SCAN SECURITY  

FAST Application for U.S./Mexico Highway Carriers

The Customs and Border Protection Bureau (CBP) has implemented this program to simplify border crossing for pre-approved low-risk highway carriers.

U.S. / Mexico border C-TPAT highway carriers will:

• have a demonstrated history of complying with all relevant legislative and regulatory requirements;
• have entered into an undertaking with the CBP to provide the information required in the C-TPAT Security Profile;
• have made a commitment to security-enhancing business practices as required by the U.S. Customs-Trade Partnership Against Terrorism (C-TPAT); and
• use drivers that are in possession of a valid FAST commercial driver card when using FAST clearance.

This document will guide you through the necessary steps to become a C-TPAT approved highway carrier.

What are the benefits?
C-TPAT approved highway carriers will benefit from:

• dedicated lanes (where available) for greater speed and efficiency in the clearance of FAST transborder shipments;
• reduced cost of compliance with customs requirements; and
• a strong and ongoing partnership with the CBP administration in recognition of the objective to enhance security and safety while protecting the economic prosperity of the United States.

Penalties for the providing of false information
The failure to provide true, accurate and complete information in an application may result in denial of this application. Severe penalties are provided by law for knowingly and willfully falsifying or concealing a material fact or using any false document in submitting this application. If you are found in violation of the terms and conditions of this program, we may cancel your privileges and you may be subject to fines, penalties and criminal charges.

C-TPAT Application Qualifications for U.S./Mexico Highway Carriers

1. Be an active international border crossing U.S./Mexico Highway Carrier.
2. Have a business office staffed in the U.S. or Mexico.
3. Have an active U.S. National Motor Freight Traffic Association issued Standard Carrier Alpha Code in the following format:
   • #### SCAC Code (4 Alpha Characters)
4. Have a designated company officer that will be the primary cargo security officer responsible for C-TPAT.
5. Commit to maintaining CBP’s C-TPAT supply chain security guidelines as outlined in the C-TPAT U.S./Mexico Highway Carrier agreement.
6. Create and provide CBP with a C-TPAT supply chain security profile, which identifies how the Highway Carrier will meet, maintain and enhance internal policy to meet the C-TPAT Security Guidelines for U.S./Mexico Highway Carriers.*

*Failure to provide a comprehensive security profile will delay further processing of the company’s C-TPAT application.

C-TPAT Application Instructions for U.S./Mexico Highway Carriers

Step 1. Prepare a C-TPAT Supply Chain Security Profile

Highway Carriers are required to complete and submit to CBP a Supply Chain Security profile that addresses each item in the C-TPAT Security Criteria for Highway Carriers. The Security Profile should summarize the Carrier’s commitment to ensuring adherence to the following C-TPAT Security Criteria for Highway Carriers:

• Business Partner Requirements
  Highway carriers must have written and verifiable processes for the screening of business partners, including carrier’s agents, sub-contracted highway carriers, and service providers, as well as screening procedures for new customers, beyond financial soundness issues to include security indicators, such as business references and professional associations.
• Security Procedures
  Written procedures must exist for screening business partners, which identify specific factors or practices, the presence of which would trigger additional scrutiny by the highway carrier.

For those business partners eligible for C-TPAT certification (importers, ports, terminals, brokers, consolidators, etc.) the highway carrier must have documentation (e.g., C-TPAT certificate, SVI number, etc.) indicating whether these business partners are or are not C-TPAT certified. Non-C-TPAT business partners may be subject to additional scrutiny by the highway carrier.

Highway carriers should ensure that contract service providers commit to C-TPAT security recommendations through contractual agreements. For U.S. bound shipments, C-TPAT highway carriers that subcontract transportation services to other highway carriers, must use other C-TPAT approved highway carriers or carriers under direct control of the certified C-TPAT carrier through a written contract.

Likewise, current or prospective business partners who have obtained a certification in a supply chain security program being administered by a foreign Customs Administration should be required to indicate their status of participation to the highway carrier.

As highway carriers have the ultimate responsibility for all cargo loaded aboard their trailer or conveyance, they must communicate the importance of supply chain security and maintaining chain of custody as fundamental aspects to any company security policy.

Conveyance Security
Conveyance integrity procedures must be maintained to protect against the introduction of unauthorized personnel and material.

• Conveyance Inspection Procedures:
  Driver Inspection Procedures
  The C-TPAT Highway Carriers must have conveyance inspection security procedures that include a physical search of all readily accessible conveyance areas, securing all internal/external compartments, panels and reporting cases in which unmanifested materials or signs of tampering are discovered. Conveyance inspections must be documented utilizing a checklist completed by the driver prior to departure from the last point of loading prior to reaching the U.S. border.

Management Verification Process
The C-TPAT Highway Carrier management must verify adherence to the conveyance inspection procedures by performing periodic unannounced random conveyance inspections for the Highway Carrier’s conveyances en route to the U.S. border. The management conveyance inspection verification process must be documented and records maintained for at least 180 days.

