BEALL’s, INC.

C-TPAT
Expectations for
Agents, Vendors &
Manufacturers
For Distribution to all new and existing Beall’s import related Business Partners

Last Updated: 1/27/2009

TABLE OF CONTENTS
INTRODUCTION……………………………………………………………………………………………….………………………… 3

I. BUSINESS PARTNER SECURITY………………………………………..…………………….. 6

II. CONTAINER SECURITY…………………………………………………………………………………….. 10

III. PHYSICAL ACCESS CONTROLS……………………………………………………………………… 13

IV. PERSONNEL SECURITY………………………………………………………………………………………. 15

V. PROCEDURAL SECURITY………………………………………………………………………………….. 17

VI. SECURITY TRAINING & AWARENESS…………………………………………………………… 20

VII. PHYSICAL SECURITY…………………………………………………………………………………………… 21

VIII. INFORMATION TECHNOLOGY…………………………………………………………………..…… 24

IX. ATTACHMENTS……………………………………………………………………………………………………. 25
Beall’s C-TPAT Expectations Vendor Acknowledgement Form…………………. 26
Beall’s Self-Assessment Form………………………………………………………………………………. 27
Beall’s Vendor Container 7-point Inspection Form……………………………….…….... 31
Beall’s C-TPAT Contact Information…………………………………………………………………. 32

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Introduction
In the wake of 9/11 the Bureau of Customs and Border Protection (“CBP”)
immediately tightened security at U.S. borders and cautioned the importing community of
the susceptibility of the supply chain to breaches in cargo security. It also prompted CBP to
institute a voluntary security program known as the Customs-Trade Partnership Against
Terrorism (C-TPAT). This joint initiative between CBP and the global business community
will not only strengthen the supply chain but it will also give visible benefits to those
companies choosing to join. In exchange for implementing improved security practices and
communicating security requirements to their business partners, importers can expect to
have reduced inspections and quicker clearance of imported freight. By participating in the
C-TPAT program, Beall’s hopes to increase vigilance amongst its employees and partners,
and establish a more secure and efficient supply chain. By setting a precedent for our
foreign counterparts, Beall’s will prove itself to be a leader in supply chain security.

We at Beall’s understand that if our supply chain were disturbed by an act of

terror, it could have a significant impact on our business and business relationships. Beall’s
has taken steps internally to protect its supply chain against security breaches and acts of
terrorism. Likewise, we are asking our business partners to enhance their safety and
security procedures in the following areas:

1. Business Partner Security

2. Container Security
3. Physical Access Controls
4. Personnel Security
5. Procedural security
6. Security & Awareness Training
7. Physical security
8. Information Security

Beall’s has developed a list of requirements for each of these specific areas of focus
noted above. We recognize that some of the requirements may be based on U.S. standards
and may not be possible to implement in other countries. We also recognize that certain
requirements may not be appropriate for some vendors due to the factory’s size and
structure.

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 However, it is important for each business partner (vendor and manufacturer) to
ensure and acknowledge that security regulations are formulated and implemented to
protect the Company, its employees and the security of Beall’s supply chain.

It is imperative that all employees observe the facility’s security policies and report
any suspicious or improper actions to management and/or the proper authorities.

Beall’s reserves the right to conduct background investigations on manufacturers

before doing business with them. In particular, Beall’s is interested in investigating the
company for financial solvency, and the principles for criminal activity.

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 Section I – Business Partner Security

SECTION I
Business Partner Security

1.1 Business Partner Security Overview

C-TPAT membership is primarily comprised of companies operating in the United States.
However, today’s world embraces a global economy that requires companies to import and
outsource in order to remain competitive.

As a member of the C-TPAT program, Beall’s is required to ensure that all of its business
partners adopt security-minded strategies and procedures that meet the C-TPAT
requirements. Thus, Beall’s goal is to continue to partner with its vendors, suppliers and
manufacturers in order to protect the security and integrity of the Company’s supply chain.

