Reminder: Phase 1 of the New C-TPAT Criteria for Rail Carriers Takes Effect for Existing Members on October 29th

In its implementation plan, CBP had stated that rail carriers wishing to join the C-TPAT program on or after August 29, 2006, would need to meet or exceed the security criteria before they will be "certified" and eligible for benefits.

For rail carriers that were already C-TPAT members, CBP had stated that implementation would occur in three phases, as follows:

Phase 1 (October 29, 2006)

Under the first phase, existing rail carriers will have until approximately October 29, 2006 (60 days from the August 29, 2006 effective date) to immediately solidify their international supply chain by focusing on the physical and more traditional security areas consisting of the following:

Rolling Stock Security (inspections, rail car, locomotive security, etc)

Physical Access Controls (employees, visitors, etc)

Physical Security (fencing, lighting, parking, etc.).

All C-TPAT member rail carriers will be required to ensure compliance with these three elements by approximately October 29, 2006.

Phase Two (December 29, 2006)

Phase two will address more internal and/or procedural elements. Specifically, under phase two, current members will have until approximately December 29, 2006 (120 days from the August 29, 2006 effective date) to ensure compliance with the following criteria:

Conveyance Tracking and Monitoring (unforeseen stops, etc)

Seals (sealing procedures, seal control, etc)

Personnel Security (background checks, employee hiring-firing, etc.),

Procedural Security (documentation, manifesting procedures, etc.)

Security Training and Threat Awareness

Information Technology Security (password protection, etc.).

CBP states that a longer timeframe is necessary for these elements due to the business procedure changes that are most likely necessary to attain compliance.

Phase Three (February 28, 2007)

Phase three will address the remaining and more cumbersome requirement of leveraging security throughout the business partners. Specifically, under phase three rail carriers will have until approximately February 28, 2007 (180 days from the August 29, 2006 effective date) to ensure compliance to the following:

Security Procedures

Business Partner Requirements

According to CBP, the longer timeframe necessary for this area to allow rail carriers to make necessary changes to the rail carrier's business practices such as contractual agreements, supplier/vendor identification, etc.

Official Statement of Compliance Not Required

C-TPAT member rail carriers will not be required to certify or provide an official statement to CBP of their compliance with the new minimum-security criteria. As a result of the wide dissemination of the security criteria, it will be made clear that each member rail carrier is responsible for compliance within the timelines outlined. Validations will be used as the means to assess compliance with these criteria. C-TPAT Program Officers and Supply Chain Specialists will continue to work in partnership with members towards attaining full compliance, and addressing member-specific issues as they arise.

(See ITT's Online Archives or 09/05/06 news, 06090510, for BP summary of the new C-TPAT security criteria for rail carriers.

See ITT's Online Archives or 09/05/06 news, 06090515, for BP summary of the details of CBP's implementation plan for the new C-TPAT rail carriers.)

C-TPAT Implementation Plan for Minimum Security Criteria for Rail Carriers, including information on consequence of noncompliance (dated 08/28/06) available at http://www.cbp.gov/xp/cgov/import/commercial_enforcement/ctpat/security_criteria/sec_criteria_rail/rail_implementation_plan.xml