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Tips and Glossary for Completing the Partners in Protection Security Profile (v1.3)

Partners in Protection (PIP)

Tips
Glossary

These tips supplement the guidelines provided in the Security Profile, the application for membership in the Partners in Protection (PIP) program. If you have questions after reading these tips, please contact the PIP team at pip-pep@cbsa-asfc.gc.ca.

The application will be rejected and returned to you for correction if information is missing from the Security Profile. To avoid this, please make sure that the Security Profile is completed fully and accurately. If a section does not apply, please indicate that it does not apply and provide a reason why.

Submitting your Security Profile

E-mail the completed Security Profile as an attachment to the PIP mailbox at pip-pep@cbsa-asfc.gc.ca.

Do not send a scanned version of the Security Profile.

Some e-mail servers will not allow a large attachment to be sent. Please add separate attachments for supporting documentation instead of inserting large portions of text into the Security Profile. There is no need to submit security manuals, procedures, etc.; they can be checked during a site validation.

If you cannot e-mail the Security Profile, do not send a paper copy! Please copy it to a CD or diskette and mail it to the PIP program:

Partners in Protection
191 Laurier Avenue West – 10th Floor
Ottawa, Ontario K1A 0L8

The PIP program will send an acknowledgement e-mail within five business days of receiving the Security Profile. If you do not receive this acknowledgement, please contact the PIP program.

Note: PIP members must re-file a Security Profile every three years and provide updates to specific sections when changes occur, such as an address change.

Section 1. Company Information

1.1 Company Name (legal entity)

Fill in the registered name of the company (i.e. the legal entity). Use proper upper and lower case letters. This is how the name will appear on the membership certificate.

One Security Profile is allowed per business number (BN). Keep in mind that only a company can apply, not a division.

1.2 Operating/Doing Business As (if different)

Record other names of the company (other than the legal name given in Section 1.1).

1.3 Business Profile

Business number (BN): a nine-digit number issued to a company when it is registered (the BN does not include the RM extension). A separate Security Profile is required for each BN, including subsidiaries. Divisions and branches should be listed under Section 1.11, "Multiple Locations."
Account security number: a five-digit number issued by the Canada Border Services Agency (CBSA) to a customs broker or importer who has posted security for the release of goods prior to the payment of duties and taxes. If this does not apply, leave this field blank.
Carrier code: a four-character unique identifier that is assigned by the CBSA to a carrier. Carriers that cross the Canadian border with commercial goods more than five times per year must have a carrier code. If this does not apply, leave this field blank.
Dun and Bradstreet DUNS number: a nine-digit number that is assigned to members of this service only.
Business start date: the date on which the company was registered with a BN. If the company changed names or owners, describe the business history in Section 2.4, "Brief Company History/Background."
Number of employees: list the total number of employees in the company. You may include a breakdown by location and branch under Section 1.11, "Multiple Locations."

1.4 Business Sector(s)

Check off all the sectors that apply to the company. Include sectors that are not directly involved in cross-border activities or that do not handle cargo and specify this in Section 1.11, "Multiple Locations," under "Brief Description of Business."

Marine terminal operators should check off “warehouse operator”.

You must complete sections 1 to 11, as well as any additional sections that may be required according to what sectors you check off. These are indicated beside the modes. For example, Section 12 must be completed by those who select "highway carrier."

1.5 Participation in Other Programs

Check off all the programs that the company participates in.

Customs Self Assessment (CSA): a pre-approval program for commercial goods entering Canada.
Free and Secure Trade (FAST) Canada (applicable for entry into Canada): check off this box only if the company is a FAST importer and/or a FAST carrier. This does not apply to FAST-approved drivers. To be a member of FAST into Canada, you must be CSA- and PIP-approved.
FAST ((U.S.) (applicable for entry into the United States): Check off this box only if the company is a FAST importer and/or a FAST carrier. This does not apply to FAST-approved drivers.
Customs-Trade Partnership Against Terrorism (C-TPAT): if applicable, provide the eight-digit numeric (no alphabetic characters) C-TPAT account number.
Authorized Economic Operator (AEO) country or countries: identify any countries that have a recognized AEO program that meets the World Customs Organization's Framework of Standards to Secure and Facilitate Global Trade (SAFE) and by which the company has been certified.
Other programs: identify other cross-border, low-risk programs in which the company participates.

