Part A: Business Details

1

Legal structure

Indicate whether the applicant entity operates as a Company, Sole Trader, Partnership or Trust and produce attachments to support the selection. Where the entity is a Partnership, the applicant must provide additional details for each Partner. Where the entity is a Trust, the applicant must also indicate the purpose of the Trust, the beneficiaries, the Trustees and their contact details, the nature of the entity’s business, the entity’s part in the international supply chain, and whether the trust imports and/or exports and the products handled.

2

About your business entity

The Australian Business Number (ABN), the Australian Company Number (ACN), the legal name of the applicant entity, the trading name of the applicant entity, the  website of the applicant entity, and the address of the applicant entity.

3

Primary contact details

The title, given and family names, position title, the telephone number and alternative telephone number, and the email address of the person to be contacted in relation to this application.

4

Alternative contact details

The title, given and family names, position title, the telephone number and alternative telephone number, and the email address of the alternative person to be contacted in relation to this application.

5

Authorised representative

The title, given and family names, position title, the telephone number and alternative telephone number, and the email address of the appropriate person to be contacted to represent the applicant entity to the Minister, Comptroller-General of Customs or other dignitaries.

6

International Supply Chain activities

Indicate which activities the applicant entity undertakes in the international supply chain, including those activities that may be ancillary to the core activities of the applicant entity.

7

Accreditations and certifications

Indicate whether the applicant entity holds any accreditations and/or certifications, including if a branch or subsidiary of the entity currently holds accreditations as an Authorised Economic Operator in another country.

8

Prior international trader

Indicate whether the applicant entity has been engaged in international trade for at least two years.

9

Financial solvency

Indicate whether the applicant entity is able to pay all of its debts as and when they fall due.

10

Overview

Provide a description or overview of the entity for which the applicant seeks accreditation. This must include description of how beneficiaries of the Trust interact with the applicant entity, where the applicant entity is a Trust. This must also include a description of significant structural changes within the applicant entity planned within 12 months preceding the date of application.

11

International Supply Chain

Provide a description of how activities identified in question six are performed by the applicant entity, including how the applicant entity interacts with third parties.

Part B: Systems and Records

12

If your business entity is both an importer and exporter of goods, does your business use the same operating system (logistics system) for both imports and exports?

Select “N/A” if the applicable entity either only imports or only exports, or is not involved in this activity.

If “no”, answer questions 13 to 24 from the perspective of the major activity of the entity (either importing or exporting), and then include an answer for the minor activity in the comments field of each section.

13

Is your operating system manual or electronic?

The details of which operating systems are manual and which systems are electronic.

If the operating system is electronic – Items 14 to 17 are required

14

Electronic operating system

The electronic operating system used by the applicant entity.

15

Financial transaction management system

Indicate whether the same operating system indicated in item 14 is used to manage financial transactions.

If “no”, items 15(a) to (e) are required.

15(a)

If the applicant entity is both an importer and exporter, indicate whether the entity uses the same financial system for both imports and exports.

15(b)

Indicate whether the financial system for the major activity of the applicant entity is manual or electronic?

15(c)

Where the response to item 15(b) was electronic, provide the name of the electronic financial system used by the applicant business.

15(d)

Indicate whether the financial system for the minor activity of the applicant entity is manual or electronic?

15(e)

Where the response to item 15(d) was electronic, provide the name of the electronic financial system used by the applicant business.

16

Operating system audit capabilities

Indicate whether the operating system indicated in item 14 enables the applicant entity to perform audits and identify discrepancies. If so, indicate who performs the audits, how this process takes place, and which audit features are available.

17

Operating system compliance requirement management and notification capabilities

Indicate whether the operating system indicated in item 14 manages and/or provides notification of any compliance requirements. If so, indicate how this process takes place, for which compliance requirements the system alerts, how the operating system is maintained with current compliance related requirements.

18

Management and storage of commercial records

Indicate whether the applicant entity stores all commercial records internally or outsources this to a third party service provider. If a Third Party Provider is selected, the applicant will be required to provide the name and Australian Business Number (ABN) of the company conducting this services.

