TARGET C-TPAT STAND

 

The Customs-Trade Partnership Against Terrorism (C-TPAT) Medium
Audit General Guidelines are for the purpose of defining general rules as they
apply to the C-TPAT Medium Audit form. These guidelines are an overview of the
considerations to be taken with the questions.   This standard should be used in
conjunction with the C-TPAT Medium Audit Form.

The C-TPAT Medium Audits
are completed as part of the Factory Evaluation process. The C-TPAT Medium Audit
should be completed by the same person completing the Factory Evaluation. 


The information you provide when completing a C-TPAT Medium Audit is
important and is used in many ways:
Allows International Supply Chain
Security to identify security concerns and work with the vendor to correct them

Assists International Supply Chain Security in basic prioritization of
C-TPAT security audits
Provides information on factories where C-TPAT audits
have not been conducted
Provides documentation for media, non-governmental
organizations (NGO’s), and shareholders that TSS/AMC has looked at security
concerns in a particular factory 
For Target orders, the medium audit is
also used to verify information provided to International Supply Chain Security
at the time of C-TPAT registration

Frequency requirements of conducting
a C-TPAT Medium Audit are as follows:
Complete one C-TPAT Medium Audit for
each Factory Evaluation per factory.
Medium Audits should be completed for
both TSS/AMC and non-TSS/AMC factories/orders

Please obtain the C-TPAT
Medium Audit questionnaire and best method from email or EOL (Experts Online). 
The C-TPAT Medium Audit questions will be on a separate, temporary Excel form
until FAS-T rolls out to the field.  All required fields will need to be
completed in full to obtain a ‘completed’ status. Required fields are indicated
by an asterisk ( * ) preceding the question on this Standard. Failure to
complete a required field will result with an ‘incomplete’ status.  The
completed audit forms should be sent via email to global.security@target.com. 
Please also retain a copy of the completed questionnaire in the local TSS/AMC
office. 

GENERAL INFORMATION
       *Date of
Visit
＆#61623         Complete this field using the date of your visit to the
factory.  Use the format MM/DD/YY.  (example: 05/12/04 represents May 12th,
2004)

Date Form is Received by ISCS
＆#61623         The International
Supply Chain Security (ISCS) Team in Minneapolis will fill in this field. NO
ACTION REQUIRED BY THE FIELD

*Field Assessment Factory
ID
＆#61623         Complete this field with the factory F#, if known.
(example: F00001234). 
The factory ID number is found in BPM (Business
Partner Management)
If you do not know the factory ID, please leave this
field blank. 

*Inspector Name/Title:
＆#61623         Complete this
field with the evaluator’s name and title. 

       *Inspector
Office/Country:
＆#61623         Complete this field with the evaluator’s
office city and country location.
                   
*Reason for
Visit:
＆#61623         Please check the appropriate reason for your visit for
the following options:
o        Factory Evaluation
o        Global
Compliance Audit
o        OTHER (If this option is checked, write the reason
for your visit in the space provided)

FACTORY
INFORMATION

*Factory Name and Address:
＆#61623         Complete the
Factory’s name and address
＆#61623        
City/Town/Village
＆#61623         Country
＆#61623        
Province/State

*Contact Person:
＆#61623         Complete the name of
an English speaking contact person.

VENDOR INFORMATION

*Place
the name of the vendor(s) on these lines.

C-TPAT SECURITY
QUESTIONS
(You may ask factory management to assist you in answering the
following questions)

      1.  Is there a high security seal affixed to
each container/trailer that meets ISO/PAS   (17712)
standards?
＆#61623         Physically check the seals that are used in
sealing the containers or ask management what type of seal is used if no
container seal is available.
＆#61623         High security seals include bar
lock seals, bolt seals, and cable seals.
＆#61623         If a bar, bolt or
cable seal is not used, answer NO to question one.

      2.  Does the
factory have procedures in place on how seals are controlled and affixed to
containers/trailers?
＆#61623         Physically check to see if seals are
kept in a locked and secured place prior to applying to a container and logged
on the Container Load Plan (Container Load Plan may not be available in factory
for initial Factory Evaluation or Compliance Audit) or another form of a
container seal log. If no seals are available ask management where seals are
kept.
＆#61623         Another form of a seal log should include, but not
limited to: date/time container is sealed, seal number, container number, and
employee identification and number that completed the container sealing
process.
＆#61623         If containers are present and sealed, physically
check if the container is sealed by viewing the seal and container locking
mechanism for tampering. Verify the seal number against the documentation. Tug
on the seal to make sure it is affixed to the container. Twist and turn the seal
to make sure it does not unscrew.
＆#61623         If seals are not kept in a
locked and secured place prior to applying to a container and not logged on the
Container Load Plan or another form of container seal log, answer NO to question
two.
＆#61623         Reference Container Load Plan on page 7.

