Read me
- Workbook
- Six linked worksheets
- Companion file
- Printable PDF floor sheets
- Use
- Plan a scoped warehouse review, record evidence and carry findings through to action and verification.
- Scope limits
- The 28 starter checks need the requirements, goods, activities and operating conditions of your review. They do not provide a complete legal or sector-specific audit, certification or an overall pass score.
Examples are fictional and separate from blank working records.
Use the pack
- Start with the decision
- Record the question this review must answer, the areas to examine and who will use the findings. You can plan evidence before making observations.
- Establish the criteria
- Name the applicable procedure, agreement or other requirement and its version. Assign it to the relevant check. Write 'Not yet established' where it is unknown.
- Keep the sample visible
- Record the goods, locations, shifts, period and transactions examined. Keep exclusions and evidence limits with the conclusion.
- Use evidence references
- Enter short observations and record references. Use roles and site aliases where sufficient; avoid copying customer details or sensitive records into the pack.
- Leave uncertainty open
- A blank status means Not reviewed. Record missing criteria, conflicting accounts and unanswered questions. Label a possible cause as a hypothesis.
- Assign the next step
- Give each concern an action owner, target date and verification plan. Keep the person doing the work separate from anyone who must approve resources or make a decision.
- Separate completion from effectiveness
- Record what was completed, then what the follow-up check showed. Work completed without effectiveness evidence remains awaiting verification.
- Adapt the working record
- Save a copy before entering your review. Keep the starter check IDs and add local checks where needed. The examples illustrate recording; they are not findings about your operation.
Status meanings
| Status | Meaning |
|---|---|
| Not reviewed | No assessment recorded. Plan the evidence still needed. |
| Evidence supports the stated check | Your evidence supports the check within the stated scope. Name the criterion and supporting reference; missing support remains a gap. |
| Concern found | Record the observation, requirement and evidence, then assign follow-up. Do not assume the cause is established. |
| Inconclusive or conflicting evidence | The available information does not settle the question. Preserve the uncertainty and request the next evidence. |
| Not applicable — reason recorded | Explain why the check falls outside this review. A missing reason remains an unresolved scope gap. |
Working fields
- Peach cells
- Editable fields. Cream cells contain starter prompts, definitions or calculated context. Warnings use darker orange text. Save a review copy before entering evidence.
- Check question
- Select a check question to open its full starter prompts. Each prompt has a return link to the register.
- Scope choice
- Selected, Not selected or blank. Blank means the review scope has not yet been assigned. Keep excluded entries rather than deleting them.
- Criterion reference
- Enter the requirement or reference ID and version for this check. No requirement is assigned to all checks automatically.
- Blank status
- Not reviewed. It never counts as evidence supporting a check.
- Finding and action IDs
- Use the same stable IDs across the finding, action and verification tables. One finding may have several actions. Keep a single verification row per action; retain past verification history in evidence references.
- Verification result
- Not yet checked, Effective, Not effective or Inconclusive. Work completed is recorded separately. A result needs a reviewer, date and evidence reference.
- Extra checks and rows
- Use the blank custom rows or extend the relevant Excel table. Preserve the starter IDs. Give new checks and actions unique IDs. When extending a table, retain its validation and calculated columns.
Scope and criteria
Enter the decision and review boundary before assigning checks.
| Field | Prompt | Your review |
|---|---|---|
| Decision or question | What must this review help someone decide? | |
| Site or area alias | Which operation or area is in scope? | |
| Review date or period | Which dates and comparison points apply? | |
| Operating conditions | Which shifts, workloads or relevant changes will be examined? | |
| Coverage and sample | Record the selected checks, goods, locations and transactions. | |
| Exclusions and limits | What will not be examined, and why? | |
| Criteria and versions | Name each requirement, its version and the checks it applies to. Mark unknowns Not yet established. | |
| Reviewer and evidence providers | Who examines the work, who supplies evidence and what competence or independence is required? | |
| Action responsibilities | Who can investigate, correct the record or change the process? | |
| Decision owner | Who can approve the required decision, resources or change? |
Criteria register
Assign each reference ID explicitly in the check register. Unknown criteria remain Not yet established.
