Supply Chain Security Self-Assessment – Transportation

(Carrier/Forwarder/Broker, Air Freight Consolidator/Ocean Intermediary, NVOCC, etc.)

Supply Chain Security Self-Assessment

Transportation Service Provider

Forwarder, Broker, Carriers (Ocean, Air, Rail, Truck), Air Freight Consolidator, Ocean Transportation Intermediary, NVOCC, etc.

Introduction:

As a result of the events of September 11th the United States has undertaken a number of initiatives to improve US Border Security. One of these initiatives is the Customs Trade Partnership Against Terrorism, referred to as C-TPAT. C-TPAT is a joint government and business initiative to improve supply chain security. Customs has recognized that protecting our borders from terrorism requires the close cooperation of importers, foreign manufacturers, and transportation and distribution service providers.

The C-TPAT program is voluntary. C-TPAT provides importers and their trade partners the opportunity to join in the war against terrorism and to ensure the timely delivery of imported goods into the United States. Through this initiative US Customs is asking businesses to ensure the integrity of their security practices and to communicate these practices to their business partners within the supply chain. Further information is available at

Zanes has signed an agreement with United States Customs and is committed to assessing and improving supply chain security. It is our intent to work with our business partners as a team to improve supply chain security practices. The first step in the process is the attached supply chain self-assessment. Please complete the attached supply chain self-assessment and return it to Zanes. Please contact us if you have any questions regarding this request.

Reply To:

An electronic copy of the completed document (in English) attached to an email is preferred. Fax number is provided below. Please respond to:

W. R. ZANES & CO. OFLA., INC

223 TCHOUPITOULAS ST

NEW ORLEANS, LA 70130

PH: 504-524-1301

FX: 504-524-1309

Email: ZANES DATA SERVICES

Company Name:
Respondent’s Name:
Respondent’s Title:
Line of Business:
Does your company participate in any of the following U. S. Customs and Border Protection security programs:
C-TPAT / CIP / SCIP / BASC / FAST
Partner I.D. Number:
Does your company participate in any foreign government customs security program(s)?
PIP / AEO / OTHER:
Certification Number:
  1. Security Management System
/ Yes/No / Brief Description of your Procedure and Practices
  1. Is there a manager responsible for implementing security within the company? Please provide the security manager’s name and contact information.

  1. Is there a designated security officer at each company location to supervise security practices and review the introduction and removal of cargo in the receiving and shipping process?

  1. Do written security policies and procedures exist to include physical security, access controls, personnel security, education and awareness, manifest and conveyance security and the handling of incoming and outgoing goods to identify overages and shortages or the introduction of unmanifested or illegal goods?

  1. Is there a documented process for reporting and investigating security related incidents and to report them on a timely basis to Customs or law enforcement officials?

  1. Are close working relationships maintained with local law enforcement authorities?

  1. Are periodic internal audits/reviews conducted of security operations?

Company Name:
  1. Is there a documented security improvement plan? Please provide a summary of all identified security vulnerabilities and action plans to correct.

  1. Do your contacts with sub-contract transportation and distribution service providers specify the minimum security requirements expected from them?

  1. Do the minimum security requirements placed on sub-contractors contain all the C-TPAT requirements?

  1. Physical Security and Access Controls
/ Yes/No / Brief Description of your Procedure and Practices
  1. Do written physical security standards exist?

  1. Are the premises protected from unauthorized access by perimeter fencing or natural barriers?

  1. Are controls in place to prevent unauthorized vehicles from entering the premises?

  1. Is the facility equipped with adequate security warning signage?

  1. Are controls in place to positively identify drivers through photo identification or other means?

  1. Are all buildings constructed of materials that resist unlawful entry and protected against outside intrusion?

  1. Is driver access to the interior of the facility limited to a secure, segregated waiting area?

  1. Are controls in place to prevent unauthorized individuals from entering the facility or conveyances?

  1. Are employees and authorized visitors positively identified with photo identification or other means?

  1. Are visitors/contractors logged in, badged and escorted?

  1. Is adequate lighting provided inside and outside the facility to include parking areas?

Company Name:
  1. Are all doors/windows/openings locked to prevent unauthorized access to the facility and are same monitored by an intrusion detection/burglar alarm system that is monitored 24/7 by police or a central control station?

  1. Is there a working CCTV system that covers the exterior of the buildings including the personnel entrances, the interior and exterior of the docks, and yards where trailers and containers are loaded/unloaded and stored that is monitored and recorded?

  1. Do you utilize security officers on site? If yes, are the post procedures documented, comprehensive and current?

  1. Are personal belongings inspected upon ingress or egress to the facility to prevent the introduction or removal of unauthorized material?

  1. Are controls in place to prevent unauthorized access to computer systems?

  1. Human Resources (Personnel Security, Education & Awareness)
/ Yes/No / Brief Description of your Procedure and Practices
  1. Are pre-employment background checks conducted that includes criminal checks and application verification to the fullest extent allowed by law?

  1. Are the same background checks required of temporary and contract personnel?

  1. Are employees (temporary and permanent) and contractors subject to drug testing?

  1. Do all employees receive security training both during new employee orientation and on an ongoing basis that covers unauthorized access, maintaining cargo integrity, and the recognition of internal conspiracies?

  1. Do you have a documented Code of Conduct?

  1. Do you have an employee hotline to enable anonymous reporting of wrongdoing?

Company Name:
  1. Are employees encouraged and rewarded to report anomalies and wrongdoing & participate in security controls?

