Outside Perimeter

  • 1. Is the perimeter fencing adequately protecting the facility? (3)

    To receive 3 points, the auditor will verify that there are no holes, tears or missing peices of the fence. In addition, ensure no bent, broken or disconnected poles exist. Perimeter fencing must be attached to supporting poles and be secure from the ground to the top. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 2. Are gate entrance points monitored & properly secured? (2)

    To receive 2 points, the auditor will verify that the gate entrance points are secured and monitored by either a Guard service or electronic gate system. the entrance points must be secured in a manner that Drivers and Non-Employees could not gain access to the facility without being inspected by plant associates. If repairs are required for gates then documentation must be on file, where service orders have been placed and your LP representative must be notified. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 3. Are gates clear of any visible obstructions & clear from anything that could block the gates from functioning properly? (1)

    To receive 1 point, the auditor will physically inspect the gate entrance points to ensure that no objects are in the surrounding area that would prevent the gates entrance points from functioning properly. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 4. Are the proper signs affixed to the gates & perimeter fencing? (1)

    To receive 1 point, the auditor will verify that the following signs are present:
    No trespassing
    No soliciting
    No smoking
    The site should also have directional signage for Visitors and Vendors. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 5. Is perimeter fencing visibility unobstructed? (1)

    To receive 1 point, the auditor will verify that there is no stacking of pallets, barrels or various materials around the perimeter fence lines. The auditor will also ensure that vegetation has not become overgrown to the point that the fence line is visibly obstructed. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 6. Is the perimeter lighting sufficient? (2)

    To receive 2 points, the auditor will verify that the perimeter lighting is functional throughout the plant and has a light reading of at least 2 lumens on a light meter in order to be sufficient. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 7. Is designated parking established & signed for Visitors & employees? Is lighting sufficient in the parking areas? (1)

    To receive 1 point, the auditor will verify that specific parking is designated for Visitors, which should be signed and segregated in a specific location, so it can be controlled by the facility. the lighting for both the employee ad visitor parking should be inspected to ensure an adequate light reading of at least 2 lumens is present. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 8. Are perimeter doors locked & secured at all times? (1)

    To receive 1 point, the auditor will verify that the perimeter doors and overhead doors for facilities without without perimeter fencing are secure. for facilities without perimeter fencing, are doors locked and secured. Are overheads locked and secured when not being actively worked and/or is the facility using cage doors for overheads that are open, but not actively being worked? The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 9 Are truck drivers entrances into the facility secured when not in use? (1)

    To receive 1 point, the auditor will verify that the perimeter entrances for truck deliveries are secured and not left open when not actively being used. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

Security Guarding

  • 1. Do Security Personnel meet or exceed standards of security guard policy and comply with the sites' post instructions? (1)

    To receive 1 point, the auditor will verify that the security staff are in a clean pressed uniform, are aware of their duties, are maintaining the daily occurrence log, can operate the security equipment provided, are able to produce assignment instructions and conduct themselves in a polite/professional manner. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 2. Are security post(s) clean, free of newspapers, magazines or other personal reading materials? Is a copy of the post instructions present and does the Guard have all the adequate supplies needed to carry out post responsibilities? (1)

    To receive 1 point, the auditor will verify that the security office is clean and well maintained; that radios etc. are on charge when not in use; that first-aid information is up-to-date and displayed; that the area is kept secure; that visitor logs are kept up-to-date; that the incident log is up-to-date, that keys, equipment and vehicle logs are being maintained; that current assignment instructions are displayed and that the kitchenette area is clean & tidy. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 3. Does the Guarding service have an updated service contract on file? (2)

    To receive 2 points, the auditor will verify whether or not a current service signed contract for the outsourced guarding services for the premises is held on site. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 4. Does the guard service meet the required European regulatory requirements? (3)

    To receive 3 points, the auditor will establish whether or not the sites outsourced guarding contractor and its staff are operating within the specific industry regulations for that EU Country? The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 5. Does the Guard Service have the knowledge and ability to initially manage an out of hours incident? (3)

