D171 RevE

Group
October 2014
Supplier evaluation Questionnaire

The company will respond precisely to different parts of the questionnaire unchanged. The study of this docum
facility.

In accordance with the Code of Ethics of AEG PS, all information contained in this questionnaire and the docume
are only used by staff of the station involved in the evaluation process

All questions in this questionnaire are not necessarily appropriate for the size or nature of your business or yo
respond in the manner that seems most appropriate to your situation.

Any false statement may result proved AEG PS to reject the supplier.
Consequently, it is in your interest to bring more attention to the answers and the parts

The supplier shall identify each person who will filled this questionnaire (Name, position and date) in

AEG is a registered trademark used under license from AB Electrolux

 Question AEG Audit
ST AEG PS AEG PS Score Score

Self Assessment
Quality Systems 0 / 30 0.0 0 0.0
Design 0 / 24 0.0 0 0.0 Supp... 0 0
Process Management 0 / 29 0.0 0 0.0
Production Technology 0 / 19 0.0 0 0.0 % %
Environmental Systems 0 / 20 0.0 0 0.0
Health & Safety Systems 0 / 9 0.0 0 0.0 0 0
Code of Ethics 0 / 12 0.0 0 0.0
Business Interruption & Recovery 0 / 24 0.0 0 0.0

Quality Systems
Business Interruption & Recovery Design
1.0
0.5
Code of Ethics 0.0 Process Management

Health & Safety Systems Production Technology

Environmental Systems
 IDENTITY

Supplier Name & Adrress :

Phone #: Fax #: E mail Website

KEY CONTACTS Name Phone Email

Managing Director
Production Manager
Quality Manager
Technical Manager
Sales Manager
Customer Contact
Sales Contact

PLEASE JOIN YOUR ORGANIZATION CHART

Company Registration Number: (SIRET & APE)

for France

Your company is a subsidiary of: (Name and Type of product manufatured on your site:
addresse of parent company details):

Business Nature in your group: What is your current ownership?

Public Private

Lenght of service in the business: Do you have representative in the world ?

Authorised Capital:
 ACTIVITIES

Major Customers % of Business

Company Turnover Gross annual sales Gross annual profit/loss Nb of

employees
Y-3
Y-2
Y-1
Current year (forecast)

Currency mainly used in your business

% of export business
EU
USA
Asia / Pacific
ROW

Number of people in each of the following disciplines

Sales
Project manager
Ingineering & R&D:
Purchase & procurement
Manufacturing assembly workshop:
Electrical tests, final inspection
Quality:
Warehouse, goods preparation
Packaging logistic, transportation
Customer services & maintenance:
Technical support - customer services
Manufacturing:

Do you design your own product and what are your Do you subcontract your project? If Yes, please indicate the names of
design tools? your main sub-contractors :
Yes No

Do you have a prototype depatment? If NO, do you subcontract that activity? If yes, please indicate the names of
your main subconctractors:
Yes No Yes No

What activities do you subcontract and who are your

principal subcontractors?

Are you certifed (ISO9001 / TL9000 / QS9000 / ISO

14001 / 50001 / OHSAS 18001 / If yes, which certifications? What is the certificator?
Yes No
MANUFACTURING

What is the size of your site (in m²)?

Total area
Work area
Warehouse area
Finishing and storage area

What is your site production capacity? (in manhours)

What is the current capacity utilisation? (in %)

Detail any proposed expansions or investment in new

equipment?

How do you manage overload situations? By additional

workers, or local subcontractors

Please describe your Work schedule:

Work hours: Shifts / Day: Days / Week:

What is the max. size (dimensions: length x width x

height, diameter) and weight (kg) of products that you
are able to manufacture and handle?

