Compact Compliance Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Daily Records Book

• Are all questions in the Cash Management Log legible and completed in pen?

  Yes

  No

  N/A

• Has the till drop log section been fully completed by the CC at the time the bag was dropped?

  Yes

  No

  N/A

• Has the till over/short column been completed accurately on the CML and does it match the Deposit Activity Report?

  Yes

  No

  N/A

• Is the daily deposit preparation completed correctly, and is the section completed in the CML?

  Yes

  No

  N/A

• Are outer safe counts completed, as per company policy?

  Yes

  No

  N/A

• Is the daily safe count happening in accordance with the Safe Access Policy?

  Yes

  No

  N/A

• Where too much money has been dropped from a till & the safe float has been used to balance the float, has this been documented in the CML?

  Yes

  No

  N/A

• Where a variance has occurred have all till drop bags been retained & stores in the CML?

  Yes

  No

  N/A

• Is the cash controller aware of the correct procedure to follow when G4S make a collection?

  Yes

  No

  N/A

• Is the cash controller aware of the correct procedure to follow when G4S make a change delivery?

  Yes

  No

  N/A

• Is the correct procedure being followed when reporting any G4S or cash issues?

  Yes

  No

  N/A

• Is T&A and the punch communications log being used correctly and is the manager verifying any changes made before payroll is processed?

  Yes

  No

  N/A

• Is the SM/ASM punching in & out correctly as per the company policy?

  Yes

  No

  N/A

• Are all refunds and void orders being completed and tracked on a weekly basis and are the receipts stored correctly in the CML?

  Yes

  No

  N/A

• Is the Z read on the PED's being completed every night, and is it being stored in the CML?

  Yes

  No

  N/A

• Is the DM checking the CML?

  Yes

  No

  N/A

Cash Control

• Is the partner witnessing the CC pulling their drop box when cashing out & signing the drop bag to confirm to confirm?

  Yes

  No

  N/A

• Is the CC showing the partner drop bag to the camera before dropping it into the safe?

  Yes

  No

  N/A

• Is the CC cashing out partners in line with the Simphony policy?

  Yes

  No

  N/A

• Is the CC the only partner involved in cashing out final till drops in line with the Simphony policy?

  Yes

  No

  N/A

• Are all paid outs for approved company expenditure and are they processed and stored in line with the petty cash policy?

  Yes

  No

  N/A

• Have all variances > £3.00 been documented on a partner file note and discussed with the partner by the Store Manager?

  Yes

  No

  N/A

• Where a variance has been identified has a till audit been scheduled, completed and documented by the Store Manager?

  Yes

  No

  N/A

• Does the CC know the procedure when dealing with counterfeit notes?

  Yes

  No

  N/A

• Is the apron policy being followed?

  Yes

  No

  N/A

• Are partners being charged for black polo shirts correctly?

  Yes

  No

  N/A

• Is the uniform leavers process including checklist being completed when partners leave the business?

  Yes

  No

  N/A

Single Person Banking

• Are you completing this section today?

  Yes

  No

  N/A

• Is the CC ensuring the desk is clear before completing the banking?

  Yes

  No

  N/A

• Is the CC using the correct mats when completing the banking/counts?

  Yes

  No

  N/A

• Is the CC completing the banking books correctly?

  Yes

  No

  N/A

• Is the CC showing all the drop bags to the office camera?

  Yes

  No

  N/A

• Is the CC key handover being recorded in the CML?

  Yes

  No

  N/A

Incident Management & Partner Security?

• Does the store have copies of the contact information documents displayed correctly, and are they up to date?

  Yes

  No

  N/A

• Is the 'Emergency and serious incident guidelines' pack completed correctly, up to date, and stored as per policy!

  Yes

  No

  N/A

• Do all partners know the location of their emergency evacuation meeting points?

  Yes

  No

  N/A

• Are incident report forms being completed where appropriate, and in a timely manner?

  Yes

  No

  N/A

• Where required has a store specific risk assessment been completed?

  Yes

  No

  N/A

• Are there adequate facilities to store partner's personal belongings and are they being used?

  Yes

  No

  N/A

• Are partners aware of the actions to be taken when handling lost property including credit & Starbucks cards?

  Yes

  No

  N/A

• Do partner files contain fully completed safety and security documents and are hey kept secure?

  Yes

  No

  N/A

• Have all partners signed & completed the Till operators Agreement?

  Yes

  No

  N/A

• Does the SM have a master-code for store alarm?

  Yes

  No

  N/A

• Is the Kings key holder list up to date and is it stored in the outer safe?

  Yes

  No

  N/A

• Is the CCTV system set up correctly & is it functioning & recording?

  Yes

  No

  N/A

• Are partners following the correct opening/closing policy?

  Yes

  No

  N/A