     
3.  Is the container/trailer sealed at the factory immediately after
loading?
＆#61623         Ask management or observe if containers are sealed
immediately after loading.
＆#61623         If containers are not sealed
immediately after loading, answer NO to question three.

      4.  Does
the factory have procedures in place for designated employees to distribute
container/trailer seals?
＆#61623         We define employees to distribute
container/trailer seals to include security personnel and/or a
manager/supervisor.
＆#61623         Ask management or physically view
procedures to know who distributes the seals, if a security personnel and/or
manager/supervisor is not mentioned, answer NO to question four.

     
5.  Does the factory have a container/trailer seal log?
＆#61623         Ask a
manager/supervisor to physically see the Container Load Plan or another form of
a container seal log.
＆#61623         Another form of a seal log should
include, but not limited to: date/time container is sealed, seal number,
container number, and employee identification and number that completed the
container sealing process.
＆#61623         If you are not presented one of
the two container seal logs, answer NO to question five.
＆#61623        
Reference Container Load Plan on page 7.

      6.  Are
containers/trailers stored in a secure area to prevent unauthorized
access?
＆#61623         Physically check to see if containers/trailers
(trucks for less than container load product) are stored or parked within the
fence/physical barrier surrounding the facility, or door to door/end to end, or
backed against a structure high enough to keep doors from opening to prevent
tampering/pilferage. If containers/trailers/trucks are not present ask
management how containers/trailers/trucks are stored or
parked.
＆#61623         If no container/trailer is available please continue
to ask management how containers/trailers are stored.
＆#61623         If the
factory does not have one of these four methods for storing
containers/trailers/trucks, answer NO to question six.

      7.  Does
the factory have procedures in place to verify physical integrity of the
container/trailer by using the seven point inspection prior to loading?

＆#61623         Ask a manager/supervisor to physically see the seven point
inspection check list for verifying the physical integrity of a container. If
the factory does not have the seven point inspection check list, ask to see
their documented procedure for verifying the physical integrity of the
container.
＆#61623         We define checking the physical integrity of the
container as, but not limited to checking the front wall, left side, right side,
floor, ceiling/roof, inside/outside doors, and outside/undercarriage of the
container.
＆#61623         If the factory does not have the seven point
inspection check list or a procedure to verify the physical integrity of a
container, answer NO to question seven.
＆#61623         Reference Seven Point
Inspection Check List on pages 8-9.

      8.  Does a security fence or
physical barrier surround the facility?
＆#61623         Physically check to
see if a fence surrounds the factory. The height of the fence should be around 7
to 8 feet high (2.13 to 2.43 meters). If the fence is lower answer “yes” and
include the height information in the comment section.
＆#61623         If
there is no fence, look to see if a physical barrier surrounds the factory.
Physical barriers can include brick/cement walls or a solid
barrier.
＆#61623         If the factory does not have one of these two
security barriers surrounding the facility, answer NO to question
eight.

9.  Are all gates through which vehicles and personnel enter/exit
manned and/or monitored by security personnel?
＆#61623         When you
arrive at the factory physically check to see if you need to pass through a gate
to get into the premise. The gate needs to be monitored by a person or a camera.

＆#61623         If the factory does not have a person or camera to monitor
the gate(s), answer NO to question nine.

10.   Does the factory have
employee/visitor parking areas segregated from all cargo handling and storage
areas?
＆#61623         Physically check to see if employee/visitor parking
areas are segregated from all cargo handling and storage areas. We define
parking being segregated by means of not being able to park in the same area as
the cargo handling and storage areas. If cargo handling and storage areas are
segregated by a barrier, it is classified as segregated from all other
areas.
＆#61623         If the factory does not have employee/visitor parking
segregated from cargo handling and storage areas, answer NO to question
ten.

            11.   Are buildings constructed of materials that
resist unlawful entry?
＆#61623         We define building materials that
resist unlawful entry to be steel, cement and bricks.
＆#61623         If the
factory does not have one of the three materials listed, answer NO to question
eleven.

      12.   Does the factory have external and internal windows,
gates, and fences secured with locking devices?
＆#61623         Physically
check to see if each of the following has a locking device on them windows,
gates, and fences. You do not have to verify all windows, gates, and fences have
a locking device. Verify that at least two of them do.
＆#61623        
Locking devices may be unlocked during business hours, but they must have a
locking device in place.
＆#61623         If the factory does not have one the
above criteria, answer NO to question twelve.