Please, attach list of the major equipments: machines type, age, manufacturer and special process

Do you have in-house material testing/evaluation If no, please indicate the names of your sub
capability? contractors:
Yes No

What standards are used in your manufacturing /

engineering processes? CE, UL, GOST, ,,,

Do you have a control process for calibration? Yes No

Do you have a cost reduction program in place? If yes, Which results over the last year:
- Material:
- Productivity:
Yes No

Do you work on new products, new technology wich could If yes, could you give us some details?
interest AEG?
Yes No

Does your company have the following insurances? If Yes, Could you provide a copy?
Insurance Name
Certificate Number
Insured Sum
- Employers liability: Yes No
- Public / Product liability: Yes No
- Contarctors all risks: Yes No
- Professional indemnity: Yes No
 Quality System rating --> 0 / 30 0 Audit AEG 0
1
Grade Quality Management 0 2
0 No reviews with management occur 0 3

1 Irregular reviews of quality metrics including field returns with management occur with some coverage of
cycle time and on time deliveries

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Regular reviews of the Quality Management system, customer satisfaction and quality metrics, including field
returns, with management occur with coverage of actions plans for improvement of cycle time, on time
delivery, and Quality systems. Trend charts are available, showing improvement over the last 12 months.

Certification 0
0 Has no plans, no accreditation 0

1 Working towards approval

2 Evaluation date confirmed and registrar identified

3 Approved or meets the requirements of ISO9001/TL9000/QS9000 and has been accredited for 3 or more
years, last external audit available with corrective actions.

Internal audit system

0 No internal auditing exists or limited auditing occurs, but there is no formal procedure 0 0

1 A formal procedure exists including annual audit schedule requirements, auditor training and auditor
independence requirements.

2 Above defined procedure exists, audits are performed as scheduled, and timely corrective actions are taken
and reviewed with senior management.

3 A formal procedure exists and audits are performed as defined, a corrective action verification process exists
and verification records are available and reviewed with senior management

Management Responsability 0
0 No documentation exists for organization’s Responsibility / Authority 0

1 There is an organizational chart outlining functional responsibilities included in the company quality manual.

2 Responsibilities and authority of all organization functions are clearly defined/understood (especially quality
function) and it is communicated to all employees

3 The responsibilities and authority of all organization functions are clearly defined and a Responsibilities,
Authority and Informed (RAI) Matrix exists.

Product and Production Documents Control 0

0 No document control procedure or control system exists. 0

1 A document control procedure, including defined change authority exists leading to formal, controlled
documentation. Some non-conformances (non-controlled documents) were observed.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Document control procedure, including defined change authority exists. Formal, controlled, documentation
exists. NO non-conformances were observed and documentation system is electronic.

Customers Returns 0
0 No process in place for tracking and measuring customer returns 0

1 Customer returns are tracked but not regularly measured

2 Documented process exists for tracking and measuring customer returns and customer return data is
available, but no evidence of improvement noted

3 Documented process exist for tracking and measuring customer returns, with management focus and
evidence of improvement to goals and actions to reach them.

Closed Loop Root Cause Failure Analysis Capability 0

0 No evidence of disciplined Failure Analysis process in place 0

1 Evidence of disciplined Failure Analysis process in place. In-house or contracted facilities are accredited (i.e.
ISO 17025). A list of internally approved external FA facilities is available.
2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Evidence of documented closed loop process for Failure Analysis available with records available of cycle
time tracking and corrective action/improvement to processes.

Benchmarking Improvement Results 0

0 Does not have evidence of benchmarking 0

1 A majority of the requirements for a score of 2 have been met.

2 Proactively participates in benchmarking business-wide best practice.

3 Benchmarking process is documented. Records of Best Practices and evidence of implementation exists.

Cost of Quality (COQ) Program 0

0 No defect cost program exists. 0

1 Documented evidence exists showing that factory or field failure costs are reviewed by organization’s
management.

2 COQ program exists in some areas. Production and field return areas (at least) have a minimum of 6 months
of records. Plans and goals for improvement (lower failure costs) exist.

