Internal Audit checklist

• Site conducted

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• Conducted on

  Date

• Prepared by

• Location
  Address

GAP Depot audit

• Audit Name

• Location

Audit Checklist Guidance

• This checklist is an advisory one and must be read as such. It has no statutory force and nothing in it should be construed as conferring absolution from compliance with legal requirements. All reasonable care has been taken in its preparation and it is provided for general guidance without liability. This checklist supports the EU Supplier Qualification Guide especially in the Warehousing Services area from third parties. It sets the targets and controls based on different standards (ISO/TL9000, ISO14001, ISO45001 and ISO27001) to support the selection and monitor its performance regarding Warehousing Services. It should be considered as best practice requirements for Warehousing Services from third parties and be part of the SLA and in respect of ISO27001.

Warehouse area

• Suitable for use as a warehouse?

  Yes

  No

  N/A

• Located with easy access for large delivery vehicles?

  Yes

  No

  N/A

• Large enough for the contents held without causing excess hazard?

  Select Yes No N/A

  • Yes
  • No
  • N/A

• Wind and watertight?

  Yes

  No

  N/A

• Standard of maintenance?

  Good

  Fair

  Poor

  N/A

• Windows and roof lights intact?

  Yes

  No

  N/A

• Are windows clean and can they be open and closed where required?

  Yes

  No

  N/A

• Roof watertight and gulley's clear?

  Good

  Fair

  Poor

  N/A

• Is the general work area clean and bins emptied?

  Good

  Fair

  Poor

  N/A

• Are all safety signs in a good condition?

  Good

  Fair

  Poor

  N/A

• Are all areas accessible (i.e. no clutter on the floor)?

  Yes

  No

  N/A

• Are the final exits clear and operational?

  Good

  Fair

  Poor

  N/A

• Are all other exits free of obstruction and clearly marked?

  Good

  Fair

  Poor

  N/A

• Is asbestos content of buildings – labelled where present and protected from damage from lift trucks or goods

  Yes

  No

  N/A

Floor

• Are they suitable, in a good and clean condition? (No trip hazards!)

  Yes

  No

  N/A

• Free from debris and other obstructions?

  Yes

  No

  N/A

• Loading and unloading areas – preferable that no reversing is required by delivery vehicles?

  Yes

  No

  N/A

• To be well lit areas to ensure safety of pedestrian workers?

  Yes

  No

  N/A

• Are barriers in place where a fall from height could occur?

  Yes

  No

  N/A

• Mezzanine floors to be labelled with their safe working capacity and afford easy escape (more than one exit) in the case of fire or other emergency. (Loading openings to be barriered using flip over barriers.)

  Yes

  No

  N/A

Electrical Installation

• Are safe and conform to regulations? (regular check , like INAIL MAT and half year check on switchboards)

  Yes

  No

  N/A

• Light fittings as high as possible to avoid risk of damage. (Also placed to illuminate stored items.)

  Yes

  No

  N/A

• Traction battery charging points clearly marked and in a safe, well ventilated place? (Must not be positioned where hydrogen gases could ‘pool’, for instance not near to inspection pits etc. High and low ventilation should be provided.)

  Yes

  No

  N/A

• Are extension cords used for temporary work only? (Not placed where lift trucks or pedestrians would be crossing them.)

  Yes

  No

  N/A

• No exposed wires or frayed cords identified?

  Yes

  No

  N/A

Fuel Storage

• Reserves of bottled gas (LPG) and diesel for fork trucks to be kept outside in a locked cage conforming to requirements of LP Gas Association Code of Practice 7 – Storage of Full and Empty LPG Gas Cylinders and Cartridges

  Yes

  No

  N/A

• Diesel storage tanks adequately bunded? (110% of largest item rule to apply.)

  Yes

  No

  N/A

Heating

• Heating units, fuel pipes and tanks safe and protected? (Annually checked including underground pipe work.)

  Yes

  No

  N/A

Doors

• Sufficient loading doors for traffic involved?

  Yes

  No

  N/A

• Are roller doors placed on insurance checks register to ensure safe operation?

  Yes

  No

  N/A

• Adequate and properly positioned personnel doors? (Separation of pedestrians and lift trucks / delivery vehicles to be maintained. Denial of access to the public.)