Beall’s, like many C-TPAT companies is now contractually requiring businesses to improve
security in order to meet C-TPAT guidelines. As a result, C-TPAT extends its reach well
beyond U.S. borders and impacts the security of companies both here and overseas. Examples
of how Beall’s leverages foreign suppliers to tighten security in the supply chain include:

 Beall’s conducts regular audits of our foreign import vendors to ensure compliance with
C-TPAT security guidelines.
 Beall’s is conditioning contractual business relationships with our service providers and
vendors based on C-TPAT participation and/or adherence to C-TPAT security guidelines.

 Beall’s is leveraging existing internal inspection teams. We require C-TPAT cargo security
training for quality assurance personnel or non-security related business representatives
who visit foreign vendors and factories on a regular basis.

To better secure and facilitate the supply chain security and flow of goods entering the United
States, Beall’s is committed to ensuring that all of the Company’s preferred existing and new

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 Section 1 – Business Partner Security

trading partners fulfill their commitments by verifying that agreed security measures have
been implemented.

As a participant of the C-TPAT program, Beall’s not only reinforces its Company’s belief in
corporate good citizenry, Beall’s believes that assessing its supply chain security procedures
and practices improves business efficiency. Perhaps the greatest success of C-TPAT is that
although participant companies join voluntarily, members have made participation and/or
compliance with C-TPAT security standards by their business partners a requirement for
doing business. Ultimately, these partnerships will help CBP create a true green lane that
speeds low risk shipments across all our borders and through our ports of entry and preserve
global trade in this time of global terrorism.

1.2 Beall’s C-TPAT Business Partner Security Expectations

Beall’s has developed a thorough vendor vetting process for all import related vendors and business
partners (both foreign and domestic). Beall’s requires all import related business partners to
demonstrate that they are meeting C-TPAT security criteria via written/electronic confirmation
(e.g., contractual obligations; via a letter from a senior business partner officer attesting to
compliance; a written statement from the business partner demonstrating their compliance with C-
TPAT security criteria or an equivalent WCO accredited security program administered by a
foreign customs authority; or, by providing a completed importer 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 criteria by the importer.

Beall’s vendors are required to meet and/or exceed the following requirements:

1.2.1 Business Partner Selection Requirement

 All Beall’s import related vendors, business partners and foreign manufacturers
must have written and verifiable processes for the selection of business partners
including, carriers, other manufacturers, product suppliers and vendors (parts and
raw material suppliers, etc).

 Beall’s reserves the right to request copies of vendor’s written processes for the
selection of business partners for verification that C-TPAT requirements are being
met.

 Beall’s reserves the right to periodically inspect vendor’s business facilities to ensure
compliance with Beall’s and U.S. Customs C-TPAT requirements.

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 Section 1 – Business Partner Security

1.2.2 Security Procedures –

All Beall’s business partners are required to submit a completed Import Vendor
Acknowledgement Form and Import Vendor Security Self-Assessment Form to Beall’s C-TPAT
Coordinator’s office at: [email protected].

(Note: Self-Assessment forms are to be submitted on an annual basis)

 For Beall’s business partners who are C-TPAT members: (i.e. foreign manufacturers,
carriers, ports, terminals, brokers, consolidators, etc.) Beall’s requires documentation
verifying business partner’s C-TPAT status. The following are acceptable forms of
documentation:
- copy of C-TPAT certificate and SVI number
AND
- a completed “Beall’s C-TPAT Vendor Self-Assessment Form.”

Note: Beall’s requires written notification from its C-TPAT certified business partners if
there is a change in the partner’s C-TPAT status. All vendors are required to submit a
completed “Beall’s C-TPAT Vendor Self-Assessment Form” on an annual basis. Beall’s
reserves the right to terminate business relations with business partners who fail to
submit annual self-assessments of their security practices.

