Compliance Audit - High Scoring

• Site conducted

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

Check banking stubs against the payment summary on PRISM for anomalies, missed banking's, variances

• Check previous 4 weeks (3 points)

  Yes

  No

  N/A

Valeting Reads Empty each machine and take readings to reconcile cash

• Using the on site valeting sheet check that the valeting monies on site matches the sheet and readings (5 points)

  Yes

  No

  N/A

Site Monitor Check that the site are completing the valeting section on site monitor each week

• Check set amount of weeks for completion and also back check figures are correct using PRISM reports (5 points)

  Yes

  No

  N/A

Code of Conduct Check all staff have signed it off

• Check off staff files to enusre all staff have signed off COC (1 point)

  Yes

  No

  N/A

Fraud awareness Check all staff have completed fruad awareness test

• Check off staff files, or CPL, to ensure all staff have signed off fraud test (1 point)

  Yes

  No

  N/A

Check the last 4 weeks of voids (10% spot check)

• Investigate any voids out of tolerance using CCTV etc and report any anomalies (5 points)

  Yes

  No

  N/A

Check the last 4 weeks of refunds (10% spot check)

• Investigate any refunds out of tolerance using CCTV etc and report any anomalies (5 points)

  Yes

  No

  N/A

Check price overrides

• Check price overrides for any large price modifications and investigate as required (3 points)

  Yes

  No

  N/A

Till Check functions

• Check till check functions, only the Manager and assistant manager should use them. Remove if cashiers have the function (2 points)

  Yes

  No

  N/A

Newspaper vouchers

• Are all the newspaper vouchers being sent back (2 points)

  Yes

  No

  N/A

HVC HVC 40 random high value lines

• Any discrepancies should be investigated and instigate a full count on the relating sub department (1 point lost per variance over £3) (10 points)

  Yes

  No

  N/A

Deliveries

• Spot check 4 deliveries on the CCTV and see if HVCs are being checked off and stock brought in and secured (5 points)

  Yes

  No

  N/A

Waste

• Spot check 4 weeks waste to check it is being recorded regularly (Every other day at least) (5 points)

  Yes

  No

  N/A

Suspended sales (IR2 ONLY)

• Check suspended sales and ensure that there are none (3 points)

  Yes

  No

  N/A

NMOP

• Check last 5 NMOP, has the log been filled out correctly and is there evidence of the money being chased? (3 points)

  Yes

  No

  N/A

Cash Control Check that all cash on site is being controlled in a secure manner

• Ensure that there is no cash lying around on surfaces or in sight of customers, change floats are secure and out of site (3 points)

  Yes

  No

  N/A

Cashing up controls Observation

• Audit CCTV, 3 random days of cashing up to ensure that when cash is out it is being handled in the office behind a closed secure door (5 points)

  Yes

  No

  N/A

HVC Security

• Is the HVC (Lotto, Cigs and spirits) Locked away and secure in the event of a break in (5 points)

  Yes

  No

  N/A

Price Checking - Using the stores stock file and HHT check SEL's match price file

• Check 50 random lines across shop and ensure all Prices match tickets - 2 SELs incorrect price is worth 1 point. (5 points)

  Yes

  No

  N/A

SEL Check - Missing Tickets

• Check 50 random lines across shop and check for any missing SELs - 2 SELs is worth 1 point. (5 points)

  Yes

  No

  N/A

Tobacco pricing - check 20 lines

• Check that tobacco pricing is in line with company pricing for that specific site and that margins are being achieved (2 points)

  Yes

  No

  N/A

Site Monitor

• Spot check 4 random weeks of site monitor to see if all is being filled in correctly (Excluding Nayax as already checked as part of valeting). 1 point per week (4 points)

  Yes

  No

  N/A