Companies based in the United States should provide this additional information:

U.S. carriers — Standard Carrier Alpha Code (SCAC): a unique code that is used to identify transportation companies. It is typically two to four alphabetic letters long.
U.S. importers — importer of record (IOR) number: the unique identifying number of the party that is primarily responsible for paying duties on merchandise. The IOR number must be one of the following:
- Internal Revenue Service (IRS) number;
- Employer Identification Number (EIN);
- social security number (SSN); or
- Customs and Border Protection (CBP) assigned number (this is the same number as the “importer of record number” on U.S. CBP Form 3461).
U.S. manufacturers — manufacturer ID (MID): an identification number used by U.S. CBP in its electronic data processing system to identify each manufacturer whose goods are shipped to the United States.

1.6 CBSA PIP Web Site

Choose "yes" or "no" to indicate whether the company wishes to be listed on the CBSA Web site as a member of the PIP program. If the decision changes later, the company will need to send a request in writing to the CBSA.

1.7 Company Web site Address

List all the Web site addresses of the company.

1.9 Business Address

Unit number: include the street number and unit number, such as 10-A or #301-1993.
Street: include the street name, street type and direction, if applicable.

1.10 Names and Dates of Birth of all Company Directors

List the directors who are involved in company operations and/or have signing authority. If the company has divisions, only list the directors responsible for the company, not those responsible for the divisions. Companies that are owned by other companies (subsidiaries) should not list parent company directors or external boards of directors.

To perform an accurate and complete risk assessment, the PIP program must verify the identity of all company directors to confirm whether they have been charged with any federal or provincial offence, or any offence outside Canada. The application will be rejected if this section is left blank.

Note: The personal information of company directors is not disclosed.

1.11 Multiple Locations

List all locations operating under the BN. If there are more than nine locations, list them on a separate attachment and include this with your submission.

Under "Brief Description of Business," identify the locations and divisions that are not directly involved in cross-border trade or that have no contact with cargo.

The RM (import-export) extension of the BN, and any other applicable numbers such as additional carrier codes, should be shown here if they have not been included in previous sections.

If "warehouse operator" was checked off in Section 1.4, "Business Sector(s)," indicate whether cargo is stored in the warehouse or if the warehouse is a service centre.

Section 2. Company Contact Information

2.1 Company Contact

The contact person should be someone at the local or operational level who deals with security or PIP-related issues.

2.2 Security Profile Completed By

Record the name of the person (owner, employee or third party) who completed the application and include his or her job title.

If the Security Profile has been completed by a third party, such as a consultant, a letter of authorization signed by the company director must accompany the Security Profile.

2.3 Security Profile Completed On (yyyy-mm-dd)

Record the date that the Security Profile was completed by the person identified in section 2.2.

2.4 Brief Company History/Background

Provide as much information as possible, including the company's size, operations and any name changes or change in ownership. If possible, include a separate attachment showing the structure of the company (e.g. organizational chart).

2.5 Criminal Offences

This data is used in conjunction with the information provided in Section 1.10, "Names and Dates of Birth of all Company Directors," to verify the "good character" requirement for PIP membership. Should the PIP program discover offences that are irrelevant for membership or risk assessment purposes, this information is not used.

Note: Criminal offence information is used solely in the PIP risk-assessment process and is not shared outside the PIP program.

2.6 Correspondence Language

Select the preferred official language for communicating with the PIP program.

Section 3. Physical Security and Access Controls

3.1 Facilities

List all of the significant materials that the company's facilities are constructed of, such as steel or wood framing, stucco, siding or brick exterior, wood or metal doors and frames, and shatterproof coatings on windows.
Confirm that all doors, windows, gates and fences are secured with locking devices; provide more details in the sections that follow.
Specify whether the premises are inspected for possible breaches or security gaps and indicate the frequency of such inspections.
State what actions are taken if a security breach occurs.

3.2 Key Control

Identify who controls the issuance of locks and keys and how.
Include details on how access to buildings and keys to vehicles is controlled. Be more specific than "only authorized personnel have access."

3.3 Lighting

Describe the lighting. List the areas that are lit and how they are lit (e.g. emergency battery-powered back-up lighting that automatically goes on in cases of power failure).
Explain why this is considered adequate (e.g. one can clearly see faces or cargo).

3.4 Communications

Describe the process for contacting internal and external security officials.
Indicate if the company uses telephones, two-way radios, auto-dial alarm systems, etc.
Explain if dispatchers, managers, third parties, etc. are involved in the chain of communication.
If a back-up system exists, provide information about it and how it is tested.

