Compliance Management for 3PL Providers
Handle multi-client compliance, service levels, and operational standards with digital tools built for contract logistics.
The Challenge
3PL operations juggle impossibly complex compliance demands from multiple clients with conflicting requirements - a food retailer requires BRC Storage certification while a pharma client needs GDP compliance, each with different inspection frequencies, documentation formats, and quality standards. Paper-based systems collapse under the weight of managing client-specific procedures for intake checks, storage conditions, picking protocols, and dispatch verification, while KPI reporting demands from different clients require manual data extraction that consumes days of management time. Add sector-specific regulations (food safety, pharma handling, hazardous goods), plus your own health and safety compliance for warehouse operations, and traditional clipboard systems make it impossible to demonstrate systematic control. Problems surface when client audits reveal you're using the wrong procedures for their goods, when SLA breaches go unreported until contract reviews, or when you cannot produce client-specific compliance evidence during disputes.
How Assistant Manager Solves 3PL Providers Compliance
Each module is designed to address the specific challenges 3pl providers businesses face every day.
Checklist Management
3PL operations need flexible checklist systems where food clients trigger BRC-compliant checks, pharma clients trigger GDP procedures, and general goods follow standard protocols - with automatic procedure selection preventing errors and providing audit-ready evidence for each client account
The Problems
Why This Matters for 3PL Providers
- Different clients require different intake procedures - one demands temperature checks, another needs seal verification, a third requires photographic evidence - but warehouse staff use generic checklists that don't capture client-specific requirements
Client goods are received without following their specified procedures, and audit non-conformances arise when you cannot prove compliance with contractual requirements
- Client-specific storage requirements are documented in various SOPs but warehouse operatives don't know which procedures apply to which client's goods, leading to incorrect handling and storage
Goods are stored incorrectly for client requirements, quality issues arise, and contract disputes occur when you cannot demonstrate you followed agreed procedures
The Solution
How Checklist Management Helps
Client-specific digital checklists that automatically apply based on goods being handled, customizable procedures for each client account, mandatory fields for client requirements (temperature, photos, seal numbers), and audit trails showing which procedures were followed for specific consignments
Every client receives service according to their specific procedures, warehouse staff are guided through correct checks based on the goods in front of them, and client audits see systematic compliance with their requirements
Use Cases:
- • Client-specific intake procedures with automatic protocol selection
- • Storage compliance checks tailored to client requirements
- • Pick verification procedures matching client quality standards
- • Dispatch checks with client-specific documentation requirements
- • Temperature monitoring for clients requiring cold chain evidence
- • Stock rotation checks for clients with FEFO/FIFO requirements
- • Photographic evidence capture for clients requiring visual documentation
- • Seal verification and security checks for high-value client goods
Feature Screenshot
Checklist Management
Real-World Examples
Example 1: Different clients require different intake procedures - one demands temperature checks, another needs seal verification, a third requires photographic evidence - but warehouse staff use generic checklists that don't capture client-specific requirements
Real Scenario
"A pharma client conducts a supplier audit and asks to see temperature records for goods received over the last three months. You have standard intake checklists showing 'goods received and checked', but no temperature documentation as their SOP requires. The client issues a formal warning that the contract is at risk unless you implement compliant receiving procedures within 30 days."
Example 2: Client-specific storage requirements are documented in various SOPs but warehouse operatives don't know which procedures apply to which client's goods, leading to incorrect handling and storage
Real Scenario
"A food retailer client's goods are stored on the warehouse floor instead of on pallets as their contract requires. During their audit, photographic evidence shows non-compliant storage. Investigation reveals warehouse staff didn't know this client had specific requirements - the SOP exists but they use standard procedures for all clients. Contract value reduced by 20% as penalty."