 For Beall’s business partners who are eligible for but not C-TPAT certified (foreign
manufacturers, carriers, ports, terminals, brokers, consolidators, etc.) Beall’s requires
business partners who are eligible for but not C-TPAT certified to demonstrate that they
are meeting C-TPAT security criteria via written/electronic confirmation. Accepted forms
of business partner written/electronic confirmation are:
- contractual obligations
- a letter from a senior business partner or officer attesting to compliance
- a written statement from the business partner demonstrating their
compliance with C-TPAT security criteria or an equivalent WCO
accredited security program administered by a foreign customs authority
AND
- a completed “Beall’s C-TPAT Vendor Self-Assessment Form.”

Note: All vendors are required to submit a completed “Beall’s C-TPAT Vendor Self-Assessment
Form” on an annual basis. Vendor’s failure to do so could result in Beall’s termination of
business relations with non-compliant vendor. Based upon a documented risk assessment
process, eligible but non-C-TPAT certified business partners are subject to verification of
compliance with C-TPAT security criteria by Beall’s.

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 Section 1 – Business Partner Security

 For those business partners not eligible for C-TPAT certification,

Beall’s requires business partners who are not eligible for C-TPAT certification to
demonstrate that they are meeting C-TPAT security criteria via written/electronic
confirmation. Accepted forms of business partner written/electronic confirmation are:
- contractual obligations
- a letter from a senior business partner officer attesting to compliance
- a written statement from the business partner demonstrating their
compliance with C-TPAT security criteria or an equivalent WCO
accredited security program administered by a foreign customs authority
AND
- a completed “Beall’s C-TPAT Vendor Self-Assessment Form.”

Note: All vendors are required to submit a completed “Beall’s C-TPAT Vendor Self-Assessment
Form” on an annual basis. Vendor’s failure to do so could result in Beall’s termination of
business relations with non-compliant vendor. Based upon a documented risk assessment
process, Beall’s business partners ineligible for C-TPAT certification are subject to verification
of compliance with C-TPAT security requirements by Beall’s and/or U.S. Customs.

1.2.3 Point of Origin –

Beall’s requires all business partners to ensure the development and implementation of security
processes and procedures consistent with the C-TPAT security criteria to enhance the integrity of
all Beall’s shipments at point of origin.

1.2.4 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 are required to indicate
their status of participation to Beall’s.

1.2.5 Other Internal criteria for selection

Internal requirements, such as financial soundness, capability of meeting contractual security

requirements, and the ability to identify and correct security deficiencies as needed, are also
addressed by Beall’s. Internal requirements are assessed against a risk-based process as
determined by an internal management team.

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 Section II – Container Security

SECTION II
Container Security

2 Container and Trailer Security Overview

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

In those geographic areas where risk assessments warrant checking containers or trailers
for human concealment or smuggling, such procedures should be designed to address this
risk at the manufacturing facility or point-of-stuffing.

2.1 Container Inspection – 7 point inspection form

Procedures must be in place to verify the physical integrity of the container structure prior to
stuffing, to include the reliability of the locking mechanisms of the doors. A seven-point inspection
process is required for all factory loaded containers. Seven container points to be inspected are:

 Front wall
 Left side
 Right side
 Floor
 Ceiling/Roof
 Inside/outside doors
 Outside/Undercarriage

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 Section II – Container Security

2.2 Trailer Inspection

Procedures must be in place to verify the physical integrity of the trailer structure prior to stuffing,
to include the reliability of the locking mechanisms of the doors. The following ten-point inspection
process is recommended for all trailers:

 Fifth wheel area - check natural compartment/skid plate

 Exterior - front/sides
 Rear - bumper/doors
 Front wall
 Left side
 Right side
 Floor
 Ceiling/Roof
 Inside/outside doors
 Outside/Undercarriage

2.3 Container and Trailer Seals

The sealing of trailers and containers, to include continuous seal integrity, are crucial elements of a
secure supply chain, and remains a critical part of a foreign manufacturers’ commitment to C-
TPAT. The foreign manufacturer must affix a high security seal to all loaded trailers and containers
bound for the U.S. All seals must meet or exceed the current PAS ISO 17712 standards for high
security seals.

