Q&E Internal Audit

Branch Hard Copy Control List Template is completed and in Library.

Required Hard Copy Documents displayed in Branch: Broker Permit, Qualifying Broker’s License, Corporate Broker License.

Required Hard Copy Documents maintained at Branch – DOT HazMat Cert, TSA Emergency Contacts.

Required Hard Copy Documents maintained at Branch – X-Ray In Use and DSA/Screening posters.

US Customs Regs, HTS Harmonized Tariff, US Explanatory Notes hard copies available.

DG – IATA / IMDG / DOT / ERG DG Regulation Books accessible

DG – IATA/IMDG/DOT DG Specialists Certification current, record on file, DG Specialist list visibly posted and in Library.

DG Certified team members handle DG shipments; DG Certified team members take pickups and dispatch pickups and deliveries.

Envirotainer trained employees – 2 are trained and active on the Envirotainer website, view training certification.

Emergency Plan current and available, discussed with employees.

Emergency Evacuation / Shelter Map visibly posted; Emergency Phone List visibly posted.

Emergency Evacuation Drills were conducted, and records were completed and retained.

Training Records on file in LMS or hardcopy.

Training – Mandatory Training completed for all employees, including warehouse and temporaries.

Training – new hire SOP training completed and documented.

Training – Customs procedures, records maintained.

Customs New Hire – entries processed by new hires are checked.

First Aid Kit available, inspection card updated.

Recycling of paper, cans, and bottles receptacles available and used.

Recycling of batteries and bulbs receptacles with Universal Waste label available and used.

Recycling of cardboard, wood, plastic, and other warehouse materials available and used.

Recycling of end of life electronics available and used.

QESR Quarterly Meeting conducted, minutes documented, identified actions followed through.

Monthly KPIs reviewed with Branch Departments, confirm KPI targets known at desk level.

Customs Brokerage KPIs reviewed with the department, confirm KPI known at desk level.

Duty Discrepancies over 60 days report managed, corrective actions documented and actioned

Air Daily Missing Events Report received and worked daily, describe how.,

Branch-specific Action Plans / Corrective Actions developed to achieve KPIs, especially when KPIs are not met for several months.

Vendor Evaluations completed, Vendor Matrix up to date in Library.

DesCartes Scorecard for Domestic / Land carriers – Do you use it when selecting truckers?

Monthly verification of Authorized Reps for TSA Compliance through Veroot.

Facility Security Checklist is completed daily, and records are retained locally.

Quarterly Security Audit completed, sent to corporatesecuritycenter@dbschenker.com

Lease – The branch Manager has a copy and is aware of the lease expiration date.

Team members successfully access Schenker Library, including Warehouse team.

Team members successfully access shared drive.

Product Work Instructions are available on Schenker Library or intranet; team members consult for normal work processes.

Customs team members access and use from Library the Customs Services SOP and Customs Brokerage Entry Processing SOPs.

Global Customer SOPs are available on Schenker Global Intranet; team members consult for Customer specific requirements.

USA or Local Customer SOPs available on Schenker Library, eCMP, and shared drive; team members consult for Customer requirements.

Customs Customer Profiles of Customer requirements are stored only on PM Customs shared drive – No local copies.

Forms, Procedures, Work Instructions, and other documents used from Library.

Process Audit indicates Export team members follow Product Work Instructions.

Team members consult Export Compliance requirements in Library for Export shipments.

Team members consult Country requirements in Library when exporting to unfamiliar countries.

Master Carrier List in Library used to select pickup/delivery/cartage vendors.

Denied Party / Restricted Party screening complete and in shipment record – Visual Compliance.

known Shipper screening complete and in shipment record – KSMS

DG Shipments – DG Certificate in file, handled by DG certified person, completed myHazMat.com

FMC Filing completed (Ocean)

ProCars / RCM Auto-rating used for Top 20 Customers

Pickup / Delivery Trucker – On MCL, in TMS <br>(not just in ProCars / TANGO)

ProCars / Tango discrepancy codes used track shipment issues

SRL is used to track Customer complaints, Vendor issues, trends in shipment issues, process failures, other non-conformances, and service failures.

Process Audit indicates Export team members follow Product Work Instructions.

Team members consult Export Compliance requirements in Library for Export shipments.

Team members consult Country requirements in Library when exporting to unfamiliar countries.

Master Carrier List in Library used to select pickup/delivery/cartage vendors.

Denied Party / Restricted Party screening complete and in shipment record – Visual Compliance.

known Shipper screening complete and in shipment record – KSMS

DG Shipments – DG Certificate in file, handled by DG certified person, completed myHazMat.com

FMC Filing completed (Ocean)

ProCars / RCM Auto-rating used for Top 20 Customers

Pickup / Delivery Trucker – On MCL, in TMS <br>(not just in ProCars / TANGO)

ProCars / Tango discrepancy codes used track shipment issues

SRL is used to track Customer complaints, Vendor issues, trends in shipment issues, process failures, other non-conformances, and service failures.

Import Breakbulk – Process Audit indicates Import team members follow Product Work Instructions.

Customs Brokerage – Process Audit indicates Import team members follow Product Work Instructions.

Customs Brokerage Rates: ProCars / TANGO Auto-rating used for Top 20 Customers.

Import Self Audit completed by Import Manager.

Daily Entry Audits were completed, the team was informed of errors, and corrective actions were documented and actioned.

