Audit Team: Full Audit

• SAP # / Store Name

• Conducted on

  Date

• Prepared by

• Personnel on staff during visit

Intro to Audit

• Ensure that the you are onsite in time to observe all behaviors. At store by 9AM

• The purpose of the audit is to identify any behaviors inconsistent with Talk Mobile and T-Mobile Standards. Ensure that you are not collaborating with store employees as to how you answer each item. This needs to be an independent assessment.

• Opening Procedures

  Off

  On

Opening Procedures

• Do all employees have their own alarm codes? Not for new employees.

  Yes

  No

  N/A

• Was the till cash located in safe prior to open and in the banker bags?

  Yes

  No

  N/A

• Were the tills in balance within $1 +/- when opening the store? Count ALL tills regardless. If under/over, please list the amount.

  Yes

  No

  N/A

• Till

Till #

• Till Count

• Till Status

  Till is In Balance

  Till is More Than $151

  Till is Less Than $149

• Does the change fund contain $500 or within $1 +/- ? If under/over, please list the amount. <br>

  Yes

  No

  N/A

• Is the Tellermate counter plugged in and operational? N/A if store does not have a Tellermate.

  Yes

  No

  N/A

• Is the previous day's Quick Connect filled out completely? Was the rep checkout executed from the previous day? Take a picture if not complete.

  Yes

  No

  N/A

• Are most recent available store board metrics posted?

  Yes

  No

  N/A

• Is the paperwork packet completed from 2 days ago? (Example: Auditing on Wednesday, Monday's packet should be complete.) Please list amount if more than 3+ days

  Yes

  No

  N/A

• Comments/Notes Regarding Opening Procedures

• Inventory

  Off

  On

Inventory

TIMO Phone Count

• Complete a phone count via the TIMO scanner. List the total monthly variance. Review from the 1st of the month to current date.

• Is the inventory free of opened/unwrapped new devices?

  Yes

  No

  N/A

• Are Phones being scanned daily? For locations with out scanner are they completing a manual SOH report? Previous week were 5 days completed?

  Yes

  No

  N/A

• Is the weekly phone count and/or inventory being completed on Tuesday?Look at current week and last week.

  Yes

  No

  N/A

• Are mandatory SIM counts completed each week? Should be completed with phone counts on Tue.

  Yes

  No

  N/A

• Were all inventory shipments secured in cage/safe/storage room ?

  Yes

  No

  N/A

• If the store posted a variance greater than $500 for the previous month, was the variances email sent to SOM and or DM?

  Yes

  No

  N/A

• Does the store have a minimum of two bins? Are the bins labeled? (Returns, Trade etc.)

  Yes

  No

  N/A

• Was shipments from DC and Store to Store transfers received in TIMO/SAP immediately upon physical delivery to the location? Review the TIMO scanner to see received, pending, store-to-store and overdue shipments. For overdue shipments please review tracking number to verify its been received in store.

  Yes

  No

  N/A

• When processing trade-in device are they properly evaluate the condition of the device using the Assurant tool? Review current devices that have been received.

  Yes

  No

  N/A

• Are all trade-ins and returns properly stored in the back room with the receipt and/or POS documents wrapped around the device and in bubble wrap?

  Yes

  No

  N/A

• Is the TIMO inventory scanner being charged or fully charged?Is it behind two lock door when not in use or charging? Its never to be left unattended.

  Yes

  No

  N/A

• When the REMO tablet is not in use on the sales floor, is it on the charging station and properly secured within the inventory storage space or lockable cart/cabinet?

  Yes

  No

  N/A

• Are the 2 tracking devices properly functioning, marked and have a 50% minimum charge?

  Yes

  No

  N/A

• Are restocking fee stickers on all sellable devices excepts for iPhones? (iPhones should not have stickers or other permanent marking)

  Yes

  No

  N/A

Outbound Shipments

• Are all trade-ins and customer returns being sent in every Tuesday and Friday? Have the management show you the STOs to show shipment creation.

  Yes

  No

  N/A

• Is location free from end of life products that have not been sent back to the Return Center when requested?

  Yes

  No

  N/A

• Store-to-Store transfers and/or Return Shipments (Pull 5 Random Examples): STO Contains IMEI's in description, UPS label?

  Yes

  No

  N/A

• Is the store using the caution and safety awareness labels on all outgoing shipments and/or do they have an adequate supply on hand?