    To receive 3 points, the auditor will establish what written incident management procedures have been provided to the guard staff, that escalation processes have also been issued, that both sets of documents are current and that training for such incidents has been provided. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 6. Is the Guarding contractor operating Lone Worker protocols? (2)

    To receive 2 points, the auditor will verify that single man sites have Lone Worker protocols in place, that staff are fully briefed and trained, that Lone Worker processes are adhered to and that the appropriate communication equipment has been issued and is serviceable. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

Building Security

  • 1. Is the facility exercising key card issuance controls to ensure appropriate facility access to authorized personnel? (2)

    To receive 2 points, the auditor will ensure the site is distributing keys/cards per company policy. Spare keys/cards must be secured. Excess or unwanted cards must be destroyed. The auditor will also ensure the site has a process for deactivating cards for separated employees.

  • 2. Is the access control system operational? (1)

    To receive 1 point, the auditor will inspect the facility to ensure that either a manual or remote system is being utilized to control entering & exiting of the site. The site must be executing controls for entering & exiting plant/building/secured areas. Employee entrance & exits must be recorded where applicable. Non-management employee access restricted on site during unscheduled shifts.

  • 3. Are access control report maintained monthly? (1)

    To receive 1 point, the auditor will ensure the facility is reconciling monthly access control reports for any deviations or discrepancies. Monthly reports should be maintained for 1 year on site by the HR manager.

  • 4. Does the access mainframe have the correct time and date? (1)

    To receive 1 point, the auditor will verify that the access control mainframe has the correct date & time posted.

  • 5. Is the facility executing appropriate measures to control the lobby entrance? (2)

    To receive 1 point, the auditor will verify that the lobby entrance is controlled by a receptionist, security guard, or remote access via CCTV camera. All visitors must sign in/out and utilize controlled visitor badges for all visitors to the site. All visitor badges must be secured during non-operational hours to control site access.

  • 6. Is the facility utilizing controlled entrances for employees? (1)

    To receive 1 point, the auditor must verify, where applicable, that controls are being utilized for employee entrance/exit into site and/or building. Sites where this is applicable must monitor & enforce appropriate employee access to the sites.

  • 7. Does the facility exercise appropriate office controls? (1)

    To receive 1 point, the auditor must verify that all offices are locked & secured during non-operational hours.

  • 8. Are all doors and windows in proper working condition and secured? (1)

    To receive 1 point, the auditor must verify that all doors & windows are in good working order with no damage, cracks or missing hardware that could allow ingress into the building.

Loss Prevention & Human Resources

  • 1. Is the "Staff and Visitors search policy" being executed appropriately? (1)

    To receive 2 points the auditor will verify that the poster is posted in a visible area in all locker rooms for employee review. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 2. Is the facility utilizing appropriate locker room control access? (1)

    To receive 1 point, the auditor will ensure all lockers are issued by site management or HR. HR will ensure a log is maintained with locker assignments & locks. All unused lockers should be secured to restrict access.

  • 3. Is the facility utilising the conflict of interest forms? (2)

    To receive 2 points, the auditor will verify that COI's exist for any employee's who have have relatives or friends who are working at the same site. Verify that the COI's are being maintained on site within the employee's employment file.

  • 4. Has the site completed the business ethics training? (3)

    To receive 3 points, the auditor will ensure the site has conducted Business Ethics Training within the previous year.

  • 5. Is the site following the policy in regards to employee purchases and give aways? (1)

    To receive 1 point, the auditor will ensure the site is prohibiting employee purchases & giveaways as it pertains to materials at the DSC/Manufacturing sites.

  • 6. Are passwords secured on site? (1)

    To receive 1 point, the auditor will ensure computer passwords are secured and not being written in any location that would compromise security. Verify that passwords are not being shared or disclosed in any manner.

