Our Approach and Strategic Audit Process 

RSJ’s Comprehensive CTPAT Audit Services

CTPAT Audit Process

Our Approach

RSJ Inspection Service Limited stands as your dedicated partner in navigating the complexities of the CTPAT audit process. As a highly experienced third-party inspection and audit company with a robust presence across ,

  • India
  • China
  • Bangladesh
  • Pakistan
  • Vietnam

we deliver comprehensive CTPAT audit services. Our services are meticulously designed to assess your current security measures, pinpoint potential vulnerabilities, and strategically guide you towards full compliance with CTPAT requirements. 

Our Strategic Audit Process

The CBP-Recommended 5-Step Risk Assessment 

To effectively manage supply chain security, CBP recommends a structured “5-Step Risk Assessment Process” for CTPAT partners. RSJ expertly guides companies through the implementation of this critical methodology, which typically involves: 

1

Mapping Cargo/Data Flow & Identifying Business Partners

This step involves reviewing and documenting the movement of cargo and related data throughout the international supply chain, as well as identifying all directly and indirectly involved business partners—from point of origin to final distribution.

2

Conducting a Threat Assessment

As part of the audit process, potential threats relevant to the supply chain are identified. These may include terrorism, smuggling, theft, or other illicit activities. The review also considers factors such as geopolitical risks, regional crime rates, and other external conditions.

3

Conducting a Vulnerability Assessment

Following the threat assessment, the audit examines existing security measures to identify vulnerabilities that could be exploited. This includes evaluating physical security, procedural controls, and IT systems for potential weaknesses.

4

Reporting Observations and Recommended Actions

Based on the audit findings, RSJ Inspection issues a Corrective Action Plan (CAP) that documents the vulnerabilities observed and outlines recommended areas for improvement. The responsibility for implementing any changes rests with the audited organization.

5

Documenting the Risk Assessment Procedure and Reviewing Periodically

The audit process includes reviewing the organization’s documentation of its risk assessment procedures and evaluating whether a framework is in place for regular periodic reviews. CTPAT partners are required to conduct risk assessments at least annually.

CTPAT Audit Scope

Our CTPAT audits meticulously assess your compliance against the CTPAT Minimum Security Criteria, which cover a broad range of security topics. A comprehensive CTPAT audit checklist is utilized.

A supply chain security expert writing a detailed CTPAT compliance blog post on a laptop, with research and audit documents on the desk.
  • Business Partner Requirements: Verifying processes for screening and monitoring the security practices of your international supply chain partners.
  • Container and Conveyance Security: Procedures for maintaining container integrity, proper sealing, and conducting inspections. Preventing unauthorized access.
  • Physical Access Controls: Measures to prevent unauthorized entry to facilities, including gates, fencing, locks, and identification systems.
  • Personnel Security: Procedures for screening new hires and conducting background checks where applicable, as well as termination procedures.
  • Procedural Security: Documented processes for handling cargo, information flow, manifest accuracy, and reporting security incidents.
  • Security Training and Threat Awareness: Programs to educate employees on security policies, threat recognition (terrorism, smuggling, forced labor), and reporting.
  • Information Technology (IT) Security: Measures to protect IT systems and data, including password policies and cybersecurity protocols.
  • Agricultural Security: Measures to prevent contamination of cargo with agricultural pests.
  • Forced Labor Prevention: Documented processes and due diligence to ensure no forced labor is used in supply chains importing goods into the U.S.
A high-security seal on a cargo container, representing the physical security measures required for a successful CTPAT audit and compliance.

Featured CTPAT Article:

To get started, we recommend reading one of our most popular posts:

Title:
CTPAT Audit: The Role of Security Measures in International Trade 
This essential guide explains how a CTPAT audit evaluates your supply chain’s effectiveness, ensuring your company meets all security criteria set by CBP—from facility access controls and employee screening to cybersecurity protocols. Read the Full Article Here – > Click Here

For more expert analysis and guides on a wide range of CTPAT topics, we invite you to explore our complete collection of articles.
[Explore All CTPAT Audit / Training Blog Posts]

Our blog serves as a comprehensive resource hub, offering detailed breakdowns of the CTPAT Minimum Security Criteria (MSC), practical guides for preparing for your official CBP validation, and expert advice on everything from business partner screening to strengthening your cybersecurity posture and all official CTPAT Requirements, explain the crucial 5-Step Risk Assessment, and provide actionable advice that forms a strong foundation for our CTPAT Audit Services. 
Whether you are just beginning the application process or looking to refine your existing security protocols, our articles provide the clarity and expertise you need.

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