Document Management
3PL providers need sophisticated document management organized by client account but also by document type (SOPs, risk assessments, training, certifications) to support multiple simultaneous audits and ensure operatives can instantly access whichever client procedure applies to the goods they are handling
The Problems
Why This Matters for 3PL Providers
- Each client provides SOPs, handling instructions, and quality specifications in different formats (PDF, Word, email attachments), stored in various locations across shared drives and email folders
Warehouse staff can't find current client procedures when needed, and audits reveal operatives were following outdated instructions because they couldn't access the latest versions
- BRC, ISO 9001, FORS, and other certification documents are stored separately from client-specific materials, making it impossible to quickly assemble complete documentation packages for audits
Audit preparation is chaotic, hours are wasted searching for certificates and procedures, and auditors wait while you locate documentation, creating poor professional impression
The Solution
How Document Management Helps
Client-specific document repositories with version control, automatic update notifications when client procedures change, certificate expiry tracking for all certifications, and instant audit package generation pulling all relevant documents for specific client requirements
Every client's procedures and requirements are centrally stored with automatic version control, warehouse staff always access current documents through mobile devices, and audit preparation is reduced from days to minutes with instant document retrieval
Use Cases:
- • Client SOP storage with automatic version control and update notifications
- • BRC, ISO, FORS, and other certification document tracking with expiry alerts
- • Insurance certificate management and renewal tracking
- • Risk assessment library organized by client and operation type
- • Training materials and competency records by client requirement
- • Client audit report archive with corrective action tracking
- • Equipment calibration certificates for clients requiring certified equipment
- • Instant audit package generation for specific client visits
Feature Screenshot
Document Management
Real-World Examples
Example 1: Each client provides SOPs, handling instructions, and quality specifications in different formats (PDF, Word, email attachments), stored in various locations across shared drives and email folders
Real Scenario
"During a client audit, the auditor asks to see your copy of their current handling SOP (version 3.2, issued three months ago). After extensive searching, you find version 2.8 from 18 months ago. The client's procurement manager says they emailed the update - it's found in a supervisor's email folder. No version control system exists to ensure everyone uses current documents."
Example 2: BRC, ISO 9001, FORS, and other certification documents are stored separately from client-specific materials, making it impossible to quickly assemble complete documentation packages for audits
Real Scenario
"A major retailer schedules a supplier audit with 48 hours notice (their contractual right). You spend 12 hours gathering documentation: BRC certificate, insurance policies, risk assessments, training matrices, client SOPs, and previous audit reports. Half the documents are found but some are out of date. The audit starts with you still assembling evidence, and the auditor notes that document control is inadequate."
Training & Development
3PL providers need flexible training systems where core warehouse competencies (MHE, H&S) are supplemented with client-specific modules (BRC for food clients, GDP for pharma, HAZMAT for chemical clients), with automatic tracking essential for managing the complex matrix of qualifications across your workforce
The Problems
Why This Matters for 3PL Providers
- New staff receive generic warehouse training but no client-specific induction on the different procedures, handling requirements, and quality standards that apply to different client accounts
Warehouse operatives make mistakes because they don't understand client-specific requirements, and client audits identify training gaps when reviewing competency records
- Client contracts require proof that staff handling their goods have completed specific training (food hygiene, GDP awareness, hazardous goods), but training records are scattered across spreadsheets and filing cabinets
You cannot quickly prove which staff are trained for which client requirements, and audits reveal staff handling goods without the contractually required competencies
The Solution
How Training & Development Helps
Client-specific training modules covering unique procedures and requirements, automatic competency tracking showing which staff are qualified for which clients, mandatory completion verification before handling specific client accounts, and training matrices organized by client requirement
Every operative demonstrates competency in client-specific procedures before handling their goods, client audits see systematic training with complete matrices, and you can instantly prove which staff are qualified for any client requirement
Use Cases:
- • Client-specific handling procedure training modules
- • Food Safety Level 2 certification tracking for food client contracts
- • GDP awareness training for pharmaceutical client accounts
- • Hazardous goods handling for clients with dangerous goods
- • Quality standard training specific to client requirements
- • WMS training covering client-specific system procedures
- • Security protocols for high-value client goods handling
- • Client-specific competency matrices for audit preparation
Feature Screenshot
Training & Development
Real-World Examples
Example 1: New staff receive generic warehouse training but no client-specific induction on the different procedures, handling requirements, and quality standards that apply to different client accounts
Real Scenario
"An operative handles pharma goods for the first time and uses standard picking procedures. The client's GDP audit reveals picking was done without following their validated process (which requires specific gloves, documentation at each stage, and temperature monitoring). Investigation shows the operative received general warehouse training but no pharma-specific induction. The client suspends the account until all staff are GDP trained."
Example 2: Client contracts require proof that staff handling their goods have completed specific training (food hygiene, GDP awareness, hazardous goods), but training records are scattered across spreadsheets and filing cabinets
Real Scenario
"A food retailer client audit asks for training matrices showing which staff are Food Safety Level 2 qualified and authorized to handle their goods. After two hours searching, you can prove 40% of staff are trained, but can't find records for the others - some training was definitely done but documentation is lost. The client marks this as a major non-conformance affecting contract renewal."