  • 7. Is the personal items control log being utilized? (2)

    To receive 2 points, the auditor will verify that the site is using the control log for all personal items (i.e. radios, artwork, furniture, refrigerators, etc).

  • 8. Is the computer server room properly secured? (2)

    To receive 2 points, the auditor will verify that the on site computer server area is kept secure and that access is restricted to authorised staff only. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 9. Are security controls in place to protect intellectual property and formulas? (3)

    To receive 3 points, the auditor will verify that PCs are being kept secure and that user logon and passwords are being maintained/used correctly. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

CCTV System

  • 1. Are all cameras and monitors functioning properly? (2)

    To receive 2 points the auditor will ensure that a daily inspection is being conducted & all all cameras/monitors are functioning properly.

  • 2. Does the CCTV cover the perimeter? (2)

    To receive 2 points, the auditor will ensure the CCTV system fully covers the perimeter of the site.

  • 3. Are appropriate steps being taken for CCTV system failures? (2)

    To receive 2 points, the auditor will ensure the site has a process in place in an event that part or all of their CCTV system goes into failure. The auditor will verify that any non-functioning equipment has been communicated to LP or a work order has been placed with the vendor.

  • 4. Is the CCTV system secured? (1)

    To receive 1 point, the auditor will verify that the CCTV system is located in a secure location with restricted access by management.

  • 5. Does the system display the correct time and day? (1)

    To receive 1 point, the auditor will verify that the correct date & time is displayed on the system.

  • 6. Are camera views labeled to accurately depict what is being viewed on the CCTV system? (1)

    To receive 1 point, the auditor will verify that the cameras are labeled appropriately to depict what is being viewed via CCTV.

  • 7. Does the CCTV system have adequate recording capacity? (1)

    To receive 1 point, the auditor will verify that CCTV images are being recorded & maintained for a minimum of 15 days.

  • 8. Does the CCTV system meet the local CCTV regulatory requirements? (1)

    To receive 1 point, the auditor will verify that the installed CCTV system meets the local regulatory requirements and is being used in accordance with those local regulatory requirements. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 9. Are there any vital areas not covered by CCTV system? (0 Points/Yes or No)

Alarms

  • 1. Is the burglar alarm properly functioning? (3)

    To receive 3 points, the auditor must verify that the system is operational, being monitored, serviced & tested yearly. The auditor will confirm the system has been tested yearly by inspecting the copy of the last test results to confirm that all points are being tested and sending signals correctly.

  • 2. Are alarm codes maintained and secured properly? (2)

    To receive 2 points, the auditor will ensure pass-codes have been individually assigned. Also, verify that the site has a process for canceling pass codes for managers no longer needing access to the system/site. Validate by calling the alarm monitoring service to request a list of active pass codes for the site & confirm the site pass-code list.

  • 3. Has the site set up a call list with alarm company? (1)

    To receive 1 point, the auditor will verify that the site has set up a call list of responders based on the distance from the site. The managers closest to the site should be placed first on the list then by descending order.

  • 4. Does the alarm cover the entire site? (2)

    To receive 2 points, the auditor will verify that the correct date & time is being displayed in the system.

  • 5. Does the alarm system meet local regulatory requirements? (1)

    To receive 1 point, the auditor will verify that the installed intruder alarm system meets the local regulatory requirements and is being managed in accordance with local regulatory requirements. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 6. Is the alarm system monitored by a third party vendor? (1)

    To receive 1 point, the auditor will verify that the intruder alarm system is monitored by an accredited alarm receiving centre (ARC) and that a current signed monitoring contract is in place. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 7. Does the site have an updated alarm contract on file? (1)

    To receive 1 point, the auditor will verify that there is a current signed intruder alarm maintenance contract in place with an accredited alarm company. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

Operations

  • 1. Is the site properly maintaining an asset listing? (2)

    To receive 2 points, the auditor will verify that the site has an annual updated Asset List on file for the site.