      13.  Does lighting
illuminate the building entrances and exit areas?
＆#61623         Physically
check to see if lights are present in the building entrances and exit
areas.
＆#61623         If the factory does not have lighting the building
entrances and exit areas, answer NO to question thirteen.

      14. 
Does lighting illuminate the cargo handling and storage
areas?
＆#61623         Physically check to see if lights are present in the
cargo handling and storage areas.
＆#61623         If the factory does not
have lighting the cargo handling and storage areas, answer NO to question
fourteen.

      15.  Does outside lighting illuminate the fence
line?
＆#61623         Physically check to see if lights are present on the
fence line.
＆#61623         If the factory does not have lighting on the
fence line, answer NO to question fifteen.

      16.  Does lighting
illuminate the parking area?
＆#61623         Physically check to see if
lights are present in the parking area.
＆#61623         If the factory does
not have lighting the parking area, answer NO to question
sixteen.

17.    Does the factory have a system in place to identify
employees?
＆#61623         Ask to see badges or ask a manager/supervisor if
the factory is capable of identifying their employees. We define identifying
employees as having a work badge, a work uniform, or a name tag stating employee
on it.
＆#61623         If the factory does not have a system in place to
identify employees, answer NO to question seventeen.
     
      18.  Do
visitors present photo identification for documentation purposes prior to
entry?
＆#61623         We define photo identification as a government or work
issued license/badge. An example would be a driver’s license, passport or work
badge. 
＆#61623         When you arrive at the factory, are you asked to
present identification to be granted access?
＆#61623         If you are not
asked for identification, answer NO to question eighteen.

19. Are all
visitors escorted and visibly display temporary identification?

＆#61623         We define temporary identification as a badge stating
visitor on it, a sticker with visitor written on it, or a device that can be
attached to a person identifying them as a visitor.
＆#61623         When you
tour the factory, are you escorted?
＆#61623         If you are not required
to wear a visitor badge and you are not escorted, answer NO to question
nineteen.

20. Is application information, such as employment history and
references verified prior to employment?
＆#61623         Ask a
manager/supervisor if it is legal to verify employment history and/or references
prior to employment. If it is legal ask the manager/supervisor if employment
history and/or references are verified prior to employment.
＆#61623        
If it is legal and if employment history and/or references are not verified
prior to employment, answer NO to question twenty.

21. Does the factory
have procedures in place to remove identification, facility and system access
for terminated employees?
＆#61623         Ask to view the procedure to remove
identification, facility and system access for terminated
employees.
＆#61623         We define a procedure for removing identification,
facility and system access for terminated employees as, but limited to,
date/time of removal, terminated employees name, a record of the identification
system device being returned, and the employee name and identification that
completed the termination.
＆#61623         If the factory does not have a
procedure, answer NO to question twenty one.

22. Are drivers delivering
or receiving cargo positively identified before cargo is received or
released?
＆#61623         We define photo identification as a government or
work issued license/badge. An example would be a driver’s license, passport or
work badge. 
＆#61623         Ask a manager/supervisor when drivers arrive at
the factory, are drivers asked to present identification to be granted access?
Ask a manager/supervisor to physically see the truck/container check in/check
out log or the truck/driver log.
＆#61623         If drivers are not asked for
identification and the factory does not have one of the logs mentioned, answer
NO to question twenty two.

23. Does the facility have Target
Corporation’s Integrity Hotline information displayed throughout?

＆#61623         Ask a manager/supervisor to physically show you where Target
Corporation’s Integrity Hotline information is displayed.
＆#61623         If
the factory does not have Target Corporation’s Integrity Hotline information
displayed, answer NO to question twenty three.

  Copy of the CONTAINER LOAD PLAN

(May not be available if this is initial Factory Evaluation or
Compliance Audit)

Factory/Vendor:
  
Container No.
 
Seal Number(s)

 
 
 
 

Consignee:
 
 
Container Delivery
Date:
 
CY or CFS?
 
