Here is one sample WAREHOUSE CHECKLIST:
Warehouse Audit Checklist
Doc,no. VJB-WH 01
Rev.3.1 dt21-07-14
ISO 9001
Clause no.
1. 4.2.1 Is a list of Documents available 2
2. 4.2.2/4.2.3 Are procedures or work instructions available for various functions?
Are procedures / WI readily accessible? 2
3. 4.2.3 Are Quality Manual/ procedures / WI controlled via Document Control?
Are all documents approved by specified top management? 4
4. 4.2.3f Are essential external Documents available & accessible to all concerned
Availability of approved regulatory documents and standards in respect of conditions for storage, handling, 4
Management responsibility
5. 5.3 Is Quality policy documented 4
6. 5.4.1 Are Measurable Quality objectives established at various functions? 4
7. 5.6.1/5.6.2
Are MRMs conducted as scheduled?
Are MRMs chaired by Top Management
Does the agenda cover all specified topics?
Are follow-up actions on previous MRM completed?
Are performance indicators and customer complaints Discussed?
Are resource requirements and improvement steps discussed? 6
Internal Audits 6
8. 8.2.2 Are Internal Audits planned & conducted as planned?
Are internal audits carried out by trained auditors?
Are all NCs closed
Training: 4
9. 6.2.2 Do you have records of education, training,skills and experience of your personnel?
Do you have an annual training plan for employees?
6.2.2 cont..... Are concerned personnel trained on:
ISO 9001awareness
Internal audits
5S Systems
On the job training
Fire Evacuation
Forklifts/Stackers
Quality Control
10. 7.4.1 How do you ensure that the goods received/purchased meet quality standards/specifications?
6
11. 7.6 Do you have a quality plan which specifies acceptance criteria for each of your service function/operation?
How do you ensure that goods despatched confirm to all customer requirements?
Have you assigned this responsibility to a designated person? 6
12. 8.2.4 Show the list of equipment and Measuring instruments used in your work
Do you have a calibration system in place for your measuring and testing equipment?Show records in detail 4
Storage
13. 7.5.1 Are goods stored so as to promote FIFO? 4
14. 7.5.3
How are products stored to prevent mix-up of batch nos
How are goods produced to special reqirements/customers stored? 4
15. 7.5.1 How are non-moving products identified and stored?
How are slow moving goods reviewed? 4
16. 8.3 Do you have a segregated enclosure for rejected/unusable product?
How are products which are expired or fail inspection stored/ handled?
How is access to products/areas restricted in the warehouse? 4
Equipment Maintenance
17. 6.3 Show the list of equipment used in your work
Do you have a preventive maintenance plan for your equipment?
Show records of equipment maintenance 4
18. 6.4 Condition of warehouse premises (lighting, heating/ventilation), availability of restricted areas
Do you have adequate pest control measures in place? 4
Labelling:
19. 7.5.3 Batch no& dt. of Manufacture
Expiry dt./ Shelf Life
Storage requirements
Customer name, Order Number
address 4
Packaging & delivery
20. 7.5.5 Are packaging specifications available?
Are packaging material inspected before use?
Are all packaging methods tested and approved? 4
21. 8.2.4
8.5.3 Is it possible to:
a)Despatch wrong product to a customer?
b)despatch to the same order twice?
How do you prevent the same?
Have you assigned responsibility to approve all packaging and delivery to a designated person. 4
22. 8.4 How is delivery schedule monitored?
What is the delivery % for the previous months? show us calculation method 4
23. 8.5.2 How do you correct defects and deficiencies in your services/ processes?
What is your corrective action procedure on customer complaints? 4
24. 8.5.3 What are your preventive actions in place against potential failures in your processes ?
How do you prevent same order delivered twice? 4
Numbers mentioned at end of each question are the Maximum Points scoreable.
May I suggest that many aspects of this checklist are not relevant to an internal audit of a warehouse...?
Those questions in Sections 5, 6, and some points in 4 (some like ISO awareness), are not relevant to this scope. I see no mention of objectives for the warehouse, for example. Shouldn't they have something like inventory accuracy? Maybe inventory turns? 2 key things for a warehouse, yet neither are mentioned!
Furthermore, there is little/no reference to internal requirements, which an internal auditor should include in their checklist. It's not clear, for example, if they NEED to have an
annual training plan (ISO 9001 doesn't require it) and since there's no reference to a management system, it becomes simply an auditor's expectation - not something which can be audited.
Very simply, the BEST internal audit checklist can be created from understanding the organizations own planned arrangements for their warehouse and create a set of things you need to know to see if the processes are working effectively - you can figure out ISO 9001 compliance after!