EMEA Security/Operations Analysis Review (SOAR) 2014 - duplicate

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Outside Perimeter

• 1. Does the perimeter fence line meet the documented S-W standards of protection?<br><br>

  Yes

  No

  N/A

• 2. Does the operation & management of all gates at the facility meet with the documented S-W standards of operation?<br><br>

  Yes

  No

  N/A

• 3. Are all gate areas clear of obstructions and are gates/barriers functioning properly?<br><br>

  Yes

  No

  N/A

• 4. Does the security signage displayed around the perimeter comply with the documented S-W standards?<br><br>

  Yes

  No

  N/A

• 5. Are the internal & external areas beside the perimeter fence line clear of all physical obstructions?<br><br>

  Yes

  No

  N/A

• 6. Does the security lighting meet with the documented S-W standards of illumination?<br><br>

  Yes

  No

  N/A

• 7. Do the designated staff & visitor parking areas conform to the documented S-W standards of operation?<br><br>

  Yes

  No

  N/A

• 8. Are all perimeter doors operated and managed in accordance with the documented S-W standards? (1)

  Yes

  No

  N/A

• 9. Are goods receiving/dispatch gates operated/managed in accordance with the documented S-W operating standards?<br>

  Yes

  No

  N/A

• 10. Is there evidence of suspicious activity around the perimeter fenceline?<br>

  Yes

  No

  N/A

• 11. Are there high risk areas in close proximity to the perimeter fenceline?<br>

  Yes

  No

  N/A

• 12. Are publicly owned vehicles able to park next to the perimeter fenceline in close proximity to high risk areas?<br>

  Yes

  No

  N/A

• 13. Are electronic security gates/barriers annually serviced?<br>

  Yes

  No

  N/A

Security Guarding

• 1. Does the facility use a guarding service?<br>

  Yes

  No

  N/A

• 2. Have all security staff been fully trained in their duties at the facility?<br>

  Yes

  No

  N/A

• 3. Is the Security Lodge managed and maintained in accordance with the documented S-W standards of operation?<br>

  Yes

  No

  N/A

• 4. Is there a current & signed contract in place for the guarding service?<br>

  Yes

  No

  N/A

• What is the renewal date for the service contract :<br>

  text

• 5. Does the guarding service conform with local and National regulatory requirements?<br>

  Yes

  No

  N/A

• 6. Are there up-to-date assignment instructions readily available for the guards?<br>

  Yes

  No

  N/A

• 7. Are there lone worker protocols in place & in use by the guards?<br>

  Yes

  No

  N/A

• 8. Are there clearly documented & up-to-date escalation protocols readily available for use by the guards?<br>

  Yes

  No

  N/A

• 9. Is there a guard patrol logging system in use?<br>

  Yes

  No

  N/A

• 10. Has a full risk assessment been conducted for the guarding services required at the facility?<br>

  Yes

  No

  N/A

• 11. Is there an incident reporting system in use?<br>

  Yes

  No

  N/A

• 12. Have all security staff received site induction training?<br>

  Yes

  No

  N/A

• 13. Are regular management meetings held with the security vendor to discuss service levels & KPI's?<br>

  Yes

  No

  N/A

• 14. Is there an agreed & managed SLA & set of KPI's in place for the services provided?<br>

  Yes

  No

  N/A

Remote Electronic Security Management

• 1. Is the physical security for the facility managed remotely by an approved third party vendor?<br>

  Yes

  No

  N/A

• 2. Have all monitoring staff been fully trained in their duties with reference to the facility?<br>

  Yes

  No

  N/A

• 3. Is there a current & signed contract in place for the monitoring service?<br>

  Yes

  No

  N/A

• What is the renewal date for the service contract :<br>

  text

• 4. Does the monitoring service conform with local and European regulatory requirements?<br>

  Yes

  No

  N/A

• 5. Do the incident scripts being used by the monitoring staff meet the agreed S-W requirements?<br>

  Yes

  No

  N/A

• 6. Is the current incident escalation contact list being used by the monitoring staff up-to-date?<br>

  Yes

  No

  N/A

• 7. Is there an incident reporting system in use?<br>

  Yes

  No

  N/A

• 8. Is there an agreed & managed SLA & KPI's in place for the services provided?<br>

  Yes

  No

  N/A

• 9. Are regular management meetings held with the security vendor to discuss service levels & KPI's?<br>

  Yes

  No

  N/A

• 10. Is access to the remote monitoring facility restricted to authorised personnel? <br>

  Yes

  No

  N/A

• 11. Do authorised business users have individual login details?<br>

  Yes

  No

  N/A

• 12. Is the CCTV system monitored via a secure network?<br>

  Yes

  No

  N/A

Building Security

• 1. Is access to the facility's buildings restricted to authorised persons only?

