Compliance in Today's Global Supply Chain: 1st Edition (Hardback) book cover

Compliance in Today's Global Supply Chain

1st Edition

By Thomas A. Cook

CRC Press

288 pages | 51 B/W Illus.

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Hardback: 9781420086218
pub: 2010-11-17
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One of the fastest growing corporate positions is that of global trade compliance manager. This position used to be an insignificant factor in most corporations, but the events surrounding 9/11 changed that forever. Compliance became a household word in businesses involved in importing and exporting. Unfortunately, when corporations begin setting up initiatives to become compliant, they often have to seek the support of outside counsel, consultants, and specialists, because there is no single resource that allows them to accomplish this work independently.

Compliance in Today's Global Supply Chain is the definitive resource for the executive engaged in global supply chains seeking compliance with government regulations. It provides a step-by-step blueprint for developing a compliance program and making it cost-effective within a corporation’s supply chain operation. Offering the perspective of one the nation’s most respected and informed experts on global supply chains, it defines emerging regulations that impact global trade. Emphasizing the importance of training programs and continuing education, it also shows how to educate senior management to ensure and maintain success and includes a list of resources to keep up with the changing import/export landscape.

Providing the company and the manager responsible for supply chain compliance with the necessary tools to initiate all the steps to secure a corporate compliance program in their global supply chain, Compliance in Today's Global Supply Chain is destined to be the "resident bible" for current and future managers of global supply chains


I have read many of Tom Cook’s books. I have seen him lecture and run seminars and business meetings. There is no one more fully informed with practical advice and counsel on how best to manage a global supply chain successfully. Since the unfortunate events of 9/11, the global community, both in the United States and abroad, has realized the importance and relevance of introducing compliance and security in their global operations. Tom has taken a leadership position on this subject and has gained invaluable insight into corporations and just what it takes to raise the bar of compliance and security in their global operations. This book addresses these issues in a comprehensive, no-nonsense approach that keeps the reader interested and fully engaged. It is detailed, articulate, and full of contemporary as well as timeless recommendations to help supply chain executives manage their global responsibilities. As with all Tom’s books and the work he does, I am a supporter and can earnestly recommend this book as an important tool in combating the effects of terrorism in managing your global supply chain.

Spencer Ross, President, World Trade Institute & Former Chairman, NY District Export Council

Cook, who specializes in global supply chain management, provides a resource for supply chain managers and international executives wanting to set up a compliance program for their global supply chain and develop a cost-effective program that complies with government regulations. He outlines ten steps to structure and implement a new or existing program and discusses import management and inbound logistics, government agencies controlling supply chain issues, technology options, and personnel issues. Half the book is devoted to appendices on the Automated Export System, best practices, the Foreign Corrupt Practices Act, and sample documents.

—In Research Book News,, February 2011

Table of Contents

The Importance of Trade Compliance Programs in Global Supply Chains

The Global Supply Chain

The Basics Steps of Structuring and Implementing


Senior Management

Analysis and Review

Person(s) Responsible—Team Initiative

Resource Development

Action Plan

Standard Operating Procedures (SOPs)

Training and Education


Global Contract Management


Terms of Sale/INCO Terms




Revenue Recognition (Exports Only)


Insurance: Loss and Damage

Resources Outline



E-Mail Newsletters

Export Logistics and Compliance Management

Export Logistics, Freight Forwarding, and Shipping

Export Freight Forwarding and Supply Chain Management

Shipping Costs

Shipping Cost Breakdown

Value-Added Services

Power of Attorney

INCO Terms in Logistics

Terms of Payment

Export Packing

Management Policy

Set Packing Guidelines

Packaging Resources

Managing Compliance and Documentation

Export Compliance



Harmonized Tariff Schedule/Schedule B Number

Bureau of Industry and Security (BIS)

Export Control Classification Number (ECCN)

Denied Party Screening

Office of Foreign Asset Controls

Export Documentation

FCPA Awareness and Adherence

Documentation and Letters of Credit

Import Management and Inbound Logistics

The Bureau of Customs and Border Protection (CBP)


The Department of Homeland Security (DHS)

