Risk Element

relevant quality and delivery performance;

multidisciplinary decision making; and
an assessment of software development capabilities, if applicable.
volume of automotive business (absolute and as a percentage of total business);
financial stability;
purchased product, material, or service complexity;
required technology (product or process);
adequacy of available resources (e.g., people, infrastructure);
design and development capabilities (including project management);
manufacturing capability;
change management process;
business continuity planning (e.g., disaster preparedness, contingency planning);
logistics process;
customer service.
 5: Business Management
4: Manufacturing & Ops
3. Technical & Design
Procedure Content

1. Financial Health

2: Quality
Covered in K1
Added F3

Incorporated into Initial profile document

Deleted section 1, refer to Procedure
Incorporated into Initial profile document
Covered Covered
Altered C1 &3 Covered Covered
Covered
Covered Covered
Covered Covered
Incorporated into Initial profile document
Covered
Added B3
 6. Software Development

New Section added

 SUPPLIER SELECTION ASSESSMENT SUMMARY
Supplier Name Commodity Name

OVERALL SUPPLIER RATING:

Percentage Green 0.0%
Percentage Yellow 0.0%
Percentage Red 0.0%
Percentage Not Rated 0.0%

Area/Element Status Details

Quality
A Certifications G
B Process Capability G
C Quality Support Capability G
D MSA ( Measurement Systems Analysis) G
E Overall Capability G
F Corrective Actions G
G Product/Process Changes G
H APQP/Part approval Process G
I Internal Product and Process Audits G
J Second Tier Supplier Management G
K Quality performance G
L Traceability G
OVERALL SECTION SCORE G
Technical & Design
A Change management G
B Technical knowledge of design engineers G
C Similar product design experience G
D Engineering development and project tools G
E Adequate technical support resources G
F Patent Efforts and Coverage G
G Robust DVP&R process G
H Good warranty problem solving process and results G
I Design Reviews G
J Reliability process is robust G
OVERALL SECTION SCORE G
Manufacturing & Operations
A Equipment Capability G
B Manufacturing Support Capability G
C Cleanliness & Maintenance G
D Non-Conforming Material G
E Part Traceability G
F Delivery G
G Capacity Planning G
OVERALL SECTION SCORE G
Business Management
Business Structure
A Diversified across industries G
B Longevity and Profitability G
C Cummins as strategic customer G
D Org Structure and Base Data G
OVERALL SECTION SCORE G
Management Commitment
A Commitment to Quality G
B Commitment to Customers G
OVERALL SECTION SCORE G
Project Management
A Projects are completed on-time G
Project managers are capable, trained, experienced and have the
B sphere of influence
G

OVERALL SECTION SCORE G

Red Issue that cannot be resolved or for which there is no plan
Yellow Resolution plan in place and will be completed by launch
Green Supplier meets Cummins needs for this item

Executive Summary
 Currency
FINANCIAL

Current Financial Data

Account <<Enter Report Date>>

Inventory 1.00

Total Current Assets 1.00

Total Assets 1.00

Interests Payable
If data is not available, pls. input 0. 1.00
If the actual amount is 0, pls input 1.

Principle payment due in one year of Long Term and Short

Term Loan
1.00
If data is not available, pls. input 0.
If the actual amount is 0, pls. input 1.

Total Current Liabilities 1.00

Total Liabilities 1.00

Total Equity（Total Equity= Total assets- Total Liabilities) 1.00

Tangible Net Worth ( Tangible Net Worth= Total assets -
1.00
Total liabilities- Intangible Assets)
Sales 1.00

Cost of Goods Sold 1.00

EBIT( EBIT= Net Income+Tax+Interests) 1.00

Profit Before Taxes 1.00

Have the data above been audited? No

*All data must be for the same period
**Data must not be more than two quarters old

RATIOS
Liquidity Ratios
Quick Ratio
0.00
(Current Assets - Inventory)/ Total Current Liabilities
Current Ratio
1.00
(Total Current Assets/ Total Current Liabilities）
###

Leverage Ratios
Debt / Equity 1.00

Debt / Assets 1.00

###

Cash Flow Ratios

Interests Coverage Ratio
1.00
(EBIT/Interest Payable)
Debt Service Coverage Ratio
0.50
EBIT/(Principle Repayment+Interests Payable)

Qualitative ENTRY

Ownership Structure Private Company

SCORE ###

Discretionary Section
Input Justification below
Comments:

Subtotal ###
 Quality
Contract Review - cross functional feasibility

Assessment
Area/Element Responsibility Details Status
Method
A Certifications (G, Y, R, NR)
Is the supplier ISO 9001 certified? If yes, list Registrar Retrive copy of
1 SQIE YES-ISO 9001-2015 & ISO 45001-2018 from TUV
Is it a multisite certification? certification
Is this facility covered by any third-party certifications (e.g. Marine
Retrive copy of
2 Certifications, etc)? If so, list them with expiration dates in SQIE NO
certification
Comments.