  Yes

  No

  N/A

• 2. Does the facility operate an electronic access control system?

  Yes

  No

  N/A

• 3. Are access control reports produced and reviewed monthly?

  Yes

  No

  N/A

• 4. Is the access control mainframe displaying the correct date and time?

  Yes

  No

  N/A

• 5. Is the facility executing appropriate measures to control access/egress at any lobby entrances?

  Yes

  No

  N/A

• 6. Is the facility utilizing controlled entrances for employees?

  Yes

  No

  N/A

• 7. Is the facility exercise operating appropriate office controls?<br><br>

  Yes

  No

  N/A

• 8. Are doors and windows working properly and kept secure when not in use?

  Yes

  No

  N/A

• 9. Are access control cards/fobs being securely managed?

  Yes

  No

  N/A

• 10. Are building and office keys being securely managed?

  Yes

  No

  N/A

• 11. Is access to the access control head end equipment restricted to authorised personnel?

  Yes

  No

  N/A

• 12. Does the facility operate documented close down & opening procedures for the site?

  Yes

  No

  N/A

Canteen

• 1. Is access to the kitchen and office areas restricted to authorized staff only?

  Yes

  No

  N/A

• 2. Are there documented processes for the ordering and control of stock?

  Yes

  No

  N/A

• 3. Is access to vending machines restricted to authorized personnel only?

  Yes

  No

  N/A

• 4. Are cash takings reconciled on a daily basis and kept secure?

  Yes

  No

  N/A

• 5. Are controls in place for the secure provision of meals to evening/night staff?

  Yes

  No

  N/A

• 6. Is food waste managed & monitored effectively?

  Yes

  No

  N/A

• 7. Are non cash transactions monitored and reconciled on a daily weekly basis?

  Yes

  No

  N/A

• 8. Is the canteen operating effective pest control measures?

  Yes

  No

  N/A

• 9. Is the facility conducting/receiving food hygiene inspections?

  Yes

  No

  N/A

• What was the date of the last inspection:

  text

Loss Prevention & Human Resources

• 1. Is the "Staff and Visitor Search Policy" being executed appropriately?

  Yes

  No

  N/A

• 2. Are the appropriate controls in place to effectively manage the allocation & use of staff lockers?

  Yes

  No

  N/A

• 3. Is the facility adhering to the S-W Conflict of Interest process?

  Yes

  No

  N/A

• 4. Has the site completed the required S-W Code of Conduct training?

  Yes

  No

  N/A

• Indicate the last date training was delivered

  text

• 5. Has the site completed the required anti corruption & and anti bribery training?

  Yes

  No

  N/A

• 6. Is the site following the S-W policy in regards to the employee purchases and give aways?

  Yes

  No

  N/A

• 7. Are passwords being effectively managed and kept secure on site?

  Yes

  No

  N/A

• 8. Is the site utilizing the S-W control log for personal items in the workplace?

  Yes

  No

  N/A

• 9. Is access to the computer server room restricted to authorised personnel only?

  Yes

  No

  N/A

• 10. Are the appropriate security controls in place to protect intellectual property and formula information?

  Yes

  No

  N/A

• 11. Is the HireRight pre-employment screening process being operated in line with the S-W Policy?

  Yes

  No

  N/A

• 12. Is the facility prominently displaying the S-W Ethics Point posters in staff areas?

  Yes

  No

  N/A

• 13. Are staff aware of Ethics Point and how to use the service?

  Yes

  No

  N/A

• 14. Are all Loss Prevention related incidents being reported to LP in a timely manner?

  Yes

  No

  N/A

• 15. Are staff displaying personal security awareness whilst in the workplace?

  Yes

  No

  N/A

• 16. Do current Distributor contracts include the required anti-corruption & anti-bribery terminology?

  Yes

  No

  N/A

• 17. Is the facility adhering to the S-W new Distributor due diligence screening process?

  Yes

  No

  N/A

• 18. Does the facility operate a secure document waste disposal process?