Written procedures must stipulate how seals are to be controlled and affixed to loaded
containers and trailers, to include procedures for recognizing and reporting compromised
seals and/or containers/trailers to US Customs and Border Protection or the appropriate
foreign authority. Only designated employees should distribute seals for integrity purposes.

2.4 Container and Trailer Storage

Containers and trailers under foreign manufacturer control or located in a facility of the foreign
manufacturer 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/trailers or container/trailer storage areas.

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 Section II – Container Security

2.5 Container Seals

Written procedures must stipulate how seals are to be controlled and affixed to loaded containers -
to include procedures 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.

2.6 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.

Beall’s requires all business partners to have procedures in place that adhere to the following
security criterion:

2.7 For Vendors shipping Factory Loaded Containers to Beall’s:

 A 7-Point inspection form (see attachment) is to be completed for each container

and submitted to Beall's at time of booking request.

 Original copies of completed 7-Point container inspection forms are required for
payment approval. Originals are to be included in the document packet submitted
to Beall’s Import Accounting & Compliance Dept. for Direct Wire Transfer
Payments or to the LC issuing bank for LC payments. Copies are to be included in
the documents presented to the Beall’s approved freight forwarder for Customs
entry purposes.

 Beall’s will conduct periodic reviews of all business partners’ processes and
facilities based on risk to ensure that C-TPAT security standards are being met.

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 Section III – Physical Access Controls

SECTION III
Physical Access Controls

3 Physical Access Controls Overview

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

3.1 Employees

An employee identification system must be in place for positive identification and access control
purposes. 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.

3.2 Visitors
Visitors must present photo identification for documentation purposes upon arrival. All visitors
should be escorted and should visibly display temporary identification.

3.3 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.

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 Section III – Physical Access Controls

3.4 Challenging and Removing Unauthorized Persons

Procedures must be in place to identify, challenge and address unauthorized and/or unidentified
persons.

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 Section IV – Personnel Security

SECTION IV
Personnel Security

4 Personnel Security Overview

Implementing personnel security measures is an important step in securing the supply chain. The
focus of a personnel security program is to investigate the background of prospective employees to
ensure that they pose no risk to Beall’s operations. Please note that the requirements provided below
are based on U.S. standards and may not be possible to fulfill in other countries. However, Beall’s
expects all business partners to take as many steps as possible to avoid hiring someone whom may
pose a threat to Beall’s or its supply chain.

4.1 Pre-Employment Verification

 Prospective employees must undergo pre-screening prior to commencement of
employment. This applies to prospective permanent, temporary, and contract
employees.

 Application information, such as employment history and references must be verified

prior to employment.

4.2 Background checks / investigations

Beall’s expects all business partners to conduct a background check of all prospective and/or
current employees that are consistent with foreign, federal, state, and local regulations. Once
employed, periodic checks and reinvestigations should be performed based on cause, and/or the
sensitivity of the employee’s position.

Background checks should include the following:

 Criminal convictions –
All felony and misdemeanor convictions involving workplace violence, burglary/ robbery,
theft, assault, identity theft, murder, kidnapping, rape, terrorist threats, or other crimes.

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 Section IV – Personnel Security

 Application verification

 Prior employment

 Address verification

 Photographs of all employees should be kept on file

4.3 Personnel Termination Procedures

Beall’s expects all business partners to have procedures in place to remove identification, facility,
and system access for terminated employees.