3.5 Parking

Explain how parking is controlled (e.g. indicate whether signs are in place showing restricted areas).
Indicate whether visitor parking is separate from cargo-handling areas.
Explain how the company prevents private vehicles from entering cargo-handling areas.
Indicate whether records are kept and where vehicles enter and exit the facility.

3.6 Fencing

Describe any existing fencing (e.g. the material it is made of, its height, the areas it encloses, whether there are any holes or gaps, and whether there are any areas that pose a risk).
Explain why this is adequate or, if there is no fence, explain why it is not necessary.
Include the inspection schedule for the fencing and indicate whether it is followed.

3.7 Signage

Provide as much detail as possible to describe the signage that exists (e.g. identify directional signage, signage for visitor parking and employee parking, and where it is placed).
Indicate whether signage identifying the use of surveillance equipment exists.

3.8 Gates and Gate houses

Specify how many gates there are and identify the hours they are manned or monitored (e.g. one gate manned 24/7).
Indicate whether the gates are closed and locked during off-hours.

3.9 Alarm Systems and Video Surveillance

Provide as much detail as possible.
Include information on how the systems are monitored during hours of operation and after-hours.
Indicate whether an alarm monitoring company is used and whom that company should contact if there is a breach.
Indicate whether all windows and doors have alarm contacts, and list what areas are covered by motion sensors.
Indicate whether cameras have been installed, how many there are, where they are and at what height, and how they are installed.
Explain how the cameras are monitored, where the monitoring screens are located, who views them and how often.
Describe what the video surveillance covers and how effective it is at night.
Indicate whether the surveillance tapes are reviewed periodically.
Indicate how long the surveillance tapes are retained.

3.10 After-Hours Access

Indicate the normal hours of operation.
List the persons who have access to the facility outside normal operating hours and under what circumstances they would need to enter the premises.
Explain how access is controlled to facilities when no employees are present.

3.11 Physical Access Controls

Provide information on access controls during and after hours of operation. Include the following relevant information:

How access points are controlled and how entry is restricted to secure areas;
How the facilities are patrolled or monitored;
The procedures to control keys and identification, how often these are updated and who is responsible for them;
What happens when keys or identification is lost;
How the company prevents unauthorized access to the premises; and
The procedures in place for any of the above items or if a breach occurs. Indicate if there are no procedures.

3.12 Employees

Explain how the company identifies authorized personnel. Do employees carry identification for access purposes?
Explain how (the company issues, changes and removes employee access and identification (e.g. when an employee retires or is fired).
Describe the policy for controlling employee identification.

3.13 Visitors

Describe the screening method for visitors. Indicate what identification is required.
If no screening method exists, provide information such as whether a visitor log is kept, if visitors have to be escorted and if certain areas are restricted to visitors.

3.14 Challenging and Removing Unauthorized Persons and Vehicles

Describe the procedures that are in place.
Specify who is designated to carry this out and, if contact is made, with whom.

3.15 Deliveries (including mail)

This refers to how deliveries are handled by the company; this does not include cargo. Include information such as the following:

What procedures are in place for identifying vendors and delivery personnel and for controlling how their access; and
Whether packages are screened and if so, how

Section 4. Procedural Security

4.1 Process Mapping

Illustrate or describe step-by-step the flow of goods and documentation/information from the point of origin to its final destination.
Include information on domestic and foreign processes, such as the transportation, handling, documentation and customs clearance of cargo, including:
- Origin of cargo (supplier or factory)
- Origin of packaging
- Origin of container (if containerized cargo)
- Packaging of cargo
- Consolidation of cargo/sealing of container (if containerized cargo)
- Storage awaiting transport
- Movement of cargo to port of shipping
- Port of shipping (airport, marine terminal or facility, trucking company)
- International transportation
- Port of entry (airport, marine terminal or facility, border port of entry)
- Movement to deconsolidation point
- Storage waiting for processing
- Deconsolidation
- Movement to destination
- Information flow associated with cargo (end-to-end)

4.2 Shipping and Receiving (drivers)

Specify how drivers picking up and dropping off cargo are identified.
Indicate whether anyone supervises the pick up and drop off of cargo and if so, who.

4.3 Cargo Tracking

Provide a brief description of the procedures to track the movement of cargo while it is on route.
Explain what happens if there is a delay.

