Branch Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Recieving

• Driver, Management and Security must be present during a delivery and/or dispatch of items.

  Yes

  No

  N/A

• Time of arrival of delivery vehicle must be recorded.

  Yes

  No

  N/A

• Security and Management must compare the unbroken truck seal to the vehicle trip sheet in the presence of the Driver.

  Yes

  No

  N/A

• Security must tick number of boxes/bags off on a tick sheet.

  Yes

  No

  N/A

• All parties must sign on bottom of the tick sheet to confirm count is correct.

  Yes

  No

  N/A

• Manager must confirm BTO by BTO to IBT Dispatch Note.

  Yes

  No

  N/A

• Security stamp must be placed on IBT Dispatch Note, tick sheet and Invoices once all detail has been confirmed to be correct.

  Yes

  No

  N/A

• Delivery note book must be signed off and new seal number must be recorded on the delivery note.

  Yes

  No

  N/A

• Truck must be locked with a New Acre lock and seal and the seal number be recorded on trip sheet.

  Yes

  No

  N/A

• Time of departure must be recorded on trip sheet.

  Yes

  No

  N/A

• Have all documentation been signed by the respective people as indicated on the sheets/forms?

  Yes

  No

  N/A

Dispatching

• Boxes must be sealed and well secured before being dispatched.

  Yes

  No

  N/A

• There must be two copies of the manifest – 1 for Driver and 1 for the Store.

  Yes

  No

  N/A

• The BTO number must always correspond with the IBT Dispatch note.

  Yes

  No

  N/A

• Signatures of Management, Security and the Driver must be placed on the IBT Dispatch Note.

  Yes

  No

  N/A

• Security must place stamp with all detail on the IBT Dispatch note to verify that information and detail are correct.

  Yes

  No

  N/A

• Driver delivery note to be used to record sending stock on.

  Yes

  No

  N/A

• Only a New Acre lock and seals are to be used on the Truck and the seal number must be recorded on the trip sheet.

  Yes

  No

  N/A

• Is the Security Stamp being kept in a lockable facility in the Management office when not in use?

  Yes

  No

  N/A

Refunds

• Only Manager/Assistant Manager may do refunds.

  Yes

  No

  N/A

• Refund slip must be signed by Manager, Cashier and Customer.

  Yes

  No

  N/A

• Override Cards must stay on the person who is authorized to use it and may never be given to anybody else to use or left laying around.

  Yes

  No

  N/A

Lay Buy's

• Minimum of 30% with initial transaction is payable and total balance over a maximum of 3 months.

  Yes

  No

  N/A

• Lay buys must be kept sealed in clear refuge bags. (NOT PQ BAGS)

  Yes

  No

  N/A

• Monthly lay buy checks must be done by the Manager or Assistant Manager and the checks must be recorded in the check register.

  Yes

  No

  N/A

• The Control sheet must be completed when a lay buy is taken to the lay buy room.

  Yes

  No

  N/A

• Management must check weekly for expired lay buys.

  Yes

  No

  N/A

• Only Management can authorise the final transaction on any lay buy.

  Yes

  No

  N/A

• Only 1 till must be used when lay-buys are being cancelled. (NOT HEAD CASHIER TILL)

  Yes

  No

  N/A

• Manager and Cashier must sign the ‘Add slip’ of the lay buy deposit placed back in the till.

  Yes

  No

  N/A

• Lay buy slip and ‘Add cash slip’ must be stapled together.

  Yes

  No

  N/A

• Write the lay buy number on the ‘Add cash slip’ for reference and underline the amount.

  Yes

  No

  N/A

• No promotional or stock on sale must be allowed on lay buy.

  Yes

  No

  N/A

Customer Exchanges/Returns

• No Customer receipt, No exchange/return.

  Yes

  No

  N/A

• Security must place an ‘exchange’ stamp on the receipt.

  Yes

  No

  N/A

• Management must be involved with all exchanges.

  Yes

  No

  N/A

• Management and Customer to sign all copies of Invoices/Till slips and exchange/return vouchers.

  Yes

  No

  N/A

• Management and/or Senior Cashier must inspect all items for dirt and/or damages.

  Yes

  No

  N/A

• Customer receipt of initial purchase must be stamped with ‘Exchange’ stamp.

  Yes

  No

  N/A

• Tax invoice/Till slip must be printed once the Customer has picked new item/s to ensure exchanges/returns are scanned back into the system.

  Yes

  No

  N/A

• Exchange/return voucher number must be captured on the New Tax invoice/Till slip.

  Yes

  No

  N/A

• Does Management and Security Area Managers have a meeting once a week to discus security issues?

  Yes

  No

  N/A

• Copies of:- Customer copy of till slip/Tax invoice<br>- New till slip/Tax invoice<br>- Exchange/return voucher and<br>- Final Till slip/Tax invoice<br>Must be stapled together and filed for auditing purposes. <br>

  Yes

  No

  N/A

Seal Control on delivery trucks

• Truck Driver may not be in possession of any seals for daily use.

  Yes

  No

  N/A

• Seals must be locked away in a secure facility at all times.

