Federal Register of Legislation - Australian Government

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No. 1 of 2015 Approvals as made
This instrument approves the “Self-Assessment Questionaire” as an approved statement for the purposes of communicating to the Comptroller-General of Customs an electronic nomination under subsection 176B(3) of the Customs Act 1901 to participate in the Programme.
Administered by: Immigration and Border Protection
Registered 24 Jul 2015
Tabling HistoryDate
Tabled HR10-Aug-2015
Tabled Senate10-Aug-2015
Date of repeal 01 Jul 2016
Repealed by Comptroller-General of Customs Instrument of Approval No. 1 of 2016

COMMONWEALTH OF AUSTRALIA

Comptroller-General of Customs Instrument of Approval No 1 of 2015

Customs Act 1901

 

I, MICHAEL OUTRAM, Acting Comptroller-General of Customs, under subsection 4A(1A) of the Customs Act 1901 (the Act), approve the attached" SELF-ASSESSMENT QUESTIONNAIRE" as an approved statement for the purposes of communicating an electronic nomination under subsection 176B(3) of the Act to participate in the Australian Trusted Trader Programme. 

 

This instrument commences on the day after it is registered.

 

Dated: 22 July 2015

 

 

MICHAEL OUTRAM

Acting Comptroller-General of Customs


Self-Assessment Questionnaire

1.    Introduction

 

The purpose of this self-assessment questionnaire is to serve as a nomination by an entity to participate in the Australian Trusted Trader Programme (ATT). An entity is a lawful or legally standing association, corporation, partnership, proprietorship, trust or sole trader, that has the legal capacity to enter into agreements or contracts, assume obligations, incur and pay debts, prosecute and be prosecuted in its own right and be accountable for illegal activities. From this point forward an entity will be referred to as a business within the context of this document.  This nomination contains questions relating to a business’ supply chain security and trade compliance standards and procedures. The nomination will be considered by the Comptroller-General of Customs or their delegate (from this point forward the term Comptroller-General of Customs will also include his or her their delegate) to assess whether the business meets the qualification criteria for the ATT which will lead to the Comptroller-General of Customs entering into a trusted trader agreement with the business. The Comptroller-General of Customs may also consider any other matter as set out in the rules or otherwise, that he or she considers relevant in deciding whether to enter into an agreement with the business.

 

After this nomination has been completed and assessed, if the Comptroller-General of Customs considers that it is reasonably likely that the business will satisfy the qualification criteria of the ATT, they will enter into an agreement which will confer interim trusted trader status on the business. As a result, the business will receive benefits of a kind prescribed in the rules and settled in the business’ agreement.

 

The questions contained in the self-assessment questionnaire have been tailored based on the international supply chain activities that the business undertakes. If there are questions in this self-assessment questionnaire that you believe are not relevant to your business’ activities in the international supply chain, please advise your Department of Immigration and Border Protection account manager (account manager).

 

Please answer all questions in this self-assessment questionnaire with accuracy and to the best of your knowledge. The explanatory material supplementing each question will provide you with additional information on the types of evidence that you could provide in your response. Additionally, your account manager will be able to provide you with assistance and answer any questions you may have in relation to the completion of the self-assessment questionnaire.

 

Each chapter follows a regular risk assessment pattern with:

·         Questions about :

o   If there are any internal procedures and/or measures in place for the relevant international supply chain activities;

o   If these procedures are described and documented;

·    A description of these procedures, considering the points expressed in the explanatory notes; and

·    An assessment about the maturity level of the internal control and monitoring environment according to the following scale or qualification.

 

Some of the questions in the self-assessment questionnaire have an assessment tool for the business to complete regarding the maturity level of the internal procedures and monitoring the business has in place. The following scale is to be used to complete those questions.

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

0   =   Internal controls on business processes are not applied at all (non-existent)

          There are no easily identifiable work products or outputs of the process;

1   =   Internal controls on the business processes are ad hoc and disorganised (fragmented)

          Individuals within the organisation recognise that an action should be performed, and there is general agreement that this action is performed as and when required, although few stable processes exist or are used;

2   =   Internal controls on the business processes follows a regular pattern (structured)

          The processes used are documented and repeatable, performance according to specified procedures is planned and tracked, and work products conform to specified standards and requirements;

3   =   Internal controls on business processes are documented, communicated and followed (defined)

          Standard processes are used to establish consistency across the organisation, and individual implementations of the process use approved, tailored versions of standard and documented processes;

4   =   All of 3, plus: the results of internal controls on business processes are monitored and measured (integrated)

          The defined process is performed consistently in practice, within defined control limits, to achieve its goals and detailed measures of performance are collected and analysed to ensure the quality of work products is quantitatively known.