3 Fully integrated COQ program exists including preventive, appraisal, and failure costs with trend charts,
goals and action plans available,

Continuous Improvement 0
0 No tools in place. Management does not show sustained commitment to Continuous Improvement. 0

1 A majority of the requirements for a score of 2 have been met.

2 Defined statistical tools & participative problem solving methods are used to systematically drive reduction in
variability aimed at Six Sigma capability / DMAIC / PDCA / …

3 All key Processes are at 6 Sigma / DMAIC / PDCA / … Quality Levels with effective measures in place to
assure sustained high performance levels.
 Desing rating --> 0 /###
24 Audit AEG 0
###
Grade Prototype Fabrication Capability 0 ###
0 All prototype requirements are outsourced ###

1 Capable of some prototyping in house

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met

3 Capable of prototype design and fabrication in-house

Design Evaluation and Qualification Tools 0

0 No tool use evident

1 Design process utilizes basic design and evaluation tools (i.e. Accelerated Life Testing, Failure Mode Effects
Analysis, thermal shock, mechanical shock, vibration, and corrosive atmospheres).

2 Has adequate resources and design analysis to support the new product introduction or re-qualification
processes. All qualification tests are documented/reported with recommendations and corrective actions.

3 In addition to the above criteria, supplier’s design process utilizes advanced tools for product reliability &
design robustness (i.e. Highly Accelerated Life Testing, Highly Accelerated Stress Screening, Advanced Finite
Element Analysis). Has documented roadmap to upgrade design tools, as new technology becomes
available.

In-House Tooling Capability 0

0 All tooling requirements are outsourced

1 Capable of tooling repair and maintenance in-house

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Capable of tooling design, fabrication, repair, and maintenance in-house

New product Introduction (NPI) 0

0 Supplier has no documented NPI process

1 A majority of the requirements for a score of 2 have been met.

2 A Project Manager leads all new product development design reviews at project initiation and at each
prototype stage, tracks schedule, development cost and delivery

3 Project Manager regularly reports project status to customers and senior management

Product Reliability Improvement Program 0

0 No program in place

1 A majority of the requirements for a score of 2 have been met.

2 Has appropriate equipment and documented process to periodically evaluate product reliability.

3 In addition to the above criteria, results are used to predict product improvement/reliability and field returns.
Records and metrics exist to follow progress of improvement goals.

Approach to risk management 0

0 No risk assesment is performed and formalized

1 A risk management approach is used (eg FMEA)

2 A risk management is usedsystemacly with contingency reserve

New product qualification 0

0 Products are purchased and integrated into systems without additional qualification
1 Products are purchased and integrated into the systems after a simple validation test
2 Products are purchased, Spec analyzed, electrical and mechanical tests performed , and validation in the
application.

Product Live Cycle Management 0

0 There is no life management of products, they are stopped when the new is on the market
1 The management of end of life products is managed internally, but not communicated to our customers
2 A management plan exists and periodically communicated to our customers on the different phases of life of
our products
 Ecodesign approach with envrirenmental impacts 0
0 No program in place
1 A majority of projects are managed in accordance with the score 2.
2 Appropriate process think at each stages of design the environment impacts and chose the best solutions
3 All impacts are clearly evaluated & calculated, design adapted , (LCA) Live Cycle Assessment. CO =>
recycling
 Process Management Rating --> 0 / 29 AEG audit 0

Grade
Materiel Requirement Planning & Manufacturing Ressources Planning 0

0 No booking & planning, the manufacturing orders are treated by FIFO 1

1 There is a production planning, there is a manpower planning

2 The production planning and the manpower are completly managed and synchronised by the MRP ( SAP,
BAAN, MFG-PRO..)

Work Instructions 0
0 No work instructions exist, or work instructions are inadequate or do not match customer specifications.
System wide evidence that work instructions are not followed.

1 Work stations/work cells are defined; illustrated work instructions exist but are not thoroughly documented
and work instructions in use are current revision. Few non-conformances observed.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 All processes have defined work stations/work cells; illustrated work instructions exist, are current revision
and followed, and match the latest issue of the customer's specification.

