QUESTIONNAIRE FOR SUPPLY CHAIN SECURITY PROCEDURES

SECTION 1: TRADER INFORMATION

Subsection 1.01 - Member Identification

1.

2.

Describe Company structure :
Corporate/Partnership/
Proprietary / Corporate

3.

Name/s of CEO / Partners / Owner: Edward Lee

4.

Describe Briefly the Main Business Activities : / Air Freight Import & Export Worldwide
Sea Freight Import & Export Worldwide
Customs affairs & brokerage
Local pickup & delivery
Local Warehousing & Distribution
Project cargo handing
NVOCC

Subsection 1.02 - Internal Organization

1. / How many staff members are employed in your business? / 18 employees at pek office out of total 120
2. / Give the names of your senior personnel involved in the
international trade supply chain: / Edward Lee & Wayne Zhang

3. Have you documented the organization structure of your Company

And job descriptions of each employee?


No o Yes

SECTION 2: SECURITY INFORMATION

Subsection 2.01 – Security Programs and Procedures

1. / Is your company a certified organization of any Accredited Security Standards recognized in your country? / Yes No
In process of establishing
If yes, please specify which program(s):
2. / Is your company a certified member of a World Customs Organization Accredited Security Program administered by foreign customs? / Yes No
In process of establishing
If yes, please specify which program(s):
3. / Do you have written procedures that detail what steps you use to detect security problems and what action you may take to correct these problems? / Yes No
In process of establishing
Comments:
4. / Do you maintain a full audit trail of your customs activities? / Yes No
In process of establishing
Comments:

5.

Do you maintain all shipping documents of all shipments handle by your company duly filed?

If so, for how long do you keep them filed?

Yes No

In process of establishing

Comments:

Keep for 5 years

Subsection 2.02 - Physical Access

1. / Do you have a positive employee identification system in place? / Yes No
In process of establishing
Comments:
2. / Do all employees have photographic identification? / Yes No
In process of establishing
Comments:
3. / Do you have an access control system? / Yes No
In process of establishing
Comments:
4. / Does the access control system work off of the employee photo identification card? / Yes No
In process of establishing
Comments:
5. / Is it a lock and key system? / Yes No
In process of establishing
Comments:
6. / Does your access control restrict employees to only those areas needed to perform their job? / Yes No
In process of establishing
Comments:
7. / Do you have documented procedures that instruct management on the issuance and removal of identification badges (employee, visitor, or vendor) and any other access control devices? / Yes No
In process of establishing
Comments:
8. / Do you require visitors to show photo identification prior to access? / Yes No
In process of establishing
Comments:
9. / Do you maintain a copy of a visitor’s identification for
future visits by that visitor? / Yes No
In process of establishing
Comments:
10. / Do you issue visitors a badge that they must display or visibly wear? / Yes No
In process of establishing
Comments:
11. / Do you escort all visitors on company property? / Yes No
In process of establishing
Comments:
12. / Do all vendors provide proper company or photo identification on arrival? / Yes No
In process of establishing
Comments:
13. / Do you maintain a copy of vendor identification for future visits? / Yes No
In process of establishing
Comments:
14. / Do you have written procedures advising employees how to challenge and secure unauthorized or unidentified persons? / Yes No
In process of establishing
Comments:

Subsection 2.03 - Personnel Security

1. / Do you verify employment history and references prior to hiring new employees? / Yes No
In process of establishing
Comments:
2. / Do you, where permitted by law, conduct background checks on prospective employees? / Yes No
In process of establishing
Comments:
3. / Do you, based on cause and/or a highly sensitive position, conduct investigations or background checks on employees? / Yes No
In process of establishing
Comments:
4. / Do you have written procedures for termination of employees to ensure no further access is possible, to the facility or computer systems? / Yes No
In process of establishing
Comments:
5. / Do you train your employees in safety and security
Requirements? / Yes No
In process of establishing
Comments:

SECTION 3: SYSTEM OF THE BUSINESS

1. / Do your computer systems use individual sign-on and passwords? / Yes No
In process of establishing
Comments:
2. / Do passwords expire periodically and require changing? / Yes No
In process of establishing
Comments:
3. / Do you have written IT security policies, procedures and standards? / Yes No
In process of establishing
Comments:
4. / Do you provide user training on IT security? / Yes No
In process of establishing
Comments:
5. / Do you have systems that identify users and the data they have entered or changed? / Yes No
In process of establishing
Comments:
6. / Can you detect unsuccessful attempted computer system access? / Yes No
In process of establishing
Comments:
7. / Do you have written disciplinary actions for employees found to have violated system policy? / Yes No
In process of establishing
Comments:

SECTION 4: OPERATIONS

Subsection 4.01 – Services Your Company Provides To Your Customers

1. Please indicate below the services that you usually provide to your customers, as well as those you outsource to a third party:

Services Provided: / Mainly Outsourced to a Third Party?
Forwarder / No o Yes o
Broker / No o Yes o
NVOCC / No o Yes o
Drayage / No o Yes o
Trucking / No o Yes
Warehouse / No o Yes
Other, please specify: / No o Yes o

2. For those services using contractors on a regular basis, do you have agreements in place outlining responsibilities and procedures for the secure transport of your goods?

No o Yes

3. If you do not use a regular contractor, briefly describe how do you ensure the safety and security of the transport of your goods?

N/A

Subsection 4.02 – Warehouse Services

If you provide warehousing services using your own facilities, please answer the questions on this section.

If NOT please comment on item 10 of this section, “How do you ensure that these procedures are followed by third party”.

1. / Have you documented procedures to address safety and security
issues surrounding your incoming goods? / No o Yes √
2. / Have you documented procedures to deal with situations where
incoming goods breach the security and safety arrangements agreed with your suppliers. / No o Yes √
3. / Do you store hazardous goods in your warehouse? / No √ Yes o
4. / Have you documented a list of hazardous goods and safety procedures
to store these goods separately? / No o Yes √
5. / Do you ensure that goods are received only in a supervised area? / No o Yes √
6. / Have you documented procedures for ensuring staff are informed of
safety and security measures / arrangements? / No o Yes √
7. / Have you documented procedures for the receipt of goods which pose
a safety and security risk? / No o Yes √
8. / Have you segregated duties between the ordering of the goods,
receipt, entering the goods in the system and payment of the invoice? / No o Yes √
9. / Have you documented procedures to address the safety and security
issues surrounding storage of your goods? / No o Yes √
10. / Have you documented physical and documentary procedures to
control the loading of goods? / No o Yes √
11. / Have you documented any safety and security measures required by
your customers at the time of loading? / No o Yes √
12. / How do you ensure that you assure that the third party contracted by you follows all these procedures
mentioned above?
N/A

Subsection 4.03 – Trucking Services

If you provide trucking services using your own trucks, please answer the questions on this section.

If NOT please comment on item 5 of this section, ”how do you ensure that these procedures are followed by third party?”.

1. / Do the procedures you have in place to inspect containers or trucks prior to loading at your facility include the following inspection points:
front wall; left and right side; floors; doors; outside and undercarriage; and the locking mechanisms on the doors? / Yes No
In process of establishing
Comments:
2. / Do you have a written check list to document the container or truck inspection? / Yes No
In process of establishing
Comments:
4. / Do you reconcile cargo information against a cargo
manifest or other shipping documents? / Yes No
In process of establishing
Comments:
5. / How do you assure that you ensure that third party contracted by you follows all these procedures mentioned above?
Get own staff on-site to Monitor
Get trucking company to fill up check list & full report
Get receiving party to check & report

AUTHORIZATION

Signed: Name: (use capital letters)

Local and date: Status of Signatory:

(Sole proprietor, Partner, director)