C-TPAT

SECURITY
AWARENESS
TRAINING
Presented at: XXXXX
As a Basis for Individual
Facility Training
 C-TPAT Background
• U.S. Government’s Response to 9/11
– Recognized need to strengthen borders and
control possible terrorist infiltration of the int’l
supply chain
• U.S. Customs and Border Protection under
the “new” Department of Homeland
Security
• C-TPAT program started in 2003 with
voluntary applications for importers,
carriers, brokers, freight forwarders
– Incentive based: COMPANY XXXXXXXXXXXX
benefits from participation
 C-TPAT Benefits
• Reduced Cargo • FAST Lanes for
Inspections expedited cargo
• Fewer enforcement processing: CA and
examinations and MX
trade inspections • Mitigation of penalties
• Tiered system • Communications
– Certified portal (2006)
– Validated (minimum) • Best practices catalog
– Validated (exceeds (2005)
standards; has best
practices) • Expedited ruling
requests
• Possible “green lane”
C-TPAT Background (cont’d)
• March 25, 2005, CBP publishes detailed C-
TPAT Security Criteria
• Phase I
– Container Security, Physical Security, Physical
Access Controls
• Phase II
– Personnel Security, Procedural Security, IT
Security
– Security Training and Threat Awareness
• Phase III: Business Partner Requirements
Security Training and Threat
Awareness
• Purpose:
– To train employees to recognize and be aware
of the threat posed by terrorists at each point
in the supply chain.
– Employees must be aware of emergency
procedures the company has in place.
• “safe” rooms, evacuation procedures
– Employees must know how to report situations
that may compromise security (who, what,
when).
• Each facility has guidelines and emergency numbers
 Your facility: Emergency
• “Safe” room
• What to do if there is a Hazmat
situation
• Where to meet outside the facility in
case of an evacuation
• Numbers to call: (posted in
_________)
• When to call: (posted in ___________)
Phase I: Container Security
• Inspection/storage of containers and seals
– Employees should immediately report to their
supervisors, customs coordinator and plant
manager any signs of:
• Container (or trailer) damage;
• Broken container (or trailer) seals;
• Unauthorized personnel in container/trailer storage
areas;
• Paperwork discrepancies (unaccounted for cargo,
missing cargo).
 Phase I: Physical Security
• Employees should immediately report:
– Damage to exterior fencing, lighting and the
building structure;
– Defective locking devices and signs of
tampering or forcing locks in the building or
along the fence line;
– Missing keys and access cards or the use of
keys and cards by unauthorized personnel;
– Any damage to the alarm systems or video
surveillance systems.
 Phase I: Physical Access
Controls
• IMPORTANT AREA OF EMPLOYEE
PARTICIPATION
– Employees should know fellow co-workers and
challenge unauthorized personnel to identify
themselves when seen on the premises.
– Employees should notify the head of security
about ANY unauthorized personnel on
premises.
• (follow reporting chain for each facility)
 Phase I: Physical Access
Controls (cont’d)
• Employees must wear badges at all
times and should report cases
where:
– Visitors and delivery personnel are not
wearing identifying badges while on the
facility premises
– Any proposed break in procedure
• “I just need to drop something off….” (follow
reporting chain for each facility)
Phase II: Personnel Security
• HR is responsible for verifying previous
employment, background checks,
termination procedures
– Remove access keys, cards, IT passwords
– Follow all written procedures
• Employees should immediately report if
terminated employees try to access the
facility premises.
– “Most Wanted” wall
 Phase II: Procedural
Security
• Shipping employees must:
– Inspect trailer before loading for any damage

– 7-point test, especially if trailer was in storage

– Verify paperwork and seal number
• Cargo integrity (correct quantity, weight, description)
– Properly affix seal (or seals if multiple stops)
– Report any signs of tampering or suspicious
activity
– Follow written procedures: keep logs updated
 Phase II: Procedural
Security
• Receiving employees must:
– Verify that cargo specifications match
paperwork
– Verify seal number
– Check for exterior signs of tampering
– After unloading, check interior for tampering
– Report any signs of tampering or suspicious
activity
– Make sure container/trailer is properly
reloaded or stored
– Follow all written procedures: keep all logs
updated
 Phase III: Business Partner
Requirements
• All business partners (manufacturers, product
suppliers, vendors) should meet C-TPAT criteria
(or equivalent foreign supply chain security
system) for their own business, subject to
COMPANY XXXXXXXXXXXX verification.
• COMPANY XXXXXXXXXXXX employees must
target business partners that are C-TPAT
certified.
– CBP Status Verification Interface (SVI)
• Plant managers should be advised of partners
that do not meet C-TPAT criteria, so a change in
supplier may be considered.
 Security Awareness for
Guards
• First line of defense: the perimeter
– Check for damage to facility, unauthorized entry of persons and
vehicles
– Report breaches IMMEDIATELY
• Guards are responsible for verifying incoming and exiting trailers
and containers
– Paperwork (shipping or receiving)
– Seals
– Driver IDs
• Visitors: ID and appointment checked before allowed to enter
• Delivery drivers: ID and delivery approval before entry
• Employees: ID required, survey employee parking, watch for
terminated employees
• Follow all written procedures; log all persons/vehicles
 Recognizing Internal
Conspiracies
• Employees not in appropriate work spaces
at appropriate time
– Example: assembly line personnel in
warehouse
• Excessive contact with outside personnel
– Shoe example
• Parking violations
– Next to containers/trailers
– No employee parking permit displayed
• “Can you do me a favor…?”
Security Awareness and You

• C-TPAT brings the responsibility for supply

chain security to each individual.
• All COMPANY XXXXXXXXXXXX employees
should participate in keeping their part of
the supply chain as strong as possible at
their facility.
– Always be aware of potential security threats
– Follow procedures
– Report suspicious activity