Process Set-Up Checklist 0

0 No process set-up checklists in use

1 Revision controlled process set-up checklists implemented on critical processes.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Revision controlled process set-up checklists implemented on all processes and are documented/referenced
with current procedures

Monitoring and Measurement of processes 0

0 No documented evidence of Statistical Process Control (SPC) in use (no variables or attributes control charts
in use).

1 A majority of the requirements for a score of 2 have been met.

2 SPC in place for some critical processes and appropriate adjustments to the process are made based on the
SPC data. Evidence of operator SPC training is available.

3 SPC in place for all critical processes and appropriate adjustments to the process are made based on the SPC
data. Evidence of operator SPC training is available.

Preventive Maintenance (PM) in Production and other applicable areas 0

0 PM procedures do not exist

1 A majority of the requirements for a score of 2 have been met.

2 PM procedures, instructions and schedules exist, compliance records are available

3 Compliance records, results of PM and response time, are reviewed to determine the correct PM intervals
(Predictive Maintenance), no PM non-conformances found

Product/Process Change Control 0

0 Change product/process not documented and/or controlled

1 A majority of the requirements for a score of 2 have been met.

2 Change product/process is documented and controls exist and are followed for all manufacturing areas.
Authority and major or minor criteria are identified for deciding customers are to be notified of changes.

3 In addition to the above criteria, supplier must proactively inform customer prior for change and seeks
confirmation and written approval before change is made

Calibration of Engineering and Production Test and Inspection Equipment to applicable

standards 0
0 No revision controlled calibration procedures exists and/or tests and inspection equipment are not calibrated

1 A majority of the requirements for a score of 2 have been met.

2 A test and inspection equipment calibration procedure with a schedule, new equipment identification,
inventory, and product recall system (including recall responsibility/authority) exists. No calibration
deficiencies are found. Traceability to national calibration standards exists. Where required by the
manufacturer, all calibration occurs in a temperature and humidity controlled environment.

3 Above, and calibration intervals are determined through analysis of historic calibration records. A dedicated,
controlled access calibration lab with temperature & humidity control is employed. Records exist that show
test software is validated prior to initial use and reconfirmed as necessary.

Non-Conformance Tracking/Reporting (All categories) 0

0 No defect tracking in place

1 A majority of the requirements for a score of 2 have been met.

2 Defect data is tracked for many identified processes, is compiled and monthly records (at a minimum) are
available for Management review.

3 Defect tracking is in place at all identified and documented test/inspection gates, data is compiled and
prioritized (Pareto), corrective actions are reported at least quarterly with senior management, defect trend
charts and goals are available and improvements are evident.

Non-conforming Material (NCM) and Products Handling Control 0

0 No procedure or no control exists

1 A majority of the requirements for a score of 2 have been met.

2 A procedure exists to control, review, segregate and disposition NCM. Material review cycle time is measured
and reviewed. Corrective actions are assigned and evidence of NCM corrective action is available. Some non-
conformances observed

3 2 plus NO non-conformances observed and evidence exists that senior management reviews NCM, has goals
to reduce NCM, and is acting on those goals.

Training Process & program 0

0 No program, the needs is identified with the difficulties and solved by immédiate actions
1 The needs are identified before production order, the experimented tutors manage the operators in
production
2 Evaluation plans are regularly performed with workers, training sessions are planned
3 True process exist, with individual evaluation, training plan, funding budget, the politic of training is
validated by the management.
 Production Technology rating --> 0 /###
19 AEG audit 0
###
Grade Production Equipment 0 ###
0 Production Equipment is not capable of producing product to the technology and requirements needed ###

1 A majority of the requirements for a score of 2 have been met.

2 Most production equipment is capable of producing product to the technology and requirements needed /
some equipment is latest technology for the commodity

3 All equipment is capable of producing product to the technology needed and is best in class. Critical process
equipment characterization Cpk’s are >1.5 / All equipment is state of the art for the commodity

Defect Identification and Segregation 0

0 Parts are no inspected

1 Parts are inspected by the on-line operator, or by a dedicated inspector, defects separated from good
material by hand. Parts are inspected by the on-line operator, or b

2 A majority of the requirements for a score of 3 have been met.

3 Some parts are inspected for critical parameters by the production machinery and defects can be
automatically rejected and separated from good material. Defective material is clearly identifiable.