5   = All of 4, plus: ongoing evaluation and continuous improvement of business processes (optimised)

          Business processes is optimised to meet current and future business needs and to achieve repeatability in meeting its defined business goals, while quantitative feedback enables continuous process monitoring, and improvement is achieved by analysis of the results and through the detection of a failure or vulnerability of that process.

 

2.    Privacy information

 

The personal information collected by the Department of Immigration and Border Protection (the Department) in this self-assessment questionnaire will be used and disclosed by the Department for the purposes of administering the ATT in accordance with Part XA of the Customs Act 1901 including the rules made thereunder, in particular to assess whether it is reasonably likely that your business will satisfy the qualification criteria for the ATT, assess the matters that the Comptroller-General of Customs must have consideration with respect to before entering into a trusted trader agreement and undertake a suitability assessment. In the event that the Comptroller-General of Customs enters into a trusted trader agreement with your business, some of the non-personal information provided may also be published on the publicly available Register of Trusted Trader Agreements. The information may also be disclosed to other Commonwealth, State and Territory government agencies.

 

Failure to provide any relevant personal information will mean your business will be unable to nominate for participation in the ATT.

 

At all times, any personal information will be collected, stored, used and disclosed in accordance with the Australian Privacy Principles in Schedule 1 of the Privacy Act 1988. Further information regarding how the Department handles personal information, and your rights to seek access to and correction of your personal information, can be found in the Department’s privacy policy at www.border.gov.au/privacy. The Department’s privacy policy also contains information about how you may complain about a breach of the Australian Privacy Principles and how the Department will deal with a complaint.

 

3.    Business information

 

3.1 General information

 

3.1.1. General information regarding the business

 

Question 1 – General business information:  Please provide details of the following as applicable to your business:

 

a.    Australian Business Number (ABN);

b.    Australian Company Number (ACN), if applicable;

c.    Full legal name as registered by Australian Securities and Investments Commission;

d.    Any other relevant trading name(s);

e.    Registered office address;

f.     Date of establishment of the business; and

g.    If a public company, the ASX code.

 

3.1.2. Principal owners

 

Question 2 – Ownership information:  Please provide the names and addresses of the following people:

  • Principal owners or directors of the business
  • Key management personnel in roles relating to international supply chain operations. This could include key management personnel responsible for:
    • Reporting information to the Department or other government departments;
    • Physical security of goods;
    • Record keeping;
    • Financial management;
    • International supply chain operations;
    • Compliance; or,
    • Customs operations. 

 

3.1.3  Business structure

 

Question 3 – Legal Business structure:  Please answer the following questions regarding the business structure used by your business and details of any associated entities, internationally or within Australia.

 

a.    What type of legal business structure is used by your business?     

b.    Is your business part of a larger corporate group of entities, either within Australia or internationally? If yes, can you please include the names of the other entities in the corporate group and a diagram of the business structure within the corporate group? Please include ABNs of the other entities in the corporate group if applicable.

c.    Does your business have an ultimate holding company? If so, who is the ultimate holding company?

d.    Who is the ultimate corporate owner of the business seeking to join the ATT?

 


Question 4 – Structural change: Are you aware of any upcoming structural changes that may be significant to your business? If yes, can you please provide a brief description of the structural changes?  

 

Question 5 – Business’ Authorised Economic Operator status: Please indicate if any of the other entities in your corporate group have:

a.    Already obtained a Trusted Trader/ Authorised Economic Operator (AEO) accreditation in another jurisdiction. If so, please provide brief details on the accreditation.

b.    Applied for a Trusted Trader/AEO accreditation and are currently undergoing a Trusted Trader/AEO review by a customs authority.

c.    Had a change in Trusted Trader/AEO status in another country or Australia, e.g. suspended or terminated.  If so, what were the circumstances?

 

3.2 International supply chain activities 

 

3.2.1 International supply chain activities

 

Question 6 – International supply chain activities: Please indicate all of the activities you undertake in the international supply chain in the normal course of your business. Please include those activities that you may undertake infrequently.