  • 2. Is the site maintaining good general housekeeping and maintenance? (3)

    To receive 3 points, the auditor will verify that the site is clean, orderly, spills cleaned, equipment stored in proper locations & debris is placed in trash cans. Refer to 5S housekeeping standards for additional information.

Accounting

  • 1. Are accounts payables and purchase duties kept separated ? (3)

    To receive 3 points, the auditor will ensure that the site has controls in place that would prevent an employee from being able to create a purchase order, as well as have the ability to pay for it without a second authorization.

  • 2. Are P Cards being properly reconciled ? (2)

    To receive 2 points, the auditor will ensure that the site has a process and file system in place for reconciling P-Card transactions monthly.

  • 3. Are damaged raw materials accounted for? (2)

    To receive 2 points, the auditor will inspect the process for damaged raw material segregation, accounting documentation & final disposition. The auditor will verify that the controls are in place to ensure appropriate accounting measures are being executed.

  • 4. Is the safe properly secured with restricted access? (1)

    To receive 1 point, the auditor will verify that the safe is kept secure and that access is restricted to authorised staff only. That the safe keys are kept secure when not in use and/or combinations are not being written in any location that would compromise security. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 5. Is foreign currency petty cash being controlled and reconciled? (2)

    To receive 2 points, the auditor will verify that there is a written policy in place for the issuing and use of foreign currency by company business travellers. The auditor will also verify that returned currency is accurately recorded and that any discrepancies are investigated and that all expenses are promptly reconciled. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

  • 6.Is the volume of fearing currency held by the finance team reasonable? (1)

    To receive 1 point, the auditor will clarify whether or not the volume of foreign currency is excessive or meets the requirements of the sites business travellers. The auditor will also clarify whether or not the denominations held are in line with current business travel destinations. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

RX

  • 1. Does the storeroom have adequate lighting? (1)

    To receive 1 point, the auditor will verify that the storeroom has good lighting, which is essential for inventory accuracy. The rule should be that it is easy to red the fine print on original parts packaging.

  • 2. Does the storeroom have restricted access to maintenance staff & management? (1)

    To receive 1 point, the auditor will verify that restricted access is being maintained. When restricting access, the site must comply with means of egress requirements. Chains & padlocks on doors/gates are not recommended. Push bars with key access are acceptable Best practice is keycard control tied to the sites keycard security system. Video surveillance of the store room may be used to to help enforce consistent item checkout procedures.

  • 3. Does storeroom have at least one dedicated computer? (1)

    To receive 1 point, the auditor will ensure that at least one computer is dedicated to the storeroom. The computer should be used to facilitate issuing parts to work orders as they leave the storeroom.

  • 4. Does the storeroom have a dedicated returns staging area? (1)

    To receive 1 point, the auditor will ensure that the return staging area exists and that no part is placed back in its storage bin until it has been determined that the part is truly "good as new". returns also need to be processed in eAM before returning to the storage bin.

  • 5. Does the storeroom have a dedicated shop floor staging area? (1)

    To receive 1 point, the auditor will ensure that the shop floor staging area is being utilized for parts that were orders against a work order (shop floor requisition) because they have not been set up in inventory.

  • 6. Does the storeroom have a dedicated receiving staging area? (1)

    To receive 1 point, the auditor will ensure that the receiving staging area is being utilized for incoming parts prior to receiving them in Oracle. Once received in Oracle, the parts should be immediately moved to its storage bin located on the shop floor staging area.

  • 7. Is the storeroom utilizing a shelf drawer locator system? (1)

    To receive 1 point, the auditor will ensure each shelf/drawer has been labeled with the full locator for that shelf/drawer Each row & shelf unit or cabinet should be labeled with the part locator for that shelf or cabinet.

  • 8. Does the storeroom have the most current RX scorecard posted? (1)

    To receive 1 point, the auditor will verify that the most current RX Scorecard is posted showing the progress of how well the storeroom is doing.