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 Section V – Procedural Security

SECTION V
Procedural Security

5 Procedural Security Overview

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. Procedural security
measures regulate incoming and outgoing goods and are designed to prevent the introduction of
unmanifested materials into the supply chain, or the loss or exchange of Beall’s merchandise. Each
business partner and/or factory should have a designated employee supervising the introduction and
removal of cargo. All merchandise must be properly marked, weighed, counted, and documented.
Procedures must be in place to govern the detection and recording of shortages and overages.

5.1 Documentation Processing

Procedures must be in place to ensure that all information 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.

5.2 Manifesting Procedures

To help ensure the integrity of cargo, procedures must be in place to ensure that information
received from business partners is reported accurately and timely.

5.3 Shipping and Receiving

 All vendors and factories shipping factory loaded containers destined for Beall’s must
conduct a 7-point container inspection of the container and submit a completed 7-point
container inspection form with the payment and entry documents. (See attached 7 point
inspection form).

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 Section V – Procedural Security

 Departing cargo being shipped should be reconciled against information on the cargo
manifest.

 The cargo should be accurately described, and the weights, labels, marks and piece count
indicated and verified. All merchandise must be properly marked, weighed, counted,
and documented.

 Departing cargo should be verified against purchase or delivery orders.

 Drivers delivering or receiving cargo must be positively identified before cargo is received
or released.

 Procedures should also be established to track the timely movement of incoming and
outgoing goods.

5.4 Cargo Discrepancies

 All shortages, overages, and other significant discrepancies or anomalies must be resolved
and/or investigated appropriately. Procedures must be in place to govern the detection and
recording of shortages and overages.

 Customs and/or other appropriate law enforcement agencies must be notified if anomalies,
illegal or suspicious activities are detected - as appropriate.

 Each factory should have a designated employee supervising the introduction and removal
of cargo.

 Containers, trailers, and/or railcars left at the facility overnight must be secured.

 Containers that are full of cargo must be locked and sealed with industry-approved seals
and said seal numbers must be recorded. The seals should be uniquely numbered and
require destruction to be removed.

 All containers or trailer entering or leaving the facility must be recorded, along with the
name of the driver who took custody of the Beall’s merchandise.

 The factory should have a procedure for inspecting and verifying seals.

 Cargo discrepancies must immediately be reported to management and/or security

personnel.

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 Section V – Procedural Security

 Beall’s requires all vendors and manufacturers to complete self-assessments of their

security procedures each year. Copies of the self-assessment must be forwarded to the C-
TPAT Coordinator located at Beall’s Headquarters in Bradenton, FL.

 Beall’s verifies the accuracy of self-assessments submitted by vendors and manufacturers.

 Beall’s reserves the right to request on-site access to business partner’s facilities to ensure
that the C-TPAT requirements are being met.

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 Section VI – Security Training & Threat Awareness

SECTION VI
Security Training & Threat Awareness

6 Security Training and Threat Awareness Overview

Beall’s requires all vendors, manufacturers and service providers to establish and maintain a
threat awareness program by security personnel to recognize and foster awareness of the
threat posed by terrorists and contraband smugglers 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.

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 Section VII – Physical Security

SECTION VII
Physical Security

7 Physical Security Overview

Cargo handling and storage facilities in international locations must have physical barriers and
deterrents that guard against unauthorized access. Foreign manufacturer should incorporate
the following C-TPAT physical security criteria throughout their supply chains as applicable.
Vendors and manufacturers from which Beall’s sources should have the following characteristics:

7.1 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.

7.2 Gates and Gate Houses

 A guard or receptionist to monitor office entrances.

 There must be a formal registration process for documenting visitors to the operations.

 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.

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 Section VII – Physical Security

7.3 Parking
 Private passenger vehicles should be prohibited from parking in or adjacent to cargo
handling and storage areas.

 Parking for employees must be separate from the dock and cargo operations.

7.4 Building Structure

 Buildings must be constructed of materials that resist unlawful entry.

 The integrity of structures must be maintained by periodic inspection and repair.

7.5 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.

7.6 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.

