Internal Audit Checklist: C5_Warehouse Management

5.2.2_Do the relevant personnel understand the company's quality, environment and information security policies? Target?

5.3_Are there job descriptions and department responsibilities that include responsibilities related to quality, environment, and information security? And the relevant personnel know their responsibilities?

7.1.6_Is knowledge managed effectively? (Knowledge other than controlled documents, records, such as industry standards, books, publications, regulations, customer notifications, internal training, lessons learned, etc.)

7.2_ Are human competencies sufficient to meet process requirements? (such as personnel performance evaluation, personnel competency matrix, etc.)

7.3_Do the personnel have basic awareness of quality, environment and information security?

7.4_ Effective communication of relevant personnel to obtain information on quality, environment and information security? Such as notification through reports, emails, training, etc.

7.5.1_Is the file used a valid controlled version?

7.5.1_Do the records formed meet the requirements of clear and timely records? Is it properly stored?

8.1.1_Is risk identification carried out for the process? (Spot-check the records of risk identification and spot-check the implementation of relevant measures)

9.1_ Are relevant quality, environment, information security related indicators (KPIs) clearly defined?

8.5.1_Is the equipment and instruments used effectively managed? (The equipment should be operated without disease, and daily inspection and maintenance should be done well)

8.5.1.1_Is the measurement equipment used effectively managed? (do not use unmarked, expired measuring equipment)

10.2_ Are non-conformities that occur handled and closed? (eg, internal audit, external audit, customer complaints, internal complaints, etc.)

10.2_ Are appropriate corrective actions taken for nonconformities? (Root cause analysis, development of containment, correction, corrective actions, tracking of corrective actions, etc.)

7.1.4_Does the warehouse management process provide a good operating environment (such as temperature, noise, etc. control)? (View live environment)

8.1.4_Is there a requirement to control counterfeiting? (Check the relevant requirements and observe on-site whether there are counterfeit or suspected counterfeit parts)

8.2.1_Do you communicate with the project department and customers in a timely manner regarding the problems of customer-supplied materials in the warehouse management process? (Spot-check communication process records)

8.5.2_ Are there complete traceability management requirements for stocked materials to ensure that materials can be traced back to the original manufacturer (or warranty)? (Check the relevant requirements, and on-site conditions such as warehousing and warehousing)

8.5.2_Is there a complete storage location identification system for inventory materials to ensure that the "material account" is consistent? (Spot check whether the on-site location materials are consistent with the system information)

8.5.2_ Does warehouse management clarify the requirements for material status identification such as scrap materials, qualified materials, and materials to be inspected? (Check the status of the on-site status identification, whether there is a mixture of scrapped materials and qualified materials, lack of material status identification, etc.)

8.5.3_ Are customer-supplied materials clearly marked in the warehouse? (check on-site status)

8.5.3_Is it clearly stipulated how to report damage, loss, etc. of customer-supplied materials? (see related requirements)

8.5.4_ Are there protective requirements in the material inventory management process? (see related requirements)

8.5.4_ Does the material inventory meet the protection requirements? (Check whether the material is improperly protected on site, such as unprotected carbon steel flange surface, contact with carbon steel and stainless steel materials, improper outdoor storage, etc.)

8.5.4_ Are foreign objects controlled during warehouse management? (On-site inquiry, how to control foreign objects)

8.5.4_ Are the storage conditions for the material clearly defined? (Check the requirements and check on site whether the requirements are met)

8.5.6_Is there an effective control of changes in the warehouse management process? (See material description changes, purchase order changes, etc. for changes involving warehouse management, if the change request is communicated, and if the change request is executed)

8.7_Is there a control process for identifying nonconformities that occur during warehouse management? (How to deal with the non-conformities found in the inspection of incoming materials and the non-conformities found in the inventory management process)

5.3_ Are managers aware of their responsibilities regarding environmental management? (ask managers about environmental responsibilities)

6.1.2_ Are the environmental factors involved in this process (department) adequately identified? (On-site observation to judge whether the actual environmental factors are sufficient compared with the identification table)

6.1.2_ Are employees aware of the environmental aspects of this process (department) and which are significant environmental factors? (Spot check employees)

6.2.1_Do employees understand what the department's or company environment-related goals are? (On-site inquiry, check target statistics)

8.1_ Are all kinds of garbage classified and managed according to the specified requirements? (On-site inquire about the requirements for garbage classification and the actual implementation)

8.1_Is the storage of hazardous chemicals effectively managed? (Check chemical warehouse storage requirements and actual implementation)

8.1_Does the production process implement the company's environmental management strategies such as water saving, electricity saving, and chemical reduction? (Ask the operator on site how to save water, save electricity and reduce the use of chemicals, etc.)

8.2_Do the employees know the company-related emergency contact numbers? (ask the on-site staff)

8.2_Do employees understand the commonly used self-rescue and escape methods in the event of an emergency?