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3PLs: Minimum Security Requirements

2 Customs and Border Protection, U.S. Department of Homeland Security © Restatement and Document Preparation by Prep4Audit, LLC

Customs and Border Protection, U.S. Department of Homeland Security

C-TPAT Minimum Security Requirements

Third Party Logistics Provider (3PL) Released September, 2008



3PLs: C-TPAT Minimum Security Requirements

1.0.0 C-TPAT MINIMUM SECURITY CRITERIA OVERVIEW ...................................................................... 5

1.1.0 PURPOSE OF MINIMAL SECURITY CRITERIA PROGRAM ........................................................................... 5

1.2.0 DEFINITIONS................................................................................................................................ 5

1.3.0 C-TPAT ACKNOWLEDGEMENTS ....................................................................................................... 5

1.4.0 BASIC REQUIREMENTS FOR PARTICIPATION ......................................................................................... 6

2.0.0 BUSINESS PARTNER REQUIREMENTS ........................................................................................... 7

2.1.0 BUSINESS PARTNER REQUIREMENTS: GENERAL STATEMENT .................................................................... 7

2.2.0 BUSINESS PARTNER SECURITY REQUIREMENTS ..................................................................................... 7

3.0.0 SECURITY PROCEDURES ............................................................................................................... 8

3.1.0 POINT OF ORIGIN SECURITY............................................................................................................. 8

3.2.0 PARTICIPATION/CERTIFICATION IN FOREIGN CUSTOMS ADMINISTRATIONS SUPPLY CHAIN SECURITY PROGRAMS .. 8

3.3.0 SERVICE PROVIDER SCREENING AND SELECTION PROCEDURES .................................................................. 8

3.4.0 CUSTOMER SCREENING PROCEDURES ................................................................................................ 8

4.0.0 CONTAINER SECURITY ................................................................................................................. 9

4.1.0 CONTAINER SECURITY REQUIREMENTS: GENERAL STATEMENT ................................................................. 9

4.2.0 CONTAINER SECURITY REQUIREMENTS ............................................................................................... 9

4.3.0 CONTAINER INSPECTION ................................................................................................................. 9

4.4.0 CONTAINER SEALS ...................................................................................................................... 10

4.5.0 CONTAINER STORAGE .................................................................................................................. 10

5.0.0 CONVEYANCE SECURITY ............................................................................................................ 11

5.1.0 CONVEYANCE SECURITY REQUIREMENTS: GENERAL STATEMENT ............................................................. 11

5.2.0 CONVEYANCE INSPECTION PROCEDURES ........................................................................................... 11

5.3.0 TRAILER SECURITY (WHERE APPLICABLE) ........................................................................................... 11

5.4.0 CONTAINER SECURITY .................................................................................................................. 12

5.5.0 CONVEYANCE TRACKING AND MONITORING PROCEDURES .................................................................... 13

5.6.0 TRAILER SEALS ........................................................................................................................... 13

6.0.0 LESS-THAN TRUCK LOAD (LTL) ................................................................................................... 16

6.1.0 LTL SECURITY REQUIREMENTS: GENERAL STATEMENT ......................................................................... 16

6.2.0 SEALS ...................................................................................................................................... 16

6.3.0 WRITTEN PROCEDURES ................................................................................................................ 16

7.0.0 PHYSICAL ACCESS CONTROLS .................................................................................................... 17

7.1.0 PHYSICAL ACCESS SECURITY REQUIREMENT: GENERAL STATEMENT ......................................................... 17

7.2.0 EMPLOYEES ............................................................................................................................... 17

7.3.0 VISITORS CONTROLS .................................................................................................................... 17

7.4.0 DELIVERIES (INCLUDING MAIL) ....................................................................................................... 18

7.5.0 CHALLENGING AND REMOVING UNAUTHORIZED PERSONS .................................................................... 18



8.0.0 PERSONNEL SECURITY ............................................................................................................... 19

8.1.0 PERSONNEL SECURITY REQUIREMENTS: GENERAL STATEMENT ............................................................... 19

8.2.0 PERSONNEL LIST ......................................................................................................................... 19

8.3.0 PRE-EMPLOYMENT VERIFICATION ................................................................................................... 19

8.4.0 BACKGROUND CHECKS AND INVESTIGATIONS ..................................................................................... 19

8.5.0 PERSONNEL TERMINATION PROCEDURES .......................................................................................... 19