 Adequate lighting inside and outside of facility.

 All corners of parking lots must be illuminated at night.

 Inside lighting should be bright enough to eliminate dark spots or corners.

 Flood lighting on loading and unloading areas.

 Dock doors should be illuminated at night.

7.7 Alarms Systems and 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.

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 Section VII – Physical Security

7.8 Beall’s expects all vendors, manufacturers and business partners to adhere
to the physical security requirements below:

 Clear zones must be maintained internally and externally to monitor the security of the facility.
Brush and growth should be cleared at least 35 feet from perimeter barrier.

 All containers and trailers that remain at the warehouse overnight should be secured. Trailers
loaded with cargo should also be sealed, with the seal number recorded and verified.

 Seal numbers must be verified before the container, trailer or truck is released.

 Employees should be familiar with the trucking vendors. The identification of the driver should
be checked before cargo is released to his/her custody.

 Truck drivers should never be allowed to randomly enter the factory and pick up a trailer
without supervision.

 All visitors and persons not employed by the company should be escorted by an employee at all
times.

 Each facility should also have a communication system in place to contact internal security
personnel or local law enforcement police in the event of an emergency.

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 Section VIII – Information Technology

SECTION VIII
Information Technology

8 Information Technology Security Overview

Beall’s requires all vendors, manufacturers and business partners to ensure the integrity and security of all
information technology data. All vendors and manufacturers must adhere to the following information security
requirements:

8.1 Restricted Access and Password Protection

 Access should be restricted to authorized company personnel’s use only.

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.

8.2 Use of firewalls, anti-virus, encryption software

 Vendors and manufacturers must have systems in place that are supported by the use of firewalls, anti-virus
protection and encryption software to prevent against outside intrusion.

8.3 Data backup and storage systems (must be offsite)

 All vendors, manufacturers and business partners should have a data backup plan.
 System backup data should be stored at an off-site location for safekeeping.

8.4 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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Beall’s, Inc.
C-TPAT Expectations for
Vendors & Manufacturers

SECTION IX
ATTACHMENTS - Vendor Forms
 Beall’s C-TPAT Expectations
Import Vendor Acknowledgement Form

Business Partner Name Date

Business Partner Address

Respondent Name Respondent Title

(Principal/Owner, Partner,
Security Manager etc)

Respondent Email Respondent Tel

I, , a duly authorized representative of above-named company, do hereby acknowledge and

confirm the following:
 I have received and reviewed a copy of Beall’s C-TPAT Expectations for Vendors & Manufacturers.
 I clearly understand my Company’s responsibilities as a Beall’s Business Partner in ensuring the security
and integrity of Beall’s Supply Chain.
 I attest that my Company can meet and/or exceed all of Beall’s C-TPAT Supply Chain Expectations for
Vendors and Manufacturers.
 I understand that Beall’s will hold my Company liable for the C-TPAT security compliance of all
subcontractors used by my company in the production and transportation of Beall’s merchandise in the
supply chain.
 I understand that Beall’s may request written and verifiable proof of my Company’s ability to meet all of
Beall’s C-TPAT Expectations.
 I understand that Beall’s reserves the right to provide recommendations for the improvement of my
Company’s Supply Chain Security as per Beall’s risk assessment of my Company’s security profile
responses.
 I understand that Beall’s and/or U.S. Customs reserves the right to physically inspect my Company’s
facilities.
 I understand that Beall’s reserves the right to cease doing business with my Company should we fail to
adhere to U.S. Customs C-TPAT Supply Chain Security requirements and Beall’s C-TPAT Expectations for
Vendors & Manufacturers.

