Warehouse Audits

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37

Wa r e h o u s e aud i t s

Introduction
This section provides audit checklists for a warehouse and its operations.
These lists are not exhaustive and can be added to by the user to mirror their
own operations.
Audits should be undertaken by an independent person either from within
the company or an outside consultant.
The purpose of the audit should be explained to the staff and a timescale
agreed.
Results need to be shared with all the staff and staff need to take ownership
of the results and the improvements necessary.
The audits which are concerned with the internal processes are based on
what the authors see as best practice in a warehouse.
These audit forms can be downloaded from
http://www.appriseconsulting.co.uk/logisticstools Password = apprise1234

38

Warehouse Audit

Warehouse Audit
Carried out by:

Location:

Date:
Item
External
Comprehensive signage for delivery
drivers in multiple languages
Comprehensive signage for visitors
Separate routes for trucks and
pedestrians
Staff cars parked away from
warehouse exits
Is there disabled access into the
building
Perimeter fencing in good order
Security gates/barriers in good
working order
External ground in good condition
Exterior lighting is sufficient and in
good order
LPG Gas and diesel for MHE kept in
suitably safe and secure area
Separate area for storage of waste
packaging, away from the main
building
Are broken pallets and defective
equipment stored safely and away
from the main building
Vehicle speeds are controlled
Is there sufficient space for goods
vehicle parking
Sufficient turning space for all types
of vehicles

No

Poor Good Excellent

N/a

Comments

Warehouse Audit

39

Warehouse Audit
Carried out by:

Location:

Date:
Item
Internal Page 1
Personnel Security checks on entry
and exit
All exits are secure
Visitors and attendance books
available for inspection and
accurate
Visitors are given safety briefing/
instructions
Visitors are escorted at all times
Is there disabled access into the
warehouse
Intruder alarm systems installed and
inspected regularly
Stock adequately protected from
theft and pilferage
Is the building, including the roof,
wind and watertight
Is the floor surface in good condition
(clean and dry)
Is the floor capable of taking the
weight of the storage medium and
load in terms of point loading
Sufficient doors for volume of traffic
entering and leaving the
warehouse
Warehouse is clean and tidy
Documented cleaning schedule in
place
Adequate pest control in place

No

Poor Good Excellent

N/a

Comments

40

Warehouse Audit

Warehouse Audit
Carried out by:

Location:

Date:
Item
Internal Page 1
Teams given responsibility for
cleanliness of own areas
Exits clearly lit, marked and
obstruction free
Adequate number of personnel exit
doors
Fire escapes, fire doors clearly
marked
Are there sufficient fire doors
Are fire doors obstruction free
Fire protection system in place
eg sprinklers
Fire alarms are tested weekly
Fire alarm drills are carried out
periodically
Fire extinguishers and water hoses
clearly marked
Escape routes clearly marked &
obstruction free
Doors and windows are fitted with
safety glass

No

Poor Good Excellent

N/a

Comments

Warehouse Audit

41

Warehouse Audit
Carried out by:

Location:

Date:
Item
Internal Page 2
Sufficient space between rack ends
and external walls
No smoking signs clearly visible
Safety equipment regularly inspected,
checked and maintained
First aid boxes provided and fully
stocked
Eye wash facilities available
Named and suitably trained 1st Aiders
At least one 1st aider per 50 staff
Lighting is sufficient in each section
Sufficient natural light available
Eco lighting used
Lights are switched off when area
not in use
Clerestory windows & roof lights
cleaned regularly
Is there sufficient emergency
lighting provided in areas where
staff are at risk
Is the air quality acceptable
Is there an audible alarm to detect
unsafe areas with poor ventilation
Is the noise at an acceptable level
Is the temperature conducive to
working
Are there sufficient, visible
thermometers

No

Poor Good Excellent

N/a

Comments

42

Warehouse Audit

Warehouse Audit
Carried out by:

Location:

Date:
Item
Internal Page 2
Are battery charging areas marked
adequately and clear of
obstruction
Trucks recharged in a well-ventilated
and risk free area
Is there suitable safety information
signage at the battery charge area
Are tools and packing materials
stored in their designated areas
Racking condition is checked
regularly and reported
Racking is independently inspected
regularly
Are there any broken or collapsing
pallets in the racking
Are there any overhanging pallets in
the racks
Weight capacity visible on the end of
the racks
Waste receptacles at the end of
each aisle
Are racking legs protected