  Yes

  No

  N/A

• Only 1 extra box of seals may be kept at a Store at a time.

  Yes

  No

  N/A

Fire Escapes

• Ensure that all local fire laws are adhered to in respect of the locking of fire escape doors.

  Yes

  No

  N/A

• Ensure that all fire escape doors are connected to 24hr alarm systems, and that the equipment is functional.

  Yes

  No

  N/A

• Confirm that the alarm provider programs the alarm zones for all fire escape doors correctly.

  Yes

  No

  N/A

• Management and Security personnel must check fire escape doors daily i.e. seals, alarm wiring etc.

  Yes

  No

  N/A

• Ensure that all fire escape doors are clear of all stock.

  Yes

  No

  N/A

KEY CONTROL

• Key control procedures must be enforced.

  Yes

  No

  N/A

• Security personnel may not be in possession of any keys other than that of the Staff Entrance.

  Yes

  No

  N/A

• Management may not hand their front door keys to Security to open/close.

  Yes

  No

  N/A

• Only Management may be in possession of the Store Keys.

  Yes

  No

  N/A

LOCK AND SEAL PROCEDURES

• New Acre Lock and seals must be stored in a secure area in the Manager’s Office.

  Yes

  No

  N/A

• Only Management is permitted to handle keys & seals for their Stores.

  Yes

  No

  N/A

• Management is responsible and accountable for the sealing of the locks.

  Yes

  No

  N/A

• Security is not to handle any keys other than that of the Staff Entrance (Where applicable)

  Yes

  No

  N/A

• Only Management is responsible and accountable, for handling Store keys.

  Yes

  No

  N/A

• Are all perimeter door being locked and secured with ‘New Acre’ locks and seals?

  Yes

  No

  N/A

ELECTRONIC SECURITY

• Alarm systems must be walk tested on a weekly basis, and a record kept stating the name, and occurrence entry number of the relevant monitoring company. NB: before testing your system ensure that you notify the relevant alarm company.

  Yes

  No

  N/A

• Under no circumstances may zones be by passed when vacating the premises.

  Yes

  No

  N/A

• Once yearly the alarm system must be fully and completely checked by a competent technician from the alarm company, and a certificate issued by the same alarm system is in good working order.

  Yes

  No

  N/A

• Store Manager must report any defaults on the Alarm system to the Group Loss Control Manager and to Area Managers immediately.

  Yes

  No

  N/A

• Is one panic button with Security and one with Management?

  Yes

  No

  N/A

• Is there proof of weekly alarm tests on site?

  Yes

  No

  N/A

• Do all the fire exits have a 24 hour alarm? (Audible in the Store) (Do a test to check system)

  Yes

  No

  N/A

Parcel Counter

• The parcel counter must be manned at all times during trading hours.

  Yes

  No

  N/A

• Ensure that there are sufficient numbers of official disks for the Parcel counter

  Yes

  No

  N/A

• Check that the lost disc parcel book is available and correctly used.

  Yes

  No

  N/A

• Left behind parcel book to be kept in Managers office.

  Yes

  No

  N/A

Staff Entrance

• The Staff Entrance must be clean.

  Yes

  No

  N/A

• Are Security staff members searching properly?

  Yes

  No

  N/A

• Are all locks and/or magnetic locks in working order?

  Yes

  No

  N/A

• Are all Security guards searched by Management when exiting the Store? (When going home)

  Yes

  No

  N/A

• Is Security Staff compliment full every day?

  Yes

  No

  N/A

• Are Security Guards in full uniform?

  Yes

  No

  N/A

• Does Management interview all newly appointed Security Guards before his/her first shift starts?

  Yes

  No

  N/A

Mark-ups and Mark downs

• Cycle counts must be done on all items before being marked up or down.

  Yes

  No

  N/A

• Only the exact number of price tags must be issued as determined by the cycle count as compared with the P.O.S system.

  Yes

  No

  N/A

• The Cycle count figures must be compared and verified with the actual stock on hand according to the P.O.S. system.

  Yes

  No

  N/A

• Management must do random checks on mark-ups and mark downs for accuracy.

  Yes

  No

  N/A

• Management must sign the mark-up or mark downs<br>Sheet once done and confirmed as correct.<br>

  Yes

  No

  N/A

• No loose laying bar codes or price tags are allowed.

  Yes

  No

  N/A

• Bar codes and price tags/stickers must at all times be under the control of the person working with it.

  Yes

  No

  N/A

• Price stickers not in use must be secured in the management office.

  Yes

  No

  N/A

• Are the correct price stickers being used on the barcodes or price tags? (Only high Tech stickers)

  Yes

  No

  N/A

• Daily shift report checked by Management?

  Yes

  No

  N/A

Daily Admin/Shift Report

• Daily cash up sheets signed off by Cashier and Management?

  Yes

  No

  N/A

• Have all exchanges and refunds been signed off by Cashier and Over Rider?

  Yes

  No

  N/A

• Is exchange stamp being used by Security?

  Yes

  No

  N/A

• Does all Customer detail get captured on the system with all exchanges?