_________________________________________________ ___________________
Authorized Signature Date

_________________________________________________
Company Stamp/Seal

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 Beall’s C-TPAT Expectations - Import Vendor Security Self-Assessment Form

Insert Vendor Name Here

Read the attached Beall’s C-TPAT Expectations for Vendors & Manufacturers and C-TPAT security recommendations from U.S. Customs then
describe your company's security procedures related to export/import shipments to Beall’s, Inc. and its subsidiaries: Beall’s Imports, Inc. and/or
Beall’s Outlet Stores, Inc. in the U.S. by checking (√) the appropriate blocks below.

Please print, sign and forward completed forms to Attn: Beall’s C-TPAT Coordinator’s Office at [email protected]

Business Partner Name Security Self Assessment Date:

Business Partner Address

Respondent Name Respondent Title

(Principal/Owner, Partner, Security Manager etc)

Respondent Email Respondent Tel

========================================================================================================================

1. Select (√) the category that best describes your business with Beall’s entities in the U. S. (Check all that apply)

Vendor Manufacturer Agent Customs Consolidator

Broker

Freight Ocean Carrier Inland Transportation Warehouse Other _____________________________

Forwarder Provider

2. Years in business

3. Years doing business with Beall’s, Inc. and its subsidiaries

4. Number of employees:

5. What Beall’s , Inc. subsidiary / location(s) in the United States does your company most frequently ship to?
Beall’s Imports, Inc. Beall’s Outlet Stores, Inc. Both

6. Does your company have written security procedures at non-U.S. facilities doing business with Beall’s, Inc. and its subsidiaries
and conduct periodic reviews of internal controls to ensure security compliance?

Yes No

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 Beall’s C-TPAT Expectations - Import Vendor Security Self-Assessment Form

7. Does your company affix seals to loaded containers for shipments to Beall’s Inc. and its subsidiaries in the U.S.?
Note: All seals must meet or exceed the current PAS ISO 17712 standard for high security seals.

Yes No Specify Type:

8. Does your company store containers at its facilities?

Yes No

9. If yes to above question, are containers stored in a secure area to prevent unauthorized access or manipulation?

Yes No

10. Does your company ship full container loads (CY/CY) or mostly LCL shipments to Beall’s, Inc. and its subsidiaries? (Please indicate
your best estimate by volume percentage)

CY/CY Loads Only CFS / LCL Loads Only Both % CY/CY % CFS / LCL

Mostly CY/CY Loads % Mostly CFS / LCL Loads %

11. Does your company have procedures in place to verify the physical integrity of the container structure prior to stuffing, and do
they address ensuring the reliability of the locking mechanisms of the doors? (See the following link for items to be addressed during a
container inspection: http://www.customs.gov/xp/cgov/trade/cargo_security/ctpat/security_criteria/sec_criteria_foreign_mfc/)

Yes No

12. Does your company conduct 7-point inspections on all import containers scheduled to convey Beall’s merchandise?

Yes No

13. Does your company have physical access controls to prevent unauthorized entry to facilities, maintain control of employees
and visitors, and protect company assets?

Yes No

14. Have you developed and communicated a process to report shipment overages/shortages, losses or abnormalities, whether
suspected or confirmed, to Beall’s, Inc. management?

Yes No

15. Is your company a member of any of the following U.S. Customs programs: C-TPAT, ISA, the Business Anti-Smuggling Coalition
(BASC), or any other internationally-recognized security initiatives?

Yes, C-TPAT (Please specify SVI# and include copy of C-TPAT Certificate) SVI#

Yes, specify other No

16. If a member of the C-TPAT program, has your company been certified and validated? If yes, please state your company’s Tier in
the C-TPAT program.

Yes, C-TPAT certified and validated C-TPAT Tier 1 2 3 Yes, certified, not validated N/A

28
 Beall’s C-TPAT Expectations - Import Vendor Security Self-Assessment Form

17. Does your company have a Security & Threat Awareness Training program for its employees?

Yes No

18. If yes, how often is Security & Threat Awareness training provided for employees?

Annually Quarterly Monthly Weekly As needed

19. Is training documented and records kept on file?

Yes No

20. Does your company have an incentive program to encourage employees to report security anomalies and incidents?

Yes No

21. Does your company have written procedures for reporting security anomalies and incidents to local law enforcement and/or
U.S. Customs?

