Documents Required for Remote FSR Audits
There are a number of documents relevant to remote TAPA FSR audits.
Remote Audit Plan
The auditor is required to provide the company with a remote audit plan. The remote audit plan can be general and outlines what will be audited during which time during the audit day. An example remote audit plan can be found on this site.
Self-Assessment Report
The company is required to provide the auditor with a comprehensive fully documented self-assessment / internal audit report for the facility. Comments will explain what was inspected during the self-assessment and what will be shown to the auditor during the audit to prove compliance. If procedures, policies, forms, or appointment letters are required by the FSR, the name of the procedure, policy, form, or appointment letter will be identified and include its location. This information is recorded in the comments section of the self-assessment report.
RVA Worksheet
A Remote Virtual Audit (RVA) Feasibility Assessment Worksheet documents the agreement of the company and the audit body to the TAPA EMEA Standard RVA Procedure. One important feature of the agreement is that the company confirms that they have tested their remote communications system for effectiveness before the audit. Another important aspect of the agreed procedure is data protection and fact that no parts of the remote audit will be recorded. The TAPA EMEA Standard RVA Procedure is online and available for download from the TAPA EMEA website.
Plans and Schematics
The last document collection necessary for a remote audit is the Pre-Audit Document Request. The Pre-Audit Document Request lists a number of documents that need to be provided to the auditor prior to the audit. The auditor will review the documents and plan the audit according to the documents submitted by the company.
These documents must be provided to the auditor prior to the audit:
- A fully documented self-assessment audit report (mentioned above).
- A copy of the TAPA 2020 FSR Training Certificate for the responsible person
- Completed and signed RVA Feasibility Assessment Worksheet.
- Documented Risk Assessment including all risks mentioned in 7.1.5 and 7.6.5
- Documented Waiver Request, if any (Waivers are mentioned on certificate).
- Emergency Contacts list dated within last 6 months.
- A Highly detailed Internal drawing / scheme / schematic diagram / illustration showing:
- The IT room.
- CCTV monitoring room.
- Location of all warehouse dock doors – including side ramp doors.
- Location of all internal doors between the offices / administration and the warehouse. (Entries from the unsecured office areas to the secure warehouse storage areas).
- Location of the High value cage – show doors, alarm, cameras inside and outside.
- Location of office areas and hallways.
- Location of the Main Visitor entrance – doors, CCTV cameras.
- Location of the Visitor Registration place – doors, CCTV cameras.
- Employee entrance(s) to the warehouse – doors, CCTV cameras.
- Employee entrance(s) to office areas – doors, CCTV cameras.
- Location of building alarm system to turn on and off alarm – CCTV cameras.
- Visitor entrance to the warehouse – doors, CCTV cameras.
- Driver reception (Dispatch Office) – doors, CCTV cameras.
- Internal driver waiting areas and toilets – doors, CCTV cameras.
- Location of the motion detectors in the building and warehouse. (optional)
- Location and angle of internal CCTV cameras inside the warehouse.
- A Highly detailed External drawing / scheme / schematic diagram / illustration showing:
- Location of Site / Property boundaries
- Location of External fences around the property – If there is an opening – tell if it is a gate or something.
- Location of Gates for trucks, cars, and people – Draw them in the image / drawing.
- Location of Guard posts – night watchman.
- Location of outside intrusion detectors.
- Location and angle of view of outside CCTV cameras.
- Location of the Backup generator (if any).
- Location of the Parking area for employees and visitors.
- Location of outside lights for building and parking area.