4.4 Cargo Reconciliation

Explain how the company verifies that cargo matches the information on the manifests, bills of lading, etc.
Indicate whether these checks include verifying weight, labels, piece counts, etc.
Briefly describe the procedures in the event of overages or shortages. Identify which authority in the supply chain the company would contact. Be specific. For example, “identifying the necessary authorities” is too vague.

4.5 Security Sweeps

Indicate whether random, unannounced security assessments are performed and if so, how often.
Describe the procedures the company has to test existing security plans and procedures.

4.6 Reporting Anomalies or Suspicious Cargo Activity

Describe the procedures when illegal or suspicious activity is discovered.
Include whom the company would contact in these situations. Be more specific than "appropriate authorities."
Indicate whether the company knows about, promotes and/or uses Border Watch.

You may report suspicious cross-border activity to the CBSA in a number of ways:

Inform a border services officer at a point of entry into Canada;
Inform an intelligence officer assigned to the region;
E-mail the PIP mailbox at pip-pep@cbsa-asfc.gc.ca; or
Call the Border Watch toll-free 24/7 hotline at 1-888-502-9060.

4.7 Cargo Documentation Processing

Describe the procedures in place to ensure that shipment information is accurate and complete.
Include information on how the company ensures that shipment documentation is protected.

Section 5. Container, Trailer and Rail Car Security

5.1 Cargo Integrity

Specify the types of conveyances the company uses.
Indicate the type and brand of seals and/or padlocks that the company applies to these conveyances.
Indicate whether the seals are ISO/PAS 17712-approved and how the company verifies this.
Explain how the company's sealing procedures cover all stages of shipping (from the point of origin/stuffing to the destination).
Explain how the company tracks the use of seals.
Describe the procedures to control, assign, store and destroy seals and padlocks.

5.2 Container, Trailer and Rail Car Inspections

Indicate whether procedures are in place for inspections, including at the point of origin.
Provide a description of inspection procedures (who, what, how and when).
Indicate whether locking mechanisms are checked.

5.3 Container, Trailer and Rail Car Seals

Describe the procedures used by the company's foreign business partners to sealing cargo. These foreign business partners should have written procedures explaining how seals are to be attached to loaded containers, including how they are to be logged, who is designated to handle the seals, and how to report any compromised seals and to whom.

5.4 Container, Trailer and Rail Car Storage

Explain how the company ensures the security of containers, trailers and rail cars when they are not in use.
Describe the policies and procedures in place to prevent unauthorized access.
Explain what happens if a breach is detected.

Section 6. Data and Document Security

6.1 Cargo Manifest/Forms

Briefly describe the procedures to control the storage of cargo documentation and forms.

6.2 Information Technology (IT) Security

Describe the plans and procedures in place to protect electronic data (e.g. password protection and how often passwords are changed).
Describe the policies on IT security. Indicate if none exist.
Indicate whether employees are trained on IT security procedures.

6.3 Company Policies on IT Violations

Describe the procedures in place to identify electronic tampering or unauthorized access to business data.
Indicate whether security audits are performed and if so, how often.
Describe the disciplinary policy for dealing with violations.

Section 7. Personnel Security

7.1 Pre-Employment Application Verification

Describe the procedures in place to verify the employment history and references of all potential employees and/or contractors.
Indicate whether the company maintains a permanent employee list.

7.2 Employee Background Checks

Describe the type of information verified and how far back the company checks.
Describe the checks done on permanent employees.

7.3 Terminated/Departing Employees

Briefly describe the procedures in place to remove identification cards, and IT system and facility access.
Detail the procedures to check that all company property has been returned upon employee departure.

Section 8. Security Training and Awareness

8.1 Corporate Security Policies

Indicate whether the company has a security awareness training program for current and/or new employees.
Briefly describe the topics covered in this training.
Indicate whether training is done on a regular basis and how often it is updated.

8.2 Security Awareness

Describe the policies and procedures in place relating to security.
Indicate whether training is documented for each employee, i.e. is a record of attendance kept and if so by whom?
Explain how active employee participation is encouraged.

8.3 Security Policy Manual

Indicate whether the company has a security policy manual that describes security guidelines and who maintains this manual.

Section 9. Business Partner Requirements

Business partners are the firms that the company does business with that are involved in the flow of goods, from point of origin to final destination. Examine the company's process mapping (see Section 4.1) and identify who the business partners are.