 

Carrier:
 
 
Port of
Loading:
 
Port of Discharge:
 
 

Initial Inspection of
container
 
 
Remarks/Comments:
 
 

External
condition of the container/externo
OK/Bien

Roof condition of the
container/techo:
OK/Bien
 
Wall condition of the
container/paderes:
OK/Bien

Floor condition of the container/piso:
OK/Bien
 
Door
condition of the container/puerta:
OK/Bien
 
Other/otros:
 

OK/Bien
 

 

Total
Total
Total

ROW:
DPCI
PO#
Style
#
CTNS
VCP
Pcs/Items
Kilos/Item
Cbms/Item

 
Grand Total

Shipment Release/Inspection Certification (AMC/TSS Vendor
Only)

Date of Inspection and Inspector:
 
Employee Who Sealed
Container
 
 
Employee ID
 
Date Container Sealed
 
 

Time Container Sealed

Copy of the Seven Point Inspection Check
List
***Must complete at least two checks in each section***

Front Wall
Checks Completed

＆#61623         Ensure
interior corner blocks are visible and not false, and front wall is made of
corrugated material.
  FORMCHECKBOX

＆#61623         Use a 40’ chain
with a marker in the middle to take an interior measurement from the front wall
to the rear door of both 40-foot and 20-foot containers. The 40-foot container
should measure 39’5” or 12.01 meters. The 20-foot container should measure
19’4”or 5.89 meters.
  FORMCHECKBOX

＆#61623         Ensure
ventilation holes are visible, not covered or absent.
  FORMCHECKBOX


＆#61623         Use a tool to tap the front wall, there should be a
hollow sound.
  FORMCHECKBOX


Left Side
Checks
Completed

＆#61623         Look for unusual repairs to structural
beams
  FORMCHECKBOX

＆#61623         Look for repairs on the walls
that are visible on the inside and outside of the container.
  FORMCHECKBOX


＆#61623         Use tool to tap on the sides, there should be a hollow
sound.
  FORMCHECKBOX

Right Side
Checks Completed

＆#61623         Look
for unusual repairs to structural beams
  FORMCHECKBOX


＆#61623         Look for repairs on the walls that are visible on the
inside and outside of the container.
  FORMCHECKBOX

＆#61623        
Use tool to tap on the sides, there should be a hollow sound.
  FORMCHECKBOX

Floor
Checks Completed

＆#61623         Measure the
height of the container from floor to ceiling. A 40-foot and 20-foot container
should measure7’10” or 2.38 meters.
  FORMCHECKBOX

＆#61623        
Ensure that the floor of the container is flat. There should not be different
floor heights in the container.
  FORMCHECKBOX

＆#61623         Look
for unusual repairs in the floor.
  FORMCHECKBOX


 

Ceiling/Roof
Checks Completed

＆#61623         The
construction of false ceilings/roofs can be either internal or external.
 
FORMCHECKBOX

＆#61623         Observe the distance between the top of
the corner block and the top of the roof, e.g., normally the roof is slightly
below or flush with the top of the corner blocks.
  FORMCHECKBOX


＆#61623         Ensure that the ventilation holes are visible, not
covered or absent.
  FORMCHECKBOX

＆#61623         Look for repairs
on the ceiling/roof that are visible on the inside and outside of the
container.
  FORMCHECKBOX

＆#61623         Use a tool to tap on the
ceiling/roof, there should be a hollow sound.
  FORMCHECKBOX


 

 

Inside/Outside Doors
Checks Completed

＆#61623        
Ensure that the container door has secure and reliable locking mechanisms.
 
FORMCHECKBOX

＆#61623         Observe the rivet type and color, they
should not be different colors or have colored putty surrounding the
rivets.
  FORMCHECKBOX

＆#61623         Ensure that there are not
solid plates, where there are usually cavities.
  FORMCHECKBOX



Outside/Undercarriage
Checks Completed

＆#61623        
The outside/undercarriage of a container should be inspected before it enters
the facility.
  FORMCHECKBOX

＆#61623         Inspect the underneath
of the containers visually or with a mirror to make sure that all support beams
are visible and no foreign objects are mounted to the container.
 
FORMCHECKBOX

＆#61623         Look for repairs on the outside that are
visible on the inside of the container.
  FORMCHECKBOX


＆#61623         Use a tool to tap on the outside/undercarriage, there
should be a hollow sound.
  FORMCHECKBOX


 
  


Related References: 

＆#61623         C-TPAT Medium Audit
Form

Revision History:

Revision
Description
Rev Date

0
Initial
Release
06/30/06

1
＆#61623         Removed Global Compliance
Audit from the form. Only to be completed by TCPS Team Member conducting Factory
Evaluations
＆#61623         Revised General Information section of the
standard to flow in the same order of the forms
＆#61623         Removed “Date
ISCS Received” field as a mandatory fill field. This will be filled in by
Minneapolis Team after completed form is received.