  Yes

  No

  N/A

• 19. Are counter electronic surveillance sweeps conducted at the facility?

  Yes

  No

  N/A

• Indicate the last date the last sweep was conducted

  text

CCTV System

• 1. Does the facility have a CCTV system installed?

  Yes

  No

  N/A

• 2. Is the CCTV equipment fully functional?

  Yes

  No

  N/A

• 3. Do the CCTV cameras provide full coverage of the facilities perimeter?

  Yes

  No

  N/A

• 4. Is there a current & signed annual maintenance contract in place for the CCTV system?

  Yes

  No

  N/A

• What is the renewal date for the contract:<br>

  text

• What is the date of the last service visit:<br>

  text

• 5. Is access to the CCTV system restricted to authorised personnel only?<br>

  Yes

  No

  N/A

• 6. Is the CCTV system displaying the correct date and time?<br>

  Yes

  No

  N/A

• 7. Are camera views labeled to accurately depict what is being displayed on the CCTV system?<br>

  Yes

  No

  N/A

• 8. Does the CCTV system meet the S-W minimum recording capability requirements?<br>

  Yes

  No

  N/A

• 9. Does the CCTV system meet the S-W minimum equipment standard specification requirements?<br>

  Yes

  No

  N/A

• 10. Does the CCTV system meet the local, national & or European CCTV stanards & or regulatory requirements?<br>

  Yes

  No

  N/A

• 11. Are there any areas not covered by CCTV that are vulnerable or may be considered a security risk?<br>

  Yes

  No

  N/A

• 12. Do the facilities Management Team review the CCTV recordings on an adhoc basis?<br>

  Yes

  No

  N/A

• Date of last CCTV recording review:

  text

Alarms

• 1. Does the facility have an Intruder Alarm system installed?<br>

  Yes

  No

  N/A

• 2. Is there an annual maintenance contract in place for the Intruder Alarm system?<br>

  Yes

  No

  N/A

• 3. Is the Intruder Alarm system functioning fully?

  Yes

  No

  N/A

• Enter date of last Intruder Alarm service<br>

  text

• 4. Are Intruder Alarm codes being effectively managed? <br>

  Yes

  No

  N/A

• 5. Does the facility have a documented process for responding to an alarm activation?<br>

  Yes

  No

  N/A

• 6. Does the Intruder Alarm provide protection in all key risk areas of the facility?<br>

  Yes

  No

  N/A

• 7. Does the alarm system meet the local & European regulatory requirements?<br>

  Yes

  No

  N/A

• 8. Is the alarm system monitored by a third party vendor?<br>

  Yes

  No

  N/A

• 9. Does the site have a copy of the current alarm contract on file?<br>

  Yes

  No

  N/A

• What is the renewal date for the contract:<br>

  text

• 10. What type of signaling device is used with the Intruder Alarm?<br>

  text

• 11. Are false alarm activations being effectively managed with a view to reducing the current level of activations?<br>

  Yes

  No

  N/A

Operations

• 1. Is the facility effectively maintaining its fixed asset register?<br>

  Yes

  No

  N/A

• 2. Is the facility consistently meeting the minimum S-W internal/external housekeeping standards?<br>

  Yes

  No

  N/A

• 3. Are Continuous Improvement Plans in place to monitor & manage bad or distressed batches or mis-tints?<br>

  Yes

  No

  N/A

• 4. Does the facility have a documented & managed product returns process?<br>

  Yes

  No

  N/A

Accounting

• 1. Are the actions from the last Internal Audit Report being actioned in a timely manner? <br>

  Yes

  No

  N/A

• Date of last Internal Audit <br>

  text

• 2. Is the use of Company fuel cards reviewed on a monthly basis? <br>

  Yes

  No

  N/A

• 3. Are the manual T&E submissions being made and managed in accordance with the S-W T&E Policy?<br>

  Yes

  No

  N/A

• 4. Are the T&E submissions within Concur being completed in accordance with the S-W T&E policy?<br>

  Yes

  No

  N/A

• 5. Is the Finance safe kept secure when not in use and is access restricted to authorised personnel only?<br>

  Yes

  No

  N/A

• 6. Is any foreign currency or petty cash being controlled and reconciled in accordance with S-W accounting processes?<br>

  Yes

  No

  N/A

• 7. Does the facility have a documented and managed product claims process?