19

Language of commercial records

The commercial records should be in English or readily translated into English, consistent with subsection 9(3) of the Customs (Australian Trusted Trader Programme) Rule 2015.

20

Existing measures to limit or restrict access to electronic systems/ manual records

Indicate whether the applicant entity has processes in place to limit or restrict access to its electronic systems or manual records. If so, the applicant must describe the existing processes.

21

Existing measures to monitor and review access to ICT systems and network

Indicate whether the applicant entity has processes in place to monitor and review access to its ICT systems and network. If so, the applicant must describe the existing processes.

22

Recent unauthorised access to, loss or misuse of data in relation to the operating or financial systems of the applicant entity

Indicate whether the applicant entity had any unauthorised data access, loss or misuse in relation to its operating or financial systems within 12 months preceding the date of application. If so, the applicant must describe the incident.

23

Existing backup and recovery safeguards for business data

Indicate whether the applicant entity has backup and recovery measures in place to safeguard its business data against loss. If so, the applicant must describe the backup measures, how frequently data is backed up, how long the entity retains backup data for, and how the entity recovers its data from the backup system.

24

Measures to ensure accuracy of information provided to third parties, or the Department of Home Affairs and Australian Border Force

The measures used by the applicant entity:

(a) Checklists;

(b) Guides/manuals;

(c) Standard Operating Procedures;

(d) Quality assurance;

(e) Cross-checking;

(f) Other – if “Other” is selected, the applicant must describe.

25

Documented security risk assessments for supply chain

Indicate whether the applicant entity has any documented security risk assessments for its supply chain. If so, provide an example and indicate themes covered in the risk assessment:

(a) Personnel security;

(b) Transport security;

(c) Goods security;

(d) Physical security;

(e) Container security;

(f) Other – if “Other” is selected, the applicant must describe.

25(a)

Risk assessment review process

Describe the risk assessment review process of the applicant entity.

26

Employees tasked with risk management or related functions

Indicate whether the applicant entity has employees tasked with risk management or a related function. If so, the applicant must provide details of these roles including appointed personnel, their roles and responsibilities.

27

Employees tasked with physical security related roles

Indicate whether the applicant entity has employees who are tasked with physical security related roles. If so, the applicant must provide details of these roles including appointed personnel, their roles and responsibilities.

Part C: Staff, Policies and Training

28

Staff lists

Indicate whether the applicant entity has attached a staff list to the application. If not, the applicant must provide a complete master staff list which includes names, roles, and dates of birth.

29

Screening of prospective employees

Indicate whether the applicant entity conducts screening of prospective employees. If so, indicate which screening measures are used by the applicant entity:

(a) Reference Checks;

(b) Criminal History Checks;

(c) Visa Entitlement Verification Online (VEVO) Checks.

The applicant should describe the nature of any other checks conducted on behalf of the applicant entity, including identity assurance activities.

30

Drug and alcohol policy

Indicate whether the applicant entity has a drug and alcohol policy in place. If so, the applicant must provide details of the policy, what measures are taken, and the process for dealing with an adverse outcome.

31

Adverse outcomes to criminal history checks

If the response to item 29 indicated that criminal history checks are conducted, the applicant must describe whether a policy exists for dealing with an adverse outcome to a criminal history check, and if so, provide the policy itself.

32

Periodic review of screening processes

Indicate whether the applicant entity periodically reviews its screening processes. If so, the applicant must indicate the frequency of review.

33

Requirements for current staff to self-report criminal convictions

Indicate whether the applicant entity requires current staff to self-report any criminal convictions. If so, the applicant must describe the self-reporting process.

34

Training on supply chain security

Indicate whether the applicant entity provides training on matters to do with supply chain security. If so, the applicant must describe the content of these training sessions, including whether the security of goods is covered and handling personal importations.

34(a)

Further information on supply chain security training.

Describe the type of training the applicant entity provides for its staff on its policies and procedures, and whether this includes training on reporting obligations to the Department.