8 blank working rows in the workbook. 1 shown here.
| Reference ID | Requirement and version | Assigned check IDs | Responsible owner | Evidence requested from | Requested date | Needed by | Request state | Evidence reference / outstanding question |
|---|---|---|---|---|---|---|---|---|
Exclusions and evidence requests
8 blank working rows in the workbook. 1 shown here.
| Check / area ID | Excluded coverage or missing evidence | Reason / question to resolve | Responsible owner | Target date | State |
|---|---|---|---|---|---|
Checklist and evidence
Select a scope choice. Open a question for its starter prompts. Add the actual criterion and evidence in the peach cells.
Use roles and short record references. Blank status means Not reviewed. Scope limits are recorded on Scope and criteria.
8 blank working rows in the workbook. 1 shown here.
Starter prompts
Use the prompts with your actual requirements. They are not a prescribed sampling rule or a universal audit procedure.
| Check ID | Check | Starter prompts | Navigation |
|---|---|---|---|
| INV01 | Count versus record | Check against Establish the item, unit, location, count boundary and comparison time before interpreting a difference. Evidence to seek Compare count notes with stock records and movements around the count; retain the sample, timing and any recount. Possible next step Resolve timing or unit uncertainty, record the unexplained variance and assign investigation before treating an adjustment as closure. | Back to register |
| INV02 | Item, location and unit identity | Check against Check against the operation's agreed item, location and unit definitions, including relevant pack-size changes. Evidence to seek Trace selected labels, item records, locations and transaction entries; ask workers how similar-looking products or changed packs are distinguished. Possible next step Record the specific ambiguity and affected transactions, then identify who can correct the definition and check the resulting records. | Back to register |
| INV03 | Discrepancies and recurrence | Check against Establish how discrepancies should be reported, investigated and closed, separately from correcting the balance. Evidence to seek Follow selected recurring differences through adjustments, movement records, worker accounts and earlier actions; retain competing explanations and gaps. Possible next step Assign the next evidence request and an investigation owner. Identify what a later check would need to show before calling the problem resolved. | Back to register |
| FLOW01 | Receipt identification and exceptions | Check against Identify the receipt, acceptance and exception requirements for the goods and transaction being reviewed. Evidence to seek Compare expected shipment details, receipt records and recorded damage or shortages; ask who decided the disposition and informed the next team. Possible next step Record any missing decision or broken record link, and assign the person responsible for resolving that receipt exception. | Back to register |
| FLOW02 | Putaway and staging handoffs | Check against Confirm the site's putaway, staging and exception arrangements for the goods, including who owns each handoff. Evidence to seek Trace selected receipts from staging to storage and record updates; observe delays, unclear ownership or goods awaiting a decision. Possible next step Separate an unrecorded movement from a physical delay, establish the dependency and assign the next responsible action. | Back to register |
| FLOW03 | Picking and dispatch verification | Check against Establish the operation's order, verification and release requirements, including authority to resolve a mismatch. Evidence to seek Compare selected pick or release instructions, item quantities, shipment records and handover details; examine how changes or shortages were communicated. Possible next step Identify the failed or uncertain handoff and its owner. Keep checking this shipment distinct from reviewing recurring process failures. | Back to register |
| FLOW04 | Arrival timing and resource coordination | Check against Establish the relevant service commitments, operating constraints and responsibilities for communicating or changing the plan. Evidence to seek Compare planned and actual timing with workload, staffing, available space and exception records across selected operating periods. Possible next step Investigate which constraint affected service before choosing an intervention; assign any unresolved coordination or resource decision to its owner. | Back to register |
| SPACE01 | Usable space and congestion | Check against Confirm the intended use and relevant constraints of each area for the operating conditions being examined. Evidence to seek Observe selected busy and quieter periods; compare queues, space use, workload and available resources with the plan and worker explanations. Possible next step Distinguish a recurring constraint from an isolated event, and identify the evidence needed before changing capacity or layout. | Back to register |
| SPACE02 | Slotting, travel and replenishment | Check against Establish the relevant product, handling, access and workload requirements rather than assuming one arrangement suits every item. Evidence to seek Follow selected pick and replenishment paths; compare item activity, travel, repeated interruptions and worker accounts with the placement rationale. Possible next step Record the constraint and competing explanations, then identify who should assess a proposed change and its effects. | Back to register |
