• Anaconda Regional Manager Risk Audit v3

  • Conducted on

  • Client / Site

  • Prepared by

  • Location

Price Overrides

  • Price overrides/discounting within policy?

  • Check through 'price override audit trail' in BOS - this should be printed and filed with comments. Managers should be able to explain discounts when asked and presented with transaction journal sales

  • Due date for actions


  • All refund paperwork is filled out correctly?

  • - All refunds have corresponding refund paperwork filled out correctly and completely
    - evidence of refunds being checked by management team against 'returns by operator' report and filed
    - random legitimacy check I.e. Call customer phone number, check original receipt number in journal

  • Select date

Petty Cash

  • All petty petty cash purchases have corresponding receipts?

  • - Check petty cash report in BOS, and allocation schedule
    - all expenditures must have proof of purchase evidence

  • Select date

Credit Claims

  • Credit claims being raised for faulty products

  • - Check for build up of product

  • Select date


  • Lay-by up to date?

  • - check lay-by overdue report
    - physical check of lay-by shelf for cancelled lay-bys not returned to stock
    - check staff lay-bys for accuracy

  • Select date


  • Is all monies accounted for and banking accurate?

  • - change float counted daily and accurate to set figure (check balance sheet)
    - banking being conducted correctly in surefire (check BOS 'bank deposit')
    - variances in change float and tills investigated (check BOS 'variance report' and 'register accountability'

  • Select date

POS codes

  • POS codes are up to date and current?

  • - check BOS for ex employees with active codes (should be non operator, can be deleted once journal record expires)
    - check BOS for generic codes I.e. 2222 (codes with no associated names)

  • Select date

Sensormatic Towers

  • Sensormatic towers alarming correctly?

  • - Walk through with source tagged item, hard tag and soft tag (checking for sensitivity and range)
    - check it is plugged/not turned off

  • Select date

General security

  • Is the store team taking proactive measures to minimise risk of theft?

  • - glass display cabinets locked
    - high end, high theft items security tagged
    - operators not logged into POS sales screen and left unattended
    - stock not left unattended or unsecured outside both front and back of store

  • Select date


  • The forklift and wave safety checklist being completed daily?

  • - check books are completed daily and correctly
    - forklift operators should be carrying licence on them and a copy filed in the office

  • Store representative

  • Regional Manager

  • NOTE: by signing this document you are acknowledging your understanding of the raised action points and agreeing to the actions discussed and time frames

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