Depot and Distribution Warehouse Operations: Risk and Control Matrix (Excel)
105 controls (59 key) for 17 objectives and 33 risks, each with walkthrough questions, evidence to ask for and test steps.
Risk Control Matrix · editable Excel · 3 sheets · ₹149 / $1.49 · lifetime access, up to 5 downloads
This matrix covers a sales depot or distribution warehouse, whether run by company staff or by a carrying and forwarding agent (CFA): local policies and risk review, receipt of stock transfers, sales orders and credit checks, invoicing and dispatch (including manual challans), secondary transport, sales returns and credit notes, free samples, scheme literature and gift items, storage, safety and security, physical verification, slow-moving stock, collections and outstanding, cash discounts, dealer appointment, GST and other statutory compliance, depot accounts, IT security and CFA oversight. For every control you see what good looks like, whether it is preventive or detective, manual or automated, how often it runs and whether it is a key control, plus the walkthrough questions, evidence to request and steps to test it. Record what you find, the control owner and any gap in the same sheet: the Summary sheet counts effective, partly effective and ineffective controls by objective as you go. Written so that an auditor new to the process can use it, and detailed enough for experienced reviewers. Editable Excel.
What's inside
- Read Me: how the matrix is laid out and how to use it in an audit
- Risk-Control Matrix: 17 objectives, 33 risks and 105 controls (59 key)
- Each control: type, nature, frequency, key or supporting, and how to evaluate it
- Columns for your response, evidence seen, control owner and gap / action
- Summary sheet: results by objective, updated automatically
Topics: Supply Chain · Sales and Marketing
Learn it on video
- Case Study: How to Analyse Credit Limits and Data-Mine Purchase Orders (9 min)
- Physical vs Logical and Independent vs Compensating Controls: Know the Difference (9 min)
- How to Link Risks to Controls: The Risk and Control Matrix (RCM) (12 min)
- How to Describe Controls in the RCM: Method, Type, Frequency and Test Procedure (8 min)
- How to Test Controls (2): Test of Operating Effectiveness (7 min)
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