| SPACE03 | Housekeeping and recurring obstructions | Check against Identify the site's relevant housekeeping, access and storage requirements and the responsibility for acting on exceptions. Evidence to seek Compare current observations with earlier reports, assigned work and worker accounts of why material accumulates. Possible next step Follow the site's response arrangements for current concerns, then assign investigation of recurring causes and a check that the action worked. | Back to register |
| EQUIP01 | Inspection and maintenance coverage | Check against Confirm the applicable equipment instructions, inspection requirements and competence needed with the responsible equipment owner. Evidence to seek Match selected equipment to its identity, inspection and maintenance records, due work and the people responsible. Possible next step Refer missing coverage or uncertain criteria to the appropriate owner or competent reviewer; do not fill the gap with a generic checklist. | Back to register |
| EQUIP02 | Defect reports and operating restrictions | Check against Establish the defect-reporting and response arrangements, including who is authorised to assess the equipment. Evidence to seek Trace selected defect reports to decisions, communications and current operating status; ask affected workers what they were told. Possible next step Escalate missing or conflicting status information through the site's responsible owner. Keep any technical assessment with a person competent for that equipment. | Back to register |
| EQUIP03 | Repair and return to use | Check against Confirm the applicable acceptance requirements and who can authorise the change in operating status. Evidence to seek Follow selected defects through repair records, assessment or checks required for acceptance, remaining restrictions and communication to users. Possible next step Keep missing acceptance evidence visible and refer the decision to the authorised owner; a completed work order alone may not answer the readiness question. | Back to register |
| PEOPLE01 | Site hazards and controls | Check against Establish the applicable hazard assessments, requirements and control arrangements with the responsible safety and operating owners. Evidence to seek Compare recorded controls with observations, worker accounts, reported concerns and changes in goods, equipment or activity. Possible next step Route an immediate concern through the site's response process. Assign unresolved control questions to the competent owner and record the evidence still needed. | Back to register |
| PEOPLE02 | Competence and handover | Check against Confirm the task's competence requirements and the site's arrangements for handover, exceptions and escalation. Evidence to seek Compare preparation records with explanations and observed work; follow a selected unresolved issue across a shift or team boundary. Possible next step Identify whether the gap concerns preparation, instructions, authority or communication, then assign support and a suitable follow-up check. | Back to register |
| PEOPLE03 | Workload, worker accounts and practical constraints | Check against Establish the expected work, available resources and reporting responsibilities for the shifts and tasks reviewed. Evidence to seek Combine worker accounts with workload, interruption and exception records; examine whether instructions or performance measures pull people in different directions. Possible next step Preserve differing accounts, test the explanation against records and observations, and escalate resource or authority constraints to the person who can change them. | Back to register |
| GOODS01 | Access, custody and loss controls | Check against Identify the applicable custody, access and loss-reporting controls for the goods, ownership arrangement and review purpose. Evidence to seek Trace selected goods through movement and handover records; compare any access records, loss reports and assigned investigations. Possible next step Separate a missing record from an established loss or wrongdoing, and assign unresolved custody or security questions to the appropriate owner. | Back to register |
| GOODS02 | Product condition and traceability | Check against Confirm the product, customer and applicable assurance requirements, including which identifiers and condition records matter. Evidence to seek Trace selected goods through receipt, storage and release records, including condition exceptions, holds and disposition decisions where relevant. Possible next step Identify the break in the evidence chain and the responsible product or quality owner; preserve uncertainty about condition or acceptability until assessed. | Back to register |
| GOODS03 | Controlled goods and customs requirements | Check against Name the actual goods, activities, jurisdiction and programme, then establish the applicable criteria with the responsible specialist. Evidence to seek Compare selected movement, status and exception records with those criteria and any required permissions or declarations. Possible next step Record the precise unanswered requirement and assign its resolution to the appropriate compliance owner before drawing an assurance conclusion. | Back to register |
| GOODS04 | Storage conditions and environmental obligations | Check against Establish the goods, site and activity requirements and identify who determines acceptable conditions and responses. Evidence to seek Review applicable monitoring records, exceptions, decisions and follow-up alongside observations of the relevant area or activity. Possible next step Assign missing criteria, unexplained exceptions or unresolved actions to the responsible product, facilities or environmental owner; distinguish operating concerns from formal assurance findings. | Back to register |
