Industry Self-Assessment Checklist for Food Security

U.S. Department of Agriculture 

Food Safety and Inspection Service 

Industry Self-Assessment Checklist 

for 

Food Security

Industry Self-Assessment Checklist for 

Food Security 

It is vital that all food slaughter and processing establishments, and all import, export, and 

Identification Service establishments take steps to ensure the security of their operations. 

USDA’s Food Safety and Inspection Service (FSIS) created this self-assessment instrument to 

provide a tool for establishments to assess the extent to which they have secured their 

operations. The contents of the instrument are based primarily on the food security guidelines 

that FSIS published in 2002, Food Security Guidelines for Food Processors, available at 

www.fsis.usda.gov. Those guidelines identify security measures that establishments can adopt 

to enhance the security of their operations. 

The checklist consists of the following (9) sections: 

I. Food Security Plan Management 

II. 

III. 

IV. 

Outside Security 

Inside Security 

Slaughter and Processing Security 

V. Storage Security 

VI. 

VII. 

VIII. 

IX. 

Shipping and Receiving Security 

Water and Ice Supply Security 

Mail Handling Security 

Personnel Security 

To use the checklist, read each question under each section and check the response that best 

describes the food security practice in the establishment. If a question is not applicable, check 

“N/A.” For example, if an establishment only conducts processing activities, then questions that 

ask about live animals or slaughter operations would not apply. Similarly, if an establishment 

only conducts import/export inspection activities, then questions related to processing or 

slaughter would not apply. A “Yes” response for every question is desirable but not expected 

due to the layering of certain security measures. A “No” answer however, should trigger a 

critical thought process in establishment operators on what may be a vulnerability or weakness 

in their food security strategy. They must make risk management decisions on additional 

1

security measures they may need to put in place at the particular operational sector/area of the 

establishment covered by the “No” response. For additional security measures that 

establishments can take, they may refer to resources and websites listed in Appendix 1. 

Resources/websites specific to a section or question are shown at the corresponding 

section/question throughout the checklist for quick and easy reference. “NA” responses should 

be reviewed periodically to validate them against current operations. 

The final outcome of this self-assessment should provide establishments with a relative 

measure of overall security of their operations and guide them in the development and/or 

revision of their food security strategies. 

This checklist is one of several outreach efforts by FSIS to assist the industry to enhance the 

security of its regulated food products. Model food security plans are also being developed for 

voluntary use by the industry. The Agency is also considering additional measures that may be 

appropriate to ensure the safety and security of meat, poultry and egg products under certain 

elevated threat conditions specific to food and agriculture. 

I. FOOD SECURITY PLAN MANAGEMENT 

A food security plan is a written document developed using established risk management 

procedures and consists of specific standard operating procedures for preventing intentional 

product tampering and responding to threats or actual incidents of intentional product 

tampering. 

1. Does this establishment have a written food security plan 

Yes 

No [GO TO QUESTION 4] 

2. Which of the following procedures, plans, or information are either included in the 

food security plan or have been put in place as a result of the food security plan 

(Check “Yes” or “No” for each item.) 

Yes 

No 

Is there a designated person or team to implement and oversee the food security 

plan 

Are members of the food security management team trained in all provisions of the 

food security plan 

Are periodic drills conducted on the operational elements of the food security plan 

Are regular food security inspections conducted to verify key provisions of the food 

security plan 

2

Is the security plan reviewed (and revised if necessary) periodically 

Are the details of food security procedures kept confidential 

Is the emergency contact information for local, state, and federal government 

homeland security authorities and public health officials included in the security 

plan 

State contact list: www.whitehouse.gov/homeland/contactmap.html 

Is the above contact information periodically reviewed and updated 

Is there an established liaison between plant officials and the local homeland 

security officials and other law enforcement officials 

Is there an established relationship between the establishment and the appropriate 

analytical laboratories for possible assistance in investigation of product tampering 

cases 

Are procedures for responding to threats of product tampering included in the plan 

Are procedures for responding to actual incidents of product tampering detailed in 

the plan 

http://www.state.tn.us/agriculture/security/fsig.html 

Are communication procedures for notifying law enforcement, public health officials, 

and FSIS inspectors in-charge when a food security threat is received or when 

evidence of actual product tampering is observed included in the plan 

Are procedures in the plan for corrective action in cases of product tampering to 

ensure that adulterated or potentially injurious products do not enter commerce 

Are procedures in the plan for safe handling and disposal of products contaminated 

with chemical or biological agents 

Are employees encouraged to report signs of possible product tampering or breaks 

in food security system (e.g., award system) 

Are evacuation procedures in the security plan 

Visit www.osha.gov/dep/evacmatrix/index.html for guidance material provided by the 

U.S. Department of Labor, Occupational Safety and Health Administration 

Are procedures in place to restrict access to the facility during an emergency to 

authorized personnel only 

Are designated entry points for emergency personnel clearly marked 

Does the establishment have a documented recall plan 

Are procedures in the recall plan reviewed and updated as necessary 

Do recall procedures ensure segregation and disposition of recalled products 

Yes 

No 

3

II. 

