S11u—CTPAT for U.S. Importer Managers, Supervisors, and CTPAT Administrators

Subscriber price: $95.00, Non-subscriber price: $132.00
Estimated total study time: 13 hours 20 minutes

One of the critical aspects of maintaining and sustaining the CTPAT security program is training. The education of employees is a vital component of the "people and physical security" focus area of the minimum security criteria (MSC). Training of personnel to recognize threats, foster awareness of vulnerabilities, and understand the important role each person plays in securing the supply chain is a requirement of the CTPAT program.

This comprehensive course is for those managers, supervisors, or other staff in charge of setting-up, documenting, administering, and ensuring compliance with their company's CTPAT program. It will encompass all of the minimum security focus areas and the categories that "must" or "should" be met. This course consists of everything in the basic-level for "personnel", plus additional guidance for implementation and administration which include CTPAT benefits, application, certification, validation and program requirements.

Important: Supervisors and managers who do not have Additional CTPAT administrative responsibilities need only to take the basic-level course, S21u—CTPAT for U.S. Importer Personnel.

We begin with the requirements for all CTPAT members and their business partners and provide a comparative table in each category as a reference. The course concludes by discussing the benefits, eligibility requirements, and specific criteria that must be followed by U.S. importers. It is designed to meet the CTPAT training requirement for managers, supervisors, and security points of contact who must understand, perform, and otherwise comply with operational-level security measures.

According to MSC 12.1, security training must be provided to employees, as required based on their functions and position, on a regular basis, and newly hired employees must receive this training as part of their orientation/job skills training. This course is suitable for both initial and refresher training.

The Decision to Participate in CTPAT

Why do companies want to participate in CTPAT? Find out the types of businesses that are eligible. There are specific requirements for participation and benefits based on business type.

(Estimated study time: 55 minutes)

Introduction
CTPAT Security Background
Customs Trade Partnership Against Terrorism (CTPAT) is a Voluntary U.S. Security Program
CTPAT Member Entity Groups
Foreign Suppliers, Transportation Carriers, and Supply Chain Service Providers Gain Increased Marketability as CTPAT Members
General Benefits of CTPAT Participation
The Decision to Participate in CTPAT
- Program Feasibility and Cost Justification
- Supply Chain Security Analysis (Self-Assessment)
- Why Participate in CTPAT?
- CTPAT Best Practices

CTPAT Application, Certification, Validation and Maintenance

This lesson covers application, certification and validation of CTPAT. CTPAT is an ongoing compliance effort consisting of mandatory security requirements that must be met based on certain types of businesses in the supply chain. We begin the comparison of security requirements for four of these business types.

(Estimated study time: 35 minutes)

Introduction
Getting Started with CTPAT Security and Continuing Responsibilities
- Overview of Steps Involved in CTPAT Application and Membership
- CTPAT Program Application Through the CTPAT Portal
  - Creating the Origanization Profile to Set up the Portal Account
  - CTPAT Company Profile
  - Supply Chain Security Profile
- CTPAT Certification
- CTPAT Criteria Implementation
  - Internal Company Implementation
  - Communication of Requirements to Business Partners
  - Implementation of Security Measures by Business Partners
- After You Are "Certified" (Accepted) into CTPAT
  - Validation
  - CBP Account Management and Monitoring
  - CTPAT Enforcement and Appeal Process
  - Post-Incident Analysis (PIA) Following a Security Breach

CTPAT Implementation Guidance for Corporate Security: Security Vision and Responsibility

This lesson covers the CTPAT Security Measures with a focus on the "Minimum Security Standards." It delves into the Minimum Security Criteria (MSC), which are divided into three main focus areas: Corporate Security, Transportation Security, and People and Physical Security. Each focus area includes specific categories and criteria that CTPAT members must adhere to in order to ensure the security of the supply chain.

(Estimated study time: 1 hour 1 minute)

Introduction
CTPAT Security Measures—"Minimum Security Standards"
- Minimum Security Criteria (MSC) Focus Areas
- Changes in Minimum Security Criteria Since CTPAT Began
Minimum Security Criteria You Cannot Meet; Some Flexibility
Security Vision & Responsibility
CTPAT Mandatory Security Vision & Responsibility Security
- 1.0 What CBP Says About Security Vision & Responsibility
- 1.3 CTPAT Members Review Plans to Audit their CTPAT Program
- 1.4 CTPAT Members Appoint a Knowledgeable Point of Contact (POC)
CTPAT Recommended Security Vision & Responsibility
- 1.1 CTPAT Member's Statement of Support
- 1.2 Create a Cross-Functional Security Team

CTPAT Implementation Guidance for Corporate Security: Risk Assessment

This lesson focuses on Risk Assessment (RA) within the context of the Customs Trade Partnership Against Terrorism (CTPAT) program. It covers the definition of risk, the importance of conducting thorough risk assessments, and the procedures for documenting and mitigating risks in the supply chain. The lesson emphasizes the need to continuously evaluate and improve security measures to protect against potential threats.