Emerging Production Technologies Roadmap 0

0 Not involved in emerging technologies.

1 A majority of the requirements for a score of 2 have been met.

2 Acting upon a roadmap to incorporate new production and environmental technologies, including timelines
and funding.

3 Acting upon a roadmap, which is aligned with Customers future needs.

Monitoring and Measurement statistics 0

0 No statistic on production line, the repairs are done, tests performed,

1 Defects recorded but not fully analysed

2 Defects recorded analysed each month with improvement process

3 Defects recorded analysed each month with improvement process, indicators YIELD and DPU activated

Procurement monitoring 0

0 You don't know the number of incidents related to a supply disruption from your suppliers? (especially due
to untimely deliveries)

1 You know the number of incidents related to a supply disruption from your suppliers (especially due to
untimely deliveries)

2 You know the number of incidents related to a supply disruption from your suppliers, and you have an
action plan documented & verifiable

Vendor evaluation 0
0 No evaluation

1 The evaluation is done with verbal information following issues but not quantified
The evaluation is done with verbal information f
2 The evaluation is done with the NC and the responses recorded from suppliers

3 A system established takes into account, the NC, the delivery times, delivery time for the responses of NC
and calculates the note.

After sale services 0

0 No after sales team, the reworks are performed on site in our company
1
1 Some actions are possible externally with limited aspects, technical level, localisation...

2 Our customers service is operational, we are able to intervene everywhere for repair (curative/preventive)
maintenance, also for sustaining.
 Environnement Systemss Rating --> 0 / 20 0 Audit AEG PS
1
Grade Environmenal Management Systems 0 2
0 No program exists 0 3

1 There is evidence such as agency or third-party inspections that the supplier is compliant to applicable
regulations

2 The site has implemented an ISO14001 or equivalent management system (including: a documented
comprehensive business strategy exists which drives the organization to adhere to all applicable standards,
with evidence that environmental impact audits are conducted and acted upon (examples include Lead Free,
Halogen free, recycling, waste elimination, showing plans and time scales) and has no apparent
environmental compliance issues.)

3 Supplier is ISO14001 certified and is assessing and/or strongly encouraging its suppliers to become
ISO14001 certified. In addition the supplier must be able to demonstrate an improved environmental
performance over time.

Safety and Health Management systems 0

0 Presence of significant chronic and/or acute safety risks to employees including consistent lack of machine
guarding and exposure to hazardous chemicals. No active housekeeping and safety programs exist.
Inadequate use of Personal Protective Equipment (e.g., safety glasses, hearing protection etc…) 0

1 There is evidence such as agency, third-party inspections, or internal audits that the supplier is compliant to
applicable regulations and the supplier is implementing steps to eliminate or minimize risks.

2 Active housekeeping and safety programs exist including audits, schedules, documentation, and monitoring
of performance. Performance is reviewed regularly with senior management and improvement plans are
documented

3 Supplier has an effective Safety and Health management system and assesses and/or strongly encourages
its suppliers to have a Safety and Health system

Avoids Hazardous and Environmentally Sensitive Materials in Products and Processes (RoHs) 0
0 No consideration or supplier uses any controlled materials: such as Class I Ozone-depleting substances;
1,1,1-Tricholoromethane (TCA); Cadmium; Hexavalent Chromium; or Lead, … in its products and/or
processes with no roadmap for elimination. 0

1 Supplier has identified that it is using controlled materials in its products and/or processes and has created a
roadmap to eliminate these materials. Current products are in compliance with material content
requirements for the regions to which they ship.