B Process Capability
Can the Supplier manufacture the quoted P/N(s) to the print or
1 technical profile provided, including all dimensions, engineering Visit/Audit SQIE YES
standards, and notes, without exception?
C Quality Support Capability SQIE
Are engineers integrated into the quality function at adequate
1 Visit/Audit SQE YES
levels?

2 What is the training plan for quality engineers and technicians? Visit/Audit SQE For Technician - Welding & Machine Operating Training

MSA ( Measurement Systems Analysis)

D
Does the supplier comply with acceptable measurement system
1 Audit SQIE YES
analysis (refrence supplier handbook)
E Overall Capability
1 Describe the functional tests used to check/failsafe ? Audit SQIE

Does the supplier have appropriate product verification activities

2 and control plans from receiving through product realization and Visit/Audit PE/SQIE/SM YES - ITP (Inspection & Testing Plan)
shipping, including material identification?
Are mistake-proofing and error-proofing provisions effectively used
3 Audit SQIE
to control Key featuers and ensure product integrity?
What upgrades (equipment, gauges etc.,) are needed to the
4 Visit/Audit SQIE/SM
production line to ensure zero defects to the customer?
F Corrective Actions
1 Does the supplier have an effective problem solving process? Audit SQIE
2 IS "Root cause" analysis prevalent ? Audit SQIE
3 Is a multi-disciplinary approach taken to problem solving? Audit SQIE
G Product/Process Changes
1 How are process, product and customer design changes managed? Audit SQIE

Does the supplier demonstrate an understanding of Process

2 Audit SQIE YES
Validation?
H APQP/Part Approval Process
1 Do they follow the APQP/PPAP or any part approval process ? Audit SQIE NO

Is there linkage between the design record, FMEA/PFMEA, Control

2 Plan, and Operator Instructions, e.g. effective and understandable Audit SQIE
controls are specified for affected operators to use?

Does the supplier demonstrate effective use of FMEA, e.g.,

3 DFMEA/PFMEA quantifies risk, takes action to reduce ongoing risk, Audit SQIE
uses appropriate crtieria to calculate risk, e.g., severity?
Does the supplier demonstrate conformance to requirements
4 Audit SQIE
specified or referenced in the Control Plan?
I Internal Process & Product Audits
1 Is there audit process is place? Audit SQIE YES
Is there evidence that internal audit findings are reviewed by
2 Audit SQIE YES
management?
J Second Tier Supplier Management
What is the process in place to manage their supply base? Supplier
1 Audit SQIE
performance?
K Quality Performance
Is the suppliers' PPM at acceptable level as compared to other
1 Audit SQIE
suppliers of this commodity?

2 Is there an approved rework procedure for the product currently? Visit/Audit SQIE

Is all non-conforming, or suspect material controlled, properly

3 Visit/Audit SQIE YES
identified, and reviewed?
Does the supplier use Six Sigma or similar proactive improvement
4 Audit SQIE NO
processes?
L Traceability
1 Are materials are clearly identified with finite traceability? Audit SQIE YES

2 Are functional test parameters captured per batch/serial number? Visit/Audit SQIE YES
 Quality
Contract Review - cross functional feasibility

Assessment
Area/Element Responsibility Details Status
Method
#DIV/0! R *R #DIV/0!
#DIV/0! Y *Y #DIV/0!
#DIV/0!
#DIV/0! G *G #DIV/0!
#DIV/0! NR NR #DIV/0!
Summary
 Technical & Design

Status
Assessment
Area/Element Responsibility Details (G, Y, R, NR)
Method

A Change Management
1 Is there a process for managing design changes? Audit SQIE
How are customer drawings and engineering standards
2 Audit SQIE
controlled ?

Does the supplier have the capability of retrieving current

3 Audit SQIE
drawings/specifications for use during inspections?

If the supplier is a make to print organization

the question below are waived.