(Estimated study time: 1 hour 5 minutes)

Introduction
Risk Assessment (RA)
CTPAT Mandatory Risk Assessments
- 2.0 What CBP Says About Risk Assessment
- 2.1 CTPAT Members Conduct and Document a Supply Chain Risk Assessment
- 2.3 Periodic Review of the Risk Assessment
CTPAT Recommended Risk Assessments
- 2.4 CTPAT Members Should Document Procedures for Crisis Management and Disaster Readiness

CTPAT Implementation Guidance for Corporate Security: Business Partner Security

This lesson focuses on the requirements that CTPAT members must or should impose on their business partners to ensure the security of the supply chain. It covers the definition of business partners, the importance of compliance with minimum security measures, and the processes for screening and monitoring business partners. The lesson emphasizes the need for CTPAT members to work closely with their business partners, both domestically and internationally, to maintain effective security measures.

(Estimated study time: 49 minutes)

Introduction
Business Partner Security
CTPAT Mandatory Business Partner Security
- 3.1 CTPAT Members Must have Documented Process for Screening and Monitoring Business Partners
- 3.4 Business Partners Certified with CTPAT or Approved AEO programs
- 3.5 CTPAT Members Exercise Due Diligence to Ensure Business Partners Meet MSC
CTPAT Recommended Business Partner Security
- 3.7 Business Partners Security Risk Assessments Should be Updated Regularly

CTPAT Implementation Guidance for Corporate Security: Cybersecurity

This lesson deals with the fourth category, Cybersecurity, within the Corporate Security focus area. Cybersecurity is described as securing information technology and data systems that contain intellectual property, customer information, financial and trade data, employee records, etc.

(Estimated study time: 1 hour 19 minutes)

Introduction to Cybersecurity
- Table for Cybersecurity 4.0
- CTPAT Mandatory Cybersecurity
  - 4.0 What CBP Says About Cybersecurity
  - 4.1 CTPAT Members Must Develop Comprehensive Cybersecurity Policies
  - 4.2 CTPAT Members Defend Against Common Cybersecurity Threats
    - Common Cybersecurity Threats
    - Social Engineering
    - Social Media
    - Consequences of Unauthorized Disclosure
  - 4.3 CTPAT Members Regularly Test IT Network Infrastructure
  - 4.5 Identification of and Disciplinary Action for Any IT Abuse
  - 4.6 Regular Review and Update of Cybersecurity Policies and Procedures
  - 4.7 Restrictions on Computer and Network Access Based on Job Assignment
  - 4.8 User Authentication/MFA/VPN for Individual IT Systems Accounts
  - 4.9 Virtual Private Network (VPN) Requirement for CTPAT Company Remote Access
  - 4.10 Network Protection for Access Via CTPAT Member Personal Devices
  - 4.13 Accounting and Proper Disposing of Media, Hardware or other IT Equipment Containing Sensitive Information
- CTPAT Recommended Cybersecurity
  - 4.4 Sharing Information with Business Partners and the Government
  - 4.11 Methods to Protect Against Counterfeit or Improperly Licensed Technology
  - 4.12 Encrypt and Backup Sensitive and Confidential Data

CTPAT Implementation Guidance for Transportation Security

In this lesson we look at the minimum security requirements (must do) and suggestions (should do) with implementation guidance for three of the categories under the focus area of transporation security. The categories covered include: Conveyance and Instruments of International Traffic Security, Seal Security and Procedural Security. The criteria covered are applicable to all entities.