  • 9. Is the overall storeroom clean and organized? (1)

    To receive 1 point, the auditor will ensure that the standards for the storeroom are being maintained.

Shipping / Receiving & Warehouse

  • 2. Are staging areas properly labeled for all in-bound and out-bound deliveries? (1)

    To receive 1 point, the auditor will inspect to ensure staging areas are clearly labeled in-bound & out-bound deliveries to prevent unauthorized or misplaced products from lying around.

  • 3. Does the shipping area have restricted access? (2)

    To receive 2 points, the auditor will inspect to ensure the Shipping area is restricted to authorized vehicles only. No employee or vendor vehicles should be permitted in shipping area without management approval.

  • 4. Is a process in place to secure outside deliveries upon arrival? (2)

    To receive 2 points, the auditor will verify that a secure area is set up to secure UPS, FedEx or other deliveries until delivered to the proper recipient.

  • 5. Does the site have controls in place for raw materials/supplies to prevent shrink and cross contamination? (2)

    To receive 2 points, the auditor will inspect the designated area for open raw materials that have been open for use. The open bags should be resealed & have labeling information affixed. The auditor must ensure that no cross contamination is possible and/or that no raw material is being unsecured, which could lead to material shrink.

  • 6. Does the facility have off site storage? If yes, are security measures being taken to secure the contents and does the site have an accurate physical inventory of off site materials? (2)

    To receive 2 points, the auditor will verify that the camera views are labeled appropriately to depict what is being viewed via CCTV. Auditor will also validate a system is in place to maintain an accurate physical inventory.

  • 7. Are continuous improvement processes in place to correct pick errors for all in and out bound shipments? (2)

    To receive 1 point, the auditor will verify that the site has in place, impactful and documented continuous improvement processes for pick errors. The item can be scored "Yes" when all of the above requirements are met and discrepancies are found.

Safety

  • 1. Is the site utilizing proper trailer safety? (1)

    To receive 1 point, the auditor will ensure that all trailers are choked when not in use.

  • 2. Is the site utilizing proper railroad safety? (2)

    To receive 2 points, the auditor will ensure that railroad tankers are choked when not in use.

  • 3. Are all filling lines maintained in a clean and operable manner? (2)

    To receive 2 points, the auditor will ensure that all filling lines are clean & maintained and that no debris is present around lines that could pose a tripping hazard.

  • 4. Is the glove policy being executed? (2)

    To receive 2 points, the auditor will inspect as he/she walks that site employees have gloves accessible on their person and are using them when handling goods, materials & debris.

  • 5. Are employees exercising safety measures when operating forklifts? (1)

    To receive 1 point, the auditor will ensure all forklift operators are wearing seat belts, keeping forks at a safe height and utilizing safe driving measures, including using horn at intersections or when backing.

  • 6. Is the site ensuring that fire extinguishers are properly charged and that the inspection tags are current? (1)

    To receive 1 point, the auditor will inspect a random number of extinguishers during the audit to ensure that the inspections are current and are fully charged.

  • 7. Emergency back up lights? (Check min of 4). (1)

    To receive 1 point, the auditor will inspect a random number of emergency lights during the audit to ensure that they are functioning properly.

  • 9. Does the site have an updated emergency evacuation plan posted for employees to reference? (2)

    To receive 2 points, the auditor will inspect the site to ensure a current evacuation poster is displayed.

  • 10. Is a hard copy of the current Emergency Manual/Plan maintained by plant manager? (1)

    To receive 1 point, the auditor will ensure that the site has an updated "Emergency Manual" hard copy available in case of power outage or non-network communication issue.

  • 11. Is the site emergency contact sheet up to date? (1)

    To receive 1 point, the auditor will ensure the contact list is current & maintained with the Emergency Manual.

Audit Recap & Acknowledgment

  • Scoring (91-100% Exceeds Expectations, 85-90% Meets Expectations, Below 84% Unacceptable/High Risk

  • Management Signature

  • Auditor Signature

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