If the supplier has design control, answer the

following questions:
B Technical knowledge of design engineers
Is the supplier familiar with regulatory requirements like Fule tank regulations. UL regulations. Noise regulations - knowledge on
1 Visit/Audit PE/SQIE
safety, UL, Noise regulations etc this topic.
Does the supplier have experience with appropriate
2 design evaluation tools, e.g., FEA, CFD- Airflow Visit/Audit PE/SQIE
simulation? FEA - from technical its good. Air flow simulation.
Does the supplier have experience developing effective
3 Visit/Audit PE/SQIE
DFMEAs? DFMEA - good to have from Technical side
C Similar product design experience
1 What products does the Supplier design ? Visit/Audit PE/SM/SQIE
Has the supplier designed parts similar to our
2 Visit/Audit PE/SM/SQIE
requirements ?

D
Engineering development and project tools
What are the development and project tools used by the
supplier ? CAD, Wiring Diagrams, CFD, Wind loading,
1 Visit/Audit
Snow loading, Sound attenuation - development and
testing?
E Adequate technical support resources
CAD models. Wiring diagrams - software needed? FEA, CFD - for airflow,
Presuring the fuel tanks for leak test. Wind loading - structure need to
PE/SM/SQIE
withstand that. Snow loading also. Sound attenuation - development and
testing.

Does supplier have CAD facilities to support complex

1 Visit/Audit PE/SM/SQIE
designs?

2 Are they capable of running product tests ? Visit/Audit PE/SM/SQIE Fuel tank pressure test. Wind loading - structure need to withstand that
Can the supplier provide prompt technical support at
3 Visit/Audit PE/SQIE
Cummins if needed?
F Patent Efforts and Coverage
Do they hold active patents for any of their pre-existing
1 Visit/Audit PE/SM/SQIE
designs that are of specific interest to Cummins? long term project.
G Robust DVP&R process
1 How is the design validated? Visit/Audit PE/SM/SQIE

H
Good warranty problem solving process and results
How are warranty issues resolved ? Does the supplier
have a process to review and reduce warranty costs, e.g.,
1 Visit/Audit PE/SM/SQIE
analysis of returned parts, use of effective problem
solving?
I Design Reviews
Are Design reviews cross functional and used to id
1 Visit/Audit PE/SM/SQIE
resolved issues?
Is the supplier capable of supporting our design and
2 Visit/Audit PE/SM/SQIE
development schedule?
J Reliability process is robust
1 Is product reliability addressed in design reviews? Visit/Audit PE/SM/SQIE
#DIV/0! R *R #DIV/0!
#DIV/0! Y *Y #DIV/0!
#DIV/0!
#DIV/0! G *G #DIV/0!
#DIV/0! NR NR #DIV/0!
Summary
 Manufacturing Engineering & Operations

Assessment
Area/Element Responsibility Details Status
Method
A Equipment Capability (G, Y, R, NR)
What is the FTR ( First Time Right) of the
1 Visit/Audit PE/SQIE/SM
manufacturing lines or cells ?
How is new equipment bought and qualified ? Are all
2 equipment and processes validated prior to Visit/Audit PE/SQIE/SM
production ?
3 Does the production process have a logical flow? Visit/Audit PE/SQIE/SM
4 What is the efficiency of the process ? Visit/Audit PE/SQIE/SM
Is benchmarking effectively used to develop new
5 Visit/Audit PE
products and processes?

Does the supplier plan for replacement and upgrade

6 Visit/Audit SQIE/SM
of equipment and tooling/fixtures to improve quality?

B Manufacturing Support Capability

1 Are there adequate manufacturing engineers ? Visit/Audit PE/SQIE/SM
2 What is the training plan for new operators ? Visit/Audit PE/SQIE/SM
3 Do they certify operators ? Visit/Audit PE/SQIE/SM
4 Do operators have clear work instructions ? Visit/Audit PE/SQIE/SM

5 Does the supplier have an effective process to engage Visit/Audit PE/SQIE/SM

employees in quality and innovation?

6 Does the facility have a plan to cover any Visit/Audit PE/SQIE/SM

absenteeism?

