C-TPAT C-TPAT SECURITY SECURITY

AWARENESS AWARENESS TRAININGTRAINING

Presented at: XXXXXPresented at: XXXXXAs a Basis for Individual As a Basis for Individual

Facility TrainingFacility Training

C-TPAT BackgroundC-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 BenefitsC-TPAT Benefits• Reduced Cargo

Inspections• Fewer enforcement

examinations and trade inspections

• Tiered system– Certified– Validated (minimum)– Validated (exceeds

standards; has best practices)

• FAST Lanes for expedited cargo processing: CA and MX

• Mitigation of penalties• Communications

portal (2006)• Best practices catalog

(2005)• Expedited ruling

requests• Possible “green lane”

C-TPAT Background (cont’d)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 Security Training and Threat AwarenessAwareness

• 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: EmergencyYour 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 SecurityPhase 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 SecurityPhase 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 Phase I: Physical Access ControlsControls

• 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 Phase I: Physical Access Controls (cont’d)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 SecurityPhase 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 SecurityPhase 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 SecurityPhase 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 Phase III: Business Partner RequirementsRequirements

• 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 Security Awareness for GuardsGuards

• 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 Recognizing Internal ConspiraciesConspiracies

• 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 YouSecurity 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