  Yes

  No

  N/A

• All external doors closefitting?

  Yes

  No

  N/A

• All fire doors to be kept clear inside and outside with egress to a safe position outside?

  Yes

  No

  N/A

• Locking arrangements to insurers' requirements? (physical security)

  Yes

  No

  N/A

• Fire doors to be open able from the inside without the need to search for keys (as per fire regulations)

  Yes

  No

  N/A

Staff facility

• Lavatory, washing and mess room accommodation provided?

  Yes

  No

  N/A

• Have hand cleaner and towels been provided?

  Yes

  No

  N/A

• First Aid Box – provided and stocked? (and in date)

  Yes

  No

  N/A

• Is the break/ eating area clean?

  Yes

  No

  N/A

Offices

• Visitors Book available?

  Yes

  No

  N/A

• Easily accessible for staff, drivers and visitors?

  Yes

  No

  N/A

• Clearly sign posted?

  Yes

  No

  N/A

• Access safe and unobstructed?

  Yes

  No

  N/A

• Office adequately staffed and equipped to provide stock control and goods Inwards/Outwards documentation?

  Yes

  No

  N/A

• Office clean, well lit and adequately furnished?

  Yes

  No

  N/A

• Lavatory, washing and refreshment facilities provided to minimum statutory requirements?

  Yes

  No

  N/A

Site and perimeter

• Area used for manoeuvring, vehicle parking or open storage adequately surfaced?

  Yes

  No

  N/A

• Are loading areas demarcated and physical denial of access to the public of work areas?

  Yes

  No

  N/A

Storage and handling equipment

• Is area free of falling hazards? (Small or loose items well contained, large items suitably contained.)

  Yes

  No

  N/A

• No items able to roll from pallets – to be secured using cling film or other means

  Yes

  No

  N/A

• Equipment suitable for task and regularly serviced and maintained by competent engineers?

  Yes

  No

  N/A

• Shelves & cupboards in good condition? (No Lift truck damage to be present.)

  Yes

  No

  N/A

• Lifting & stacking aids in good condition?

  Yes

  No

  N/A

• Detailed maintenance records kept for all equipment on site? (Maintenance log should be mandated)

  Yes

  No

  N/A

• Small items of equipment stored under cover when not in use?

  Yes

  No

  N/A

• Safe working loads clearly marked?

  Yes

  No

  N/A

• Weight loading of racking and damage reporting procedures in place?

  Yes

  No

  N/A

• Pallets, post pallets, racking and mezzanine floor equipment suitable for goods stored; kept in a clean, sound condition and inspected regularly?

  Yes

  No

  N/A

• Are empty pallets properly stored? (Not stacked higher than head height. Removed from publically accessible places to reduce children playing on the site.)

  Yes

  No

  N/A

• Are loads stacked and/or properly secured? (Palletized loads must not be stacked if the pallets are not supported over their whole base area.)

  Yes

  No

  N/A

• Are heavier materials stored on lower shelves? (The heaviest materials stored at waist height if they are to be manually accessed. Colour coding system to be considered for items over 25kg.)

  Yes

  No

  N/A

• Are fork lift trucks properly maintained and operated? (In accordance with manufacturer’s instructions. Thorough examination of lifting gear Minimum annually. Pre use records should be available for the auditor to check. Adequate ventilation if internal combustion engine powered?)

  Yes

  No

  N/A

• Are fork lift trucks operators properly trained?

  Yes

  No

  N/A

• If ladders used, are ladders in safe condition (safety feet, rungs, bracing, etc.)?

  Yes

  No

  N/A

• If ladders used, have ladders, nonslip surface on rungs?

  Yes

  No

  N/A

• If ladders used, are permanent ladders properly designed?

  Yes

  No

  N/A

• Are man baskets used on lift trucks? (If so these must be complete with retaining pins, and specific training provided to driver and riders.)

  Yes

  No

  N/A

Specialized storage and fire protection

• All specialized storage complies with relevant regulations? (Need to quantify specialized. Combustible? Corrosive? Explosive? Radioactive?)