• Conveyance Tracking and Monitoring Procedures
  C-TPAT Highway Carriers must have conveyance tracking and monitoring procedures that include electronic means for tracking driver movement and activity while transporting cargo en route to the U.S. border. Conveyance tracking and monitoring must be documented utilizing an activity log. Highway carrier management must perform a documented, periodic, and unannounced verification process to ensure conveyance tracking and monitoring procedures are being followed.
• Conveyance Storage
  Conveyances must be stored and secured in a manner to prevent unauthorized access to the C-TPAT Highway Carrier conveyances.

Business Partner Requirements
C-TPAT Highway Carriers must have written and verifiable processes for the screening and selection of business partners including customers, contractors, and vendors. Ensure that contracted service provider companies who provide security, transportation, and cargo handling services commit to C-TPAT Security Guidelines. C-TPAT Highway Carriers must periodically review the performance of the service providers to detect weakness or potential weaknesses in security.

Security Procedures

• C-TPAT Business Partners
  For those business partners eligible for C-TPAT certification (cross border carriers, U.S. ports, terminals, importers, brokers, consolidators, etc.) the C-TPAT Highway Carrier must have documentation (e.g., C-TPAT certificate, SVI number, etc.) indicating the business partners are C-TPAT certified.
• Business Partners Not Eligible for C-TPAT
  For those business partners not eligible for C-TPAT certification, C-TPAT Highway Carriers must require their business partners to demonstrate that they are meeting C-TPAT security guidelines via written/electronic confirmation (e.g., contractual obligations; via a letter from a senior business partner officer attesting to compliance; or a written statement demonstrating their compliance with C-TPAT security guidelines or an equivalent World Customs Organization (WCO) accredited security program administered by a foreign customs authority; or, by providing a completed security questionnaire). Based upon a documented risk assessment process, non-C-TPAT eligible business partners must be subject to verification of compliance with C-TPAT security guidelines by the C-TPAT Highway Carrier.
• Point of Origin
  C-TPAT Highway Carriers must ensure business partners develop security processes and procedures consistent with the C-TPAT security guidelines to enhance the integrity of the shipment at point of origin. Periodic reviews of business partners’ processes and facilities should be conducted based on risk and should maintain the security standards required by the U.S./Canada Highway Carrier.
• Participation / Certification in Foreign Customs Administrations Supply Chain Security Programs
  Current or prospective business partners who have obtained a certification in a supply chain security program being administered by foreign Customs Administration should be required to indicate their status of participation to the C-TPAT Highway Carrier.
• Service Provider Screening and Selection Procedures
  The C-TPAT highway carrier should have documented service provider screening and selection procedures to screen the contracted service provider for validity, financial soundness, ability to meet contractual security requirements, and the ability to identify and correct security deficiencies as needed. Service Provider procedures should utilize a risk-based process as determined by an internal management team.
• Subcontracting International Transportation Services
  For U.S. bound shipments, C-TPAT Highway Carriers that subcontract transportation services to other highway carriers, must use other C-TPAT approved carriers or use service providers that are under written contract to provide transportation services to the C-TPAT Highway Carrier.
• Customer Screening Procedures
  The C-TPAT Highway Carrier should have documented procedures to screen prospective customers for validity, financial soundness, the ability of meeting contractual security requirements, and the ability to identify and correct security deficiencies as needed. Customer screening procedures should utilize a risk-based process as determined by an internal management team.

Container Security
Container integrity must be maintained to protect against the introduction of unauthorized material and/or persons. At point of stuffing, procedures must be in place to properly seal and maintain the integrity of the shipping containers. A high security seal must be affixed to all loaded containers bound for the U.S. All seals must meet or exceed the current PAS ISO 17712 standards for high security seals.

• Container Inspection
  Procedures must be in place to verify the physical integrity of the cargo container structure prior to loading, to include the reliability of the locking mechanisms of the doors. An inspection process is recommended for all full and empty containers:

Full:

• Left Side
• Right Side
• Roof
• Outside doors, hinges, hasps
• Undercarriage

Empty:

• Front wall
• Left Side
• Right side
• Floor
• Ceiling/Roof
• Inside/outside doors, hinges, hasps.
• Outside/Undercarriage
• Container Seals
  Written procedures must stipulate how seals are to be controlled and affixed to loaded containers. Procedures must be in place for recognizing and reporting compromised seals and/or containers to US Customs and Border Protection or the appropriate foreign authority. Only designated employees should distribute container seals for integrity purposes.
• Container Storage
  Containers must be stored in a secure area to prevent unauthorized access and/or manipulation. Procedures must be in place for reporting and neutralizing unauthorized entry into containers or container storage areas.

Physical Access Controls
Access controls prevent unauthorized entry to conveyances and facilities, maintain control of employees, visitors and protect company assets. Access controls must include the positive identification of all employees, visitors and vendors at all points of entry.

