealed with tamper-evident seals?
8.4
Are the seal numbers on outgoing shipments documented on the shipping
documents?
8.5
Are incoming delivery trucks inspected for unusual cargo or activity?
8.6
Are drivers identities and credentials verified against a valid governmentissued drivers license?
8.8
Is there a staging of incoming deliveries prior to entry into the facility?
8.9
Are vendors of packaging materials and labels selected with consideration of
food defense measures implemented by vendors?
8.10
Is access to loading docks controlled to avoid unverified or unauthorized
deliveries?
8.11
Is advance notification from suppliers (by phone, e-mail, or fax) required for
all incoming deliveries?
8.12
Are suspicious alterations in the shipping documents immediately
investigated?
8.13
8.14
Are all deliveries verified against the roster of scheduled deliveries?
Are unscheduled deliveries held outside facility premises pending
verification?
Are off-hour deliveries accepted?
8.15
Yes
No
N/A
THEVA & CO
8.16
If off-hour deliveries are accepted, is prior notice of the delivery required?
8.17
If off-hour deliveries are accepted, is the presence of authorized individual to
verify and receive the delivery required?
8.18
Is the integrity of internal compartments in the trailer, lot packaging, or intransit security checks for less-than-truckload (LTL) or partial load shipments
of materials verified?
8.19
Is the integrity of incoming shipments of raw product, ingredients, and
finished products checked at receiving dock for evidence of tampering?
8.20
Is the integrity of incoming shipments of raw product, ingredients, and
finished products checked at receiving dock for evidence of tampering?