  1. Do key personnel receive training in document fraud and computer security?

  1. Is there a process for handling terminated employees or contractors and preventing subsequent access to the premises?

  1. Do you have additional human resource security procedures in place? Please describe.

  1. Shipping and Receiving Procedures (Manifest Procedures)
/ Yes/No / Brief Description of your Procedure and Practices
  1. Are procedures in place to ensure that manifests are complete, legible, accurate and submitted in a timely manner to Customs?

  1. Are manifest and purchase order reconciliation procedures available, evident and adequate at shipping and receiving locations?

  1. Does the company participate in the Automated Manifest System?

  1. Are first and second parties or logistics provider’s information properly received, accurate and shipper and consignee details available, accurate and legible?

  1. Conveyance Security
(Aircraft, Vessel, Container, Trailer, Truck, Railcar) / Yes/No / Brief Description of your Procedure and Practices
  1. Are there written security procedures covering receipt, loading and unloading of containers/trailers to prevent cargo loss or the introduction of unauthorized or unmanifested material?

  1. Is conveyance integrity maintained to prevent the introduction of unauthorized personnel or material into an aircraft/vessel/ container/trailer/rail car including physical searches and the securing of all readily accessible internal and external areas?

  1. Do these procedures ensure the timely reporting to law enforcement in case of an incident, signs of tampering or suspected illegal activities?

Company Name:
  1. Are procedures in place to ensure unauthorized and unidentified persons are challenged and prevented access to the premises, yards and conveyances?

  1. Are all trailers/containers/rail sealed and or locked to prevent the introduction of unauthorized personnel or unmanifested materials?

  1. Are all conveyances inspected upon arrival or at transfer points for signs of tampering?

  1. Is the loading/unloading of conveyances supervised, if so by whom?

  1. Are incoming/outgoing vehicles, drivers and trailers verified and logged?

  1. Are the yards, airfields and trailer/container storage yards monitored by CCTV and recorded?

  1. Are adequate records kept of incoming/outgoing goods?

  1. Are domestic, international, high-value and dangerous goods segregated and access restricted “as needed” by a cage, safe or fencing and properly marked with adequate control and access prevention?

  1. Are all trailers/containers, etc. of solid walled construction and in good condition?

  1. Are trailers/containers/railcars properly sealed so tampering would be evident and/or locked prior to departure?

  1. Are seal numbers recorded on the shipping instructions and records kept of seal numbers, and verified at arrival point?

  1. Are seals kept under lock and key to prevent unauthorized access and misuse?

  1. Is there secure storage of empty and full containers to prevent theft or the introduction of unmanifested or unauthorized materials?

Company Name:
  1. Are international, domestic, high-value and dangerous goods properly segregated by fence, safe or cage with access restricted to need and properly marked?

  1. Do in-transit procedures provide for effective contingency plans that address unscheduled stops, communications protocols and incident reporting to Customs and local law enforcement?

  1. Are there procedures that exist for control of in-transit cargo and seal integrity, or reporting new seal applications following removal of existing seals by authorized inspectors at borders/ports?

  1. Are random, unannounced security assessments and inspections of company controlled material within the company’s supply chain conducted, recommended or welcomed?

  1. Is there a system evident to monitor and track the timely movement of all cargo conveyances?

  1. Do conveyances or operators utilize written contingency plans for reporting unscheduled events in transit and are routes, schedules and planned stops negotiated in advance and approved by clients?

  1. Does proof of loading/unloading operation audits occur and how long are the audit records retained?

  1. Do proof of shipping and receiving records provide adequate details regarding time, date, driver, shipping/receiving personnel, shipment details and quantities?

  1. Do conveyance operators have adequate training in robbery response detailing safe and secure actions to be taken in the event the operator is threatened?

  1. Are escorts, covert or overt, provided with high-risk shipments and does this include real time communications to base and local law enforcement? Is written procedural documentation evident?

  1. Does the conveyance operator have a methodology to distinguish or segregate secure and non-secure materials in transit? Describe.

Company Name:
  1. Is vehicle/conveyance tracking, tracing and intrusion detection available in real time? Describe system attributes.

  1. Broker/Forwarder/Consolidator/Ocean Intermediary/NVOCC Security Requirements should answer these questions as well as those in Section A (Security Management System), Section C (Human Resource), Section D (Shipping/Receiving) and any questions in Section B (Physical Security) or Section E (Conveyance Security) that may apply.
/ Yes/No / Brief Description of your Procedure and Practices
  1. Do written procedures and practices exist that ensure all information provided by the importer/exporter or freight forwarder and used in the clearing of merchandise/cargo is legible, and protected against exchange, loss or introduction of erroneous information?

  1. Do procedures exist for maintaining the accuracy of information received, including the shipper, consignee name and address, first and second notify parties, description, weight, quantity and unit of measure (i.e. boxes, cartons, etc.) of the cargo being cleared?

  1. Do procedures exist for recording, reporting and investigating shortages and overages of merchandise/cargo?

  1. Do procedures exist for tracking the movement of incoming and outgoing goods?

  1. Do you participate in Automated Manifest System (AMS)?

  1. Do procedures exist to safeguard and prevent unauthorized access to the computer systems and information?

Company Name:
  1. Other Security Measures
Please use the space below to describe vulnerabilities or additional security measures you have or plan to put in place that were not previously covered.

W. R. Zanes & Co. of La., Inc. Page 1 of 10