35

Staff exit procedures

Indicate whether the applicant entity maintains documented staff exit procedures that ensure relevant access to premises and systems are removed in a timely manner. If so, the applicant must describe the termination procedures including timeframes, approval requirements and record retention.

36

Processes for temporary staff, contractors, labour hire etc.

Indicate whether the answers provided to items 28 to 34 also apply to temporary staff or contractors. If they differ, the applicant must describe the differences, including any reliance on third party providers.

Part D: Third Parties

37

Third party providers for international supply chain activities

Indicate whether the applicant entity engages third parties to provide international supply chain activities on its behalf. If so, describe the engagement and list the third parties engaged.

38

Offshore consolidation or deconsolidation

Indicate whether the applicant entity consolidates and/or deconsolidates offshore. If so, indicate where these activities occurs, and describe the process.

39

Procedures to screen and select third parties, including clients and suppliers

Indicate whether the applicant entity maintains procedures to screen and select third parties, including clients and suppliers. If so, the applicant must describe the procedures, including how third party suppliers are selected, and the screening procedures for those who undertake work on behalf of the entity, if different to prospective employee screening indicated in item 28.

Part E: Physical Security

40

Ownership, rent or control of physical premises

Indicate whether the applicant entity owns, rents or controls any of the physical premises where international cargo is manufactured, dispatched, received and/or stored. This question does not apply to domestic cargo.

40(a)

Quantity of sites

Indicate how many sites to which item 37 applies.

40(b)

Physical security onsite

Indicate whether the applicant entity applies the same physical standards and features to each of the sites identified in item 39(a).

40(c)

Security features onsite

The security features available at each of the sites identified in item 39:

(a) Locks on doors/windows;

(b) Site name;

(c) Swipe card access;

(d) Site function;

(e) ID cards/uniforms;

(f) Number of employees;

(g) Visitor register/tracking;

(h) Vehicle register/tracking;

(i) Perimeter barrier;

(j) CCTV;

(k) Alarm system;

(l) Security guards;

(m) Overnight security monitoring;

(n) All of the above;

(o) Other – if “Other” is selected, the applicant must describe.

41

Integrity controls for cargo in transit

Where the applicant entity itself transports international cargo, indicate whether the applicant entity maintains controls to preserve the integrity of that cargo while it is in transit. If so, the applicant must indicate which controls are used by the applicant entity:

(a) Locks/seals;

(b) Inspections;

(c) Unload procedures;

(d) Recording of damage/loss;

(e) Reconciliation procedures;

(f) Notification procedures;

(g) All of the above;

(h) Other – if “Other” is selected, the applicant must describe.

42

Integrity controls for containers

Where the applicant entity itself interacts directly with containers, indicate whether the applicant entity has controls in place to preserve the integrity of those containers and guard against unauthorised access or tampering. If so, the applicant must indicate which controls are used by the applicant entity:

(a) Seal inspections;

(b) Seal security and storage measures;

(c) 7 point container check (documented);

(d) Pack/unpack procedures;

(e) Repair/modification procedures;

(f) Secure storage/location;

(g) Record keeping procedures;

(h) Structural inspections;

(i) All of the above;

(j) Other – if “Other” is selected, the applicant must describe.

43

Security measures for goods

Indicate whether the applicant entity, or a third party engaged on behalf of the applicant entity, takes measures to ensure the security of goods. If so, the applicant must indicate which measures are undertaken:

(a) Stocktakes;

(b) Cycle counts;

(c) Other – if “Other” is selected, the applicant must describe.

Part F: Additional Information

44

Compliance history

Indicate whether there is any information related to the compliance history of the applicant business for provision to the Department of Home Affairs and Australian Border Force.

45

Overarching security policies or frameworks

The applicant must describe any overarching security policies or frameworks which the applicant entity adheres, including how often these policies/frameworks are reviewed and how they are communicated to staff.

46

Internal consideration of the ATT legal agreement

Indicate whether the applicant entity has considered the ATT legal agreement internally.

47

Declaration

By clicking “Yes” the applicant declares that the information provided through the approved statement is true and correct to the best of the applicant’s knowledge.