• Employees
  An employee identification system must be in place for positive identification and access. Employees should only be given access to those secure areas needed for the performance of their duties. Company management or security personnel must adequately control the issuance and removal of employee, visitor and vendor identification badges. Procedures for the issuance, removal and changing of access devices (e.g. keys, key cards, etc.) must be documented.
• Visitors Controls
  Visitors must present photo identification for documentation purposes upon arrival. All visitors should be escorted and visibly display temporary identification.
• Deliveries (including mail)
  Proper vendor ID and/or photo identification must be presented for documentation purposes upon arrival by all vendors. Arriving packages and mail should be periodically screened before being disseminated.
• Challenging and Removing Unauthorized Persons
  Procedures must be in place to identify, challenge and address unauthorized/unidentified persons.

Personnel Security
Processes must be in place to screen prospective employees and to periodically check current employees. Maintain a current permanent employee list, which includes the name, date of birth, national identification number or social security number, position held, and submit such information to CBP upon written request, to the extent permitted by law.

• Pre-Employment Verification
  Application information, such as employment history and references must be verified prior to employment.
• Background checks / investigations
  Consistent with foreign, federal, state and local regulations, background checks and investigations should be conducted for prospective employees. Periodic checks and reinvestigations should be performed based on cause and/or the sensitivity of the employee’s position.
• Personnel Termination Procedures
  Companies must have procedures in place to remove identification, facility, and system access for terminated employees.

Procedural Security
Security measures must be in place to ensure the integrity and security of processes relevant to the transportation, handling and storage of cargo in the supply chain.

• FAST Transponder Controls
  C-TPAT Highway Carriers must have documented procedures in place to manage the ordering, issuance, activation, and deactivation of FAST transponders. C-TPAT Highway Carriers are prohibited from requesting FAST transponders for any highway carrier company that is not owned and controlled by the C-TPAT Highway Carrier. C-TPAT Highway Carriers are also prohibited from requesting FAST transponders for any owner-operator not under written contract to provide exclusive transportation services for the C-TPAT Highway Carrier.
• Documentation Processing
  Procedures must be in place to ensure that all documentation used in the clearing of merchandise/cargo, is legible, complete, accurate and protected against the exchange, loss or introduction of erroneous information. Documentation control must include safeguarding computer access and information.
• Manifesting Procedures
  To help ensure the integrity of cargo received from abroad, procedures must be in place to ensure that information received from business partners is reported accurately and timely. Ensure that all bills of lading and other documentation submitted for cargo is complete and a system in place to verify the accuracy of the weight, marks and quantity of the shipment.
• Shipping & Receiving
  Arriving cargo should be reconciled against information on the cargo manifest. The cargo should be accurately described, weighed, labeled, marked, counted and verified. Departing cargo should be checked against purchase or delivery orders. Drivers delivering or receiving cargo must be positively identified before cargo is received or released.
• Cargo Discrepancies
  All shortages, overages and other significant discrepancies or anomalies must be resolved and/or investigated appropriately. CBP and/or other appropriate law enforcement agencies must be notified if illegal or suspicious activities are detected.

Security Training and Threat Awareness
A threat awareness program should be established and maintained by security personnel to recognize and foster awareness of the threat posed by terrorists at each point in the supply chain. Employees must be made aware of the procedures the company has in place to address a situation and how to report it. Additional training should be provided to employees in the shipping and receiving areas, as well as those receiving and opening mail.

Additionally, specific training should be offered to assist employees in maintaining cargo integrity, recognizing internal conspiracies and protecting access controls. These programs should offer incentives for active employee participation. Conduct periodic unannounced security checks to ensure that all procedures are being performed in accordance with defined guidelines.

Physical Security
Cargo handling and storage facilities in domestic and foreign locations must have physical barriers and deterrents that guard against unauthorized access. U.S./Canada Highway Carriers should incorporate the following C-TPAT physical security guidelines throughout their supply chains as applicable.

• Fencing
  Perimeter fencing should enclose the areas around cargo handling and storage facilities. Interior fencing within a cargo handling structure should be used to segregate domestic, international, high value, and hazardous cargo. All fencing must be regularly inspected for integrity and damage.
• Gates and Gate Houses
  Gates through which vehicles and/or personnel enter or exit must be manned and/or monitored. The number of gates should be kept to the minimum necessary for proper access and safety.
• Parking
  Private passenger vehicles should be prohibited from parking in or adjacent to cargo handling and storage areas.
• Building Structure
  Buildings must be constructed of materials that resist unlawful entry. The integrity of structures must be maintained by periodic inspection and repair.
• Locking Devices and Key Controls
  All external and internal windows, gates and fences must be secured with locking devices. Management or security personnel must control the issuance of all locks and keys.
• Lighting
  Adequate lighting must be provided inside and outside the facility including the following areas: entrances and exits, cargo handling and storage areas, fence lines and parking areas.
• Alarms Systems & Video Surveillance Cameras
  Alarm systems and video surveillance cameras should be utilized to monitor premises and prevent unauthorized access to cargo handling and storage areas.

Information Technology Security
Information Technology (IT) integrity must be maintained to protect data from unauthorized access or manipulation.

• Password Protection
  Automated systems must use individually assigned accounts that require a periodic change of password. IT security policies, procedures and standards must be in place and provided to employees in the form of training.
• Accountability
  A system must be in place to identify the abuse of IT including improper access, tampering or the altering of business data. All system violators must be subject to appropriate disciplinary actions for abuse.

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