Employee Scheduling
3PL operations need sophisticated scheduling that enforces client-specific competency requirements - a food client account requires Food Safety training, a pharma client needs GDP awareness, and a chemicals client needs HAZMAT certification, with the system preventing assignment of unqualified staff
The Problems
Why This Matters for 3PL Providers
- Staff are scheduled to handle pharma goods or food accounts without verifying they have required certifications (GDP training, Food Safety Level 2), and supervisors discover non-compliance mid-shift
Unqualified staff handle goods requiring specific competencies, creating contract breach and client audit risk, with urgent rescheduling disrupting operations
- Peak periods require bringing in agency staff, but there's no systematic verification they have completed client-specific inductions before being assigned to those accounts
Agency workers handle client goods without understanding their requirements, mistakes occur, and client audits question your competency control when they discover untrained staff in their areas
The Solution
How Employee Scheduling Helps
Scheduling system with client-specific competency verification, automatic checking that assigned staff have required certifications before shift confirmation, and multi-client shift planning showing which operatives can handle which client accounts
Every shift is staffed only with personnel qualified for the specific client accounts being operated, agency staff cannot be assigned until client-specific inductions are complete, and supervisors can see at a glance which staff can work on which client goods
Use Cases:
- • Client-specific competency verification before shift assignment
- • Food client scheduling with Level 2 Food Safety requirement enforcement
- • Pharma account scheduling with GDP training verification
- • Agency staff induction tracking before client area assignment
- • Multi-client shift planning with qualification matrix visibility
- • SLA-critical period staffing with qualified operative prioritization
- • Peak season scheduling ensuring adequate qualified coverage per client
- • Supervisor scheduling with client audit support competencies
Feature Screenshot
Employee Scheduling
Real-World Examples
Example 1: Staff are scheduled to handle pharma goods or food accounts without verifying they have required certifications (GDP training, Food Safety Level 2), and supervisors discover non-compliance mid-shift
Real Scenario
"During a busy evening shift, a supervisor assigns three operatives to pick pharma client orders. One hour in, they realize two staff don't have GDP awareness training as the client contract requires. The picks have to be redone by qualified staff, causing a 4-hour delay. The client's next delivery misses the dispatch window, triggering SLA penalty charges of £5,000."
Example 2: Peak periods require bringing in agency staff, but there's no systematic verification they have completed client-specific inductions before being assigned to those accounts
Real Scenario
"During a BRC food client's audit, they ask to see training records for all staff who handled their goods in the last month. Investigation reveals 8 agency workers (brought in for peak season) were assigned to their area without completing the client's food safety induction. They were inducted to your facility but not client-specific requirements. Major non-conformance issued."
Asset Management
3PL operations with multi-client requirements need sophisticated asset tracking that maintains equipment segregation (food vs non-food, pharma vs general), tracks calibration for temperature monitoring and weighing equipment, and provides client-specific equipment usage histories for audit purposes
The Problems
Why This Matters for 3PL Providers
- Temperature monitoring equipment, barcode scanners, and client-specific handling equipment (special pallets, containers, security seals) are shared across multiple clients, with no tracking of calibration status or location
Client audits ask for calibration certificates for equipment used with their goods, and you cannot identify which temperature loggers were used or when they were last calibrated
- Forklift attachments, specialized handling equipment, and quality control tools needed for different clients are stored around the facility, with no systematic tracking of maintenance status or location
Equipment required for client-specific procedures can't be found when needed, causing operational delays, and you can't prove to clients that equipment is properly maintained
The Solution
How Asset Management Helps
Complete asset register with client-specific equipment tagging, calibration tracking with automatic renewal reminders, usage logs showing which equipment is used for which clients, and QR code scanning for instant equipment history access
Every piece of client-specific or calibrated equipment is tracked with service history, client audits get instant proof of equipment maintenance and calibration, and equipment allocation is controlled to prevent cross-client contamination
Use Cases:
- • Temperature monitoring equipment register with calibration tracking
- • Client-specific handling equipment allocation and usage logs
- • Barcode scanner and mobile device asset tracking
- • Weighing scale calibration management and certification
- • Forklift and MHE maintenance records for client safety audits
- • Quality control equipment (moisture meters, thermometers) calibration
- • Security equipment (seal cutters, CCTV) maintenance tracking
- • Client-specific container and pallet tracking for dedicated equipment
Feature Screenshot
Asset Management
Real-World Examples
Example 1: Temperature monitoring equipment, barcode scanners, and client-specific handling equipment (special pallets, containers, security seals) are shared across multiple clients, with no tracking of calibration status or location
Real Scenario
"A pharma client's GDP audit requests calibration certificates for temperature monitoring devices used during their goods storage over the last quarter. You have 15 data loggers that rotate between clients. After extensive investigation, you can identify which devices were used with their goods (from logger serial numbers in records) but can only find current calibration for 9 of them. Audit non-conformance issued for inadequate equipment control."
