SUPPLY CHAIN RISK ASSESSMENT CHECKLIST

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--- SUPPLIER IDENTIFICATION & PROFILING ---
[ ] Supplier Name
[ ] Supplier ID
[ ] Supplier Description/Business Overview
[ ] Supplier Tier (1-3) (Tier 1, Tier 2, Tier 3)
[ ] Products/Services Supplied (Raw Materials, Components, Finished Goods, Logistics Services, Other)
[ ] Supplier Profile Document (Optional)

--- GEOPOLITICAL & MACROECONOMIC RISKS ---
[ ] Country/Region of Primary Supplier Location (North America, South America, Europe, Asia, Africa, Oceania)
[ ] Political Risk Index Score (e.g., from a reputable source)
[ ] Date of Last Geopolitical Risk Assessment Review
[ ] Description of Current Political Instability in Supplier Region (if applicable)
[ ] Trade Agreement Impact (e.g., tariffs, sanctions) (No Impact, Minor Impact, Moderate Impact, Significant Impact)
[ ] Estimated Inflation Rate in Supplier Region
[ ] Summary of Relevant Economic Forecasts and Potential Impact

--- FINANCIAL STABILITY OF SUPPLIERS ---
[ ] Supplier's Current Ratio
[ ] Supplier's Debt-to-Equity Ratio
[ ] Supplier's Revenue Growth (Past 3 Years)
[ ] Supplier's Profit Margin
[ ] Credit Rating Agency (if applicable) (Standard & Poor's, Moody's, Fitch, None)
[ ] Overall Financial Risk Level (Based on analysis) (Low, Medium, High)
[ ] Notes/Observations regarding financial stability

--- OPERATIONAL RISKS - MANUFACTURING & LOGISTICS ---
[ ] Supplier Production Capacity (Units/Year)
[ ] Supplier Quality Management System Certification (e.g., ISO 9001) (Certified, Not Certified, Pending Certification)
[ ] Description of Supplier Manufacturing Processes
[ ] Lead Time from Supplier to Our Facility (Days)
[ ] Potential Logistics Risks (Select all that apply) (Port Congestion, Transportation Delays, Customs Issues, Damage During Transit, Lack of Visibility, None)
[ ] Last Supplier Audit Date
[ ] Notes from Previous Supplier Audit (Manufacturing & Logistics)

--- CYBERSECURITY RISKS ---
[ ] Supplier's Cybersecurity Framework (e.g., NIST, ISO 27001) (NIST Cybersecurity Framework, ISO 27001, Other (Specify), Not Applicable)
[ ] Supplier's Last Reported Data Breach (Number of Records Affected)
[ ] Description of Supplier's Security Awareness Training Program
[ ] Supplier's Security Controls (Select all that apply) (Firewalls, Intrusion Detection/Prevention Systems, Data Encryption (at rest and in transit), Multi-Factor Authentication, Vulnerability Scanning, Penetration Testing, Endpoint Detection and Response (EDR))
[ ] Supplier's Incident Response Plan - Reviewed and Tested? (Yes, No, Not Applicable)
[ ] Date of Last Cybersecurity Audit of Supplier

--- REGULATORY & COMPLIANCE RISKS ---
[ ] Applicable Regulations (e.g., GDPR, CCPA, RoHS) (GDPR, CCPA, RoHS, Conflict Minerals Reporting, Modern Slavery Act, Other (Specify))
[ ] Description of Supplier's Compliance Program
[ ] Number of Compliance Audits Conducted in Last Year
[ ] Date of Last Compliance Audit
[ ] Upload Compliance Documentation (Certificates, Reports)
[ ] Areas of Non-Compliance Identified (if any) (Data Privacy, Environmental Regulations, Labor Standards, Anti-Corruption, Product Safety, Other (Specify))
[ ] Specific Actions Taken to Address Non-Compliance

--- CONCENTRATION & SINGLE SOURCE DEPENDENCIES ---
[ ] Percentage of Spend with Single Source Supplier (Critical Component A)
[ ] Number of Approved Alternative Suppliers for Critical Component B
[ ] Is there a documented strategy for mitigating single sourcing of Raw Material X? (Yes, No, In Progress)
[ ] Describe the risks associated with reliance on a single supplier for Packaging Material
[ ] Date of last assessment of supplier diversification strategy
[ ] Which critical components are currently single-sourced? (Component A, Component B, Component C, Component D)
[ ] Upload Supplier Risk Assessment Report (if available)

--- BUSINESS CONTINUITY & DISASTER RECOVERY ---
[ ] Does the supplier have a documented Business Continuity Plan (BCP)? (Yes, No, Unsure)
[ ] Last BCP Review/Update Date
[ ] Briefly describe the supplier's BCP scope (e.g., departments, processes covered)
[ ] Does the BCP include procedures for data backup and recovery? (Yes, No, Unsure)
[ ] Estimated Recovery Time Objective (RTO) (in hours)
[ ] Estimated Recovery Point Objective (RPO) (in hours)
[ ] What types of disasters/risks are addressed in the BCP? (Natural Disasters (e.g., earthquake, flood), Cyberattacks, Pandemics, Supply Chain Disruptions, Equipment Failure, Utility Outages)
[ ] Request BCP Summary Document (if available)

--- ETHICAL & SOCIAL RESPONSIBILITY ---
[ ] Supplier Code of Conduct Adherence (Fully Compliant, Partially Compliant, Non-Compliant, Not Assessed)
[ ] Labor Standards Verification (Select all that apply) (Fair Wages, Working Hours Limits, Child Labor Prevention, Forced Labor Prevention, Freedom of Association, Safe Working Conditions, Not Assessed)
[ ] Description of Supplier's Environmental Sustainability Practices
[ ] Supplier Sustainability Report (if available)
[ ] Conflict Minerals Sourcing (Verified Conflict-Free, Requires Further Verification, Not Assessed)
[ ] Number of Worker Grievances Reported (past year)

--- RISK MITIGATION & RESPONSE PLANNING ---
[ ] Detailed Mitigation Strategy
[ ] Estimated Mitigation Cost
[ ] Mitigation Implementation Deadline
[ ] Risk Owner (Responsible Party) (Procurement, Operations, Quality Assurance, Supplier Management)
[ ] Contingency Plan Actions (Identify Alternative Supplier, Increase Safety Stock, Expedite Shipping, Redesign Product/Process)
[ ] Communication Plan for Risk Event
[ ] Next Review Date of Mitigation Strategy

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