OUTSIDE SECURITY 

3. Which of the following security procedures does this establishment have in place 

for the exterior of this establishment (Check “Yes” or “No” for each procedure.) 

Yes 

No 

Are the plant’s boundaries and grounds secured to prevent entry by unauthorized 

persons (e.g., by locked fence or gate) 

Are “No Trespassing” signs posted at plant’s boundaries 

Is there sufficient outside lighting to allow detection of unusual activities on any 

part of the establishment outside premises during non-daylight hours 

Do emergency exits have self-locking doors and/or alarms 

Is positive identification required to control entry of visitors to the plant (e.g., picture 

IDs or sign-in/sign-out at entrance) 

Is an updated list of establishment personnel with open or restricted access to the 

establishment maintained at the security office or another secure location 

4. Are the following secured with locks, seals, or sensors at all times to prevent 

entry by unauthorized persons (Check “Yes” or “No” for each item, or “N/A” if 

the item is not applicable.) 

Outside doors and gates 

Windows 

Roof openings 

Vent openings 

Trailer (truck) bodies 

Tanker truck hatches 

Railcars 

Bulk storage tanks 

Yes No N/A 


for vehicles entering the establishment (Check “Yes” or “No” for each 

procedure.) 

4

Yes 

No 

Are incoming private vehicles (e.g., employees or visitors) inspected 

for unusual cargo or activity 

Are outgoing private vehicles (e.g., employees or visitors) inspected 

for unusual cargo or activity 

Are incoming commercial vehicles (e.g., delivery trucks) inspected for 

unusual cargo or activity 

Are outgoing commercial vehicles (e.g., delivery trucks) inspected for 

unusual cargo or activity 

Are incoming tanker truck shipments checked for documentation of 

chain of custody prior to loading 

Are employee vehicles identified using placards, decals, or some 

other form of visual identification 

Are authorized visitor/guest vehicles identified using placards, decals, 

or some other form of visual identification 

III. 

General inside Security 


within the interior of this establishment (Check “Yes” or “No” for each 

procedure, or “N/A” if the procedure is not applicable.) 

Is emergency lighting provided in the establishment 

Is active surveillance of the inside facility and operations 

maintained 

Are emergency alert systems tested periodically 

Are the locations of controls for emergency alert systems 

clearly marked 

Are all restricted areas (i.e., areas where only authorized 

employees have access) within the plant clearly marked 

Are visitors, guests, and other non-establishment 

employees (e.g., contractors, salespeople, truck drivers) 

restricted to non-product areas unless accompanied by an 

authorized establishment employee 

Are updated plant layout schematics provided at strategic 

and secured locations 

Yes No N/A 

5

Are procedures in place to check toilets, maintenance 

closets, personal lockers, and storage areas for concealed 

packages 

Is a daily inventory of tools and utensils (e.g., knives) used 

conducted on a daily basis 

Is a daily inventory of keys to secured areas of the facility 

conducted 

Are ventilation systems constructed in a manner that 

provides for immediate isolation of contaminated areas or 

rooms 

7. 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 

Check “Yes” or “No” for each item, or “N/A” if the item is not applicable. 

www.cdc.gov/niosh/bldvent/2002-139.html 

Heating, Ventilation, and Air Conditioning systems 

Yes No N/A 

Propane Gas 

Water systems 

Electricity 

Disinfection systems 

Clean-in-place (CIP) systems 

8. Does this establishment collect and analyze samples in-house 

Yes 

No [GO TO QUESTION 10] 


for its in-plant laboratory facilities, equipment, and operations (Check “Yes” or 

“No” for each procedure, or “N/A” if the procedure is not applicable [e.g., this 

establishment does not use live cultures of pathogenic bacteria].) 

6

Is access to the in-plant laboratory facilities restricted to 

authorized employees (e.g., by locked door, pass card, 

etc.) 