| CONTROL01 | Adjustment and write-off authority | Check against Establish the organisation's applicable authorisation and supporting-document requirements for the transaction being reviewed. Evidence to seek Compare adjustment entries with reasons, investigation records, approvals and relevant count or movement evidence; retain missing or conflicting support. Possible next step Refer unsupported entries or unclear authority to the inventory and finance owners. Record the control question without treating a variance as proof of fraud. | Back to register |
| CONTROL02 | Custody and reconciliation evidence | Check against Agree the reconciliation's purpose, period, records and responsibilities with the relevant inventory and finance owners. Evidence to seek Compare selected stock and transaction records, counts and any applicable external-custody evidence; record unresolved differences and the assertions they affect. Possible next step Assign each gap to its evidence owner and identify any further financial-audit work required; a matching quantity alone does not answer every financial question. | Back to register |
| CONTROL03 | Contracted service and qualification evidence | Check against Identify the actual service commitments, qualification requirements, review period and people responsible for each decision. Evidence to seek Compare selected service records and exceptions with current qualification or assurance evidence relevant to the required scope. Possible next step Keep performance, qualification and renewal questions separate. Request missing evidence and assign the decision rather than treating one favourable document as settling the whole relationship. | Back to register |
| CONTROL04 | Charged activity, units and rates | Check against Identify the relevant contract and rate version, charging basis, period and authority for resolving a dispute. Evidence to seek Compare invoice lines with available movement, storage or service records and documented exceptions; retain gaps or inconsistent interpretations. Possible next step Record the disputed point and supporting evidence, then refer it to the commercial or finance decision owner without assuming entitlement or savings. | Back to register |
| GOV01 | Purpose, criteria and responsibilities | Check against Record the purpose, scope, criteria, intended users and any required assessor competence or independence. Evidence to seek Compare the review brief with responsibilities understood by the sponsor, evidence providers, assessor and action owners; identify missing authority or conflicting expectations. Possible next step Resolve the commissioning gap with the relevant decision maker before treating a generic checklist as the agreed scope. | Back to register |
| GOV02 | Evidence coverage and limitations | Check against Establish the review's coverage, period and evidence needs against its actual purpose and criteria. Evidence to seek Record selected locations, goods, shifts and transactions, together with missing records, conflicting accounts and reasons for exclusions. Possible next step Limit each conclusion to its support, identify what additional evidence would change the decision and name who should obtain or assess it. | Back to register |
| GOV03 | Action ownership, resources and escalation | Check against Agree the action owner, decision owner, required resources, target date and escalation route for unresolved dependencies. Evidence to seek Compare recorded actions with commitments, available authority and the decisions still outstanding; distinguish doing the work from approving resources. Possible next step Make the blocked decision explicit and take it to the responsible person rather than repeatedly assigning work the team cannot complete. | Back to register |
| GOV04 | Verification and recurring findings | Check against Agree what effectiveness means for the finding, who will check it and under which relevant operating conditions. Evidence to seek Compare reported completion with follow-up observations, records and recurring exceptions; retain limitations and any unresolved part of the finding. Possible next step Record further work where effectiveness remains uncertain. Distinguish verified operating results from wider financial benefits that have not been demonstrated. | Back to register |
Findings and actions
Link records with stable IDs. A finding may need correction, investigation, corrective action and verification as separate actions.
For an immediate concern use the site response process. Recording it here must not delay action.
12 blank template rows in the workbook. 3 shown here.
| Finding ID | Linked check IDs / custom area | Observation / unresolved question | Applicable criterion / version | Supporting evidence / sample | Consequence / decision affected | Evidence limits / conflicting accounts | Possible cause (hypothesis) | Urgency assigned by reviewer |
|---|---|---|---|---|---|---|---|---|
| F001 | ||||||||
| F002 | ||||||||
| F003 |
Action register
Work completed does not mean effective. Add the verification plan and evidence in the separate register below.
20 blank template rows in the workbook. 3 shown here.
| Action ID | Finding ID | Action type | Next action / work required | Responsible owner | Target date | Work state | Decision / resources needed | Decision owner | Completion evidence | Completed date | Follow-up gaps |
|---|---|---|---|---|---|---|---|---|---|---|---|
| A001 | |||||||||||
| A002 | |||||||||||
| A003 |
Effectiveness verification
Use one row per action ID. Record the method before checking, then retain reviewer, date, result and evidence. Keep earlier attempts in the evidence reference.