Example 2: Forklift attachments, specialized handling equipment, and quality control tools needed for different clients are stored around the facility, with no systematic tracking of maintenance status or location
Real Scenario
"A food client requires goods to be moved using dedicated equipment (pallets that don't touch the floor). During their audit, they ask to see maintenance records for this equipment and how you ensure it's used exclusively for their goods. You can show the equipment exists but have no tracking of maintenance, usage, or segregation. The client questions whether cross-contamination controls are adequate."
Accident & Incident Records
3PL providers need incident management that separates client-specific issues from general H&S incidents, provides client account dashboards for contract reviews, tracks SLA compliance, and maintains the evidence of continuous improvement that clients demand in modern contracts
The Problems
Why This Matters for 3PL Providers
- Incidents involving client goods (damage, contamination, quality issues) are recorded in a generic incident book without client-specific information or root cause analysis
When clients request incident histories for their goods, you cannot provide detailed analysis, and patterns of issues with specific client accounts go unidentified
- SLA breaches and near-misses that don't result in client complaints go unrecorded, and there's no systematic tracking of which clients are experiencing the most issues
You miss warning signs before major client problems occur, cannot demonstrate continuous improvement to clients, and lose contracts because issues that could have been resolved weren't identified early
The Solution
How Accident & Incident Records Helps
Client-specific incident reporting capturing goods damage, quality issues, SLA breaches, and near-misses, automatic client notification workflows, root cause analysis tracking, and client account-level trend analysis showing which clients experience most incidents
Every incident affecting client goods is documented with full details and corrective actions, clients see systematic incident management through automated notifications, and pattern analysis identifies problem accounts before contracts are at risk
Use Cases:
- • Client goods damage incident reporting with photographic evidence
- • SLA breach documentation and root cause analysis
- • Quality issue tracking for client complaints and claims
- • Temperature excursion incidents for clients requiring cold chain
- • Picking and dispatch error documentation with corrective actions
- • Security incident reporting for high-value client goods
- • Client incident trend analysis for contract reviews
- • Near-miss reporting to demonstrate proactive client service improvement
Feature Screenshot
Accident & Incident Records
Real-World Examples
Example 1: Incidents involving client goods (damage, contamination, quality issues) are recorded in a generic incident book without client-specific information or root cause analysis
Real Scenario
"A food client contract review requests incident data for the last 12 months. Your incident book shows 4 entries mentioning their name, but there's no detail about what happened, root causes, or corrective actions. The client has their own records showing 11 incidents (damaged pallets, wrong goods sent, temperature excursions). You look incompetent because you didn't systematically track issues affecting their account."
Example 2: SLA breaches and near-misses that don't result in client complaints go unrecorded, and there's no systematic tracking of which clients are experiencing the most issues
Real Scenario
"A major client announces they're moving to a competitor. During exit discussions, they list a pattern of issues over 18 months: late dispatches, incorrect orders, and damaged goods. You have no incident records showing this pattern - individual issues were resolved informally but never recorded. Had you tracked and analyzed these incidents, you could have implemented improvements to retain the £2M annual contract."
