Audit Compliance & Loss Prevention Risk Assessment

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Cash Handling

• Do Till drawers balance to current expected?

  Yes

  No

  N/A

• The correct procedure is

• Till Variance + / -

• Does the safe float balance?

  Yes

  No

  N/A

• The correct procedure is

• Safe Variance

• Are banking monies sealed and secured as per company instruction?

  Yes

  No

  N/A

• The correct procedure is (Reference the Store Procedure Manual Section?)

• Is the safe locked except for access?

  Yes

  No

  N/A

• The Correct Procedure is

• Is the cash office locked as appropriate?

  Yes

  No

  N/A

• The correct procedure is

• Are cash lifts actioned as per company procedure?

  Yes

  No

  N/A

• The correct procedure is

• Does the cash lift / banking declarations match cash value picked up?

  Yes

  No

  N/A

• The correct procedure is

• Is the banking control sheet completed as per company procedure?

  Yes

  No

  N/A

• The correct procedure is

• Does the paying in slip value correspond to the value banked through the till?

  Yes

  No

  N/A

• The correct procedure is

• Are the paying in slips completed as per company procedure?

  Yes

  No

  N/A

• The correct procedure is

• Are Daily Safe Checks completed?

  Yes

  No

  N/A

• Are all monies secured in the till drawers or safe?

  Yes

  No

  N/A

• The correct procedure is

• Are the Barclays collection / G4S change delivery procedures being followed as per company procedure?

  Yes

  No

  N/A

• The correct procedure is

• Are G4S collection receipts attached to the relevant banking control sheet?

  Yes

  No

  N/A

• The correct procedure is

Card Handling

• Has 'PIN VERIFIED' and the value been circled on all Sales PDQ slips?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Has the value been circled on all Refund PDQ slips?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Does the Z read total match the value declared through the till?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

Store Twenty One Vouchers

• Are vouchers secured in the till drawers or safe?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Are vouchers sold logged on each voucher till reconciliation sheet on a daily basis?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Has the redemption section of redeemed vouchers been completed correctly?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Are the vouchers attached to the final Till Declarations?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Do the vouchers match the figure declared on the final end of day till declarations?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Are vouchers checked daily on the safe check sheet?

  Yes

  No

  N/A

'Other Vouchers' (Love 2 Shop & Say Shopping pass)

• Do current vouchers in the safe match the figure declared on the final till declarations?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Are vouchers being stored in the safe?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Have the vouchers been returned to finance on a weekly basis?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

• Have vouchers been redeemed correctly?

  Yes

  No

  N/A

• Refer to Store Procedure Manual Section xxx Page xxx

Refunds

• Are all current authorised refunders listed on the 'Authorised Refunders' sheet?

  Yes

  No

  N/A

• The correct procedure is

• Are only authorised refunders processing refunds?<br>

  Yes

  No

  N/A

• The correct procedure is

• Have original sale details been captured on the till for each refund?<br>

  Yes

  No

  N/A

• The correct procedure is

• Refund values given match value paid by the customer?<br>

  Yes

  No

  N/A

• The correct procedure is

• Have the refund slips been completed fully by the customer and signed by the refunder?<br>

  Yes

  No

  N/A

• The correct procedure is

• Have Store Twenty One Vouchers been issued as per company instruction?<br>

  Yes

  No

  N/A

• The correct procedure is

• All refund paperwork present?<br>

  Yes

  No

  N/A

• Post-voids actioned as per co. instruction?<br>

  Yes

  No

  N/A

• Refunds / Post Voids reconciled to Weekly Tender Report?<br>

  Yes

  No

  N/A

• No Sales processed as per co. instruction?<br>

  Yes

  No

  N/A

Security

• Are the tills being logged of after each session?

  Yes

  No

  N/A

• The correct procedure is

• Are the doors leading off the sales floor closed / secured?

  Yes

  No

  N/A

• The correct procedure is

• Are the store keys secured, as per company instruction

  Yes

  No

  N/A

• The correct procedure is

• Are the safe key(s) secured as per company instruction?

  Yes

  No

  N/A

• The correct procedure is

• Visitor ID Requested?

  Yes

  No

  N/A

• The correct procedure is

• Emergency till drawer keys secured as per company instruction?

  Yes

  No

  N/A

• The correct procedure is

• Are external doors secured appropriately

  Yes

  No

  N/A

• The correct procedure is

• Signing In/Out and Bag checks completed as per co. instruction?<br>

  Yes

  No

  N/A

• The correct procedure is

• Colleagues' personal belongings are stored as per co. instruction?<br>

  Yes

  No

  N/A

• refer

Stock

• Deliveries checked & discrepancies reported as per co. instruction?<br>

  Yes

  No

  N/A

• Destroyed Stock write-offs completed as per co. instruction?<br>

  Yes

  No

  N/A

• Stock awaiting RM instruction for disposal separated and stored securely?<br>

  Yes

  No

  N/A

• Has all stock been tagged as per company procedure?

  Yes

  No

  N/A

• Is the cash office clear of all stock?<br>

  Yes

  No

  N/A

• Store Manager signature

  Sign

• Loss Prevention Officer

  Sign

• Regional / Area Manager sign off

  Sign