Well fellows, the dept of homeland insecurity is at it again. If you're thinking of importing anything from engines to dog biscuits you'll need to be aware of this, as well as crating regulations, EPA, and anything else they can think of.
June 28, 2007
Dear Valued Customer- MUST COMPLETE & RETURN
In updating our records, we request acknowledgement that your company has met the minimum criteria set by CUSTOMS for CTPAT. Please sign and return to your account representative. Should your company participate in the Security Validation Interface (SVI), you can just provide this number to us and we can verify your current status with CBP. Whether you are C-TPAT certified or not and don’t have a SVI #, WE NEED THE SECURITY PROFILE QUESTIONAIRE BELOW COMPLETED AND RETURNED TO JOHN S JAMES CO A.S.A.P.
PHASE 1 – HARDENING OF THE PHYSICAL SUPPLY CHAIN: Under the first phase, existing member importers will have 60 days from the March 25, 2006 effective date to address the following three security criteria:
1.Container Security (seals, inspections, storage).
2.Physical Security (fencing, lighting, parking, building structure, locking devices and key controls, lighting, alarm systems, video surveillance cameras).
3.Physical Access Controls (employees, visitors, deliveries, challenging and removing unauthorized persons).
PHASE 2 – INTERNAL SUPPLY CHAIN MANAGEMENT PRACTICES: Within 120 days of the March 25 effective date, existing member importers will review and enhance the more internal or procedural security elements:
1.Personnel Security (pre-employment verifications, background checks, personnel termination procedures).
2.Procedural Security (documentation processing, manifest procedures, shipping and receiving, cargo discrepancies).
3.Information Technology Security (password protection, accountability).
4.Security Training and Threat Awareness.
PHASE 3 – BUSINESS PARTNER REQUIREMENTS: During the final phase, existing member importers will be afforded 180 days from the March 25 effective date to address the Business Partner Requirement elements. Importers must have written and verifiable processes for the selection of business partners including manufacturers, product suppliers, and vendors, and documentation substantiating that business partners throughout their supply chain are meeting C-TPAT security criteria, or equivalent supply chain security program criteria administered by a foreign Customs administration.
_____________Company ___________________
(Authorized Named)
______________ Authorized Signature
_________ SVI Number _______ Date Signed
(If you have an SVI number, you only need note here, sign and return)
Please complete and return to SENDER: if you have any questions, please let us know. Thank You.
PROFILE FOR IMPORTERS
COMPANY NAME:__________________________________________
ADDRESS:_______________________________________________
TELEPHONE #:___________________________
CONTACT NAME AND TITLE:_________________________________
TYPE OF BUSINESS: _______________________________________
(Broker, Importer, Trucker, Steamship Line, Air Carrier, etc)
General Information
A. Are you a participant in the C-TPAT program?
____ Yes _____No
B. Has your company been certified in the program?
____ Yes _____No
C. Does your company have an SVI (Status Verification
Interface) #?
____ Yes _____No
D. Has your company undergone a C-TPAT Validation?
____ Yes _____No
(If you provide John S James Co., with a copy of your certification and validation, you do not need to complete the remainder of this questionnaire.)
E. Do you use out port brokers to clear any shipments on your
Company’s behalf?
____ Yes _____No
F. Are the out port brokers C-TPAT approved?
____ Yes _____No
G. Does your company have a security policy?
____ Yes _____No
H. Does your company have a plan for verifying C-TPAT
Participation by vendors?
____ Yes _____No
Business Partner Requirements
1. Do you have a written process for selecting business partners?
____Yes ____No
2. Do you require proof of C-TPAT participation/Validation?
____ Yes _____No
Physical Security
1. Do you have written security procedures?
____ Yes _____No
2. Does your business have separate parking for employees?
____ Yes _____No
3. Is the parking monitored for un-authorized vehicles?
___ Yes _____No
4. Is your building constructed of materials that resist unlawful
entry?
____ Yes _____No
5. Are all external windows and doors secured with locking devices?
____ Yes _____No
6. Is adequate lighting provided inside and outside the facility
including entrances, exits, fence lines and parking areas?
____ Yes _____No
7. Do you have alarm systems and/or video surveillance cameras
monitoring the premises to prevent unauthorized access?
____ Yes _____No
Physical Access Controls
1. Do you control access to your facility to prevent unauthorized
entry to facilities?
____ Yes _____No
2. Do you maintain control of employees and visitors?
____ Yes _____No
3. Do you have ID Badges for your employees?
____ Yes _____No
4. Do you have ID Badges for visitors?
____ Yes _____No
5. Do you have a record of visitors?
____ Yes _____No
6. Are employees only given access to those secure areas needed
for the performance of their duties?