  Yes

  No

  N/A

• Do all relevant exchange documents get pasted on a sheet?

  Yes

  No

  N/A

• Are all refunds done by Assistant or Manager only?

  Yes

  No

  N/A

• Are all lay buys being signed off by Over Rider and Cashier?

  Yes

  No

  N/A

• Are all dockets written as ‘Checked’ on lay buys?

  Yes

  No

  N/A

• Area daily till spot-checks being done at least 1 till per Cashier?

  Yes

  No

  N/A

• Does daily airtime balance to daily sales report?

  Yes

  No

  N/A

• Are Cashier ‘under and overs’ being dealt with according to cashier policy?

  Yes

  No

  N/A

• Are there any signs of forced balancing on any Cashiers?

  Yes

  No

  N/A

• Area the safe floats being checked and balanced to store structure of floats holding?

  Yes

  No

  N/A

• Are spare floats being opened and checked?

  Yes

  No

  N/A

• Are key bag control seals being used for store floats?

  Yes

  No

  N/A

• Is store change control sheet being used when ordering change?

  Yes

  No

  N/A

• Are Security pick up slips being stapled to daily shift report and signed by Management?

  Yes

  No

  N/A

• Is company policy being followed by Store Manager with regards to daily admin?

  Yes

  No

  N/A

• Are Petty cash procedures being followed? (1. Removed cash. 2. Add cash and sign off by Management and Cashier)

  Yes

  No

  N/A

Tills and counter

• Is the counter neat and tidy?

  Yes

  No

  N/A

• Are there any staff bags behind the till points?

  Yes

  No

  N/A

• Are the IT Computers clean and dust free?

  Yes

  No

  N/A

• Are all over ride cards being kept on the person (Body) of the Over Riders only?

  Yes

  No

  N/A

• Are the hangers behind the tills being removed daily?

  Yes

  No

  N/A

• Is the parcel counter control check list being done daily?

  Yes

  No

  N/A

• Are all parcels being left behind by Customers being removed, recorded and kept in the office?

  Yes

  No

  N/A

• Are there any bar codes or yellow stickers at any of the till points? (If yes, state the reason).

  Yes

  No

  N/A

• Is there a staff purchase book available and in use?

  Yes

  No

  N/A

• Have all staff purchases been pasted in the book and cancelled with ‘No 999 code items sold to staff?

  Yes

  No

  N/A

Health and Safety

• Is there a Health & Safety file in the Office?

  Yes

  No

  N/A

• Is general OHS inspection list done monthly?

  Yes

  No

  N/A

• Is there a trained Fire Officer in store?

  Yes

  No

  N/A

• Is there a trained First Aider in store?

  Safe

  At Risk

  N/A

• Is there a fully stocked first Aid box in the store with a control register?

  Yes

  No

  N/A

• Are all 4 Dept. of Labour posters clearly visible in store? (Back of house area)

  Yes

  No

  N/A

• Are New Acre store locks in place with proper seal control records kept in Security OB Register?

  Yes

  No

  N/A

Staff Files

• Are fire equipment services up to date?

  Yes

  No

  N/A

• Are all the fire exits clear of any obstruction and accessible?

  Yes

  No

  N/A

• Does all staff have a contract of Employment?

  Yes

  No

  N/A

• Does all staff have a valid SA ID document and a copy on file?

  Yes

  No

  N/A

• Did all the staff sign a copy of the disciplinary code?

  Yes

  No

  N/A

• Did all the Cashiers sign a copy of the till discrepancy policy?

  Yes

  No

  N/A

• Are all the warnings issued being sent to A/Manager and HR Department at Head Office?

  Yes

  No

  N/A

• Are all the leave forms (Annual, sick, unpaid and Family Responsibility) being sent off to HR?

  Yes

  No

  N/A

• Do all casuals have a fix term contract?

  Yes

  No

  N/A

• Do all new Employees get approval from Head Office before starting?

  Yes

  No

  N/A

• Have criminal checks been done on all new Employees prior to employment?

  Yes

  No

  N/A

Stock Rooms

• Have all damages been checked and approved by Area Manager and sent back to Head Office? (Not older than a month)

  Yes

  No

  N/A

• Is the stock room neat and tidy?

  Yes

  No

  N/A

• Are all ‘ODDS’ received from Head Office being sent back to Head Office within a week after being received?

  Yes

  No

  N/A

• Have all stock received for the week been unpacked within 72 hours?

  Yes

  No

  N/A

• Have ‘unpack’ procedures on shoes been followed?

  Yes

  No

  N/A

Waste

• All waste and boxes leaving the Store must be checked correctly. Boxes must be flattened.

  Yes

  No

  N/A

• Only clear refuge bags are to be used during waste disposal.

  Yes

  No

  N/A

• Both Security and a member of Management must be present when the waste is being exposed off.

  Yes

  No

  N/A

• Are there any price labels/tags/stickers in the waste bags?

  Yes

  No

  N/A

• Trucks must be sealed and the seals broken only in the presence of the Driver, Management and Security.

  Yes

  No

  N/A

• Auditor Signature

  Sign

• Branch Manager Signature

  Sign