  Yes

  No

  N/A

• Have all ISW, trade-ins and returns been returned within a 7 day time frame?

  Yes

  No

  N/A

• Based on observations when a device is being returned back to the store, are customers being instructed to master reset their devices prior to handing it over to the representative (instructed to remove all personal information including removable of Media and SIM cards)? Select N/A if not observed.

  Yes

  No

  N/A

Loaner Phone Tracking

• Have all Loaner Phones been cleared of memory?

  Yes

  No

  N/A

• Comments/Notes Regarding Inventory

• Safe Examination

  Off

  On

Safe Examination

• Were the cash safe & inventory safe doors closed and fully locked?

  Yes

  No

  N/A

• In review of the store surroundings are all security codes/passwords being kept confidential?

  Yes

  No

  N/A

• Does the change order payment include DTS printout?

  Yes

  No

  N/A

• Are all forms of payment properly secured?

  Yes

  No

  N/A

• Have the deposits from the previous days been prepared? Review DTS for any none received Deposits.

  Yes

  No

  N/A

• Have all deposits been picked up based on the armored car service schedule? Select NO if previous day deposits have not been completed/processed through DTS. Review deposit log book for any missing deposits. Please provide picture.

  Yes

  No

  N/A

• Are the deposit slip, DTS slip and checks all in one side of the deposit bag, including the DTS slip bar code facing outward so that is may be scanned?

  Yes

  No

  N/A

• Are the keys to the lock boxes kept in the safe at all times during store hours?

  Yes

  No

  N/A

• Are the required "master keys" in a restricted part of the safe?

  Yes

  No

  N/A

• Are EXCESS SIM cards in the safe?

  Yes

  No

  N/A

• Are excess/not in use DEMO SIM cards, in the safe?

  Yes

  No

  N/A

• Is cash safe setup per Talk Mobile Standardization?

  Yes

  No

  N/A

• Comments/Notes Regarding Safe Examination

• CPNI

  Off

  On

Customer Information / CPNI

• Does the location have a shred bin which must be placed in the back room or does the location have a working shredder that is being used daily? (Only stores without back room are approved to have shredders.

  Yes

  No

  N/A

• Have all used SIMs & SIM card holders been disposed of properly (Destroyed/Shred Bin)? Look in backroom and all cabinets on the sales floor.

  Yes

  No

  N/A

• Is the daily paperwork secured in a locked file cabinet or locked inventory room after close of business?(paperwork must be behind two lock doors after business hours)

  Yes

  No

  N/A

• Is the store free of CPNI from sales floor, back room, counters, trash cans, etc?

  Yes

  No

  N/A

• Is location free from customer/account information found unsecured within publicly accessible areas on the sales floor during operating hours?

  Yes

  No

  N/A

• Is there a separate ID verification folder for each month with the required paperwork on file and no documents older than three complete months? ID copies should not be mixed in with daily paper work.

  Yes

  No

  N/A

• In the ID Verification folder:Have two employees verify the customer's ID and has all appropriate information been completed? Appropriate information includes: Type of activation, printing and signing their name with a date; including their dealer code, transaction number an BAN on each photocopy. - If two employees weren't working at the time of activation, was this identified on the paperwork? Are all ID copies in black and white? Make sure there's no color copies.

  Yes

  No

  N/A

• Is the ID Verification folder free of any military IDs?

  Yes

  No

  N/A

• Is the location free of any customer photo ID's? If location has a photo ID is there a date when it will be shred by?

  Yes

  No

  N/A

• Is store free from internal customer printouts in non-secured areas (RQ4 Lists, Follow Up Sheets, Sales Entry Receipts)

  Yes

  No

  N/A

• Have all required records been returned to Iron Mountain? (Keep 3 full months + Current Month, 6 months of PURE iron mountain paper work equaling 10 months in store).<br>Are they secured in inventory storage space at all times?

  Yes

  No

  N/A

• Have all used removable media cards such as SD cards been disposed of properly (Destroyed/Shred Bin).

  Yes

  No

  N/A

• Comments/Notes Regarding Customer Information / CPNI

• Backroom

  Off

  On

Backroom

• Do all exits have a clear unobstructed path with doors remaining unlocked from the interior and any additional security bars removed during business hours?

  Yes

  No

  N/A

• Is the Inventory storage locked and secured when not in use? (bike lock or additional security when required)

  Yes

  No

  N/A

• Are non public areas accessed only by employees and visitors with a bona fide business purpose?

