Li & Fung (Trading) Ltd.

CUSTOMS-TRADE PARTNERSHIP AGAINST TERRORISM

- MANUFACTURER SECURITY QUESTIONNAIRE -

Name of Manufacturer:

Factory Address:

Product Items:

Li & Fung (Trading) Limited has adopted the C-TPAT guideline as part of its efforts to
enhance supply chain security of goods orders by its principals. Please complete the
following questions in respect of the current security procedures at the factory location
listed above. If a manufacturer has multiple factory locations, please complete a
separate questionnaire for each location. Please return the original completed
questionnaire, which must be signed by an authorized person of your factory, to LF
Ten Compliance Li & Fung (Trading) Ltd.

This questionnaire addresses the following 7 areas:

Covered by:
I. Container/Closed Truck Security Questions 1-18
II. Physical Access Controls Questions 19-30
III. Personnel Security Questions 31-35
IV. Procedural Security Questions 36-50
V. Security Training and Threat Awareness Questions 51-53
VI. Physical Security Questions 54-82
VII Information Technology Security Questions 83-87

No. Questions Yes No NA

C-TPAT Standard Questionnaire – English Version Page 1 of 10

I. Container / Closed Truck Security
1. Does your factory utilize shipping containers for incoming or
outgoing goods?
2. For CFS goods, does your factory use closed trucks, with locks, to
transport loose cartons, delivered to the forwarders(s)?
3 Does your factory appoint a designated employee to monitor the
container loading and unloading process?
A. Container Inspection
4. Does your factory maintain standard procedures for shipping
containers in respect of :
a. Inspect containers before loading, including
I. Front wall
II. Left side
III. Right side
IV. Floor
V. Ceiling / Roof
VI. Inside / Outside doors
VII. Outside / Undercarriage
b. Container numbers?
c. Does your factory appoint a designated employee to check any
hidden compartments or walls in the container? Is the truck
interior capacity is correct to the size of truck.
B. Container Seals
5. Does your factory have a designated employee to inspect and
distribute the container seals?
6. Does your factory have a designated employee to monitor the
sealing of container?
7. Does your factory keep the record of :
a. The name and driving license number of the driver?
b. The registration number of the tractor/trailer
c. Serial numbers or Forwarders’ Booking numbers
d. Affixing seals or Sealing numbers :
e. Replacing seals or Transshipment reference?
f. Recording ex-factory time of containers?
g. Recording seals or Cargo receipt?
h. Tracking seals or Bill of Lading number?
8. Does your factory use high security mechanical seals for affixing
all loaded containers / closed truck?
9. Does the mechanical seals meet the current PAS ISO 17712
standards?
C. Container Storage
10. Does your factory store shipping containers (empty, partially
loaded or fully loaded) in a secure area within your factory
premises to prevent unauthorized access?
11. Does your factory have procedures for reporting any unauthorized
entry into containers or container storage areas?
D. Closed Truck Security

C-TPAT Standard Questionnaire – English Version Page 2 of 10

12. Does your factory have a designated employee to inspect and
distribute the mechanical locks for closed truck locking?
13. Does your factory have a designated employee to monitor the
locking and unlocking of the closed truck?
14. Does your factory keep record of:
a. The registration number of the closed truck?
b. The name and the driving license of the driver?
c. The name of the employee who locks and unlocks the closed
truck?
d. The time when the closed truck leaving factory and arriving
forwarder’s warehouse?
15. Does your factory use high security mechanical locks for locking
all closed truck?
16. Does your factory have a designated employee to monitor the
loading and unloading process of the closed truck?
17. Does your factory own the closed trucks or use regular contracted
trucking service for CFS goods?
18. Does your factory have a designated person to keep the key and
escort the merchandise transporting from factory to forwarder’s
warehouse?

