481 
cargo through the international supply chain, by providing benefits to par-
ticipants meeting or exceeding the program requirements. Participants in 
C–TPAT shall include Tier 1 participants, Tier 2 participants, and Tier 3 
participants. 
(b) REVIEW OF MINIMUM SECURITY REQUIREMENTS.—The Secretary, 
acting through the Commissioner, shall review the minimum security re-
quirements of C–TPAT at least once every year and update requirements 
as necessary. 
§ 30512. Eligible entities 
Importers, customs brokers, forwarders, air, sea, and land carriers, con-
tract logistics providers, and other entities in the international supply chain 
and intermodal transportation system are eligible to apply to voluntarily 
enter into partnerships with the Department under C–TPAT. 
§ 30513. Minimum requirements 
An applicant seeking to participate in C–TPAT shall— 
(1) demonstrate a history of moving cargo in the international sup-
ply chain; 
(2) conduct an assessment of its supply chain based upon security 
criteria established by the Secretary, acting through the Commissioner, 
including— 
(A) business partner requirements; 
(B) container security; 
(C) physical security and access controls; 
(D) personnel security; 
(E) procedural security; 
(F) security training and threat awareness; and 
(G) information technology security; 
(3) implement and maintain security measures and supply chain se-
curity practices meeting security criteria established by the Commis-
sioner; and 
(4) meet all other requirements established by the Commissioner, in 
consultation with the Commercial Operations Advisory Committee. 
§ 30514. Tier 1 participants 
(a) BENEFITS.—The Secretary, acting through the Commissioner, shall 
offer limited benefits to a Tier 1 participant who has been certified in ac-
cordance with the guidelines referred to in subsection (b). Benefits may in-
clude a reduction in the score assigned pursuant to the Automated Tar-
geting System of not greater than 20 percent of the high-risk threshold es-
tablished by the Secretary. 
(b) GUIDELINES.—The Secretary, acting through the Commissioner, shall 
update the guidelines for certifying a C–TPAT participant’s security meas-
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ures and supply chain security practices under this section. The guidelines 
shall include a background investigation and extensive documentation re-
view. 
(c) TIMEFRAME.—To the extent practicable, the Secretary, acting 
through the Commissioner, shall complete the Tier 1 certification process 
within 90 days of receipt of an application for participation in C–TPAT. 
§ 30515. Tier 2 participants 
(a) VALIDATION.—The Secretary, acting through the Commissioner, shall 
validate the security measures and supply chain security practices of a Tier 
1 participant in accordance with the guidelines referred to in subsection (c). 
The validation shall include on-site assessments at appropriate foreign loca-
tions utilized by the Tier 1 participant in its supply chain and shall, to the 
extent practicable, be completed not later than 1 year after certification as 
a Tier 1 participant. 
(b) BENEFITS.—The Secretary, acting through the Commissioner, shall 
extend benefits to each C–TPAT participant that has been validated as a 
Tier 2 participant under this section, which may include— 
(1) reduced scores in the Automated Targeting System; 
(2) reduced examinations of cargo; and 
(3) priority searches of cargo. 
(c) GUIDELINES.—The Secretary, acting through the Commissioner, shall 
develop a schedule and update the guidelines for validating a participant’s 
security measures and supply chain security practices under this section. 
§ 30516. Tier 3 participants 
(a) IN GENERAL.—The Secretary, acting through the Commissioner, shall 
establish a third tier of C–TPAT participation that offers additional bene-
fits to participants who demonstrate a sustained commitment to maintain-
ing security measures and supply chain security practices that exceed the 
guidelines established for validation as a Tier 2 participant in C–TPAT 
under section 30515 of this title. 
(b) CRITERIA.—The Secretary, acting through the Commissioner, shall 
designate criteria for validating a C–TPAT participant as a Tier 3 partici-
pant under this section. Criteria may include— 
(1) compliance with any additional guidelines established by the Sec-
retary that exceed the guidelines established under section 30515 of 
this title for validating a C–TPAT participant as a Tier 2 participant, 
particularly with respect to controls over access to cargo throughout 
the supply chain; 
(2) submission of additional information regarding cargo prior to 
loading, as determined by the Secretary; 
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(3) utilization of container security devices, technologies, policies, or 
practices that meet standards and criteria established by the Secretary; 
and 
(4) compliance with any other cargo requirements established by the 
Secretary. 
