3PLs:

Minimum Security Requirements

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

Security

C-TPAT Minimum Security

Requirements

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

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

Prepared by Prep4Audit, LLC
www.prep4audit.com

3PLs: Minimum Security Requirements

3PLs: C-TPAT Minimum Security Requirements

1.0.0
1.1.0
1.2.0
1.3.0
1.4.0
2.0.0
2.1.0
2.2.0
3.0.0
3.1.0
3.2.0
3.3.0
3.4.0
4.0.0
4.1.0
4.2.0
4.3.0
4.4.0
4.5.0
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6.0.0
6.1.0
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6.3.0
7.0.0
7.1.0
7.2.0

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

PURPOSE OF MINIMAL SECURITY CRITERIA PROGRAM ............................................................................... 5
DEFINITIONS ..................................................................................................................................... 5
C-TPAT ACKNOWLEDGEMENTS ............................................................................................................ 5
BASIC REQUIREMENTS FOR PARTICIPATION ............................................................................................. 6
BUSINESS PARTNER REQUIREMENTS ........................................................................................... 7
BUSINESS PARTNER REQUIREMENTS: GENERAL STATEMENT ....................................................................... 7
BUSINESS PARTNER SECURITY REQUIREMENTS ......................................................................................... 7
SECURITY PROCEDURES ............................................................................................................... 8
POINT OF ORIGIN SECURITY ................................................................................................................. 8
PARTICIPATION/CERTIFICATION IN FOREIGN CUSTOMS ADMINISTRATIONS SUPPLY CHAIN SECURITY PROGRAMS .. 8
SERVICE PROVIDER SCREENING AND SELECTION PROCEDURES ..................................................................... 8
CUSTOMER SCREENING PROCEDURES..................................................................................................... 8
CONTAINER SECURITY ................................................................................................................. 9
CONTAINER SECURITY REQUIREMENTS: GENERAL STATEMENT .................................................................... 9
CONTAINER SECURITY REQUIREMENTS ................................................................................................... 9
CONTAINER INSPECTION ...................................................................................................................... 9
CONTAINER SEALS ............................................................................................................................ 10
CONTAINER STORAGE ....................................................................................................................... 10
CONVEYANCE SECURITY ............................................................................................................ 11
CONVEYANCE SECURITY REQUIREMENTS: GENERAL STATEMENT ............................................................... 11
CONVEYANCE INSPECTION PROCEDURES ............................................................................................... 11
TRAILER SECURITY (WHERE APPLICABLE) ............................................................................................... 11
CONTAINER SECURITY ....................................................................................................................... 12
CONVEYANCE TRACKING AND MONITORING PROCEDURES ....................................................................... 13
TRAILER SEALS ................................................................................................................................. 13
LESS-THAN TRUCK LOAD (LTL) ................................................................................................... 16
LTL SECURITY REQUIREMENTS: GENERAL STATEMENT ............................................................................ 16
SEALS ............................................................................................................................................ 16
WRITTEN PROCEDURES ..................................................................................................................... 16
PHYSICAL ACCESS CONTROLS .................................................................................................... 17
PHYSICAL ACCESS SECURITY REQUIREMENT: GENERAL STATEMENT............................................................ 17
EMPLOYEES .................................................................................................................................... 17

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

Prepared by Prep4Audit, LLC
www.prep4audit.com

3PLs: Minimum Security Requirements

7.3.0
7.4.0
7.5.0
8.0.0

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

DELIVERIES (INCLUDING MAIL) ............................................................................................................ 18
CHALLENGING AND REMOVING UNAUTHORIZED PERSONS ....................................................................... 18
PERSONNEL SECURITY ............................................................................................................... 19

8.1.0
8.2.0
8.3.0
8.4.0
8.5.0
9.0.0

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

PERSONNEL LIST .............................................................................................................................. 19
PRE-EMPLOYMENT VERIFICATION ....................................................................................................... 19
BACKGROUND CHECKS AND INVESTIGATIONS......................................................................................... 19
PERSONNEL TERMINATION PROCEDURES .............................................................................................. 19
PROCEDURAL SECURITY............................................................................................................. 20

9.1.0
9.2.0
9.3.0
9.4.0
9.5.0
10.0.0
10.1.0
10.2.0
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12.1.0
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12.3.0

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

DOCUMENTATION PROCESSING .......................................................................................................... 20
MANIFESTING PROCEDURES ............................................................................................................... 20
SHIPPING AND RECEIVING .................................................................................................................. 20
CARGO DISCREPANCIES ..................................................................................................................... 21
SECURITY TRAINING AND THREAT AWARENESS .................................................................... 22
INTERACTIONS WITH BUSINESS PARTNERS ........................................................................................ 22
THREAT AWARENESS .................................................................................................................... 22
EMPLOYEE INCENTIVES ................................................................................................................. 22
PHYSICAL SECURITY ............................................................................................................... 23
PHYSICAL SECURITY REQUIREMENTS: GENERAL STATEMENT................................................................. 23
FENCING .................................................................................................................................... 23
GATES AND GATE HOUSES............................................................................................................. 23
PARKING .................................................................................................................................... 23
BUILDING STRUCTURE .................................................................................................................. 24
LOCKING DEVICES AND KEY CONTROLS ............................................................................................ 24
LIGHTING ................................................................................................................................... 24
ALARM SYSTEMS & VIDEO SURVEILLANCE CAMERAS .......................................................................... 24
INFORMATION TECHNOLOGY SECURITY ................................................................................ 25
INFORMATION TECHNOLOGY SECURITY REQUIREMENTS: GENERAL STATEMENT ....................................... 25
PASSWORD PROTECTION ............................................................................................................... 25
ACCOUNTABILITY ......................................................................................................................... 25

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

Prepared by Prep4Audit, LLC
www.prep4audit.com