Yes No

22. Do your company’s computer systems have limited access that is reserved for authorized company personnel use only?

Yes No

23. Are your company’s computer systems password protected to prevent unauthorized access?

Yes No

24. Does your company use firewalls, encryption software and anti-virus protection to guard from outside intrusion?

Yes No

25. Does your company have a data backup plan?

Yes No

26. Is system mainframe back-up data stored at an off-site location for safekeeping?

Yes No

27. Identify the individual within your company to whom questions about the security of Beall’s, Inc. and its subsidiaries shipments
may be directed:

Contact Name:

Contact Title:

Company Name:

29
 Beall’s C-TPAT Expectations - Import Vendor Security Self-Assessment Form

Address:

Phone:

Email:

Insert Company Name Here acknowledges Beall’s, Inc. and its subsidiaries emphasis on supply chain security and
recognizes the expectation that Beall’s business partners share that commitment. I understand that Beall’s, Inc. and its
subsidiaries may refer security inquiries from U. S. Customs to me.

Name: Title:

Signature: ______________________________________________ Date: ____________________

Company Stamp/Seal:____________________________________

30
 Beall’s Import Vendor Container 7-Point Inspection Form
To be completed by business partner/factory where the container is physically stuffed and inspected.
Applicable for vendors shipping full container loads ONLY!

Date: Load Type: CY/CY LC / WT#

Container# Seal# Total Cartons

Vendor / Actual Manufacturer (Full Name & Address) Container Stuffing Location (Full name & Address)

Consigned To:
Beall’s Imports, Inc. Beall’s Outlet Stores, Inc.
th
1806 38 Avenue East 2100 47th Terrace East
Bradenton, FL 34208 Bradenton, FL 34203

Import Vendor Container 7-Point Inspection Report

1 Outside / Undercarriage 2 Inside / Outside Doors
Check for structural damage (dents, holes, repairs) Ensure locks are secure and reliable
Support beams are visible Check for loose bolts
Ensure no foreign objects are mounted on container Ensure hinges are secure and reliable
3 Right Side 4 Left Side
Look for unusual repairs to structural beams Look for unusual repairs to structural beams
Repairs to the inside wall must be visible on the outside too Repairs to the inside wall must be visible on the
and vice versa outside too and vice versa
5 Front Wall 6 Ceiling / Roof
Front wall should be made of corrugated material Ensure support beams are visible
Interior blocks are visible and not false. Absent or cardboard Ensure ventilation holes are visible. They should not
blocks are not normal be covered or absent
Ensure vents are visible. Ensure no foreign objects are mounted to the
container
7 Floor 8 Seal Verification
Ensure floor of container is flat. Seal properly affixed
Ensure floor is of uniform height. Seal meets or exceeds PAS ISO 17712
Look for unusual repairs to the floor Ensure seal is not broken/damaged

I have visually inspected and verified, to the best of my ability, the condition of the container noted above. I confirm that the
container is structurally sound, weather tight, has no false compartments, and the locking mechanisms are in good order and
show no visible signs of being tampered with.
Inspected By: Date Company Stamp/Seal:

Seal affixed and Date

verified by:

Copy of completed form to be included with paperwork presented with the cargo to Beall’s approved Freight Forwarder at origin for Customs entry purposes.
Original to be included with payment paperwork to Beall’s Import Accounting & Compliance Department or to the Beall’s LC issuing bank.
 Beall’s C-TPAT Contact Information

Please direct C-TPAT inquiries to:

Attn: Marlyn Vaughn

C-TPAT Coordinator
Beall’s, Inc.
700 13th Avenue East – 4th Floor
Bradenton, FL 34208

Tel: 941-747-2355

Email: [email protected]