·         Manufacture goods

·         Import and/or Export goods

·         Physically handle goods

·         Report goods

·         Store/ warehouse goods

·         Transport goods

·         Contract third Parties

 

Question 7 – Description of business’ international supply chain activities:

a.    Please provide a brief description and/or a diagram depicting your activities or the flow of goods in your international supply chain.

b.    As applicable, please include information on the goods and/or service provided by your business.

 

Question 8- International supply chain changes: Are you aware of any upcoming changes to your operations in the international supply chain that may be significant to your business in the upcoming two years? If yes, briefly describe the operational changes.  

 

3.2.2 Organisational structure

 

Question 9 – Organisational Structure: Please provide an organisational chart or outline of the internal organisational structure for your business. Briefly describe the key tasks or responsibilities of each fundamental department or management function.

 

Question 10 – Key roles: For the key personnel operationally responsible for management of trade compliance and security in the international supply chain, please provide:

·         Name

·         Job title

·         Brief job description

 

Question 11 – Business locations: Please answer the following questions for each location where your business operates within Australia.

a.    What is the full street address for the site?

b.    What international supply chain activities are undertaken at that site?

c.    What is the approximate size – number of staff employed at the site; physical size (m²)?

d.    Is the site is owned or leased?

e.    Is the location shared with other businesses?

f.     If the site is shared with another business, what is the relationship between the businesses?

g.    Who manages the site or is the primary owner of the site?

 

3.3 Volume and value of trade

 

3.3.1  Volume and value of trade

 

Question 12 Volume & Value, Importers & Exporters (importers and exporters only): Please give an estimate of the number and total customs value of your international consignments for the last two years. Please include in your calculation:

·         Any international consignments that have been reported, declared or managed through a broker or other agent.

·         Any international consignments that require an import/export declaration and those that are exempt from import/export declarations. Please indicate whether they are exempt from import/export declarations requirements because they are below declaration thresholds or any other reason.

 

Question 13 - Volume & Value, Brokers & Agents (service providers that act on behalf of importers/exporters only): Please give an estimate of the number and total customs value of international consignments for which you have acted on behalf of a client importer/exporter over the last two years. Please include in your calculation:

·         Any international consignments that require an import declaration or export declaration and those that are exempt from import/export declarations requirements. Please indicate whether they are exempt from import/export declarations requirements because they are below declaration thresholds or any other reason.

 

Question 14 - Volume & Value Changes: Are you aware of any upcoming changes to your business’ volume or customs value of international trade? If yes, can you please provide a brief description of the changes?  

 

3.3.2 Duty and/or Tax amount

 

Question 15 - Duty & Tax, Importers & Exporters (for importers and exporters only): Please give an estimate of the total amount of each of the following, paid by your business during each of the last two years:

a.    Customs duty;

b.    Excise duty;

c.    Indirect taxes, such as goods and services tax, wine equalisation tax or luxury car tax as payable in respect of the goods

 

Question 16 - Duty & Tax, Brokers & Agents (service providers that act on behalf of importers/exporters only): Please give an estimate of the total amount of each of the following, paid by your business on behalf of importers/ exporters during each of the last two years:

a.    Customs duty;

b.    Excise duty;

c.    Indirect taxes, such as goods and services tax, wine equalisation tax or luxury car tax as payable in respect of the goods

 


4.    Control environment

 

Question 17- Internal controls

a.    Does your business have internal controls in place for the management of trade compliance and supply chain security? Y/N. If yes, briefly describe how your business’ internal controls for the management of trade compliance and supply chain security are implemented and managed.

 

b.    Are the internal controls for the management of trade compliance and supply chain security embedded in your business’ approach and operations, such as through a corporate vision, mission statement, policy or corporate ethos? Y/N.

 

c.    What is your business’ approach to training and development of staff capability, regarding internal control processes to ensure trade compliance and supply chain security?

 

d.    What is your assessed level of maturity (from 0 to 5) of your business’ approach to the establishment and maintenance of your internal control environment?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

5.    Trade compliance record

 

Question 18 – Compliance record

a.    Over the past two years, has your business had any non-compliance with or breaches of a Customs related law? The non-compliance may have been detected by your business or by the relevant government authority. Y/N 

 

b.    If yes, describe the nature of the non-compliance or breaches and the extent of the non-compliance or breach.

 

c.    Did the non-compliance or breach result in action being taken by the relevant government authority, through some form of penalty?  If so, what was the penalty?