____ Yes _____No
7. Are procedures in place for restricted access for terminated
employees?
____ Yes _____No
8. Are visitors required to show identification prior to gaining
access to your facilities?
____ Yes _____No
9. Are visitors escorted by an employee while on company
property?
____ Yes _____No
10. Do you ask for identification for deliveries being made?
(Including couriers, vendors, mail carriers)
____ Yes _____No
11. Do you have a process in place for challenging unauthorized
visitors?
____ Yes _____No
12. Do you have a process in place for notifying authorities of
breeches in security?
____ Yes _____No
Procedural Security:
1. Do you have measures in place to ensure the integrity and
security of your business processes?
____ Yes _____No
2. Do you have procedures in place to notify Customs and Border
Protection and other law enforcement agencies when illegal
Activities are suspected by the company or it’s employees?
____ Yes _____No
3. Do you have procedures in place to protect against theft?
____ Yes _____No
4. Do you have an emergency action plan?
____ Yes _____No
5. Do you have a process in place to ensure all information used
in the clearance of cargo is legible, complete and accurate?
____ Yes _____No
6. Do you have a process in place that protects documents against
loss?
____ Yes _____No
7. Do you have controls on access for your computer files and
Systems?
____ Yes _____No
8. Are your systems password protected?
____ Yes _____No
Personnel Security
1. Do you screen prospective employees?
____ Yes _____No
2. Do you periodically screen current employees?
____ Yes _____No
3. Do you verify employment history and references on
potential employees?
____ Yes _____No
4. Do you perform background checks on potential employees?
____ Yes _____No
5. Do you perform periodic background checks on current
employees?
____ Yes _____No
6. Do you have procedures in place for removing access to
your facilities for terminated employees?
____ Yes ____ No
7. Do you have procedures in place for restricting access to
Computer systems for terminated employees?
____ Yes _____No
Security Training and Threat Awareness
1. Have you established a threat awareness program?
____ Yes _____No
2. Are employees aware of the procedures the company has
in place?
____ Yes _____No
3. Do employees in shipping and receiving area receive additional
training?
____ Yes _____No
4. Do you have an awareness program relating to cargo integrity
and security?
____ Yes _____No
5. Do you provide training programs for your employees?
____ Yes _____No
6. Do you maintain records of employee training?
____Yes _____No
7. Do your employees know the chain of command for reporting
anomalies?
____ Yes _____No
Business Partner Requirement
1. Do you have written and verifiable processes for the selection
of business partners?
____ Yes _____No
2. For those business partners certified as C-TPAT, do you require
documentation substantiating same?
____ Yes _____No
3. For those business partners who are eligible for C-TPAT, do you
require they demonstrate they are meeting the requirements
set by C-TPAT?
____ Yes _____No
4. Do you require your vendors at point of origin meet minimum
security criteria consistent with C-TPAT?
____ Yes _____No
5. Do you perform periodic reviews of your business partners?
____ Yes _____No
Container Security and Inspection
1. Do you have a process in place to maintain the integrity of your
containers?
____ Yes _____No
2. Do you have a process in place at point of stuffing to properly
affix a seal prior to the goods leaving?
____ Yes _____No
3. Do you use High Security Seals?
____ Yes _____No
4. Do your seals meet or exceed the PAS ISO 1772 standard?
____ Yes _____No
5. Do you have procedures in place to verify the integrity of the
container structure prior to stuffing?
____ Yes _____No
6. Do you have written procedures that outline how a seal is to
controlled and affixed to a container?
____ Yes _____No
7. Do you have a process in place for recognizing and reporting
compromised seals and/or containers?
____ Yes _____No
8. Are seals only accessible by authorized employees?
____ Yes _____No
9. Are containers stored in a secure location after being stuffed
and sealed?
____ Yes _____No
Should you need to provide additional details concerning any item in this questionnaire, please note the item and place comments here.
(attach additional pages as needed)
________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
Additional information pertaining to the C-TPAT program can be located at:
http://www.customs.ustreas.gov/xp/cgov/import/commercial_enforcement/ctpat/security_criteria/On behalf of my company:________________________________.
I certify that the information provided on this Security Profile Questionnaire is true and correct and completed without prejudice.
I also agree to advise John S James Co of any changes, alterations or deletions to the information I have provided in this questionnaire.
______________________________________(Signature)
______________________________________(Printed Name)
_________________________(Title) ________________(Date)
This is but one more reason that I won't be importing any more engines.
Mike
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