9.1 Selection Criteria

Describe the written standards and procedures in place to select service providers, suppliers, sub-contractors, new customers, etc.
Explain how their backgrounds and security processes are checked.
Explain how the company assesses risk and what would trigger additional scrutiny.

9.2 Satisfying the Business Partner Security Requirements

Explain how the company verifies that the security standards of its business partners (local and foreign) meet PIP security requirements.
Indicate whether the company has documented procedures to do this.
How often does the company check the security practices of its business partners?

9.3 Business Partners – Point of Origin

Explain how it is verified that the point-of-origin business partner for the company's cargo follows security plans and procedures that meet PIP requirements if the business partner is not a PIP member.
Indicate how often the company performs risk assessments.

9.4 Business Partners – Other Internal Selection Criteria

Indicate what factors the company considers when selecting business partners.
What supply chain security programs do the business partners belong to?

Section 10. Supply Chain Security Planning

10.1 Determining Risks

Describe the procedures in place to identify, analyze and reduce supply chain security risks.

10.2 Compliance with the Security Profile

Describe the company's procedures for regularly reassessing its compliance with this Security Profile.

10.3 Contingency Planning

Describe the procedures in place for covering emergency or security situations that could happen to the company.
Explain which situations are covered.
Explain how the company ensure that everyone knows what to do.
Indicate whether the company has a plan on how to continue doing business in the event of an interruption, such as an emergency or security situation.

Section 11. Other Security Measures

11.1 Other Security Measures

List any other procedures, policies or actions in place that help the company reduce risk.

If any of the selections you made in Section 1.4 were connected to sections 12 to 17, please complete these sections. These sections allow for more detailed information to be provided regarding the particular business sector you selected (e.g. if "carrier" was selected, Section 12 must also be completed).

Section 12. Highway Carrier

12.1 Physical Security and Access Controls

Describe the procedures in place to prevent, detect and discourage unauthorized access to conveyances.
Briefly explain how the facilities are physically secure.
Explain how the company ensures that physical security is adequate throughout the supply chain.

12.2 Document Review

Indicate what steps the company takes to identify suspicious cargo shipments.
Describe the procedure to follow when a suspicious cargo shipment is identified.

12.3 Bill of Lading/Manifesting Procedures

Briefly describe the procedures in place to ensure that information is reported accurately and in a timely manner.
Indicate whether bill of lading information shows the first foreign location/facility where the carrier takes possession of the cargo destined for Canada.

12.4 Conveyance Inspection Procedures

Describe the procedures the company's drivers follow when they perform truck and trailer inspections.
Indicate whether random checks are done after inspections.
Explain how the company identifies higher-risk shipments.

12.5 Trailer and Container Security

Explain how containers and trailers in the company's possession are secured.
Indicate which components of containers and trailers are inspected.
Explain what happens if unauthorized access is suspected or discovered.
Describe the procedures if structural changes (e.g. hidden compartments) are discovered in trailers, tractors or other rolling-stock equipment that crosses the border.

12.6 Conveyance Tracking and Monitoring Procedures

Explain how the company tracks and monitors conveyance and trailer integrity while they are en route.
Indicate whether random route checks are done.
Indicate whether drivers must report route changes or delays to the dispatcher.
ndicate whether management performs checks on monitoring activities and logs.

12.7 Trailer Seals

Indicate whether all international shipments are secured with approved seals.
Describe the type of seals used and if they meet ISO/PAS 17712 standards.
Indicate whether written procedures exist for drivers to control seals in their possession during transit; provide a brief description of these procedures.
Explain how the company ensures that these procedures are being followed.

12.8 Less Than Truck Load (LTL)

Briefly explain how the company secures LTL shipments.

Note: The PIP program has modified its Seals Guidelines to state that high-security padlocks or similar appropriate locking devices can be used instead of high-security seals when there are multiple stops to pick up or deliver local freight. However, conveyances must be secured with a high-security seal in order to cross the border.

12.9 Business Partner Requirements – Security Procedures

Describe the written procedures that exist for screening business partners.
List the factors or practices that would trigger additional scrutiny of business partners.
Explain how the company checks, documents and tracks whether business partners and sub-contractors meet (and continue to meet) PIP security criteria.

Section 13. Customs Broker

13.1 Screening and Selection Criteria/Service Providers

Briefly describe the procedures to select service providers/sub-contractors and indicate whether these procedures are in writing.
Indicate which factors and/or risks are assessed.