  Yes

  No

  N/A

• Is the current and following two weeks schedule posted in backroom and in Viva?

  Yes

  No

  N/A

• Are employees all clocked in? (if not please list how many employees not clocked in)

  Yes

  No

  N/A

• Does the location have required waste disposal bins setup in the back room(with labels)?

  Yes

  No

  N/A

• Is the Back Room Clean and Organized?

  Yes

  No

  N/A

• Show Photo Evidence of Unclean or Cluttered Back Room

  Media

• Is Cleanliness/Organization Controllable Given Current Resources and Facilities?

  Yes

  No

  N/A

• Explain What Elements are Needed to Be Compliant

Deposit Supplies

• Is there a minimum of two unused store specific deposit books on hand?

  Yes

  No

  N/A

• Is there a 30 day supply of deposit bags on hand?

  Yes

  No

  N/A

Posters

• Is the Retail Emergency Response form posted in the backroom(Please place near the emergency contact list.)

  Yes

  No

  N/A

• Is the Talk Mobile Emergency Contacts List and Integrity Line posted in the backroom?

  Yes

  No

  N/A

• Are current state/federal posters displayed? (For Self: Please enter date of federal poster (mm/yy) in Comment field below.)

  Yes

  No

  N/A

• Are all required business licenses visible to customers and up to date?

  Yes

  No

  N/A

• Comments/Notes Regarding the Back Room

• Sales Floor

  Off

  On

Sales Floor

• Is the door to back room closed at all times?

  Yes

  No

  N/A

• Is the current return policy posted one per each cash wrap station and in good condition? According to MyMerch guidelines.

  Yes

  No

  N/A

• Are all off-display demo handsets in a locked drawer, cabinet or otherwise secured?

  Yes

  No

  N/A

• When verifying the customer, are their government issued ID's being verified with the UV pen?

  Yes

  No

  N/A

• Based on observation during a transaction(s), for devices purchased on EIP, are the EIP agreement Truth-in-Lending disclosures consistently reviewed with the customer?(Select N/A if not observed.)

  Yes

  No

  N/A

• How many working lines ( phone numbers)? Are all business handsets working?

  Yes

  No

  N/A

• Comments/Notes Regarding the Sales Floor

POD Station

• Are cabinet and till keys being kept secure at all times?

  Yes

  No

  N/A

• Review each till to confirm that the lock boxes are being used per policy.

  Yes

  No

  N/A

• Are all the business phones programmed with the direct Retail Support Lines (RSL) phone number for care calls?

  Yes

  No

  N/A

• Are the Ingenico devices operational? (if device is not operational has a remedy ticket been filed? *TPRi - Have your DM been contacted?)

  Yes

  No

  N/A

• Are the UV pens available at each POD Station? One per counter.

  Yes

  No

  N/A

• Brand Standards

  Off

  On

Brand Standards

• Is the Store Clean (Free of Clutter, Floor Swept/Mopped, Dusted, Windows Clean, and Fixtures Clean, Etc). Is the sales floor free from food or drinks?

  Yes

  No

  N/A

• Show Evidence of Unclean or Cluttered Store

  Media

• Is location free from any self-made collateral on the sales floor that is not shown in the MY Merch/merchandising guidelines?

  Yes

  No

  N/A

• Is store free of any collateral on the sales floor that is not shown in the merchandising guidelines?

  Yes

  No

  N/A

• Are there 8 or more devices with demo loops running? If not, please list how many devices had demo loop.

  Yes

  No

  N/A

• Are ALL demo devices charged and in working order? If not, please list number of devices not charged.

  Yes

  No

  N/A

• Are the Demo handsets positioned in the location according to the merchandising guidelines? Please take a picture of the incorrect setup.

  Yes

  No

  N/A

• Are all price cards current?

  Yes

  No

  N/A

• Does the collateral fit in all fixtures?

  Yes

  No

  N/A

• Does the store or kiosks front window banners match the directions found in current merchandising guidelines?

  Yes

  No

  N/A

• Is the store meeting the 90% compliance rate via MyMerch?

  Yes

  No

  N/A

• Are all Demo Phones showing Live Sim's?

  Yes

  No

  N/A

• Show Photo Evidence of Missing SIM Device(s)

  Media

• Are the accessories positioned in the location according to the merchandising guidelines?

  Yes

  No

  N/A

• Are accessory pegs/shelves full (no empty spaces)?