No

Poor Good Excellent

N/a

Comments

Warehouse Audit

43

Warehouse Audit
Carried out by:

Location:

Date:
Item
Internal Page 3
Weight capacity is visible on the end
of the racks
Waste receptacles at the end of
each aisle
Are racking legs protected
Aisles are sufficiently wide for MHE
Aisles are obstruction free
Are there handrails and guards on
stairways
Are office areas, canteens and rest
areas clean and tidy
Washing facilities available for all
staff
Offices well lit, adequately furnished
and well spaced
Drinking water available and
signposted
Suitable areas provided for food
consumption
Accommodation for work clothing
made available
Is every workstation arranged in a
suitable manner for staff to work at
Is 5S (see p 46) utilized within the
warehouse
Are sufficient security measures in
place for high value items
Are sufficient safety measures in
place for hazardous items
All electrical items tested (UK PAT test)

No

Poor

Good Excellent N/a

Comments

44

Warehouse Audit

Warehouse Audit
Carried out by:

Location:

Date:
Item
Systems and equipment
Warehouse IT Systems
Is there a Warehouse Management
System in place
Is the system adequate for the
current operation
Are data backups taken daily and
stored off-site
Are Display Equipment Regulations
adhered to
Mechanical Handling Equipment
Staff have correct licence for type of
truck operated
Responsible staff trained to operate
MHE
Record of safety training kept up to
date
MHE is appropriate for the tasks
MHE is serviced regularly
A service chart is visible for all MHE
Service and repair records are kept
up to date
Pre-operational daily, weekly and
monthly checks are carried out on
the equipment and recorded
Inspections carried out on lifting
equipment every 6 months
All defects reported to the employer
immediately
Safe working load limits clearly marked
Audible signals used when trucks
reversing and turning corners

No

Poor Good Excellent

N/a

Comments

Warehouse Audit

45

Warehouse Audit
Carried out by:

Location:

Date:
Item

No

Poor Good Excellent

N/a

Comments

N/a

Comments

Mechanical Handling Equipment
Do forklifts travel at safe speeds
Is equipment parked in designated
areas when not in use, keys
removed and forks lowered
Contingency Planning
Documented Contingency Plan in
place for:
Equipment downtime
System downtime
Labour issues
Supplier issues
Other emergencies
List of emergency contact numbers
held and updated

Warehouse Audit
Carried out by:

Location:

Date:
Item
Inbound operation
Inbound processes manual available
Vehicle booking in system utilised
Scheduling of vehicle arrivals
Pre-notification of goods to be
received
Vehicle immobilised during unloading
Delivery drivers given instructions on
what to do whilst on site

No

Poor Good Excellent

46

Warehouse Audit

Warehouse Audit
Carried out by:

Location:

Date:
Item
Inbound operation
Drivers’ instructions in multiple
languages
Instructions for inbound goods
handling provided
Is the dock area clear of stored
materials and obstructions
Sufficient stock of empty pallets
available
Sufficient space for empty pallet
storage
Sufficient space to lay out goods for
checking
Recording of number of pallets
received
Pallet exchange system in place
Product quantity and condition check
Log of supplier non-conformance
kept eg incorrect paperwork,
quantities, products, condition of
goods, condition of packaging,
TiHi met, pallet overhang.
Sufficient handling equipment
provided
Recording of unloading times
(Dock to stock time)
Quarantine area for non-compliance
Quality control area provided
All non-conforming stock dealt with
quickly
Are returned items dealt with
immediately

No

Poor Good Excellent

N/a

Comments

Warehouse Audit

47

Warehouse Audit
Carried out by:

Location:

Date:
Item
Put-away and storage
System/management directed
put-away
FIFO stock rotation is followed
correctly
Best before date stock is managed
ABC analysis (see page 79) used for
product location
Location IDs are marked clearly
Accurate recording of stock location
Task-interleaving/ dual cycling
undertaken – One pallet in,
one pallet out)
Is slotting used effectively
(see page 82)
Random location system used
Stock transferred between locations
based on ABC analysis
Is the cube utilization of locations
efficient
Is location utilization between 80%
and 90%
Is space usage monitored and action
taken to minimize wasted or
excess space
Are part pallets consolidated where
feasible

No

Poor Good Excellent

N/a

Comments

48

Warehouse Audit

Warehouse Audit
Carried out by:

Location:

Date:
Item
Put-away and storage
Product tracking in place
Are damaged items promptly
identified and dealt with
appropriately
Items do not overhang pallets
Stock control
FIFO rotation is adhered to
Are items stored in the correct
location
Are high value goods stored securely
Are hazardous items stored under
the correct conditions
Are non-moving items regularly
reviewed eg FISH (first in still here)
Perpetual inventory counting takes
place
Stock counting accuracy is measured
Stock counts use the ‘blind’ count
method (quantity not revealed to
counter)
Errors are investigated thoroughly

No

Poor Good Excellent

N/a

Comments

Warehouse Audit

49

Warehouse Audit
Carried out by:

Location:

Date:
Item
Picking
Forward pick areas are close to
despatch
Pick locations are replenished
efficiently
Replenishment does not take place
during picking
Sufficient stock held in each location
for each shift
Items that sell together are located
next to each other
Very similar items are separated
Fast moving items are in the most
accessible locations
Stock is arranged with consideration
to product size and weight
Fast moving items are on middle
shelves
The pick list provides an efficient pick
path
Heavier items are picked first
Pick instructions are clear and
concise
Sufficient scanners/voice units
available for the team
Pyramid picking is evident
Pick accuracy is measured and
monitored

No

Poor Good Excellent

N/a

Comments

50

Warehouse Audit

Warehouse Audit
Carried out by:

Location:

Date:
Item
Despatch
Departure times are planned
Sufficient space to lay out
despatches
Products are packed securely and
safely
Load optimization is apparent
Products are packed to minimise
transport costs
Outbound pallets are recorded

No

Poor Good Excellent

N/a

Comments

Warehouse Audit

51

Warehouse Audit
Carried out by:

Location:

Date:
Item
Other areas
Staff and housekeeping
Does daily and weekly resource
planning take place
Are daily work tasks balanced and
prioritized
Are tasks checked from an
ergonomic point of view
Are resources maximized to avoid
idle time
Are activities timed and compared
against target
Are activities reviewed regularly
Are staff trained regularly
Are staff encouraged to suggest
improvements
Are staff uniformed and smart
Are staff issued with PPE
Is PPE adequate for the tasks
required
Warehouse – Performance
Management
Is performance measured
Is there a suite of relevant
performance measures
Are performance measures shared
with staff and visible in the
warehouse
Is staff productivity measured
Is productivity data shared with staff

No

Poor Good Excellent

N/a

Comments

52

Warehouse Audit

Warehouse Audit
Carried out by:

Location:

Date:
Item
Legislative & Health and Safety
requirements
Warehouse Safety Policy Document
available for inspection/displayed
Risk assessments carried out
Risk assessments available for
inspection
Near miss record book kept
Accident book kept
Accident book kept up to date
Manual handling assessment
available for inspection
COSHH assessment carried out
Equipment statutory Inspection
Certificates available for inspection
Waste disposal arrangements in
place
*Following notices displayed:
Employer’s Liability and Public
Liability Certificate
Health and Safety Information for
Employee Regulations 1999
Health and Safety Policy
COSHH information signage
Electric shock signage

No

Poor Good Excellent

N/a

Comments

Warehouse Audit

53

Warehouse Audit
Carried out by:

Location:

Date:
Item

No

Poor Good Excellent

*Staff awareness of following
regulations:
Aware of HSE requirements (UK)
Aware of OSHA requirements (USA)
Health and Safety (Signs & Signals)
Regs 1996
Health & Safety (First Aid)
Regulations 1981
Provision and Use at Work
Equipment Regulations (1998)
Lifting Operations and Lifting
Equipment Regulations 1998
Display Screen Equipment
Regulations (1992)
Regulatory Reform (Fire Safety)
Order 2005
The Pollution Prevention and Control
Act 1999
The Environmental Protection Act
1990
The Hazardous Waste Regulations
Producer Responsibility Obligations
(Packaging Waste) Regulations
Waste Electrical & Electronic
Equipment Regulations 2007
* Note that different countries will have different requirements and legislation

N/a

Comments

54

Warehouse Audit

Suggested reading to ensure safe and legal practices
UK HSE – http://www.hse.gov.uk
UK COMAH – http://www.hse.gov.uk/comah/index.htm
UK SEMA – http://www.sema.org.uk/
USA OSHA – www.osha.gov/
Europe EPA – http://www.epa.gov/lawsregs/regulations/
Risk – www.ioshroutefinder.co.uk

References
United Kingdom Warehousing Association www.ukwa.org.uk
Ackerman K, (2003) Auditing Warehouse Performance Ackerman Publica­
tions Ohio

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