Mapping Cargo/Data Flow and Control and Identifying BusinessPartners (whether directly or indirectlycontracted) and how cargo moves throughout the supply chain to include modes oftransportation (air, sea, rail, or truck) and nodes (country of origin, transitpoints).
Conducting a Threat Assessment focusing on Terrorism,Contraband Smuggling, Human Smuggling, Agricultural and Public Safety Threats,Organized Crime, and conditions in a country/region which may foster suchthreats, and ranking those threats.
Conducting a Vulnerability Assessment in accordance with theCTPAT Minimum Security Criteria. A vulnerabilityassessment includes identifying what the Partner has that a terrorist orcriminal might desire. For brokers this might be data; for importers,manufacturers, and exporters, this might be access to cargo and companyinformation. Then, identifying weaknesses in company procedures that wouldallow a terrorist or criminal to gain access to these processes, data, orcargo.
Preparing a Written Action Plan to AddressVulnerabilities. This includesmechanisms to record identified weaknesses, who is responsible for addressingthe issues, and due dates. Reporting results to appropriate company officialsand employees on completed follow up and changes is also essential.
Documenting the Procedure for How Risk Assessments areConducted, to Include Reviewing and Revising the Procedure Periodically. The process itself should be reviewed andupdated as needed at least annually, and a Risk Assessment should be conductedand documented at least annually, more frequently for highway carriers and highrisk supply chains
What is a CTPAT validation, A CTPAT validation is a processthrough which the U.S. Customs and Border Protection (CBP) CTPAT program meetswith company representatives and visits selected domestic and foreign sites toverify supply chain security measures contained in the CTPAT participantssecurity profile are accurate and are being followed.
What is the goal of a CTPAT validation, The principal goalof a validation for CBP is to ensure that the companys CTPAT security profileis reliable, accurate, and effective. However, validations also provide a forumthrough which CBP and a CTPAT participant can build a stronger partnership bydiscussing supply chain security issues, sharing best practices, and cooperativelydeveloping solutions to address potential vulnerabilities. The face to facenature of a validation encourages both CBP and the CTPAT participant to betterunderstand the role each plays in securing our borders against internationalterrorism.
Is a CTPAT validation an audit, No. A validation is not anaudit. Whereas CBP routinely performs audits in a variety of operational andregulatory areas (e.g. trade compliance, NAFTA), CTPAT validations do notmeasure a companys adherence to existing government rules and regulations.Instead, the validation is focused on the verification of supply chain securityprocesses and procedures that a company voluntarily agrees to verify or performunder the auspices of the CTPAT program.
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