  Yes

  No

  N/A

RX

• 1. Does the storeroom have adequate lighting?<br>

  Yes

  No

  N/A

• 2. Does the storeroom have restricted access to maintenance staff & management?

  Yes

  No

  N/A

• 3. Does storeroom have at least one dedicated computer?

  Yes

  No

  N/A

• 4. Does the storeroom have a dedicated returns staging area?

  Yes

  No

  N/A

• 5. Does the storeroom have a dedicated shop floor staging area?

  Yes

  No

  N/A

• 6. Does the storeroom have a dedicated receiving staging area?

  Yes

  No

  N/A

• 7. Is the storeroom utilizing a shelf drawer locator system?

  Yes

  No

  N/A

• 8. Does the storeroom have the most current RX scorecard posted?

  Yes

  No

  N/A

• 9. Is the overall storeroom clean and organized?

  Yes

  No

  N/A

Shipping / Receiving & Warehouse

• 1. Is the site utilizing control on open trailers that are not actively being worked to ensure stability?<br>

  Yes

  No

  N/A

• 2. Are staging areas clearly labeled for in-bound/ out-bound deliveries?

  Yes

  No

  N/A

• 3. Is access to the shipping/receiving area restricted to authorised personnel?

  Yes

  No

  N/A

• 4. Does the site have a process for securing postal/courier deliveries upon arrival?

  Yes

  No

  N/A

• 5. Does the site have controls in place to prevent cross contamination and shrink of part worked raw materials?

  Yes

  No

  N/A

• 6. Are continuous improvement plans in place to actively reduce levels of obsolescent stock?

  Yes

  No

  N/A

• 7. Are processes in place to check for pick errors within inbound/out bound deliveries?

  Yes

  No

  N/A

• 8. Are continuous improvement processes in place to correct pick errors for all in and out bound shipments?

  Yes

  No

  N/A

• 9. Does the facility have off site storage?

  Yes

  No

  N/A

• 10. Are adequate security measures in place to protect S-W assets within the off site storage facility?

  Yes

  No

  N/A

• 11. Does the site have an accurate physical inventory of assets stored off-site?

  Yes

  No

  N/A

• 12. Is the warehouse operating FIFO within the picking process for finished goods and raw materials?

  Yes

  No

  N/A

Safety

• 1. Is the site utilizing appropriate trailer safety during the loading & unloading processes?

  Yes

  No

  N/A

• 2. Are filling lines being maintained in a clean and orderly manner?

  Yes

  No

  N/A

• 3. Is the glove policy being executed at the site?

  Yes

  No

  N/A

• 4. Are employees operating forklifts in a safe & secure manner?

  Yes

  No

  N/A

• 5. Is the site ensuring that fire extinguishers are properly charged and that the inspection tags are current?

  Yes

  No

  N/A

• 6. Is access to all fire fighting equipment free from all obstructions?

  Yes

  No

  N/A

• 7. Are Emergency back up lights installed and operational? (Check minimum of 4)

  Yes

  No

  N/A

• What was the date of the last light test

  text

• 8. Are all emergency exits doors and pathways both interior and exterior clear and easily accessible?

  Yes

  No

  N/A

• 9. Is the facility prominently displaying updated emergency evacuation plans for employees & visitors to reference?

  Yes

  No

  N/A

• 10. Is a hard copy of the current "Emergency Manual/Plan" being maintained by plant manager?

  Yes

  No

  N/A

• 11. Is the Site Emergency Contact sheet up-to-date?

  Yes

  No

  N/A

• 12. Are visitors and contractors provided with PPE (where appropriate) and a site safety briefing on arrival?

  Yes

  No

  N/A

• 13. Do all buildings have sufficient exit points to allow occupants to easily evacuate in the event of an emergency?

  Yes

  No

  N/A

• 14. Is the necessary safety signage being displayed throughout the facility?

  Yes

  No

  N/A

• 15. Does the facility have a documented current Business Continuity Plan?

  Yes

  No

  N/A

• 16. Does the facility have a fully functional fire detection system installed?

  Yes

  No

  N/A

• 17. Does the facility have a fully functional automated fire suppression system installed?

  Yes

  No

  N/A

Audit Recap & Acknowledgment

• Scoring (91-100% Exceeds Expectations, 80-90% Meets Expectations, Below 79% Unacceptable/High Risk

• Facility Management Signature

  Sign

• Loss Prevention Signature

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