Security/Operations Analysis Review (SOAR) - duplicate

Information

Document No.
Audit Title
Client / Site
Conducted on
Prepared by
Location
Personnel

Outside Perimeter

1. Is the perimeter fencing adequately protecting the facility? (3)
2. Are gate entrance points monitored & properly secured? (2)
3. Are gates clear of any visible obstructions & clear from anything that could block the gates from functioning properly? (1)
4. Are the proper signs affixed to the gates & perimeter fencing? (1)
5. Is perimeter fencing visibility unobstructed? (1)
6. Is the perimeter lighting sufficient? (2)
7. Is designated parking established & signed for Visitors & employees? Is lighting sufficient in the parking areas? (1)
8. Are perimeter doors locked & secured at all times? (1)
9 Are truck drivers entrances into the facility secured when not in use? (1)

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 reports reviewed and monitored by management ? (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 locker room policy posted in the locker rooms? (2) To receive 2 points, the auditor will verify that the poster is displayed in a visible area in all locker rooms for employees to review.
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. Are conflict of interest forms being utilized? (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 a business ethics training been completed this year? Date of meeting? (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).

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 system properly 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 in a secured area? (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 properly labeled? (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. 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.

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.

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

1. Are proper controls in place to secure open trailers not actively being worked? (1) To receive 1 point, the auditor will ensure that all trailers are choked when not in use.
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. Are there controls in place to control 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. Is there an off site warehouse? Are proper security measures being taken? (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.

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 using proper 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. Are fire extinguishers properly charged and inspection tags up to date? (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. Are emergency back up lights properly operating? 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.
8. Does the site have an updated emergency evacuation plan posted for employees? (2) To receive 2 points, the auditor will inspect the site to ensure a current evacuation poster is displayed.
9. 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.
10. 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, 80-90% Meets Expectations, Below 79% Unacceptable/High Risk
Management Signature
Auditor Signature

Security/Operations Analysis Review (SOAR) - duplicate

Go digital today!

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Outside Perimeter

Building Security

Loss Prevention & Human Resources

CCTV System

Alarms

Operations

Accounting

RX

Shipping / Receiving & Warehouse

Safety

Audit Recap & Acknowledgment

Related checklists

Security/Operations Analysis Review (SOAR) - duplicate

Free Security/Operations Analysis Review (SOAR) - duplicate Checklist

Go digital today!

Convert your paper checklists into digital forms

Outside Perimeter

Building Security

Loss Prevention & Human Resources

CCTV System

Alarms

Operations

Accounting

RX

Shipping / Receiving & Warehouse

Safety

Audit Recap & Acknowledgment

Related checklists