(Estimated study time: 1 hour 8 minutes)

Introduction to Transportation Security
5.0 Conveyance and Instruments of International Traffic Security
- CTPAT Mandatory Conveyance and IIT Security
  - 5.1 Store Conveyances and IIT in a Secure Area
  - 5.29 Security Threats Must be Reported by Members to Business Partners
6.0 Seal Security
- CTPAT Mandatory Seal Security
  - 6.1 Written Procedures for CTPAT Member Seal Control
  - 6.2 CTPAT Member shipments To or From the U.S. Sealed with High Security Seals
  - 6.5 Inventory Maintenance and Seal Standards Documented by CTPAT Members
  - 6.6 CTPAT Members Audit, Inventory, Verify and Document Seal Numbers
7.0 Procedural Security
- CTPAT Mandatory Procedural Security
  - 7.23 CTPAT Members Procedure to Report and/or Escalate an Incident
  - 7.24 Procedures to Identify, Challenge and Address Unauthorized People
  - 7.37 Conduct Internal Investigation of Security-Related Incidents
- CTPAT Recommended Procedural Security
  - 7.7 Paper Documents Should be Secured
  - 7.25 Mechanism to Anonymously Report Security Related Issues
- Agricultural Security
- CTPAT Mandatory Agricultural Security
  - 8.0 What CBP Says About Agricultural Security
  - 8.1 Transportation Security; Fulfilling CTPAT 8.0 Mandatory Agricultural Security

CTPAT Implementation Guidance for Physical Security and Access Controls

This module covers the essential security measures required for cargo handling and storage facilities, including trailer yards and offices. It emphasizes the importance of physical barriers and deterrents to prevent unauthorized access, such as fencing, gates, controlled access, lighting, alarm systems, and video surveillance. The module also highlights the need for regular inspections, maintenance, and documentation of security technology, as well as the implementation of written policies and procedures to govern the use and protection of this technology.

(Estimated study time: 41 minutes)

Introduction
9.0 Physical Security
CTPAT Mandatory Physical Security
- 9.1 Facility Security
- 9.4 Gates and Other Egress Manned or Monitored
- 9.6 Adequate Lighting Inside and Outside
- 9.8 Member's Procedure for Security Technology
- 9.10 Physical Control of Security Technology Infrastructure
- 9.13 Using Cameras Systems for Security
- 9.15 Review Camera Systems and Instructions
CTPAT Recommended Physical Security
- 9.2 Perimeter Fencing for Cargo Handling and Storage Facilities
- 9.5 Parking for Private Passenger Vehicles
- 9.7 Premises Monitored with Security Technology
- 9.9 Licensed or Certified Resources used for Design and Installation of Security Technology
- 9.11 Security Technology Systems Connected to an Alternative Power Source
- 9.12 Cameras and Alarms Monitor Facility Premises and Sensitive Areas
- 9.14 Camera Systems with "Failure to Operate" Alarm Notification
- 9.16 Camera Footage Maintained Temporarily
10.0 Physical Access Controls
CTPAT Mandatory Physical Access Controls
- 10.1 CTPAT Members Documented Procedures Governing Use of Badges and Access Devices
- 10.2 CTPAT Certified Facility Visitor Controls
CTPAT Recommended Physical Access Controls
- 10.8 Arriving Packages and Mail

CTPAT Implementation Guidance for Personnel Security, Education, Training and Awareness

This lesson outlines the steps involved in an effective employee selection process, emphasizing the importance of thorough screening to ensure workplace safety and integrity. It covers the creation of job descriptions, the application process, skill and knowledge evaluations, interviews, background checks, and follow-up interviews. The module also addresses the legal considerations in different countries and the importance of maintaining a Code of Conduct.

The next part of the lesson focuses on the importance of security training and awareness for employees in the supply chain. It emphasizes that employees who understand the necessity of security measures are more likely to comply with them. The module outlines the responsibilities of security personnel in implementing and maintaining a comprehensive security training program, including regular reviews, incident-based retraining, and orientation for new employees. It also covers the documentation requirements for training records and the specific training needs for different roles within the organization.

The lesson finishes up with a summary of all of the mandatory requirements and discusses the areas where companies are required to ensure their business partners are also following the CTPAT minimum security requirements whether their partners are participants in the program or not.

(Estimated study time: 54 minutes)

Introduction
11.0 Personnel Security
CTPAT Mandatory Personnel Security
- 11.1 Pre-Employment Verification
- 11.5 All CTPAT Member Contractors and Employees Must Understand and Sign a Code of Conduct
CTPAT Recommended Personnel Security
- 11.2 Background Checks and Investigations
CTPAT Mandatory Education, Training and Awareness
- 12.1 Members Establish a Security Training and Awareness Program
- 12.8 Training on Company Cybersecurity Policies and Procedures
- 12.9 Training in Operation and Management of Security Technology Systems
- 12.10 Training on Suspicious Activity Detection and Reporting
CTPAT Recommended Education, Training and Awareness
- 12.4 Measures for Members to Verify Training Met Objectives
Summary of Required Security Measures for All CTPAT Members
Areas that Due Diligence Requires Companies must Ensure are Followed by Business Partners

CTPAT MSC Business Partner Security Musts Specific to Importers

U.S. importers and exporters are the most essential members of the CTPAT program because they have the greatest ability to control their supply chains. This control begins with the selection and negotiation of service requirements with foreign suppliers or importers and extends through all service providers needed to deliver goods to their destination. Importers benefit from an additional compliance aspect through the CTPAT Trade Compliance program, which includes both security and trade compliance measures.

