Standard Operating Procedure for Use of Forklifts and Equipment in Receiving Raw Materials

Department	Warehouse / Logistics / Quality Assurance
SOP No.	SOP/RM/042/2025
Supersedes	SOP/RM/042/2022
Page No.	Page 1 of 15
Issue Date	01/02/2025
Effective Date	05/02/2025
Review Date	01/02/2026

1. Purpose

This Standard Operating Procedure (SOP) outlines the safe and efficient use of forklifts and other material-handling equipment during the receipt of raw materials. It aims to ensure that raw materials are handled properly to prevent damage, contamination, and workplace accidents. This SOP ensures:

• Safe operation of forklifts and equipment in compliance with safety and regulatory standards.
• Proper training and certification of personnel handling material-moving equipment.
• Minimization of material damage and workplace hazards during unloading and transportation.
• Consistent documentation and reporting of equipment usage and any incidents.

2. Scope

This SOP applies to all forklifts, pallet jacks, hoists, and other equipment used in receiving, unloading, and moving raw materials within the facility. It includes:

• Standard procedures for operating forklifts and other equipment during material receipt.
• Responsibilities for equipment maintenance, inspection, and safety compliance.
• Incident reporting and corrective actions related to equipment usage.

3. Responsibilities

• Warehouse Personnel:
  • Operate forklifts and material-handling equipment following standard safety procedures.
  • Inspect equipment before use and report any issues to the Warehouse Manager.
  • Ensure raw materials are unloaded and transported without damage or contamination.
• Logistics Team:
  • Coordinate the unloading schedule and ensure appropriate equipment is available.
  • Maintain equipment service records and ensure timely maintenance.
  • Verify that only certified personnel operate forklifts and equipment.
• Quality Assurance (QA) Team:
  • Monitor compliance with safety standards during material receipt.
  • Inspect raw materials after unloading for signs of damage due to improper handling.
  • Approve or reject materials based on handling conditions and report any incidents.

4. Accountability

The Warehouse Manager is responsible for ensuring that forklifts and equipment are operated safely and efficiently during the receipt of raw materials. The Logistics Manager holds accountability for equipment maintenance and ensuring that only trained personnel handle material-moving equipment. The QA Manager is responsible for monitoring the condition of raw materials and identifying handling-related issues.

5. Procedure

5.1 Pre-Operation Equipment Checks

1. Daily Equipment Inspection
   1. Before operating forklifts or other equipment, perform the following checks:
      • Check tire condition, fluid levels, and hydraulic systems.
      • Inspect forks, lift chains, and safety mechanisms for wear or damage.
      • Ensure all controls, brakes, and warning systems are functioning correctly.
   2. Document the inspection results in the Equipment Inspection Log (Annexure-1).
   3. Report any equipment defects to the Warehouse Manager immediately for corrective action.
2. Certification of Operators
   1. Ensure that only trained and certified personnel operate forklifts and material-handling equipment.
   2. Maintain up-to-date training records and certifications for all equipment operators.

5.2 Safe Operation of Forklifts and Equipment

1. Unloading Raw Materials from Delivery Vehicles
   1. Ensure that the delivery vehicle is secured and parked on level ground before unloading.
   2. Use forklifts to carefully unload materials, ensuring:
      • Forks are correctly positioned under the load, and loads are balanced before lifting.
      • Operators maintain clear visibility and proceed at safe speeds during movement.
      • Materials are handled gently to avoid impact, tipping, or spillage.
2. Transporting Raw Materials to Storage Areas
   1. Transport materials to the designated quarantine or storage areas using approved routes within the facility.
   2. Ensure that aisles are clear and materials are placed securely on stable surfaces.
   3. Segregate hazardous materials according to regulatory requirements and company policies.

5.3 Post-Operation Equipment Checks

1. Post-Use Equipment Inspection
   1. After unloading and transporting materials, perform the following checks:
      • Inspect equipment for any damage or malfunctions incurred during operation.
      • Refill fuel, recharge batteries, and clean equipment as needed.
   2. Document post-operation checks in the Equipment Inspection Log (Annexure-1).
2. Equipment Storage
   1. Return forklifts and equipment to designated storage areas and ensure they are secured.
   2. Report any operational issues to the Warehouse Manager for maintenance or repair.

5.4 Incident Reporting and Corrective Actions

1. Reporting Equipment-Related Incidents
   1. If an incident occurs during the use of forklifts or equipment (e.g., material damage, equipment failure, or accidents):
      • Immediately report the incident to the Warehouse Manager and QA.
      • Document the incident in the Equipment Incident Report (Annexure-2).
2. Corrective and Preventive Actions
   1. QA and Logistics investigate the root cause of the incident and implement corrective actions.
   2. Conduct refresher training for operators if the incident was due to human error.
   3. Schedule equipment maintenance or repair if the incident was due to equipment failure.

6. Abbreviations

• SOP: Standard Operating Procedure
• GMP: Good Manufacturing Practice
• QA: Quality Assurance
• QC: Quality Control
• PPE: Personal Protective Equipment

7. Documents

1. Equipment Inspection Log (Annexure-1)
2. Equipment Incident Report (Annexure-2)
3. Forklift Operator Certification Records
4. Material Receiving Logs and Deviation Reports

8. References

• OSHA Forklift Safety Regulations (29 CFR 1910.178)
• 21 CFR Part 211 – Current GMP for Finished Pharmaceuticals (US FDA)
• EU GMP Guidelines Part I – Basic Requirements for Medicinal Products
• Company-Specific Safety and Warehouse Policies

9. SOP Version

Version: 2.0

10. Approval Section

	Prepared By	Checked By	Approved By
Signature
Date
Name
Designation
Department

11. Annexures

Annexure-1: Equipment Inspection Log

Date	Equipment ID	Operator Name	Pre-Use Inspection Status	Post-Use Inspection Status	Issues Identified	Corrective Actions Taken
01/02/2025	FLK-001	John Doe	Passed	Passed	None	N/A
02/02/2025	FLK-002	Jane Smith	Passed	Minor Hydraulic Leak	Reported to Maintenance	Equipment Scheduled for Repair

Annexure-2: Equipment Incident Report

Incident Number	Date	Equipment ID	Operator Name	Description of Incident	Root Cause	Corrective Action	Status
INC-001/2025	01/02/2025	FLK-001	John Doe	Material Shifted During Transport	Load Not Secured Properly	Operator Retrained on Load Balancing	Closed
INC-002/2025	02/02/2025	FLK-002	Jane Smith	Forklift Hydraulic Leak During Operation	Worn Hydraulic Seal	Hydraulic System Repaired	Closed

Revision History:

Revision Date	Revision No.	Revision Details	Reason for Revision	Approved By	Page No.	Ref. Point No.	Details of Revision
01/01/2024	1.0	Initial Version	New SOP Creation	QA Head	All	All	Established procedures for safe use of forklifts and equipment in raw material receiving.
01/02/2025	2.0	Included Incident Reporting Procedures	Standardization of Document	QA Head	All	All	Added detailed incident reporting and corrective action procedures for equipment-related issues.