2 Supplier has committed to in writing that it is capable of and is willing to submit the Reportable Materials
disclosure or has already submitted the disclosure to SPS for all parts/products supplied to SPS. In addition
the supplier has a plan to eliminate all identified controlled materials in a time frame that meets SPS's
business objectives. Hazardous Process (non-product) Materials are monitored with metrics and reduction /
elimination goals.

3 No controlled materials used in products or processes. Supplier actively considers product life-cycle impacts.
Evidence that supplier is requiring disclosure by its suppliers of product material content.

Environmentally Packaging 0
0 No program in place. Banned and Restricted materials are being used in packaging or inks or, content is not
known. Prohibited expansion agents are used. 0

1 A plan for elimination of prohibited expansion agents and other Banned and Restricted materials is in place.
Packaging is compliant for the regions it is shipped to.

2 Some packaging uses post consumer recycled material and / or is recyclable with minimal sorting (Similar
materials)- or reusable. A roadmap has been developed to eliminate, minimize, or re-use all packaging. The
packaging roadmap details new environmentally friendly packaging technologies that minimize waste /
pollution.

3 All prohibited expansion agents and heavy metals have been eliminated. Usage of toxic elements in
packaging materials or created as a by-product of manufacturing has been eliminated. Evidence of
management recognition of packaging issues including a review and measurements to packaging
minimization/elimination goals. Supplier requires its suppliers to have packaging minimization/elimination
programs.

WEEE Directives (Waste Electrical and Electronic Equipement UE Directives) 0

0 No program exists 0

1 The supplier is working towards the WEEE

2 The supplier has registered with the relevant environment agency as a producer of WEEE.
He assist the customer to eliminate / recycle his material.

3 The supplier has registered with the relevant environment agency as a producer of WEEE.
He has a program of logistic to recover the material to the customer to recycle it.
 Health and Safety Systems Rating --> 0 / 9 0 Audit AEG
1
Grade Poduct of Safety Program 0 2
0 No evidence of viable program 0 3

1 Responds to Customer concerns and has process in place to track and resolve product related safety issues.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Proactive program in place which provides for emergency response, delegated responsibilities within
organization to address product related safety issues and an escalation process that informs customers in a
timely manner

Product Safety Assessment Plan 0

0 No evidence of viable plan 0

1 Product safety processes in place that is based on a review product safety requirements and compliance
records.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Documented procedures in place that demonstrate product safety reviews, qualification of product and
compliance to safety and regulatory standards
 Code of Ethics Rating --> 0 / 12 0 Audit AEG
1
Grade Minimum Worker Ages 0 2
0 Indication or lack of contrary evidence that the supplier is using workers below minimum ages as defined by
Local Government Laws, or where no applicable standards / laws exist, as defined by International Labor
Organization (ILO) Conventions for worker minimum ages. 3

1 A majority of the requirements for a score of 2 have been met.

2 Supplier has programs in place to ensure its hiring practices are in compliance with International Labor
Organization (ILO) Conventions and related Local Government laws for worker minimum ages.

3 Supplier has a system in place for assessing its suppliers for adherence to minimum worker age standards.

Force Labor 0
0 Indication or lack of contrary evidence that the supplier is using forced, prison labor, including debt bondage

1 Supplier has programs in place to prevent the use of forced, prison labor, including debt bondage. If the
supplier recruits foreign contract workers, the supplier pays agency recruitment commissions and does not
require any worker to remain in employment for any period of time against his or her will

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Supplier has a system in place for assessing its suppliers for adherence to forced, prison labor, including
debt bondage

Hours and Wages 0

0 Indication or lack of contrary evidence that the supplier requires employees to work overtime exceeding
levels beyond humane and productive working conditions. Where there are no applicable laws suppliers will
not require on a regularly scheduled basis work in excess of 6 consecutive workdays without a rest day or
workers are paid below the minimum legal wage or where no laws exist the local industry standard.