Organizational Structure

Import Regulatory Issues

Import Management: Importer of Record vs. Ultimate Consignee

Reasonable Care

Meeting Reasonable Care Standards

Best Practices: Ten Steps to Achieve Import Compliance

C-TPAT: Customs-Trade Partnership Against Terrorism

Importer Self-Assessment (ISA) Program

Quick Response Audits

Global Security Awareness

Container Security Initiative

Advanced Manifest Notification Programs

Wheels Up or Four-Hour Advanced Notification

Two-Hour Advanced Notification for Ground and Rail Shipments

Flexibility of Filing

Postloading Filing Privileges

Foreign Cargo Remaining On Board

Implementation Process of Final Rule

Methods of Filing ISF Data

Valuation Verification

Methods of Valuation




Customs Powers of Attorney


Validating the Power of Attorney

Certificate of Registration

Foreign Shipper’s Repair/Manufacturer’s Affidavit

Importation and Customs Clearance Process

Record Keeping

Recommendations of Compliance

Methods of Storage of Records

Customs Bonds

Parties to a Bond

Types of Bonds

Amounts of Bonds


Invoice Requirements

Duty Drawback

Harmonized Tariff System


Techniques of Classification

HTSUS Number Structure

Government Agencies Controlling Supply Chain Issues

Government Agencies Involved in Exporting

Department of Commerce: Bureau of Industry and Security

Department of Commerce: Office of Antiboycott Compliance

Department of State: Directorate of Defense Trade Controls

Department of Commerce: Bureau of Census,Foreign Trade Division

Department of Justice: Drug Enforcement Administration, Office of Diversion Control (Chemicals and Controlled Substances)

Department of Health and Human Services: Food and Drug Administration (Drugs and Biologics, Investigational Drugs Permitted, Medical Devices)

Department of Energy: Natural Gas and Electric Power Department of Energy: Nuclear Regulatory Commission: Office of International Programs (Nuclear Materials and Equipment, Technical Data for Nuclear Weapons)

Department of Homeland Security: Customs and Border Protection (CBP)

Federal Maritime Commission: Ocean Freight Forwarders

Department of Commerce: Patent and Trademark Office

Department of Homeland Security: Transportation Security Administration

Department of the Treasury: Office of Foreign Asset Controls

Department of Interior: Fish and Wildlife Services

Government Agencies Involved in Importing

U.S. Customs and Border Protection

Food and Drug Administration

Department of Agriculture, Animal Plant Health Inspection Service

Consumer Products Safety Commission

U.S. Fish and Wildlife Service

Federal Communications Commission

Utilization of Technology Options

Technology Advantages

Service Providers and Technology

RFID: Trade Compliance and Import-Export Management

Personnel Deployment, Training, and Best Practices

Where Should Trade Compliance Be Managed?

Training and Education

PACMAN Benefits

U.S. Export A Solution for U.S. Trade

Compliance Education and Training

Benchmarking and Best Practices

Best Practices in Trade Compliance

Organized and Formal Education and Training

Putting Best Practices for Trade Compliance into an Action Plan


Key Acronyms

Key International Web Sites


All About AES: The Automated Export System

Supply Chain Security Best Practices Catalog

Foreign Corrupt Practices Act Antibribery Provisions

INCO Terms 2000

Sample Documentation for an Export and Import Shipment

About the Author

Thomas A. Cook is a seasoned veteran of global supply chain management, with more than 35 years of experience specifically directed to the elements of transportation, importing, exporting, logistics, freight, and overall business management. Tom is a veteran author of over nine books, such as Post 9/11 Security and Compliance, Mastering Import and Export Trade, and Global Sourcing.He began his career as a NYS Maritime Academy graduate with numerous years serving our country in the Navy and in the Dutch and U.S. Merchant Marine.

He has been directly involved in manufacturing, insurance, banking, trading, logistics vendor services, freight forwarding, customs brokerage, 3PL, and many other related services to global supply chains. He is considered a leader in education, training, and consulting to many of the Fortune 1,000 companies on an array of topics hosted by various government agencies, the World Trade Institute, the American Management Association, the World Academy, CCSMP, the Department of State, ISM, and NAPM, to name a few.

He has been the recipient of numerous awards and accolades—more recently the International Partnership Award bestowed by former President Bill Clinton at the State University of New York in Westbury.

Tom is currently on the New York District Export Council and is managing director of American River International (

Subject Categories

BISAC Subject Codes/Headings:
BUSINESS & ECONOMICS / Management Science
BUSINESS & ECONOMICS / Quality Control
BUSINESS & ECONOMICS / Purchasing & Buying