20 blank working rows in the workbook. 1 shown here.
| Action ID | Verification method / sample | Responsible reviewer | Planned check date | Performed date | Result | Verification evidence | Limits / remaining uncertainty | Further action / decision |
|---|---|---|---|---|---|---|---|---|
Custom rows: extend the relevant Excel table and give every finding and action a unique ID. The gap prompts are planning reminders, not an overall audit verdict.
Management review
- Meeting date
- Decision owner / attendees
- Review / scope reference
| Review topic | Prompt | Meeting record / decision |
|---|---|---|
| Decision to make | What decision is requested, and who has authority to make it? | |
| Scope and limits | Which site, period, goods and sample support this brief? What was excluded? | |
| Findings and consequences | What does the evidence establish, against which requirement, and what decision or activity does it affect? | |
| Open evidence and criteria | What remains missing, uncertain or conflicting? What evidence could change the decision? | |
| User-flagged urgent concerns | Record any concern the reviewer has flagged as urgent and its responsible response owner. Do not average it into an overall score. | |
| Options and resources | What options are supported, what resources or approvals are needed, and what remains undecided? | |
| Decision and commitments | Record the decision, rationale, action owners, target dates and any unresolved dependency. | |
| Follow-through | Who checks effectiveness, using what evidence and when? What happens if the concern remains or returns? |
Decisions and follow-through
8 blank working rows in the workbook. 1 shown here.
| Decision / linked finding IDs | Decision and rationale / resources | Responsible owner / target date | Action / verification reference |
|---|---|---|---|
Carry the site, period, sample and uncertainty into any extracted briefing. Do not turn the number of reviewed checks into a safety, compliance or warehouse-health score.
Fictional worked examples
These examples are separate from the blank working records. Unknowns stay explicit; no final diagnosis or decision is invented.
Repeated inventory discrepancy
- Example status
- Fictional worked example — correction and limited verification recorded
- Purpose
- Follow one evidenced stock difference through correction, a process action and verification. Keep older recurrences unresolved.
- Decision or question
- What explains the recurring difference, and what action should follow?
- Site or area alias
- Example bin A01
- Review date or period
- Count comparison: 6 October 2026, 09:00. Follow-up: 9 October 2026, 15:00.
- Operating conditions
- One unit dispatched on 5 October at 16:40. Its stock issue was still pending at the count.
- Coverage and sample
- SKU104, bin A01. Count/recount and transaction trail; follow-up covers 20 dispatches on 7–9 October across three shifts. Checks INV01–03.
- Exclusions and limits
- Older discrepancies remain unexplained. This item and limited follow-up sample do not establish performance across all stock or shifts.
- Criteria and versions
- Fictional procedure INV04 v3: post each stock issue before dispatch. Compare the same item, unit, location and time.
- Reviewer and evidence providers
- Inventory lead traces C104, RC104, S104, P418, D418 and Q418. Warehouse manager verifies the follow-up in V104.
- Action responsibilities
- Inventory lead owns the handover change and pending-issue review, due 6 October 2026, 17:00.
- Decision owner
- Inventory manager authorises posting the one missing issue on 6 October 2026, 11:00.
EX-INV-01: 11 counted; 12 recorded
- Finding ID
- EX-INV-01
- Linked check IDs
- INV01, INV02, INV03
- Issue
- 11 counted; 12 recorded
- Review status
- Concern found
- Criterion / reference
- Fictional site procedure INV04 v3 requires each stock issue to be posted before dispatch.
- Observation
- At 09:00 on 6 October 2026, C104 and independent recount RC104 show 11 each of SKU104 in bin A01. Snapshot S104 shows 12.
- Evidence obtained
- P418 and D418 record one unit leaving on 5 October at 16:40. Q418 shows that issue still pending at the count.
- Evidence still needed
- Investigate the separate older recurrences. This transaction trail does not explain those earlier differences.
- Uncertainty
- The unposted issue explains this one-unit difference. Why it remained pending and the causes of older recurrences are not established.