1 Workers are paid at least the minimum legal wage and, where no wage law exists, the local industry
standard. Workers are not required to work overtime exceeding levels beyond humane and productive
working conditions nor related Local Government Law regulation. Where there are no applicable laws
suppliers will not require, on a regularly scheduled basis, work hours in excess of 6 consecutive workdays
without a rest day.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Supplier has a system in place for verifying that its suppliers pay their workers at least the minimum legal
wage and, where no wage law exists, the local industry standard and that their workers are not required to
work overtime exceeding levels beyond humane and productive working conditions. Where there are no
applicable laws suppliers will not require on a regularly scheduled basis work hours in excess of 6
consecutive workdays without a rest day.

Discrimination 0
0 Indication or lack of contrary evidence that the supplier discriminates against workers because of personal
characteristics or beliefs.

1 Supplier has programs in place to ensure compliance with appropriate laws and regulations regarding worker
discrimination.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Supplier assesses it's suppliers for compliance with appropriate discrimination laws and regulations.
 Business Interruption & Recovery Rating --> 0 / 24 0 Audit AEG
1
Grade Risk Assessment showing the impact and probability of risks to the site has been completed 0 2
0 A Risk Assessment has not been completed. 3
d
1 A Risk Assessment has been completed.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 A Risk Assessment has been completed within the last year.

A Business Impact Analysis to identify business critical functions and their impact to the
0
continuation of operations has been conducted within the last year.
0 A Business Impact Analysis has not been conducted.

1 A Business Impact Analysis has been completed.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 A Business Impact Analysis has been completed within the last year.

Preventive Actions 0
0 An identified method of monitoring or preventing potential business crises that could impact the customer
does not exist.

1 Monitoring of potential business crisis situations that could impact the customer has been conducted, and
measures to prevent adverse impacts to the business taken.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Monitoring of potential business crisis situations that could impact the customer has been conducted within
the past six months, and measures to prevent adverse impacts to the business taken.

Business Continuity Plan 0

0 A Business Continuity Plan (BCP) that provides for both interim and recovery operations in the event of a
business crisis to ensure that products, services or supplies can be provided to the customer within the
agreed upon time frame does not exist.

1 A Business Continuity Plan (BCP) that provides for both interim and recovery operations in the event of a
business crisis exists to ensure that products, services or supplies can be provided to the customer within
the agreed upon time frame.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 A Business Continuity Plan (BCP) that provides for both interim and recovery operations in the event of a
business crisis exists to ensure that products, services or supplies can be provided to the customer within
the agreed upon time frame, and has been updated within the past year.

Critical Information for Customer Contact 0

0 Critical contact information stating who and when to contact in the event of a business crisis does not exist.

1 Critical contact information stating who and when to contact in the event of a business crisis exists.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Critical contact information stating who and when to contact in the event of a business crisis exists, and is
current (updated within the last 90 days).

Transfer Process and Plan 0

0 A plan for the emergency transfer of operations to a primary or secondary alternate site does not exist.

1 A plan for the emergency transfer of operations to a primary or secondary alternate site exists.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 A plan for the emergency transfer of operations to a primary or secondary alternate site exists, and has
been updated within the last 90 days.

0
 Disaster Recovery Plan 0
0 A Disaster Recovery Plan does not exist.

1 A Disaster Recovery Plan that covers all business critical systems and applications for the customer
(including offsite storage and backup of business critical data) exists.

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 An Disaster Recovery Plan that covers all business critical systems and applications for the customer
(including offsite storage and backup of business critical data) exists, and has been updated within the past
year.

Sole Source Material Supplier 0

0 Business Continuity Plans from the suppliers of sole sourced material have not been obtained.

1 Business Continuity Plans from the suppliers of sole sourced material have been obtained,

2 All of the appropriate requirements from above plus a majority of the requirements for a score of 3 have
been met.

3 Business Continuity Plans from the suppliers of sole sourced material have been obtained and reviewed
within the past year.
This questionnaire was filled by (Name, position and dat

Supplier's Notes and Remarks