Billing reviewed for accuracy, billing completed within 24 hours of release, packed sent to Customer within 24 hours of invoice printed, copy of invoice in Customs file.

Master Carrier List in Library used to select pickup/delivery/cartage vendors.

POA, USPPI, or FPPI on file or SLI in the shipment record.

ProCars / Tango / Customs Link discrepancy codes used track shipment issues.

SRL is used to track Customer complaints, Vendor issues, trends in shipment issues, process failures, other non-conformances, and service failures.

Import Breakbulk – Process Audit indicates Import team members follow Product Work Instructions.

Customs Brokerage – Process Audit indicates Import team members follow Product Work Instructions.

Customs Brokerage Rates: ProCars / TANGO Auto-rating used for Top 20 Customers.

Import Self Audit completed by Import Manager.

Daily Entry Audits were completed, the team was informed of errors, and corrective actions were documented and actioned.

Billing reviewed for accuracy, billing completed within 24 hours of release, packed sent to Customer within 24 hours of invoice printed, copy of invoice in Customs file.

Master Carrier List in Library used to select pickup/delivery/cartage vendors.

POA, USPPI, or FPPI on file or SLI in the shipment record.

ProCars / Tango / Customs Link discrepancy codes used track shipment issues.

SRL is used to track Customer complaints, Vendor issues, trends in shipment issues, process failures, other non-conformances, and service failures.

Import Breakbulk – Process Audit indicates Import team members follow Product Work Instructions.

Customs Brokerage – Process Audit indicates Import team members follow Product Work Instructions.

Customs Brokerage Rates: ProCars / TANGO Auto-rating used for Top 20 Customers.

Import Self Audit completed by Import Manager.

Daily Entry Audits were completed, the team was informed of errors, and corrective actions were documented and actioned.

Billing reviewed for accuracy, billing completed within 24 hours of release, packed sent to Customer within 24 hours of invoice printed, copy of invoice in Customs file.

Master Carrier List in Library used to select pickup/delivery/cartage vendors.

POA, USPPI, or FPPI on file or SLI in the shipment record.

ProCars / Tango / Customs Link discrepancy codes used track shipment issues.

SRL is used to track Customer complaints, Vendor issues, trends in shipment issues, process failures, other non-conformances, and service failures.

OSHA Logs – reflect all reportable incidents, updated within 7 days of incident, retain and show 5 years plus current year.

Forklift Training Plan and documentation for classroom and practical training – Review branch-specific training materials

Forklift Operator License or Training Record and Certification for all forklift drivers on file for each forklift operator.

Forklift Daily Checklists / pre-trip inspections for all MHE completed. Retained – California 1 year, all other 90 days.

Forklift Maintenance (MHE PM) records on file – minimum maintenance 1 per year.

Warehouse employee's Training records – New Hire Orientation, Emergency Action Plan, Hazard Communication, Dangerous Goods, First Aid Training, Ergonomics, safe lifting.

Test Weight, Forklift Calibration, and / or GXD Calibration processes completed and records retained.

Scale Calibration records on file, completed accurately and completely, actions taken documented for out-of-tolerance incidents.

Process Audit indicates Warehouse team members follow Product Work Instructions.

SRL is used to track Customer complaints, Vendor issues, trends in shipment issues, process failures, other non-conformances, and service failures.

Freight Received, weigh/dim, on-hand receipt attached to freight, staged correctly.

Over / Short / Damage documented and reported.

Personal Protective Equipment / Steel Toe Shoes available and used by the team including temporaries.

Dangerous Goods Area established.

Dangerous Goods Segregation Chart and “Know Your Cargo” Posters are visible.

Dangerous Goods properly segregated.

Dangerous Goods SDS maintained for all DG shipments in the warehouse.

HazMat Spill Kit available, complete – review date indicated, in proximity to danger.

Security Cage locked, shipments log in/out, only high value freight.

Bonded Area identified, only bonded freight in the area.

Warehouse isles clear and uncluttered.

Wheel Chocks available and utilized.

Fire Extinguishers available, inspection cards updated – monthly visual inspection and annual certification.

Eyewash Station in proximity to danger, path to station is clear and wide, inspection card updated, liquid not expired.

Propane Forklift Fuel stored outside in locked cage.

Fire Alarm Test and Inspection records on file.

Sprinkler Test and Inspection records on file.

Branch is aware of internal and external issues, and key stakeholders (context/interested parties) impacting its ability to achieve intended results.

Branch Management is aware of their responsibilities with regard to Quality and the Environmental.

Branch Management has identified and developed plans to address local risks and opportunities, local strategic business plans.

Team members are aware of Quality and Environmental Objectives, Targets, and Action Plans.

Visual Observation confirms NO uncontrolled documents, informal procedures, post its, printed emails, photocopies. All Documents in Control.

Branch Forms reflect Document Control information – Effective date, revision date, and document owner.

Branch Documented Information reflects one current revision date with correlating entries in Revision History table.

Branch Library documents reviewed and updated regularly - Reflected by revision date and history.

Legal Requirements and Evaluation of Compliance records complete.

Records retained according to the Record Retention Matrix.

Local Record Retention matrices do not conflict with USA Record Retention Matrix.

Non-Conformances from previous Internal Audit actioned and CAR closed.

Non-Conformances and CAR from previous Internal Audit remain in control / not recurring.

CAR used to address significant non-conformances, CAR closed and in control.