Is a procedure in place to control receipt of samples 

received from other establishments 

Is a procedure in place to receive and securely store 

reagents 

Is a procedure in place to control and dispose of reagents 

Is a procedure in place to receive and securely store live 

cultures of pathogenic bacteria 

Is a procedure in place to dispose of live cultures of 

pathogenic bacteria 

Yes No N/A 

10. Does this establishment use a computer system to monitor processing operations 

Yes 

No [GO TO QUESTION 12] 

11. Which of the following security procedures does this establishment have in place for 

its computer systems (Check “Yes” or “No” for each procedure.) 

http://www.fiu.edu/security.guidelines.html 

Yes 

No 

Is the access to the system password-protected 

http://www.umich.edu/~policies/pw-security.html 

Are firewalls built into the computer network 

Is the system using a current virus detection system 

IV. 

SLAUGHTER AND PROCESSING SECURITY 


for its slaughter and processing operations (Check “Yes” or “No” for each 

procedure, or “N/A” if the procedure is not applicable [e.g., this establishment 

does not mix or batch ingredients].) 

7

Is access to product production/slaughter and holding pen areas 

restricted to establishment employees and FSIS inspection 

personnel only 

Is the mixing and batching of product and ingredients and other 

operations where large amounts of exposed product are handled 

continuously monitored 

Yes No N/A* 

Are lines that handle and transfer products, water, oil, or other 

ingredients monitored to ensure integrity 

Is the packaging integrity of ingredients examined for evidence of 

tampering before use 

Is the restricted access to in-plant irradiation equipment and 

materials clearly marked and maintained 

Are records maintained to ensure the capability to trace-back raw 

materials to suppliers 

Are records maintained to ensure the capability to trace-forward 

finished products to vendors 

*“N/A” RESPONSE POSSIBLE IN ABOVE SECTION FOR IMPORT, EXPORT, AND ID 

ESTABLISHMENTS. 

V. STORAGE SECURITY 


for its storage areas (Check “Yes” or “No” for each procedure, or “N/A” if the 

procedure is not applicable [e.g., this establishment does not use restricted 

ingredients].) 

Is access to raw product storage areas, including holding coolers 

restricted (e.g., by locked door/gate) to designated employees 

Is an access log maintained for raw product storage areas 

Is access to non-meat ingredient storage areas restricted to 

designated employees only 

Is an access log maintained for ingredient storage areas 

Yes No N/A 

8

Is access to finished product storage areas restricted to designated 

employees 

Is access to external storage facilities restricted to designated 

employees only 

Are silo storage tanks for raw egg product and other bulk ingredients 

(syrup, oils, etc.) maintained under lock and seal 

Are silo storage tanks for pasteurized egg product and other bulk 

finished products maintained under lock and seal 

Are silo storage tanks for inedible egg product and other bulk inedible 

products maintained under lock and seal 

Are periodic security inspections of storage facilities (including 

temporary storage vehicles) conducted 

Are records maintained on facility security inspections results 

Is the inventory of restricted ingredients (i.e., nitrites, etc) reconciled 

against the actual use of such ingredients on a daily basis 

Are product labels and packaging held in a secure area to prevent 

theft and misuse 

Is the inventory of finished products regularly checked for unexplained 

additions and withdrawals from existing stock 

Yes No N/A 

14. Which of the following security procedures does this establishment have in place for 

the storage of hazardous materials/chemicals such as pesticides, industrial 

chemicals, cleaning materials, sanitizers, and disinfectants (Check “Yes” or “No” 

for each procedure.) 

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 

Are hazardous material/chemical storage areas separated from 

production areas of plant 

Is a daily inventory of hazardous materials/chemicals maintained 

Are discrepancies in daily inventory of hazardous materials/chemicals 

immediately investigated 

Are the storage areas for hazardous materials/chemicals constructed 

and safely vented in accordance with national or local building codes 

Is a procedure in place to receive and securely store hazardous chemicals 

Yes 

No 

9

Is a procedure in place to control disposition of hazardous chemicals 

Yes 

No 

VI. 

Shipping and Receiving Security 

Visit: http://www.fsis.usda.gov/oa/topics/transportguide.htm 


for its shipping and receiving operations (Check “Yes” or “No” for each 

procedure, or “N/A” if the procedure is not applicable [e.g., no tanker trucks on 

premises].) 