  Yes

  No

  N/A

• Isolation & labelling of hazardous substances? (Also signage on building for fire fighter information.)

  Yes

  No

  N/A

• Chemicals/flammable stored correctly? (Emergency spill kit (with appropriate PPE) available close to the hazardous goods? Emergency instructions posted on the wall? Eyewash available local to the hazard?)

  Yes

  No

  N/A

Health and Safety Management (ISO45001)

• Do supplier have ISO45001 certification?

  Yes

  No

  N/A

• Do supplier have procedure to comply with local regulations regarding Health & Safety?

  Yes

  No

  N/A

• Whole Body Vibration – Health Surveillance checks undertaken?

  Yes

  No

  N/A

• Training and Fire Drill records available for inspection?

  Yes

  No

  N/A

• Is noise considered to be an issue to the health or functioning of workers (issues such as barriers to communication)? Consider volume of radio systems…

  Yes

  No

  N/A

• Lift truck key discipline – only authorised persons able to use

  Yes

  No

  N/A

• First aid assessment carried out?

  Yes

  No

  N/A

• Display Screen Equipment assessment carried out?

  Yes

  No

  N/A

• Accident and near misses recorded as per local law requirement?

  Yes

  No

  N/A

• All staff properly trained and possessing certificate of competence?

  Yes

  No

  N/A

• Manual Handling assessments available?

  Yes

  No

  N/A

• Risk assessments available?

  Yes

  No

  N/A

• Manual Handling awareness of all workers undertaken?

  Good

  Fair

  Poor

  N/A

• Workplace temperature – If the warehouse is not heated warm areas must be established in cold weather

  Yes

  No

  N/A

Statutory notice

• Are following notices displayed:

• "No Smoking" signs displayed?

  Yes

  No

  N/A

• • Health and Safety Information for employees?

  Yes

  No

  N/A

• • Is the name of the H&S representative on duty displayed?

  Yes

  No

  N/A

• • Safety signs – First Aid; Fire points; Exits?

  Yes

  No

  N/A

• • Safety Policy statement displayed for visitors and employees?

  Yes

  No

  N/A

Fire Certificate or application (if required) available? (If self certificated building Fire Safety Risk Assessment made available)

• Fire risk assessment undertaken?

  Yes

  No

  N/A

• Have emergency drills been performed within the previous 12 months?

  Yes

  No

  N/A

• Has fire separation between units been implemented? (Which means if fire starts somewhere, it is limited to that unit and does not impact the other units.)

  Yes

  No

  N/A

• Detection, warning, summon fire brigade, evacuation?

  Yes

  No

  N/A

• Fire escapes, fire doors and hydrant points clearly marked and kept free of obstruction?

  Yes

  No

  N/A

• Automatic fire suppression system in place? Is it routinely maintained?

  Yes

  No

  N/A

Worker environment and PPE

• Safety boots / shoes / trainers– At least ‘Safety Basic’ provided, used and in good condition?

  Yes

  No

  N/A

• At least high visibility waistcoats (in cold conditions high visibility coats) worn in the warehouse (with spares available for visitors)?

  Yes

  No

  N/A

• General work gloves available and used by warehouse staff?

  Yes

  No

  N/A

• Correct work gloves available for handling chemicals, with the glove material identified on the risk assessment for handling the substance (Most universal glove material is ‘Viton’.)

  Yes

  No

  N/A

• Safety goggles & respirator available to clean spills of hazardous liquids? (if applicable)

  Yes

  No

  N/A

Environmental (ISO14001)

• Do supplier have ISO14001 certification?

  Yes

  No

  N/A

• Waste guidance in place and followed?

  Yes

  No

  N/A

• Environmental hazards identified?

  Yes

  No

  N/A

• Material Safety Data Sheet (MSDS) available for all hazardous substances stored?

  Yes

  No

  N/A

• Environmental guidance given for handling and storage of hazardous substance?

  Yes

  No

  N/A

Waste Temporary Depot (Deposito Temporaneo)

• Waste disposal arrangements in place for:

• • WEEE

  Yes

  No

  N/A

• • Wood

  Yes

  No

  N/A

• • Batteries

  Yes

  No

  N/A

• • Hazardous substances

  Yes

  No

  N/A

• • Packaging

  Yes

  No

  N/A

• Are "Schede di caratterizzazione rifiuti" available for stored waste?