13.2 Customer Screening Procedures

Briefly describe the company's procedures to select customers and indicate whether these procedures are in writing.
Indicate which factors and/or risks are assessed.

Section 14. Courier

14.1 Cargo Reconciliation

Indicate whether shipments are reconciled against manifests.
Briefly explain how the company detects and reports cargo shortages and overages.
Explain how shipments are verified to ensure that they are accurately described.

14.2 Express Cargo Documentation Processing

Explain how it is ensured that information used in express cargo clearing is legible, complete and accurate.
Explain how the information is protected from tampering.
Describe the procedures in place to ensure that business partners report information accurately and on time.

14.3 Container Inspection (if applicable)

Describe the inspection procedures in place to verify the integrity of all containers before they are stuffed and packed.
Indicate whether the locking mechanisms on container doors are checked.

14.4 Trailer Inspections

Briefly describe the company's procedures to inspect empty trailers, including the examination points.
Indicate whether inspections are done at the truck yard and the point of loading.

14.5 Conveyance Inspection Procedures

Briefly describe how the company inspects conveyances.
Indicate whether inspections are done when conveyances (including trailer and tractor) enter and depart the truck yard and whether they are done at the last point of loading before reaching the border.
Indicate whether training exists for drivers on inspecting their conveyances.
Indicate whether a security manager performs spot checks.

14.6 Determining Risks

Indicate whether written procedures exist to identify and analyze supply chain risks.
List the factors or practices that may deem a shipment to be of higher risk; indicate whether these are found in the written procedures.
List the steps identified to reduce these risks.

Section 15. Marine Carrier

15.1 Lighting

Indicate what lighting is provided at the pier and waterside of the vessel.

15.2 Alarm Systems and Video Surveillance

Indicate whether all of the company's locations have adequate alarm systems and video surveillance to prevent unauthorized access to vessels and cargo handling and storage areas. If not, explain why.
Indicate whether the areas have signs pointing out the use of surveillance equipment.

15.3 Boarding and Disembarking Vessels

Indicate whether a vessel visitor log is maintained.
Indicate whether the vessel's security plan requires temporary visitor passes and whether this is enforced.
Indicate what identification is required for crew, employees, vendors and visitors.
Indicate when identification must be displayed.

15.4 Passengers and Crew

Indicate whether the vessel complies with Canadian notice of arrival and departure requirements.
Indicate whether advance transmission of data is provided to the Government of Canada and the CBSA.
Explain how the company ensures that information associated with international passengers and crew is reported accurately and on time.

15.5 Bill of Lading/Manifest Procedures

Briefly describe the company's procedures to ensure that information is reported accurately and in a timely manner.
Explain how overages and shortages are investigated and reported.
Explain what the company does if it discovers inconsistencies, significant discrepancies or anomalies.
Indicate whether bill of lading information shows the first foreign location/facility where the company has taken possession of the cargo destined for Canada.

15.6 Container Inspection

Indicate who in the company is responsible for inspecting empty containers.
Indicate whether all empty containers are visually inspected at the port of lading.

15.7 Container Seals

Briefly describe the procedures in place for controlling seals and indicate whether these procedures are in writing.
Indicate whether there are procedures in place to recognize a compromised seal.
Describe what happens if a compromised seal is discovered.
Indicate who is responsible for distributing container seals.

15.8 Deserter/Absconder Notifications

Explain how the company verifies that all crew members are present prior to departure.
Describe what happens if the company discovers that a crew member has deserted or absconded.

15.9 Business Partner Requirements – Selection Criteria

Briefly describe the company's written procedures to screen and select customers, agents and service providers.
Indicate what factors and/or risks are assessed.
List the factors or practices that would trigger additional scrutiny.
Indicate whether and how often reviews are conducted.

15.10 Business Partners/Point of Loading

Describe the company's procedures to review customer requests that could affect vessel and cargo safety.

Section 16. Air Carrier

16.1 Air Cargo Facilities

Provide details on the construction materials of the company's cargo handling and storage facilities that demonstrate they can resist unlawful entry.
Indicate who is responsible for inspecting and repairing the facilities and how often this is done.
Provide details on how the building is secured, including descriptions of the security and locking mechanisms on doors, windows, gates and fences.

16.2 Procedural Security

Describe the company's security plans and procedures to ensure the integrity and security of the baggage supply chain and air cargo.
Provide a description of the procedures to ensure that all checked baggage belongs to a checked passenger on the aircraft.