9.0.0 PROCEDURAL SECURITY............................................................................................................. 20

9.1.0 PROCEDURAL SECURITY REQUIREMENT: GENERAL STATEMENT .............................................................. 20

9.2.0 DOCUMENTATION PROCESSING ...................................................................................................... 20

9.3.0 MANIFESTING PROCEDURES .......................................................................................................... 20

9.4.0 SHIPPING AND RECEIVING ............................................................................................................. 20

9.5.0 CARGO DISCREPANCIES ................................................................................................................ 21

10.0.0 SECURITY TRAINING AND THREAT AWARENESS .................................................................... 22

10.1.0 INTERACTIONS WITH BUSINESS PARTNERS ..................................................................................... 22

10.2.0 THREAT AWARENESS ............................................................................................................... 22

10.3.0 EMPLOYEE INCENTIVES ............................................................................................................ 22

11.0.0 PHYSICAL SECURITY ............................................................................................................... 23

11.1.0 PHYSICAL SECURITY REQUIREMENTS: GENERAL STATEMENT .............................................................. 23

11.2.0 FENCING .............................................................................................................................. 23

11.3.0 GATES AND GATE HOUSES ........................................................................................................ 23

11.4.0 PARKING .............................................................................................................................. 23

11.5.0 BUILDING STRUCTURE ............................................................................................................. 24

11.6.0 LOCKING DEVICES AND KEY CONTROLS ........................................................................................ 24

11.7.0 LIGHTING ............................................................................................................................. 24

11.8.0 ALARM SYSTEMS & VIDEO SURVEILLANCE CAMERAS ....................................................................... 24

12.0.0 INFORMATION TECHNOLOGY SECURITY ................................................................................ 25

12.1.0 INFORMATION TECHNOLOGY SECURITY REQUIREMENTS: GENERAL STATEMENT ..................................... 25

12.2.0 PASSWORD PROTECTION .......................................................................................................... 25

12.3.0 ACCOUNTABILITY .................................................................................................................... 25



Minimum Security Requirements: 3PLs

1.0.0 C-TPAT Minimum Security Criteria Overview

1.1.0 Purpose of Minimal Security Criteria Program

1.1.1 C-TPAT’s Minimum Security Criteria Program for Third Party

Logistics Providers (3PLs) is part of the continuing evolution of the C-

TPAT program and its efforts to include those supply chain sectors

that add value to CBP’s efforts to protect the supply chain, while

continuing to be careful to not duplicate existing efforts or enrollment

sectors.

1.2.0 Definitions

1.2.1 A Third Party Logistics Provider (abbreviated “3PL”) is a firm

that provides outsourced or “Third party” logistics services to

companies for part, or sometimes all of their supply chain

management functions. Typical outsourced logistics functions include

inbound freight, customs and freight consolidation, and warehousing.

1.2.2 Third Party Logistics Providers typically specialize in

integrated warehousing and transportation services that can be

scaled and customized to customers’ needs based on market

conditions and the demands and delivery service requirements for

their products and materials.

1.3.0 C-TPAT Acknowledgements

1.3.1 C-TPAT recognizes the complexity of international supply

chains and endorses the application and implementation of security

measures based upon risk analysis.

1.3.2 The C-TPAT program allows for flexibility and for the

customization of security plans based on the C-TPAT member’s

business model.



1.4.0 Basic Requirements for Participation

1.4.1 The 3PL must be directly involved in the handling and

management of the cargo throughout any point in the international

supply chain, from point of stuffing, up to the first U.S. port of arrival.

Entities which only provide domestic services and are not engaged in

cross border activities are not eligible.

1.4.2 The 3PL must manage and execute its particular logistics

functions using its own transportation, consolidation and/or

warehousing assets and resources, on behalf of the client company.

1.4.3 The 3PL must not allow subcontracting of service beyond a

second party other than to other C-TPAT members (i.e. does not allow

the practice of “double brokering”, that is, the 3PL may contract with a

service provider, but may not allow that contractor to further

subcontract the actual provision of this service).

1.4.4 The 3PL must be licensed and/or bonded by the Federal

Maritime Commission, Transportation Security Administration, U.S.

Customs and Border Protection, or the Department of Transportation.

1.4.5 The 3PL must maintain a staffed office within the United

States.

1.4.6 The 3PL must implement and maintain appropriate C-TPAT

security measures throughout its supply chains.

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