Anaconda Regional Manager Risk Audit

• Anaconda Regional Manager Risk Audit v3

• Conducted on

  Date

• Client / Site

• Prepared by

• Location
  Address

Price Overrides

• Price overrides/discounting within policy?

  Urgent action required

  Requires some action

  No action required

• 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

  Date

Refunds

• All refund paperwork is filled out correctly?

  Urgent action required

  Requires some action

  No action required

• - 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

  Date

Petty Cash

• All petty petty cash purchases have corresponding receipts?

  Urgent action required

  Requires some action

  No action required

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

• Select date

  Date

Credit Claims

• Credit claims being raised for faulty products

  Urgent action required

  Requires some action

  No action required

• - Check for build up of product
  

• Select date

  Date

Lay-by

• Lay-by up to date?

  Urgent action required

  Requires some action

  No action required

• - 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

  Date

Safe/banking

• Is all monies accounted for and banking accurate?

  Urgent action required

  Requires some action

  No action required

• - 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

  Date

POS codes

• POS codes are up to date and current?

  Urgent action required

  Requires some action

  No action required

• - 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

  Date

Sensormatic Towers

• Sensormatic towers alarming correctly?

  Urgent action required

  Requires some action

  No action required

• - 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

  Date

General security

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

  Urgent action required

  Requires some action

  No action required

• - 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

  Date

Despatch

• The forklift and wave safety checklist being completed daily?

  Urgent action required

  Requires some action

  No action required

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

• Store representative

  Sign

• Regional Manager

  Sign

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