 

6.    Financial viability

 

Question 19 – Financial viability

a.    Are any of the following statements applicable to your business or have been applicable to your business during the past two years, Y/N:

o   A receiver of the property or part of the property of the business has been appointed

o   Your business is under administration within the meaning of the Corporations Act 2001

o   Your business has executed, under Part 5.3A of the Corporations Act 2001, a deed of company arrangement that has not yet terminated

o   Your business has been wound up

o   The principal owners of the business are undischarged bankrupts

 

b.    If you answered yes to any of the above, please provide details.

 

c.    In your opinion, is your business able to pay its debts when they become due and payable? 

 

d.    Are there any upcoming events you are aware of that could impact on the business’ financial solvency in the foreseeable future? If yes, please provide detail.

 

e.    Please provide the following ratios for your business from audited accounts of the previous two financial years:

o   Current liquidity ratio (cash flow test) = current assets / current liabilities

o   Quick ratio = (Current assets – Inventories) /Current liabilities

o   Days sales outstanding = (Accounts receivable / Total credit sales) x Number of days in sales

o   Debt to equity = Total debt / Total equity

o   Debt to assets = Total debt / Total assets

o   Interest coverage ratio = Operating income / Interest expense

 

f.     Please provide copies of your business’ balance sheets for the past two years.

 

7.    Commercial records management

 

7.1 Financial data recordkeeping

 

Question 20 – Financial data recordkeeping

a.    Does your business keep financial records (physical or electronic) that document and explain your international supply chain transactions and financial standing? Y/N.

 

b.    Briefly explain how your business’ financial record keeping system operates in relation to managing data relating to your international supply chain transactions and your business’ financial standing.

 

c.    Does your business have any procedures (documented or otherwise) in place to ensure that your financial records are complete, accurate and traceable to the source information? If yes, please describe these procedures.

 

d.    Does your business have any procedures (documented or otherwise) in place that control access, physical and electronic, to financial records relating to international supply chain transactions and financial performance?

 

e.    Does your business have any other procedures (documented or otherwise) in place related to maintaining the reliability, traceability and security of financial records relating to international supply chain transactions and financial performance?

 

f.     What is your assessed level of maturity (from 0 to 5) of the overall procedures for the maintaining the reliability, traceability and security of financial records relating to international supply chain transactions and financial performance?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

7.2 Logistics recordkeeping 

 

Question 21 – Logistics recordkeeping

a.    Does your business keep records that document the handling, movement and storage of goods moving through your international supply chain? Y/N.

 

b.    Do your business’ records enable identification of other businesses that may be in contact with the goods within the international supply chain? Y/N

 

c.    Briefly explain how your record keeping system operates in relation to keeping information on the handling, movement and storage of goods moving through your international supply chain.

 

d.    Does your business have any procedures (documented or otherwise) in place to ensure that your records relating to the handling, movement and storage of goods are complete, accurate and traceable to the source information? If yes, please describe these procedures.

 

e.    Does your business have any procedures (documented or otherwise) in place that control access, physical and electronic, to the records relating to the handling, movement and storage of goods?

 

f.     Does your business have any other procedures (documented or otherwise) in place related to maintaining the reliability, traceability and security of records relating to the handling, movement and storage of goods?

 

g.    What is your assessed level of maturity (from 0 to 5) of the overall procedures for the maintaining the reliability, traceability and security of financial records relating to the handling movement and storage of goods?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

8.    Communication of information

 

8.1 Information and communication technology environment 

 

Question 22 – Information relating to goods moving in the international supply chain

a.    Does your business have procedures (documented or otherwise) in place to ensure that any communication made to your business from another party about goods moving through the international supply chain is complete, accurate and traceable? Y/N. If yes, briefly describe these procedures.

 

b.    What is your assessed level of maturity (from 0 to 5) of the procedures to assess the completeness, accuracy and traceability of any communication made to your business from another party about goods moving through the international supply chain. 

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

Question 23 – Reporting to government agencies

a.    Does your business have procedures (documented or otherwise) in place to ensure that any communication made to the Portfolio and other relevant government agencies regarding the importation or exportation of goods is complete, accurate and traceable? Y/N. If yes, briefly describe these procedures.

 

b.    Does your business have procedures (documented or otherwise) in place to ensure that any communication made regarding the importation or exportation of goods is submitted in accordance with relevant statutory timeframes? Y/N. If yes, briefly describe these procedures.

 

c.    Does your business have any other procedures (documented or otherwise) in place related to maintaining the completeness, reliability and traceability of any communication made regarding the importation or exportation of goods?