  Yes

  No

  N/A

• Are the employees wearing their own nametags?

  Yes

  No

  N/A

• Are employees wearing only brand image approved attire?

  Yes

  No

  N/A

• Comments/Notes Regarding Brand Standards

• Paperwork Review

  Off

  On

Paperwork Review

• Paperwork File to Review. Review 10 Days.

Packet Date:

• Select date

  Date

• Is the file available?

  Yes

  No

  N/A

• Deposit Paperwork - Is the deposit bag tear off slip stapled alongside DTS deposit form?

  Yes

  No

  N/A

• Deposit Paperwork - Was the deposit bag tear off slip fully filled out with correct information? (Initials, amount, date etc..)

  Yes

  No

  N/A

• Deposit Paperwork - Does the cash from the DTS, DRSL and bag tear off slip match? If not are the till reports contained in the file with discrepancy noted by authorized employee?

  Yes

  No

  N/A

• Post Voids - Are post void receipts attached to the post void report?

  Yes

  No

  N/A

• Post Voids - Were all signatures captured on the post void and the reasons for post void identified?

  Yes

  No

  N/A

• Post Voids - Was the Re-Ring transaction on record and attached to EOD Post Void Report?

  Yes

  No

  N/A

• Price Overrides - Is the reason for price override reason listed for each transaction?

  Yes

  No

  N/A

• Price Overrides - Based on the override report are SIM card replacements and purchases being rung out through POS?

  Yes

  No

  N/A

• Returns - Are return/exchange transactions behind the Return Report?

  Yes

  No

  N/A

• Returns - Are the original or reprint of customer’s original receipt with the return transaction?

  Yes

  No

  N/A

• Returns - Are Returns for the originally purchased equipment?

  Yes

  No

  N/A

• Returns - Are returns being processed under the correct tender type?

  Yes

  No

  N/A

• Returns - If any devices were returned, are restocking fees being properly applied?

  Yes

  No

  N/A

• Cash Management - Is there the excel sheet printed for proof of counting the change fund in file?

  Yes

  No

  N/A

• Cash Management - If store has Tellermate, are both print receipts being signed by staff for till OPENING reports. If no Tellermate, are the reports being initialed by 2 people.

  Yes

  No

  N/A

• Cash Management - If store has Tellermate, are both print receipts being signed by staff for till CLOSING reports. If no Tellermate, are the reports being initialed by 2 people.

  Yes

  No

  N/A

• Cash Management - Are the till reports in balance (<$1)?

  Yes

  No

  N/A

• Cash Management - If the till has a variance, is the Daily Register Summary Listing (DRSL) initialed by two employees and did they provide an explanation for the variance?

  Yes

  No

  N/A

• Cash Management - Do all credit card POS receipts have signatures?

  Yes

  No

  N/A

• How many Equipment Installment Plan (EIP) transactions are listed on the end day of POS report? Review the packet for the same count of EIP agreements. Are all of them available and signed by the customer? (List the number of missing documents or signatures in the notes.)

  Yes

  No

  N/A

• Are all non e-signature captured transactions for credit card transactions signed and filed accordingly?

  Yes

  No

  N/A

• Are all non e-signature captured transactions for EIP/JOD agreementss signed and filed accordingly?

  Yes

  No

  N/A

• Are all non e-signature captured transactions for Trade-in agreements signed and filed accordingly?

  Yes

  No

  N/A

• Are all non e-signature captured transactions for terms and conditions service agreements signed and filed accordingly?

  Yes

  No

  N/A

• Are all front pages of the opening and closing POS reports AND the cover report in the daily paperwork packet initialed and dated by an authorized employee?

  Yes

  No

  N/A

• Comments/Notes Regarding Paperwork Reviewed

• Did all EIP/JOD agreements have a customer photo ID copy on record? Date will need to match from Day of activation. List the amount of missing copies

  Yes

  No

  N/A

• Are pages being printed one per sheet or double sided only? no multiple pages per sheet.

  Yes

  No

  N/A

• Were there two files for this date? (Iron Mountain file & daily paper work file) <br>Did each file contain the proper documents?

  Yes

  No

  N/A

• Select date

  Date

• Photo of Report Showing $0 Ending in Cash Transactions

  Media

• Notes on Findings

• Did any of the past days end with $0 in Cash Transactions?

  Yes

  No

  N/A

• Dates @ $0 in Cash Transactions

Date