- Possible cause (hypothesis)
- Evidence confirms one unposted issue. It does not establish fraud or a root cause for all recurring discrepancies.
- Next action
- Post the single missing issue with approval. Give handover a named owner and review pending issues before release. Retain older cases for investigation.
- Action type
- Authorised correction, corrective action and verification
- Responsible owner
- Inventory lead
- Target date
- 6 October 2026, 17:00, for handover ownership and the pending-issue review.
- Urgency
- Inventory manager requires the record correction and control change on 6 October. No wider urgency conclusion is made.
- Work state
- 6 October: manager approves posting at 11:00. Records then show 11. H104 records named handover ownership and pre-release pending-issue review in use by 17:00.
- Verification method
- V104: compare 20 dispatches on 7–9 October across three shifts with INV04 v3. Check issue posting before release and recount the selected bin.
- Verification owner
- Warehouse manager
- Verification date
- 9 October 2026, 15:00
- Verification result
- Effective in the examined sample: all 20 issues posted before release and the selected bin matches. Older recurrences remain unresolved.
- Decision / resources needed
- The manager approves posting the one missing issue. No additional balance adjustment is made, which would double-count the correction.
- Decision owner
- Inventory manager for correction authority; inventory lead for the process action and older-case investigation.
- Management note
- Close this recorded correction and sampled follow-up. Keep older recurrences open. V104 supports the result only for the examined sample.
Warehouse-provider renewal
- Example status
- Fictional worked example — renewal decision remains open
- Purpose
- Bring service, storage and billing evidence to a renewal review. Show a verified credit alongside service and storage questions that remain open.
- Decision or question
- Renew the provider contract, request changes or seek further evidence?
- Site or area alias
- Example provider site
- Review date or period
- Review as at 8 October 2026. Service and billed-activity period: 1–7 October 2026.
- Operating conditions
- Investigate the four late orders. Product acceptability remains unresolved because the 2 October condition record is missing.
- Coverage and sample
- 12 orders, goods affected by the 2 October record gap and one invoice line for 120 pallet-days. Checks FLOW03–04, GOODS02, GOODS04 and CONTROL03–04.
- Exclusions and limits
- No conclusion on all provider qualifications or all shipments. Fictional invoice amounts exclude VAT and other lines.
- Criteria and versions
- SLA12 v2: orders ready for 17:00 dispatch. CS2 v2: customer dry-storage requirement. Signed rate v2: £1.50 per pallet-day from 1 October.
- Reviewer and evidence providers
- Service lead checks order/staging/handover records. Quality lead assesses the record gap. Commercial lead reconciles billing; finance controller checks CN82.
- Action responsibilities
- Service lead: report by 10 October. Quality lead: assessment by 9 October. Commercial lead: credit and contract timetable/options.
- Decision owner
- Logistics director requests the service plan and quality assessment on 8 October before a final renewal decision.
EX-3PL-01: Late dispatches
- Finding ID
- EX-3PL-01
- Linked check IDs
- FLOW03, FLOW04, CONTROL03
- Issue
- Late dispatches
- Review status
- Concern found
- Criterion / reference
- Fictional SLA12 v2 requires the selected orders to be ready for 17:00 dispatch.
- Observation
- Four of 12 selected orders from 1–7 October 2026 were late against the agreed dispatch-readiness commitment.
- Evidence obtained
- Order, staging and handover records for the 12 orders establish the four exceptions against SLA12 v2.
- Evidence still needed
- Service lead to examine staffing, workload, queues and exceptions around the four late orders and propose a supported service plan.
- Uncertainty
- The four exceptions are established within this sample. Their cause and wider service performance remain under investigation.
- Possible cause (hypothesis)
- Not yet established. The observed lateness does not identify a particular operating cause.
- Next action
- Service lead reports the evidence, remaining cause questions and proposed plan to the director by 10 October 2026.
- Action type
- Investigation
- Responsible owner
- Service lead
- Target date
- 10 October 2026
- Urgency
- Director requires the service plan before the final renewal decision.
- Work state
- Open as at 8 October: investigation and service plan due 10 October.
- Verification method
- After agreeing the plan, warehouse manager checks later order/staging/handover records against SLA12 v2. Agree coverage and timing with the plan.