C-TPAT Standard Questionnaire – English Version Page 3 of 10

II Physical Access Control
A. Employees
19. Do your factory employees display badges or photo Ids that
identify them as factory employees while at work?
20. Does a security guard check your factory employees for these
badges or photo Ids during the working hours as well as after
office hours :
a. When employees enter and leave your factory?
When employees re-enter your factory?
21. Does your factory implement procedure to prevent unauthorized
employee to access to those secure areas, such as warehouse,
container loading area, etc.
B. Visitors

22. Does your factory keep records of all visitors?

23. Do all visitors have to present photo identification when they enter
your factory?
24. Do all visitors have to be escorted by factory employees and
visibly display temporary identification?
25. Does a security guard or receptionist notify the factory employee
who will meet the visitor before allowing the visitor and the visitor’s
vehicle to enter your factory?
C. Deliveries
26. Do vendors have to present photo identification when they enter
your factory?
27. Does your factory implement procedures to periodically screen
arriving packages and mail to prevent potential threats?
D. Challenging and Removing Unauthorized Persons
28. Does your factory implement any internal procedure to identify,
challenge and address any unauthorized persons?
E. Securing Physical Access
29. Does your factory management or security personnel adequately
control the issuance and removal of employee, visitor and vendor
identification badges?
30. Does your factory implement procedures to control the issuance,
changing and removal of access devices (e.g. keys, key cords,
etc.)?

C-TPAT Standard Questionnaire – English Version Page 4 of 10

III Personnel Security
A. Pre-Employment Verification
31. Does your factory require all job candidates to complete a written
job application, including the personal information, employment
history and reference of the applicants?
32. Does your factory conduct interviews of all job candidates to verify
application information, such as employment history and
reference?
B. Background checks / investigations
33. Does your factory conduct background checks and investigations
of perspective employees prior to employment?
34. Does your factory periodically check and reinvestigate the
background of employees whose positions are sensitive?
C. Personnel Termination Procedures
35. Does your factory implement procedures to remove identification,
facility and system access including return of keys, keycards, etc.,
for personnel whose employment has been terminated?
IV Procedural Security
A. Documentation Processing
36. Does your factory keep a written record of all movement of :
a. Raw materials
b. Components and semi-finished products
c. Finished goods
In and out of storage areas?

37. Does your factory have procedures in place checking the record of
movement of in and out cargo and reporting any incorrect
records?
38. Does your factory implement procedures to document and control
computer access and information?
39. Does the security guard patrolling activity documented?

40. Does your factory keep a quarterly maintenance log book on all
electronic devices?

C-TPAT Standard Questionnaire – English Version Page 5 of 10

B. Manifesting Procedures
41. Does your factory have written procedures to make sure that
information received from foreign suppliers is reported accurately
and timely?
42. Has your factory appointed a supervisor for checking the foreign
suppliers’ information?
43. Does your factory request your staff to report the information
received from foreign suppliers within reasonable time periods?
C. Shipping and Receiving
44. Does your factory appoint a supervisor for overseeing incoming
and outgoing goods (such as raw materials, semi-finished goods,
finished goods and other items)?
45. Does your factory check arriving cargo against advance
information on the cargo manifest?
46. Does your factory verify departing cargo against purchase or
delivery orders?

47. Does your factory verify driver’s identification before cargo is

received or released?

48. Does your factory maintain written records in respect of incoming

and outgoing goods that cover the following areas :

a. Date of receipt and date of shipment?

b. Description and marking of the goods?
c. Weight of the goods?
d. Quantity of the goods?

D. Cargo Discrepancies
49. Does your factory have standard practice to monitor and report
shortages and overages in incoming and outgoing goods?

50. Does your factory have procedures to notify local police or local
customs if your factory finds unusual circumstances (for example,
a substantial shortage or overage) or illegal activities (for example,
introduction of contraband or weapons into a shipment of outgoing
goods) in respect of incoming or outgoing goods?

V Security Training and Threat Awareness

51. Does your factory hold training programs for employees in the
following areas :

a. Preventing unauthorized persons from entering to your

factory?

b. Preventing product tampering?

c. Recognizing and reporting illegal conduct and activities by
employees, including internal conspiracies, tampering, and
trespassing?
d.
52. Does your factory offer an incentives (for example, money and / or
time off) to employees for participating in these programs?

C-TPAT Standard Questionnaire – English Version Page 6 of 10

53. Does your factory provide specific training program to assist
employees for :
a. maintaining cargo integrity?
b. recognizing internal conspiracies, tampering, and
trespassing?
c. monitoring and control access to secure areas?

d. receiving and opening mail and parcel?

e. handling in and out cargo?