(Estimated study time: 56 minutes)

Introduction
Specific Benefits for Importers and Exporters
CTPAT Trade Compliance Benefits for Importers
Importer's Eligibility Requirements
3.0 What CBP Says About Business Partner Security
3.6 Weaknesses Identified During Business Partner Security Assessments Must be Addressed ASAP
3.9 CTPAT Member's Social Compliance Program Addressing Forced Labor Issues a Must

CTPAT MSC Conveyance and Seal Security Musts Specific to Importers

This lesson focuses on the security measures necessary to prevent, detect, and deter smuggling schemes involving the modification of conveyances and Instruments of International Traffic (IIT). It covers the procedures for inspecting and sealing IIT at the point of stuffing/loading, the importance of documenting inspections, and the key security criteria for cargo in transit. The module also outlines the systematic inspection requirements for CTPAT shipments via various modes of transportation, including land, ocean, and air, and emphasizes the need for vigilance throughout the supply chain to uphold security standards.

Maintaining continuous seal integrity for trailers and containers as a crucial element of a secure supply chain. It covers the comprehensive written seal policy required by CTPAT, the proper application and verification of high-security seals, and the VVTT (View, Verify, Tug, Twist) process to ensure seals are affixed correctly and operating as designed. The module also emphasizes the need for systematic seal inspections at each stop along the transportation route and the proper documentation of seal integrity.

(Estimated study time: 1 hour 10 minutes)

CTPAT MSC Procedural Security Musts Specific to Importers

Procedural Security is a comprehensive approach that encompasses various aspects of the import-export process, including documentation, cargo storage, and handling requirements. It also involves the critical tasks of reporting incidents and notifying pertinent law enforcement agencies. Each company must tailor its procedural security measures based on its specific risk assessment and business model, integrating security processes within existing procedures to ensure sustainability and collective responsibility.

(Estimated study time: 45 minutes)

CTPAT MSC Physical Access Controls and Security Training Musts Specific to Importers

Access controls are essential for maintaining the security and integrity of facilities and areas by preventing unauthorized access. They help manage the movement of employees, visitors, service providers, and vendors, ensuring that only authorized individuals can enter specific areas. This system is crucial for protecting company assets and maintaining overall security.

(Estimated study time: 49 minutes)

CTPAT Implementation Guidance for Criteria that Importers Should Accomplish

This lesson concentrates on the "should-do" areas that are different for each entity, in this case importers. They are not required, only suggestions to strengthen security as best practices.

(Estimated study time: 45 minutes)

Introduction
2.2 Foreign Manufacturers, U.S. Importers and Exporters Should Map the Movement of Cargo Through the Supply Chain
5.5 Inspections of Conveyances and IIT Should be Recorded on a Checklist
5.6 Should Perform Security Inspections in a Controlled Access Area
5.8 Should Conduct Random Searches by Management After Staff Inspections
5.14 Requirements for Tracking, Reporting and Sharing of All Shipment Data Should be Contained in the Terms of Service Agreement
5.16 Should Prohibit Unscheduled Stops Near U.S. Land Border
7.4 Designated Personnel Should Supervise Loading of Cargo
7.5 Photograph Seal Installation and Forward to Destination
7.28 Verify Arriving and Departing Cargo Against Transport Documents
7.29 Transmit Assigned Seal Numbers to the Consignee Before Departure
7.30 Print Seal Numbers on Shipping Documents
10.7 CTPAT Members Allow Deliveries and Pickup by Appointment Only
10.9 Only Specially Designated Monitored Areas Used for Cargo Deliveries
12.6 Identification of Trade Based Money Laundering and Terrorism Financing
Summary of Suggested Security Criteria for Importer's

CTPAT Minimum Security Criteria Specifically Required of U.S. Importers

In all of the previous lessons we covered the requirements in each category of the CTPAT minimum security requirements and specified the requirements that applied to all member entities of CTPAT. This lesson concentrates on the "must do" areas that are different for each entity, in this case importers.

(Estimated study time: 27 minutes)

Introduction
Specific Benefits for Importers and Exporters
CTPAT Trade Compliance Benefits for Importers
Summary of Importer's Required Security Measures