- Verification owner
- Warehouse manager
- Verification date
- To be agreed after the service plan
- Verification result
- Pending — no effectiveness conclusion
- Decision / resources needed
- Director requests a service plan before final renewal. Commercial lead checks the contract timetable and available options.
- Decision owner
- Logistics director
EX-3PL-02: Customer storage concern
- Finding ID
- EX-3PL-02
- Linked check IDs
- GOODS02, GOODS04, CONTROL03
- Issue
- Customer storage concern
- Review status
- Inconclusive or conflicting evidence
- Criterion / reference
- Fictional customer requirement CS2 v2 specifies dry storage for the affected goods.
- Observation
- The 2 October 2026 condition record is missing for the affected goods. The available evidence cannot establish acceptability.
- Evidence obtained
- CS2 v2 and the condition-record review identify the specific 2 October gap.
- Evidence still needed
- Quality lead to assess the affected goods, remaining condition evidence and any action needed under CS2 v2.
- Uncertainty
- Missing evidence does not establish acceptable or unacceptable goods. Product acceptability and any disposition remain for quality assessment.
- Possible cause (hypothesis)
- Not established
- Next action
- Quality lead assesses the affected goods and evidence gap under CS2 v2 and reports to the director by 9 October 2026.
- Action type
- Investigation
- Responsible owner
- Quality lead
- Target date
- 9 October 2026
- Urgency
- Director requires the quality assessment before final renewal. Quality lead determines any response needed for the goods.
- Work state
- Open as at 8 October: quality assessment due 9 October.
- Verification method
- Quality lead defines any required action and evidence of its effectiveness against CS2 v2 after assessing the affected goods.
- Verification owner
- Quality lead; any additional assessor to be identified through the assessment.
- Verification date
- To be agreed after the quality assessment
- Verification result
- Pending — no acceptability or effectiveness conclusion
- Decision / resources needed
- Director requests the quality assessment before final renewal. Keep the condition-record gap and any product decision visible.
- Decision owner
- Logistics director for renewal; quality lead to establish the required product decision and authority.
EX-3PL-03: Disputed charges
- Finding ID
- EX-3PL-03
- Linked check IDs
- CONTROL04
- Issue
- Disputed charges
- Review status
- Concern found
- Criterion / reference
- Signed fictional rate v2, effective 1 October 2026: £1.50 per pallet-day for the same unit and billed period.
- Observation
- Invoice bills 120 pallet-days at £2 = £240. Activity records confirm 120. Rate v2 gives 120 × £1.50 = £180, a £60 difference.
- Evidence obtained
- Invoice line, matching 1–7 October activity records, signed rate v2 and obsolete v1 identify the rate error. CN82 records the agreed £60 credit.
- Evidence still needed
- None for this reconciled line and credit. Other invoice lines and VAT are outside the example.
- Uncertainty
- The fictional calculation excludes VAT and other lines. It establishes no external contract entitlement or wider ROI.
- Possible cause (hypothesis)
- Obsolete v1 rate was used instead of signed v2. The source of that rate-selection error is not established.
- Next action
- Commercial lead agrees CN82 for £60 on 8 October. Finance controller checks the credit and net £180 on the same day.
- Action type
- Agreed billing correction and verification
- Responsible owner
- Commercial lead
- Target date
- 8 October 2026
- Urgency
- Resolve this line within the 8 October commercial review. Service and storage questions remain separate.
- Work state
- 8 October 2026: commercial lead agrees £60 credit CN82. Finance controller verifies the resulting £180 net charge.
- Verification method
- Reconcile the 120 pallet-days to signed rate v2 and check £240 invoice less £60 credit CN82 equals £180.
- Verification owner
- Finance controller
- Verification date
- 8 October 2026
- Verification result
- Verified: net £180 agrees with 120 pallet-days at £1.50. The billing correction is closed for this line.
- Decision / resources needed
- Accept the verified credit for this line. Commercial lead checks contract timetable/options while the director awaits service and quality evidence.
- Decision owner
- Commercial lead for the credit; logistics director for the separate final renewal decision.
- Management note
- As at 8 October, the director awaits the quality assessment due 9 October and service plan due 10 October. Commercial lead checks contract timetable/options. The verified £60 credit does not settle renewal or product acceptability.