7 Does the supplier select resources based on Visit/Audit PE/SQIE/SM

educaiton, training, experience, and/or requirements?
C Facility & Maintenance
On a scale of 1 to 5 ( 1 being the cleanest), how clean
1 Visit/Audit PE/SQIE/SM
is the facility ?
2 Is there a preventive maintenance plan ? Visit/Audit PE/SQIE/SM
What is the uptime (%) of key equipment on the line
3 Visit/Audit PE/SQIE/SM
that will be used to make our parts ?
D Non-Conforming Material
1 How are non-conforming parts managed ? Visit/Audit PE/SQIE/SM
Are NCM clearly segregated and disposed ?
Does the Supplier's NCM process ensure that when a
2 Visit/Audit PE/SQIE/SM
known quality escape, or risk of escape is detected
that impacted Customers are informed immediately?
3 How are parts salvaged/reworked ? Visit/Audit PE/SQIE/SM
E Part Traceability
How are parts identified and linked to critical process
1 Visit/Audit PE/SQIE/SM
steps and verifications?
Can parts produced on different shifts/days be
2 Visit/Audit PE/SQIE/SM
identified ?
3 Is FIFO used on the floor ? Visit/Audit PE/SQIE/SM
F Delivery
What is their current delivery performance to their key
1 Visit/Audit PE/SQIE/SM
customers ?
What are the different modes of transportation used
2 to ship product? List current modes used, e.g., truck, Visit/Audit PE/SQIE/SM
rail, and boat.
Does the supplier have internal packaging design
3 capabilities, including a process of customer Visit/Audit PE/SQIE/SM
agreement?
What are the average days of finished product
4 Visit/Audit PE/SQIE/SM
inventory on hand?
Does the supplier use effective corrosion protection
5 Visit/Audit PE/SQIE/SM
for product as applicable?
6 Does the supplier export product? If so, list countries. Visit/Audit PE/SQIE/SM
G Capacity Planning
1 Is there a capacity planning process ? Visit/Audit PE/SQIE/SM
2 What is the current capacity of all operations ? Visit/Audit PE/SQIE/SM
3 How much excess capacity is available ? Visit/Audit PE/SQIE/SM
#DIV/0! R *R #DIV/0!
#DIV/0! Y *Y #DIV/0!
#DIV/0! G *G #DIV/0! #DIV/0!
#DIV/0! NR NR #DIV/0!
 Assessment
Area/Element Responsibility Details Status
Method
Summary
 Business Structure Checklist

Status
Area/Element Assessment Method Responsibility Details
(G, Y, R, NR)
Business Structure
A Diversified across industries
Interview management
1 What percent of the Supplier business will Cummins be? team Sourcing Manager

Interview management
2 Is the Supplier dependent on a single industry? team
Sourcing Manager

Interview management
3 Who are the other customers/other industries? team
Sourcing Manager

B Longevity and Profitability

Interview management
1 Are there any plans for growth or downsizing? team
Sourcing Manager

C Cummins as strategic customer

Interview management
1 Will Cummins be a strategic customer for the supplier ? team Sourcing Manager

Interview management
2 Does the supplier supply to other Cummins entities? team
Sourcing Manager

D Org Structure and Base Data

1 What is the organizational structure ? Org chart /functions Sourcing Manager
What is the depth of the talent in the management Interview management
2 ranks ? team
Sourcing Manager

Are there clear potential successors for key leadership Interview management
3 positions ? team
Sourcing Manager

Will Cummins be affected significantly if key leaders Interview management

4 quit/fired etc ? team
Sourcing Manager

Management Commitment
A Commitment to Quality
Interview management
Is management driving Customer Quality improvement ? Sourcing Manager
1 team
Is there a process in place to drive continuous
Interview Sourcing Manager
2 improvement?
B Commitment to Customers
Is management actively supporting Cost Reduction Interview management
Sourcing Manager
1 initiatives ? team
How does management adequately staff projects for Interview management
Sourcing Manager
2 success? team

Customer Service: Is the organisation suitably resourced

Interview management
and structured to ensure effective and timely in-service Sourcing Manager
team
support appropriate to the products provided?
3
Project Management
A Projects are completed on-time
Show evidence that committed due dates have been Interview management
Sourcing Manager
1 met on previous projects? team
2 What % of their projects were completed on-time? Sourcing Manager
What % of their projects were completed ahead of
Sourcing Manager
3 schedule ?
B Project managers are capable, trained, experienced and have the sphere of influence
How well developed and detailed are the project plans ? Review current project Sourcing Manager
1

Are adequate resources assigned to this project? PM? Review current project Sourcing Manager
2
3 Do they meet cost targets at end of projects ? Sourcing Manager