Section 17. Rail Carrier

17.1 Privately Owned Vehicles

Provide details on how the company monitors vehicles that are parked close to rolling stock that crosses the international border.

17.2 Physical Access Controls

Explain what the company does to prevent unauthorized access to rail property and rail cars.
Explain how visitors, service providers and vendors are identified and monitored.
Explain how employees are identified.
Indicate how often spot inspections are conducted of motor vehicles on railroad property where international shipments are handled; indicate who conducts these inspections.

17.3 Employees

Specify how the company controls employee access to high-security areas.
Describe the procedures in place to issue and remove employee identification badges and access devices, and how this is controlled.
Indicate whether spot checks of identification are carried out and if so, how often.

17.4 Unauthorized Persons

Describe the preventive methods used to discourage unauthorized persons from gaining access to trains crossing the international border.
Describe the procedures in place to detect or prevent goods that are not manifested.
List the steps taken to increase the probability of detecting unauthorized persons and goods that are not manifested.
Indicate whether employees are encouraged to report suspicious persons, goods or activities.
Describe the safety and security training that is provided to employees who work where international shipments arrive.

17.5 Rail Car Seals

Provide details on written procedures to control seals during transit.
Explain how the company ensures that these procedures are understood and being followed.
Indicate whether all loaded rail cars destined for export are secured with approved seals.
Describe the type of seals used and if they meet ISO/PAS 17712 standards.

17.6 Rolling Stock Security

Describe the company's procedures to protect against unauthorized personnel and material.
Indicate whether there are procedures in place to guard against the loading of contraband on rail cars while they are in transit to the border; provide details.
Describe the procedures in place for reporting unauthorized entry into rail cars and locomotives.
Indicate whether the company maintains inventory information and movement records on each rail car.
Describe the physical rail car tracking technology the company uses.

17.7 Inspection Procedures

Explain how rail personnel carry out inspections of their rail cars and locomotives and what they look for.
Indicate whether systematic inspections are conducted before the train reaches the border.
Briefly describe the company's training related to conveyance searches.

17.8 Business Partner Requirements – Security Measures

Briefly describe the procedures in place to screen and select business partners, including customers, agents, sub-contracted rail carriers and service providers. Indicate whether these procedures are in writing.
Indicate what factors and/or risks are assessed.
List the factors or practices that would trigger additional scrutiny of business partners.
Indicate whether and how often reviews are conducted.
Explain how the company verifies, documents and tracks whether business partners meet PIP security criteria.

Glossary

Applicant

An applicant is a person or organization that submits an application to the PIP program.

Authorized Economic Operator (AEO)

The AEO is a concept developed by the World Customs Organization (WCO) that became part of its SAFE Framework of Standards in 2007. An AEO is defined as a party involved in the international movement of goods in whatever function that has been approved by or on behalf of a national customs administration as complying with WCO or equivalent supply chain security standards. These security standards are detailed in the SAFE Framework.

Bill of lading

A document that is issued by a shipper to a carrier. The bill of lading states the terms of the contract for cartage, the goods to be shipped and acknowledges their receipt. The shipper is responsible for completing the bill of lading and for providing the completed document to the carrier at the time the shipment is sent. The carrier provides a copy to the importer as evidence of the transfer of goods. If a bill of lading has all the information required by the Canada Border Services Agency (CBSA), it is often used as a manifest, and the cargo control number is added to the document by the carrier.

Business partner

For PIP purposes, business partners include every company (in Canada or overseas, from the point of origin to the final destination) the applicant deals with that is involved with the merchandise being imported into Canada or exported to other countries.

CBSA

Canada Border Services Agency

Cargo control document (CCD)

A manifest that acts as the initial record of a shipment arriving into Canada and enables the CBSA to control the movement of goods being imported and exported.

Cargo control number (CCN)

An identifier number assigned to each manifest or cargo control document. Once submitted and accepted by the CBSA, the manifest and the CCN are monitored by the CBSA to ensure the proper clearance and closure of the shipment.

Commercial goods

Goods imported into Canada for sale or for any commercial, industrial, occupational, institutional or other similar use.

Conveyance

Any vehicle, aircraft or water-borne craft or any other device that is used to move persons or goods.

Customs Self Assessment (CSA)

The CSA program is delivered by the CBSA and gives approved importers the benefits of a streamlined accounting and payment processing system for all imported goods.