Are trailers on the premises maintained under lock and/or seal 

when not being loaded or unloaded 

Are tanker trucks on the premises maintained under lock and seal 

when not being loaded or unloaded 

Is the loading and unloading of vehicles transporting raw 

materials, finished products, or other materials used in food 

processing closely monitored 

Yes No N/A 


for handling outgoing shipments (Check “Yes” or “No” for each procedure, or 

“N/A” if the procedure is not applicable [e.g., no tanker trucks on premises].) 

Are outgoing shipments sealed with tamper-evident seals 

Are the seal numbers on outgoing shipment documented on the 

shipping documents 

Are tanker trucks inspected for indications of the presence of 

potential threat agents prior to loading liquid products 

Are records maintained of the above inspections of tanker trucks 

Are chain-of-custody records maintained for tanker trucks 

Yes No N/A 


for handling incoming shipments (Check “Yes” or “No” for each procedure, or 

“N/A” if the procedure is not applicable [e.g., this establishment does not receive 

live animals].) 

10

Is access to loading docks controlled to avoid unverified or unauthorized 

deliveries 

Is advance notification from suppliers (by phone, e-mail, or fax) required for all 

incoming deliveries 

Are suspicious alterations in the shipping documents immediately investigated 

Are all deliveries verified against the roster of scheduled deliveries 

Are unscheduled deliveries held outside facility premises pending verification 

Are off-hour deliveries accepted 

If off-hour deliveries are accepted, is prior notice of the delivery required 

If off-hour deliveries are accepted, is the presence of authorized individual to 

verify and receive the delivery required 

Is the integrity of internal compartments in the truck, lot packaging, or in-transit 

security checks for less-than-truckload (LTL) or partial load shipments of 

materials verified 

Requires incoming shipments of raw product, ingredients, and finished products 

to be sealed with tamper-evident seals 

Are incoming shipments of raw product, ingredients, and finished products 

required to be sealed with numbered seals (and documented in the shipping 

documents) which are verified prior to entry 

Is the integrity of incoming shipments of raw product, ingredients, and finished 

products checked at receiving dock for evidence of tampering 

Is the FSIS Public Health Veterinarian notified immediately when animals with 

unusual behavior and/or symptoms are received 

http://www.inspection.gc.ca/english/ops/secur/livbete.shtml 

Are the feed and drinking water supplies for live animals protected from possible 

intentional contamination 

Are transportation companies selected with consideration of the procedures 

companies have in place to safeguard the security of product/animals being 

shipped 

Are transportation companies selected with consideration of background checks 

conducted on drivers and other employees who have access to product/animals 

Are ingredient suppliers selected with consideration of food security measures 

implemented by the suppliers 

Are vendors of compressed gas selected with consideration of food security 

measures implemented by vendors 

Are vendors of packaging materials and labels selected with consideration of food 

security measures implemented by vendors 

Yes No N/A 

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18. Does this establishment allow returned goods, including returns of U.S. exported 

products, to enter the plant 

Yes 

No [GO TO QUESTION 20] 


for returned goods (Check “Yes” or “No” for each procedure.) 

Are all returned goods examined for evidence of possible tampering before 

salvage or use in rework 

Are records maintained of returned goods used in rework 

Are returned goods reworked/examined at a separate designated location in 

the establishment to prevent potential cross-contamination of products 

Does the establishment follow the procedures outlined in FSIS Directive 

9010.1 for return of U.S. exported products 

http://www.fsis.usda.gov/oppde/rdad/fsisdirectives/9010-1.pdf 

Yes 

No 

VII. 

WATER AND ICE SECURITY 

Visit http://cfpub.epa.gov/safewater/watersecurity/index.cfm; 

www.epa.gov/region1/eco/drinkwater/pdfs/drinkingH2Ofactsheet.pdf 

for guidance material from the U.S. Environmental Protection Agency, Water Security. 


for its water and ice supply (Check “Yes” or “No” for each procedure, or “N/A” if 

the procedure is not applicable.) 

Is access to water wells restricted (e.g., by locked 

door/gate or limiting access to designated employees) 

Is access to ice-making equipment restricted 

Is access to ice storage facilities restricted 

Is access to storage tanks for potable water restricted 

Is access to water reuse systems restricted 

Are potable water lines periodically inspected for possible 

tampering 

Are non-potable water lines inspected for possible 

tampering (leaks, connected to potable lines, etc.) 