 

d.    What is your assessed level of maturity (from 0 to 5) of the overall procedures for the maintaining the reliability, traceability and security of communications made regarding the importation or exportation of goods?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

Question 24 – ICT environment

a.    Briefly describe the information and communication technology (ICT) system that your business uses to process and communicate data relating to the international supply chain.

 

b.    Do you have any procedures (documented or otherwise) in place to ensure that the ICT system is secured against misuse and unauthorised access? If yes, please describe these procedures.

 

c.    Do you have any other procedures in place (documented or otherwise) to secure your ICT system relating to the international supply chain?

 

d.    What is the assessed level of maturity (from 0 to 5) of the procedures for your business’ ICT system?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

9.    Security standards relating to the handling, movement and storage of goods

 

9.1 Security standards for conveyance of goods

 

Question 25 – Conveyance of goods 

a.    Does your business have procedures (documented or otherwise) in place to ensure the security of goods during the conveyance process? Y/N. If yes, please describe these procedures.

 

b.    Does your business have procedures in place to ensure the integrity of the conveyance process and related data of the conveyance process? Y/N. If yes, please describe these procedures.

 

c.    What is the assessed level of maturity (from 0 to 5) of the procedures to ensure the security of goods during the conveyance process?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

 

9.2 Security standards for receiving goods  

 

Question 26 – Goods arrival/receipt

a.    Does your business have procedures (documented or otherwise) in place to reconcile the goods received into your business’ premises with the supporting commercial documentation for the goods? Y/N. If yes, please describe these procedures.

 

b.    What is the assessed level of maturity (from 0 to 5) of the procedures in place to reconcile the goods received with their supporting commercial documentation.

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

9.3 Security standards for storage of goods

  

Question 27 – Goods storage

a.    Does your business have procedures (documented or otherwise) in place for maintaining the security of goods during their time in storage at your business? If yes, please describe these procedures.

 

b.    What is the assessed level of maturity (from 0 to 5) of the procedures in place for maintaining the security of goods during their time in storage at your business?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

 

9.4 Security standards for goods during processing operations 

 

Question 28 – Goods processing operations

a.    Does your business have procedures (documented or otherwise) in place for maintaining the security of goods during processing operations? If yes, please describe these procedures.

 

b.    What is the assessed level of maturity (from 0 to 5) of the procedures in place for maintaining the security of goods during processing operations?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

9.5 Security standards for goods during dispatch process 

 

Question 29 – Goods dispatch

a.    Does your business have procedures (documented or otherwise) in place for maintaining the security of goods during the dispatch of goods process? If yes, please describe these procedures.

 

b.    Does your business have procedures (documented or otherwise) in place to reconcile the goods dispatched from your business’ premises with the supporting commercial documentation for the goods? Y/N. If yes, please describe these procedures.

 

c.    What is the assessed level of maturity (from 0 to 5) of the procedures in place for maintaining the security of goods during the dispatch process?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

10.  Supply chain security qualification criteria

 

10.1 Security risk assessment

 

Question 30 – Security risk assessment

a.    Does your business undertake regular security risk assessments in relation to your activities in the international supply chain? Y/N. If yes, please briefly describe the process (documented or otherwise) for undertaking the security risk assessment. 

 

b.    Is the process, describing how the security risk assessment is to be undertaken, monitored or reviewed? Y/N. If yes, please describe how the process is monitored and/or reviewed.

 

c.    What is the assessed level of maturity (from 0 to 5) of your business’ security risk assessment?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

10.2 Entry and access to premises 

 

Question 31 – entry and access to premises

a.    Does your business have procedures (documented or otherwise) in place to restrict access or prevent unauthorised entry to its premises? Y/N. If yes, please describe these procedures.

 

b.    Does your business have any procedures (documented or otherwise) in place to check your business’ incoming packages or mail for potential risks prior to them being opened or distributed? Y/N. If yes, please briefly describe these procedures.

 

c.    Does your business have any other procedures (documented or otherwise) relating to entry and access to the business’ premises? Y/N. If yes, please describe these procedures.

 

d.    Attach a site plan for each of your business’ sites involved in international supply chain related activities. The site plan should identify perimeters, access routes and the location of the buildings.

 

e.    What is the assessed level of maturity (from 0 to 5) of your business’ procedures to restrict access or prevent unauthorised entry to its premises?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 


10.3 Physical security  

 

Question 32 – physical security

a.    Does your business have any physical barriers or deterrents that guard against and/or monitor unauthorised access to goods at goods handling or storage facilities? Y/N. If yes, please briefly describe these physical barriers or deterrents.