Customs-Trade Partnership Against Terrorism (C-TPAT)

C-TPAT is a U.S. program that is equivalent to Canada's PIP program; it is administered by U.S. Customs and Border Protection.

Free and Secure Trade (FAST)

FAST is a joint Canada–U.S. program that allows pre-approved importers, carriers and registered drivers to move pre-approved eligible goods across the border quickly. To benefit from using FAST lanes into Canada, companies must be members of both the CSA and the PIP programs. Requirements for FAST entry into the U.S.are different.

Goods

Items of merchandise, finished products, supplies or raw materials, including modes of transport and animals.

High-security seals

Seals are defined as (I) indicative, (S) security or (H) high security. General requirements stipulate that seals must be strong and durable against weather, chemical action and undetectable tampering; easy to apply and fasten; and permanently and uniquely marked. The seal manufacturer's logo should also be easily identifiable. For PIP purposes, companies must agree to use seals that meet the “H” level standard.

International Organization for Standardization/Publicly Available Specification (ISO/PAS) 17712

This standard defines the various types of mechanical security seals available and describes in detail the general performance requirements for each product type and the testing specifics.

International supply chain

The transport and logistics system (organizations, people, technology, activities, information and resources) for the world's cargo. The international supply chain encompasses manufacturing, procurement and distribution, and involves multiple enterprises, including suppliers, manufacturers and retailers who work together to meet a customer need for a product or service.

Information technology (IT)

The use of computers and software (or any technology) to process, convert, store, retrieve, transmit or communicate information.

Manifest

An itemized list of the contents of a shipment for customs clearance (also known as a cargo control document), which includes the cargo control number. The manifest is prepared based on information from the shipper (bill of lading) and acts as the initial record of a shipment arriving into Canada.

Memorandum of understanding (MOU)

Under the PIP program, the MOU is the agreement signed by the PIP member and the CBSA that outlines their roles and responsibilities as partners.

Packing list

A detailed list of the contents of a shipment, including quantities, items, model numbers, dimensions and net and gross weights. A packing list should specify per carton or crate the number and type of units of material inside. The shipper gets the packing list ready at the time the goods are being prepared for shipping. There is no standard format for packing lists. Although it is not a required customs document, the packing list is often used by the customs broker to obtain additional information about the shipment.

Risk

The expectation that a threat may succeed and the potential damage that can occur.

Risk assessment

The PIP program focuses on determining how cargo can be kept secure. A risk assessment is a documented component of risk management that involves the following:

Identifying, evaluating and estimating the significance of vulnerabilities and the likelihood of damage involved in a situation;
Comparing the cargo against benchmarks or standards and determining the acceptable level of risk; and
Applying techniques to reduce uncertainty of the outcomes.

RM Number

A two-letter, four-digit account identifier that appears at the end of the business number. RM numbers are used to report import/export revenue, and these numbers are often assigned to a division, branch or product line. A company can have no RM numbers or one or more RM numbers under its business number. An RM account is NOT a separate business/legal entity.

Registration number
1	2	3	4	5	6	7	8	9

Account identifier
Program identifier		Reference number
R	P	0	0	0	2

SAFE Framework of Standards

The Framework of Standards to secure and facilitate global trade (SAFE) is a regime developed by the World Customs Organization and adopted by its members. The SAFE Framework provides guidelines for the Authorized Economic Operator (AEO) concept. Under this concept, countries offer AEO programs with similar minimum security requirements and processes for securing the supply chain. Private sector entities can become members of their country's AEO program if they meet the requirements. The SAFE Framework contains guidelines for benefits that may be granted to an approved AEO member.

Security measures

The use of physical objects, actions, procedures, processes and policies as precautions against theft, espionage, sabotage, etc.

Security Profile

The application form for the PIP program. Applicants provide information on their specific security measures and on their international supply chain. This information is used to determine their eligibility for membership.

Site validation report

The CBSA conducts a site validation to verify the information provided in an applicant's Security Profile by physically inspecting the company's premises. The findings are documented in a site validation report and forwarded to the PIP applicant. The report also lists recommendations on how the PIP applicant can improve supply chain security.

World Customs Organization (WCO)

The WCO is an intergovernmental organization that helps members (174 customs administrations around the world) communicate and cooperate on customs issues. It develops agreed rules on customs procedures and provides advice and assistance to customs services.