Yes No N/A 

12

Yes No N/A 

Have arrangements been made with local health officials to 

ensure immediate notification of the plant if the potability of 

the public water supply is compromised 

VIII. MAIL HANDLING SECURITY 


to ensure mail handling security 

Is mail handling activity conducted in a separate room or 

facility away from in-plant food production/processing 

operations 

Are mail-handlers trained to recognize and handle 

suspicious pieces of mail using U.S. Postal Service 

guidelines 

http://www.usps.com/news/2001/press/serviceupdates.htm 

Yes No N/A 

IX. 

PERSONNEL SECURITY 


for ensuring that establishment personnel adhere to the security requirements 

(Check “Yes” or “No” for each procedure, or “N/A” if the procedure is not 

applicable [e.g., the establishment does not use contractors].) 

Are background checks conducted on new permanent 

employees prior to hiring 

Are background checks conducted on new temporary, 

seasonal, and contract employees prior to hiring 

Do all plant employees receive training on security 

procedures as part of their orientation training 

Are procedures in place to ensure positive 

identification/recognition of all establishment employees 

Yes No N/A 

13

Are identification procedures in place to ensure the positive 

identification/recognition for temporary employees and 

contractors (including construction workers, cleaning crews, 

and truck drivers) in the establishment 

Are procedures in place to screen employees entering the 

plant during working hours 

Are procedures in place to screen entry of employees into 

the plant during non-working hours 

Are procedures in place to screen the entry of contractors 

into the plant during working hours 

Are procedures in place to screen entry of contractors into 

the plant during non-working hours 

Are procedures in place to restrict temporary employees 

and contractors (including construction workers, cleaning 

crews, and truck drivers) to areas of plant relevant to their 

work 

Are procedures in place to ensure clear identification of 

personnel with their specific functions/assignments (e.g., 

colored garb) 

Is an updated shift roster of establishment employees 

distributed to supervisors at the start of each shift 

Is a policy in place on what personal items may and may not 

be allowed inside the plant and within production areas 

Are announced and unannounced inspections of 

employees’ lockers conducted 

Are employees and/or visitors restricted on what they can 

bring (cameras, etc.) into plant 

Are employees allowed to remove company-provided 

clothing or protective gear from the premises 

Yes No N/A 

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APPENDIX 1 – LIST OF RESOURCES 

These resources contain security guidelines applicable to multiple sections of the checklist that 

establishments can adopt to enhance their capabilities to prevent intentional product tampering 

and to respond to threats or actual incidents of intentional product tampering. Additional 

resources with guidelines that apply only to specific sections are shown at appropriate sections 

throughout the document for easy access and reference. 

FSIS “Security Guidelines for Food Processors” 

http://www.fsis.usda.gov/oa/topics/SecurityGuide.pdf 

World Health Organization (WHO) – “Terrorist Threats to Food – Guidelines for 

Establishing and Strengthening Prevention and Response Systems” 

(ISBN 92 4 154584 4) 

http://www.who.int/foodsafety/publications/general/terrorism/en/ 

U. S. Food and Drug Administration (FDA) – “Food Security, Processors, and 

Transporters; Food Security Preventive Measures Guidance” 

http://www.cfsan.fda.gov/~dms/secguid6.html/ 

U.S. Food and Drug Administration (FDA)-“ Retail Food Stores and Food Service 

Establishments; Food Security Preventive Measures Guidance” 

http://www.cfsan.fda.gov/~dms/secgui11.html 

Center for Disease Control and Prevention (CDC), National Institute of Occupational 

Safety and Health (NIOSH) –“Protecting Building Environments from Airborne Chemical, 

Biological, or Radiological Attacks” 

http://www.cdc.gov/niosh/bldvent/2002-139.html 

USDA, Food and Nutrition Service (FNS)- “A Biosecurity Checklist for Food Service 

Programs, Developing a Biosecurity Management Plan” 

http://schoolmeals.nal.usda.gov/Safety/FNSFoodSafety.html 

Canadian Food Inspection Agency (CFIA) – “Suggestions for Improving Security” 

http://www.inspection.gc.ca/english/ops/secur/protrae.shtml 

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Center for Infectious Disease Research and Policy (CIDRAP), Academic Health Center, 

University of Minnesota 

http://www.cidrap.umn.edu/cidrap/content/biosecurity/food-biosec/guidelines 

County of San Diego, Department of Environmental Health, “Guidelines for Food Safety 

and Security” 

http://www.sdcounty.ca.gov/deh/fhd/pdf/food_safety_security_217.pdf 

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Industry Self-Assessment Checklist for Food Security

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