 

b.    Does your business have any other procedures (documented or otherwise) in place relating to physical security of goods at handling or storage facilities? Y/N. If yes, please briefly describe these procedures.

 

c.    What is the assessed level of maturity (from 0 to 5) of the procedures for managing physical security of goods at handling or storage facilities?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

 

10.4 Cargo unit security

 

Question 33- Cargo unit security

a.    Does your business have any procedures (documented or otherwise) to keep containers secure from unlawful or unauthorised alteration or interference before goods are packed into them and during the conveyance of the goods along the international supply chain? Y/N. If yes, please briefly describe these procedures.

 

b.    Does your business have any procedures (documented or otherwise) that ensure cargo containers are secured from unauthorised access? Y/N. If yes, please briefly describe these procedures.

 

c.    Does your business use cargo seals to secure containers during the conveyance process? Y/N. If yes, please describe any security or other procedures your business has relating to the use of cargo seals.

 

d.    What is the assessed level of maturity (from 0 to 5) of the procedures for maintaining the security of containers?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

10.5 Logistical procedures security

 

Question 34 – Logistics procedures security

a.    Does your business have procedures (documented or otherwise) that require goods to be reconciled with their supporting commercial documentation through the conveyance process along the international supply chain? Y/N. If yes, briefly describe these procedures.

 

b.    Does your business have any procedures (documented or otherwise) in place to account for any discrepancies or anomalies between the goods and their supporting commercial documentation? Y/N. If yes, briefly describe these procedures.

 

c.    What is the assessed level of maturity (from 0 to 5) of the procedures expressed above for reconciling goods with their commercial documentation?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

10.6 Third party and business partner security 

 

Question 35 – Business partner security

a.    Please list the legal name and trading name/s of the business partners that form part of your international supply chain. If possible, please include brief information on the role of these business partners in the international supply chain. 

 

b.    Does your business have procedures (documented or otherwise) for the identification and selection of business partners in your international supply chain? Y/N. If yes, briefly describe these procedures.

 

c.    Does your business have procedures (documented or otherwise) for the screening of international supply chain business partners to ensure that their procedures are consistent with the supply chain security standards of the ATT? Y/N. If yes, briefly describe these procedures.

 

d.    Does your business have procedures (documented or otherwise) for business partners to report any issues relating to supply chain security to your business? Y/N. If yes, briefly describe these procedures.

 

e.    What is the assessed level of maturity (from 0 to 5) of the business partner screening procedures?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 

Question 36 – Third parties

a.    Does your business require any third party involved indirectly in your business’ international supply chain to meet supply chain security standards? Y/N. If yes, briefly describe the security requirements imposed on the third party.

 

b.    Please list the legal name and trading name/s of the third parties that are involved indirectly in your international supply chain. If possible, please include brief information on the role of these third parties. 

 

c.    Does your business have procedures (documented or otherwise) in place to ensure that the third party is complying with their security requirements? Y/N. If yes, briefly describe these procedures.

 

d.    What is the assessed level of maturity (from 0 to 5) of the procedures to impose and monitor compliance with supply chain security requirements for third parties?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5

 

 

 

 

 

 

 


10.7 Personnel security 

 

Question 37 – Personnel training

a.    Does your business provide training for employees in roles relating to international supply chain security or trade compliance activities? Y/N. If yes, briefly describe the training.

 

b.    If yes, what type of training is used for the different employee roles? Examples may include, formal training, on-the-job training and/or staff mentoring.

 

c.    What is the level of supervision of employees operating across different international supply chain activities? Is the supervision close, general or broad?

 

d.    Are employees trained to recognise risks that may arise in relation to their role and if applicable, the business’ international supply chain? If yes, please describe the procedure for employees to identify any risks that they see arise in relation to their role? 

 

Question 38 – Personnel security

a.    Does your business have procedures (documented or otherwise) in place to screen prospective employees and to periodically check current employees? Y/N. If yes, briefly describe these procedures.

 

b.    Does your business have procedures (documented or otherwise) in place to ensure that personnel who have had their employment terminated do not continue to have access to the business’ premises or systems? Y/N. If yes, briefly describe these procedures.

 

c.    What is the assessed level of maturity (from 0 to 5) of the personnel security procedures?

 

Non existent

Fragmented

Structured

Defined

Integrated

Optimised

0

1

2

3

4

5