Risk Assessment
3PL operations handling diverse sectors need flexible risk assessment systems where core warehouse risks (MHE, manual handling) are supplemented with client-sector-specific assessments (allergen control for food, controlled access for pharma, COSHH for chemicals), with documented risk management essential for client audits
The Problems
Why This Matters for 3PL Providers
- Generic warehouse risk assessments don't address client-specific hazards - pharma goods requiring controlled access, food requiring allergen control, or hazardous goods needing specialized handling
Client audits identify gaps where your risk assessments don't cover their specific requirements, and incidents occur because risks unique to client accounts weren't properly assessed
- When taking on new clients with different requirements (food, pharma, chemicals), there's no systematic process to assess and document the new risks their goods introduce to your operation
New client onboarding doesn't include proper risk assessment, and you discover during their first audit that you haven't addressed hazards specific to their sector
The Solution
How Risk Assessment Helps
Client-specific risk assessment templates for different sectors (food, pharma, chemicals, general), new client onboarding workflow triggering risk assessment for their sector requirements, and comprehensive risk assessment library covering client-specific hazards
Every client account has sector-specific risk assessments covering their unique requirements, new client onboarding automatically triggers appropriate risk evaluation, and client audits see systematic risk management addressing their concerns
Use Cases:
- • Food client risk assessments covering allergen control and contamination
- • Pharma client GDP risk assessments for controlled drug handling
- • Chemical client COSHH and hazardous goods risk assessments
- • High-value goods security risk assessments for premium clients
- • Temperature-sensitive goods risk assessment for cold chain clients
- • Manual handling assessments for client-specific product types
- • New client onboarding risk assessment workflow
- • Client-specific emergency response procedure risk assessments
Feature Screenshot
Risk Assessment
Real-World Examples
Example 1: Generic warehouse risk assessments don't address client-specific hazards - pharma goods requiring controlled access, food requiring allergen control, or hazardous goods needing specialized handling
Real Scenario
"A pharma client's GDP audit reviews your risk assessments. Your general warehouse MHE assessment doesn't mention controlled drug handling procedures, temperature-sensitive goods protocols, or the segregation requirements in their contract. They identify 6 gaps where client-specific risks weren't assessed. You're required to complete comprehensive pharma-specific risk assessments within 14 days or face contract suspension."
Example 2: When taking on new clients with different requirements (food, pharma, chemicals), there's no systematic process to assess and document the new risks their goods introduce to your operation
Real Scenario
"You win a new food client requiring allergen-controlled storage. Operations start immediately to meet client timelines. Three months later during the client's audit, they ask to see allergen cross-contamination risk assessments, cleaning procedures for allergen segregation, and staff allergen training. None exist - the commercial team didn't involve H&S in client onboarding, so sector-specific risks weren't assessed before operations began."
HR Management
3PL providers need HR systems that maintain the complex matrix of client-specific requirements - food clients need Level 2 Food Safety, pharma clients need GDP awareness, high-value clients need DBS checks, and some clients have unique requirements - all requiring systematic tracking and automatic enforcement
The Problems
Why This Matters for 3PL Providers
- Employee records don't track which staff are qualified and authorized for which client accounts, making it impossible to quickly produce competency matrices for client audits
Client audits ask which staff handled their goods and what their qualifications are, and you spend hours reconstructing this information from multiple sources
- Different clients require different employee checks (DBS for high-value goods, right-to-work for food, security clearance for others), but there's no systematic tracking of who has which clearances
Staff work on client accounts requiring specific clearances they don't have, and you discover non-compliance during audits when you can't prove employees met client requirements
The Solution
How HR Management Helps
Complete employee records with client-specific qualification tracking, automatic competency matrices for any client account, clearance tracking (DBS, right-to-work, security) with client requirement mapping, and instant audit-ready personnel reports
Every employee's client-specific qualifications and clearances are tracked automatically, client audits receive instant competency matrices, and scheduling systems can enforce that only appropriately cleared staff work on specific client accounts
Use Cases:
- • Client-specific qualification tracking and competency matrices
- • DBS check management for high-value and sensitive client accounts
- • Level 2 Food Safety certification tracking for food client contracts
- • GDP and pharma-specific training records for pharma accounts
- • Security clearance tracking for clients requiring vetted personnel
- • Right-to-work verification with client sector requirements (food)
- • Instant competency matrix generation for any client audit
- • Client account authorization tracking showing which staff can handle which clients
Feature Screenshot
HR Management
Real-World Examples
Example 1: Employee records don't track which staff are qualified and authorized for which client accounts, making it impossible to quickly produce competency matrices for client audits
Real Scenario
"A pharma client audit requests a competency matrix showing all staff who have handled their goods in the last 6 months, with their GDP training status, right-to-work verification, and DBS check status (their contract requirement). You spend 8 hours creating this spreadsheet manually from HR files, training records, and shift logs. Two staff worked in their area despite lacking DBS checks. Major non-conformance issued."
Example 2: Different clients require different employee checks (DBS for high-value goods, right-to-work for food, security clearance for others), but there's no systematic tracking of who has which clearances
Real Scenario
"A luxury goods client requires all staff handling their products to have DBS checks (contract clause). During their audit, they request DBS status for your warehouse team. Investigation reveals only 60% of staff who've handled their goods have DBS checks - it's not standard for all warehouse staff and nobody tracked which staff needed them for this specific client. Contract terminated with 30 days notice."
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