VI Physical Security
A. Fencing (External / Internal)
54. Do your factory premises have an outside wall or an outside
fence? If yes, please specify how high. ( ft.)
55. Do your factory premises have a cargo entrance (receiving and
loading) separate from the front entrance?
56. Do your factory premises have a separate cargo handling and
storage area?
57. Do your factory premises have been segregated domestic,
international, high value and hazardous cargo?
58. Is there a separate storage area for :
a. raw materials?
b. semi-finished goods?
c. finished goods?
d. dangerous goods?

59. At the end of a working day, will all packed finished goods be
moved from the packing area to the finished goods storage area?
60. Are all fences being taken regular inspection for integrity and
damage?
B. Gates and Gate House
61. Does the front entrance to your factory premises have security
guard?
62. Does the cargo entrance to your factory premises have security
guard?
C. Parking
63. Are the parking areas outside your factory premises for cargo-
receiving and cargo-loading separated from the packing areas for
private vehicles?

D. Building Structure
64. From what materials are the factory premises made of :
Wood_____, Brick_____, Concrete_____, Factory Building_____,
Others_____

(If a combination of materials, please select the material to

construct the walls and ceiling of the factory.)

65. Are the buildings properly maintained by periodic inspection and

repair?
E. Locking Devices and Key Controls
66. Are all entrances to your factory premises locked after working
hours?

C-TPAT Standard Questionnaire – English Version Page 7 of 10

67. Do the following entrances and storage areas in your factory
premises have a lock?
a. Front entrance
b. Cargo entrance
c. Raw materials storage areas
d. Finished goods storage areas
e. Dangerous goods storage areas

68. Do management or security personnel control the issuance of all

the locks and keys?
F. Lighting
69. Does the lighting outside your factory premises cover all cargo
and container storage areas?
70. Does the front entrance to your factory premises have sufficient
lighting?
71. Does the cargo entrance to your factory premises have sufficient
lighting?
72. Is there lighting throughout your factory premises?

G. Alarms System and Video Surveillance Cameras

73. Does the following areas have alarms or video surveillance
cameras :
a. Front entrance
b. Cargo entrance
c. Windows
d. Raw materials storage areas
e. Finished goods storage areas

74. Does your factory keep CCTV records at least 60 days?

H. Security Guard
75. Does your factory or factory building employ or hire security
guard?
76. Days of the week security guards are on duty?
_____ days of the week.

77. Hours of the day security guards are on duty?

_____ hours of the day.

78. Do the security guards carry beepers or mobile phones?

Beepers _____ ; Mobile phones _____ ; Others _____

79. Do the security guards regularly check all enclosures (for example
doors, windows, gates and fences) including the shipping and
receiving area, to make sure that they are in good working order?

80. Does your factory have an internal communication system to

contact security guards or building management if a problem
arises? If yes, please describe :
Intercom_____, Telephone_____, Walkie-talkie_____,
Others_____

I Off-site Facilities

C-TPAT Standard Questionnaire – English Version Page 8 of 10

81. Does your factory have any off-site warehouse or packaging
facilities?
82. Does your factory store the finished goods in the off-site
warehouse?
VII Information Technology Security
A. Password Protection
83. Does your factory have written procedures that require employees
to change their network / computer passwords on a regular basis?

84. Does your factory provide IT security training to employees?

B. Accountability
85. Does your factory maintain an Information Technology (IT)
security policy addressing IT security issues?

86. Does your factory conduct periodic internal audits of your IT

systems?
87. Does your factory have a standard practice to notify local police or
party concern in case of your IT system be abused ?

* * * * *
39118728.doc7

C-TPAT Standard Questionnaire – English Version Page 9 of 10

I, on behalf of
[Name of Manufacturer]

hereby certify that the above answers are true and correct to the best of my knowledge. I
also received a copy of the LiFung Code of Security Compliance together with this
questionnaire.

Signature:

Name:

Title:

Date:

C-TPAT Standard Questionnaire – English Version Page 10 of

10