(c) BENEFITS.—The Secretary, acting through the Commissioner, in con-
sultation with the Commercial Operations Advisory Committee and the Na-
tional Maritime Security Advisory Committee, shall extend benefits to each 
C–TPAT participant that has been validated as a Tier 3 participant under 
this section, which may include— 
(1) the expedited release of a Tier 3 participant’s cargo in destina-
tion ports within the United States during all threat levels designated 
by the Secretary; 
(2) further reduction in examinations of cargo; 
(3) priority for examinations of cargo; and 
(4) further reduction in the risk score assigned pursuant to the 
Automated Targeting System; and 
(5) inclusion in joint incident management exercises, as appropriate. 
§ 30517. Consequences for lack of compliance 
(a) IN GENERAL.—If at any time a C–TPAT participant’s security meas-
ures and supply chain security practices fail to meet any of the require-
ments under this subchapter, the Commissioner may deny the participant 
benefits otherwise available under this subchapter in whole or in part. The 
Commissioner shall develop procedures that provide appropriate protections 
to C–TPAT participants before benefits are revoked. The procedures may 
not limit the ability of the Commissioner to take actions to protect the na-
tional security of the United States. 
(b) FALSE OR MISLEADING INFORMATION.—If a C–TPAT participant 
knowingly provides false or misleading information to the Commissioner 
during the validation process provided for under this subchapter, the Com-
missioner shall suspend or expel the participant from C–TPAT for an ap-
propriate period of time. The Commissioner, after the completion of the 
process under subsection (c), may publish in the Federal Register a list of 
participants who have been suspended or expelled from C–TPAT under this 
subsection, and may make the list available to C–TPAT participants. 
(c) RIGHT OF APPEAL.— 
(1) APPEAL OF DENIAL OF BENEFITS.—A C–TPAT participant may 
appeal a decision of the Commissioner under subsection (a). The appeal 
shall be filed with the Secretary not later than 90 days after the date 
of the decision, and the Secretary shall issue a determination not later 
than 180 days after the appeal is filed. 
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(2) APPEALS OF SUSPENSION OR EXPULSION.—A C–TPAT partici-
pant may appeal a decision of the Commissioner under subsection (b). 
The appeal shall be filed with the Secretary not later than 30 days 
after the date of the decision, and the Secretary shall issue a deter-
mination not later than 180 days after the appeal is filed. 
§ 30518. Revalidation 
The Secretary, acting through the Commissioner, shall develop and imple-
ment— 
(1) a revalidation process for Tier 2 and Tier 3 participants; 
(2) a framework based upon objective criteria for identifying partici-
pants for periodic revalidation not less frequently than once during 
each 4-year period following the initial validation; and 
(3) an annual plan for revalidation that includes— 
(A) performance measures; 
(B) an assessment of the personnel needed to perform the re-
validations; and 
(C) the number of participants that will be revalidated during 
the following year. 
§ 30519. Noncontainerized cargo 
The Secretary, acting through the Commissioner, shall consider the po-
tential for participation in C–TPAT by importers of noncontainerized car-
goes that otherwise meet the requirements under this subchapter. 
§ 30520. Program management 
(a) IN GENERAL.—The Secretary, acting through the Commissioner, shall 
establish sufficient internal quality controls and record management to sup-
port the management systems of C–TPAT. In managing the program, the 
Secretary shall ensure that the program includes the following: 
(1) A 5-year plan to identify outcome-based goals and performance 
measures of the program. 
(2) An annual plan for each fiscal year designed to match available 
resources to the projected workload. 
(3) A standardized work program to be used by agency personnel to 
carry out the certifications, validations, and revalidations of partici-
pants. The Secretary shall keep records and monitor staff hours associ-
ated with the completion of each review. 
(b) DOCUMENTATION OF REVIEWS.—The Secretary, acting through the 
Commissioner, shall maintain a record management system to document de-
terminations on the reviews of each C–TPAT participant, including certifi-
cations, validations, and revalidations. 
(c) CONFIDENTIAL INFORMATION SAFEGUARDS.—In consultation with 
the Commercial Operations Advisory Committee, the Secretary, acting 
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