1. C-TPAT SECURITY AWARENESS TRAINING
Presented at: XXXXX
As a Basis for Individual Facility Training

2. 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

3. C-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”

4. 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

5. 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

6. 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 ___________)

7. 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).

8. 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.

9. 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)

10. 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)

11. 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

12. 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

13. 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

14. 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.

15. 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

16. 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…?”

17. 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