  Yes

  No

  N/A

• Verify the correct layout of the temporary deposit as indicated in the operating procedures

  Yes

  No

  N/A

• Check for waste identification labels on packages

  Yes

  No

  N/A

• Check the presence of the label bearing black R on a yellow background for packages that must contain hazardous waste

  Yes

  No

  N/A

• Check correct delimitation of the temporary deposit

  Yes

  No

  N/A

Waste Delivery

• Registro di carico e scarico rifiuti shall be updated and filled according to FIR

  Yes

  No

  N/A

• Formulari di identificazione rifiuti (FIR) shall be available for any waste delivery

  Yes

  No

  N/A

• Check presence of first copy and closing copy of the assignment.<br>The c.d.fourth copy can be in original paper format or received by means of PEC.<br>In the latter case, print a copy of the form and text of the e-mail from which it is evident that sending by means of PEC is a substitute for the paper sending.<br>The electronic copy of the form must be stored on the Huawei server together with the copy of the email.

  Yes

  No

  N/A

• Verify that the indication has been affixed to the forms in the field "registration number" of the protocol number of the related discharge notation present on the loading and unloading register.The note must be affixed to the first and fourth cop

  Yes

  No

  N/A

• Check presence of copies of transporters authorizations used for waste management

  Yes

  No

  N/A

• Check presence of copy authorizations installations used for waste management

  Yes

  No

  N/A

• Check presence of copies of intermediate authorizations used for waste management

  Yes

  No

  N/A

Quality (ISO9001/TL9000)

• Do supplier have ISO 9001 certification?

  Yes

  No

  N/A

• Do you maintain different stock categories (available, blocked stock, in quality assurance, and so on)?

  Yes

  No

  N/A

• Do you have an assigned packaging area?

  Yes

  No

  N/A

• Are damaged good separated an special labelled?

  Yes

  No

  N/A

• Will warehouse activities been planned and monitored to control the resources and tasks?

  Yes

  No

  N/A

• Are the sequences of the warehouse tasks been considered to find the optimal routs of the warehouse? (Ensures that, in the warehouse, the right task is processed by the right resource at the right time and the areas are clearly marked.)

  Yes

  No

  N/A

• Are incoming goods be regularly checked (quantity, visible damage etc

  Yes

  No

  N/A

• Are stocks managed in quantity and values?

  Yes

  No

  N/A

• Are regular inventory controls implemented e.g. : periodic inventory continuous inventory cycle counting inventory sampling?

  Yes

  No

  N/A

• Will serial numbers been tracked?

  Yes

  No

  N/A

• If necessary, is there a temperature and humidity controlled area of the warehouses where climate sensitive equipment is stored?

  Yes

  No

  N/A

• Equipment regularly tested and professionally maintained and records kept?

  Yes

  No

  N/A

• Is Radio Frequency / Barcoding used to ensure error free data transfer?

  Yes

  No

  N/A

• If necessary, are employees instructed and are controls in place to ensure ESD standard ANSI/ESD S20.202007?

  Yes

  No

  N/A

Information Security (ISO27001)

• Do supplier have ISO 27001 certification?

  Yes

  No

  N/A

• Are following information in whatever format received, produced whether in paper, electronic, oral form or otherwise been handled only by authorized persons been indicated and kept confidential as there are:

• • Goods inbound lists?

  Yes

  No

  N/A

• • Goods inbound inspection reports?

  Yes

  No

  N/A

• • Goods in Quality Assurance report?

  Yes

  No

  N/A

• • Complaints and complaint response report?

  Yes

  No

  N/A

• • Goods inventory reports (quantity and value)?

  Yes

  No

  N/A

• • Goods outbound list?

  Yes

  No

  N/A

• • Goods damaged during storage and delivery report?

  Yes

  No

  N/A

• • Goods outbound schedule?

  Yes

  No

  N/A

• • Goods customs clearance documents?

  Yes

  No

  N/A

• Are guidance and control in place that visitors and employees are not allowed to take photos in the warehouse?

  Yes

  No

  N/A