How do they control costs during project execution ? Sourcing Manager

4
Do they understand all the failure modes of all critical
Sourcing Manager
5 elements of their schedule ?
6 Do they develop alternate plans for critical steps? Review other projects Sourcing Manager
Does the supplier use formal Project Management
Review past projects Sourcing Manager
7 processes ?
Are they integrating their 2'nd tier suppliers in their
Review past projects Sourcing Manager
8 schedule well ?
Are all the stakeholders part of the project and are they
Review current project Sourcing Manager
9 tracked well ?
#DIV/0! R *R #DIV/0!
#DIV/0! Y *Y #DIV/0!
#DIV/0!
#DIV/0! G *G #DIV/0!
#DIV/0! NR NR #DIV/0! 0 *G 0 #DIV/0! 0 G 0 #DIV/0!
Summary 0 *Y 0 #DIV/0! 0 Y 0 #DIV/0!
0 *R 0 #DIV/0! 0 R 0 #DIV/0!
0 NR 0 #DIV/0! 0 NR 0 #DIV/0!
0 0 0 0
0 0
0 0
0 0
0
0
0
0
0
0
0
0
0
#REF!
0
0
 Note: Confirm applicability of this requirement with Commercial Purchasing lead

# Category
1 WCO Security Involvement

2 Business Partner Selection

3 Business Partners Security Requirement

4 Secured Container Areas

5 Controlling Unauthorized Entry (Containers)

6 Controlling Seals

7 Compromised Seals

8 Issuance of Seals

9 Seal Requirements

10 7 Point Container Inspection

11 Employee Badges

12 Visitors Issuance of ID & Access

13 Issuance of ID & Access

14 Verification of Visitors

15 Escorted Visitors

16 Verification of Vendors

17 Screen of Small Packages & Mail

18 Challenge Unauthorized Individuals

19 Background Verification
20 Background Checks for Sensitive Positions

21 Removal of ID & Access

22 Shipping Documentation

23 Accurate Manifest

24 Manifest Verification

25 Delivery Driver Verification

26 Cargo Discrepancies

27 Notification of Customs Authorities

28 Individual Log In

29 IT Security Policy Training

30 Password Reset

31 I.T. Abuse

32 I.T. Abuse

33 Physical Barrier

34 Segregation of Cargo

35 Gate House / Security Check Point

36 Segregated Parking Area

37 Facility Construction Material

38 Perimeter Check

39 Windows & Doors

40 Lighting Inside

41 Lighting Outside
42 Alarm System / CCTV

43 Security Training

44 Security Training

45 Business Continuity
plicability of this requirement with Commercial Purchasing leadership

Question
Are you currently a member of any government regulated supply-chain security program that is
accredited by the World Customs Organization (WCO)? If you are currently a member of a
government regulated supply-chain security program recognized by the WCO, what is your
registration number (SVI #, etc)? If applicable, please provide registration number in the
Comment Section.
Do you have a written procedure for the selection of business partners including, carriers, manufacturers,
suppliers, and vendors? If yes, please describe your procedure:
Do you have a written procedure to ensure your business partners maintain supply-chain
security procedures that are consistent with CTPAT or other World Customs Organization(WCO)
accredited security program? If yes, please describe your procedure:
Is the area where your containers are stored secure to prevent unauthorized access and/or
manipulation? If yes, please describe the security measure(s) used:
Is there a written procedure in place for reporting and neutralizing unauthorized entry into
containers or container storage areas? If yes, please describe your procedure:
Is there a written procedure in place that stipulates how seals are to be controlled and affixed to
loaded containers? If yes, please describe your procedure:
Is there a written procedure for recognizing and reporting compromised seals and/or containers
to Customs or the appropriate authorities? If yes, please describe your procedure:
Do you have controls to ensure only authorized personnel can access and issue container seals?
If yes, please describe the security measure(s) used:
Do the container seals utilized meet or exceed the PAS ISO 17712 requirements? If yes, please
describe the security measure(s) used:
Is there a written procedure in place for inspecting containers using at least the 7-Point
inspection process (1.Front Wall, 2.Left Side, 3.Right Side, 4.Floor, 5.Ceiling/Roof,
6.Inside/Outside Doors, 7.Outside/Undercarriage)? If yes, please describe your procedure:
Are all employees required to wear company issued identification badges? If yes, please
describe the security measure(s) used:
Is there a written procedure in place to adequately control the issuance and removal of
employee, visitor, and vendor identification badges? If yes, please describe your procedure:
Is there a written procedure in place for the issuance, removal, and changing of access devices
(swipe cards, keys, etc)? If yes, please describe your procedure:
Do you require visitors to present photo identification upon arrival? If yes, please describe the
security measure(s) used:
Are all visitors escorted by a company employee or authorized personnel and required to visibly
display some form of temporary identification? If yes, please describe the security measure(s)
used:
Do you require vendors to present some form of identification upon arrival to your facility? If
yes, please describe the security measure(s) used:
Do you have a written procedure to periodically screen arriving packages before they are
disseminated? If yes, please describe your procedure:
Is there a written procedure in place to identify, challenge, and report
unauthorized/unidentified persons found on your premises? If yes, please describe your
procedure:
Is there a written procedure in place to perform background checks and/or verify information
provided on an employment application for prospective employees? If yes, please describe
your procedure:
Is there a written procedure in place for periodic background checks on employees in sensitive
positions? If yes, please describe your procedure:
Do you have a written procedure in place to remove company issued identification, facility
access, and system access from terminated employees? If yes, please describe your
procedure:
Do you have a written procedure in place to ensure all of the documentation used in the clearing
of merchandise with Customs is legible, complete, accurate, and protected to ensure erroneous
information is not entered? If yes, please describe your procedure:
Do you have a written procedure in place to ensure the information manifested from abroad is
accurate and provided timely? If yes, please describe your procedure:
Is there a written procedure in place to verify incoming freight against the cargo manifest? If
yes, please describe your procedure:
Do you ensure drivers delivering and/or receiving cargo are positively identified before cargo is
received or released? If yes, please describe the security measure(s) used:
Is there a written procedure in place for resolving cargo discrepancies count (For example:
overages, shortages, anomalies)? If yes, please describe your procedure:
Is there a written procedure in place to notify Customs and/or other law enforcement agencies
when illegal or suspicious activities are detected with respect to imported or exported cargo? If
yes, please describe your procedure:
Do you have a written procedure in place that requires each user to have an individual account
or sign-on for your automated systems? If yes, please describe your procedure:
Do you have a written procedure in place to provide IT security policies, procedures, and
standards training for employees? If yes, please describe your procedure:
Do your automated systems periodically require each user to reset his/her password? If yes,
please describe the security measure(s) used:
Do you have a written procedure in place to identify business resource abuse, to include
Internet abuse, improper access of IT systems, altering of business data? If yes, please
describe your procedure:
Do you have a disciplinary policy in place for personnel found abusing business resources? If
yes, please describe the disciplinary policy:
Do you have any type of physical barriers or deterrents, for example fencing, that protects your
cargo and/or storage areas against any type of unauthorized entry? If yes, please describe the
security measure(s) used:
Within your facilities cargo/storage area, do you have fencing to separate your domestic cargo,
international cargo, high value cargo, and hazardous cargo? If yes, please describe the security
measure(s) used:
When personnel and/or vehicles enter or exit your facility, are they required to pass through
any type of gate house or access gate that is manned or monitored? If yes, please describe the
security measure(s) used:
Do you have a barrier (fence, guard rails, etc) separating the parking area designated for
employees and visitors from the storage and cargo areas? If yes, please describe the security
measure(s) used:
Is your facility constructed with a material that would resist unlawful entry (For Example: Brick,
Aluminum, etc)? If yes, please describe the material used:
Do you periodically inspect the perimeter of your facility to ensure unauthorized entry has not
been made or attempted? If yes, please describe the security measure(s) used:
Do your internal windows and doors used to enter and exit the facility have locking mechanisms
that prevent unauthorized entry? If yes, please describe the security measure(s) used:
Do you have adequate lighting inside of your facilities to include entrances, exits, cargo
handling areas, and storage areas? If yes, please describe the security measure(s) used:
Do you have adequate lighting outside of your facility to include entrances, exits, cargo
handling, storage areas, fence line, and parking areas? If yes, please describe the security
measure(s) used:
Is your facility equipped with an alarm system and/or video surveillance camera to monitor
your premises and prevent unauthorized access to cargo handling and storage areas? If yes,
please describe the security measure(s) used:
Do you have a Security Threat Awareness program to foster awareness of the threat of
terrorists and contraband smugglers at each point in the supply chain? If yes, please describe
the program:
Do you have training to assist employees in maintaining cargo integrity, recognizing internal
conspiracies, and protecting access controls? If yes, please describe the training:
Do you have a Business Continuity plan in place? If yes, please describe the plan:
Answer Notes / Comments / Written Responses Attachments
(If answered YES -> End Questionnaire)
Section Sub-Section Element Gap Identified
Proposed Action Owner Target Close Date Actual Close Date
 ALL CRITERIAL ITEMS
Green G Y R NR G
Yellow 0 0 0 0 0 0
Red 0.0% 0.0% 0.0% 0.0% Err:509 0.0%
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