Information
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Document No.
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Conducted on:
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Station name
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Colleagues in attendance during ICC:
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Add signature
Ticket issuing system
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Unattended ticket issuing system:<br><br>Do unattended TIS display "Secure/Off shift" statuses? <br><br>
TIS cleaning and maintenance:
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TIS appears clean and satisfactorily maintained?
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Is there a cleaning register in place and is it being completed consistently?
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Are printers clean and dust free?
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Are the necessary cleaning materials readily available?
Chip and Pin (C&P) devices and customer screens
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Conduct a visual check to ensure C&P customer display unit is in full working order.
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Is the C&P device secure?
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Can the C&P a device be removed from its securing mechanism (Stolen)?
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Is the security seal in place on the device, are there any signs of tampering?
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Does the security seal security number match the records held?
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Is the daily check sheet being completed (any comments please record below including failures, discrepancies and take photo if necessary)?
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Are there any visible indicators of tampering either to the device or the surrounding area in which it is located?
Equipment Fault logs
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Is there a log in place for machine failures and is this kept up to date (record finding on the register)?
Cash handling: Window floats
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Check float log or register (identify any issues and record them in he comments box below and on the register itself).
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Are opening and closing seals being accurately recorded?
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Check that the daily issue of each float is duly recorded and changed at each turn of duty. (Record any concerns in comments box)
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Undertake a physical check and validate the float value (count one or more of the floats held against the value declared, record any comments or concerns in the comments box). Note: only the station manager can undertake this task.
Office floats
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On the office float log are any discrepancies identified? If so, record information in comments box.
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Check that the value of all floats are verified and signed off. Note: only the station manager can underage this task)
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Are opening and closing seals being accurately recorded?
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Count and validate float value, record in comments including discrepancies and actions.
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Does the station float value match to the list held by station accounts?
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Are float bags in good order?
Cash handling - change orders and delivery
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Check that the change order log is maintained, any discrepancies are recorded in the comments box.
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Check accuracy of completion, record any concerns in comments section.
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Is the change on hand checked and signed for each change of responsability?
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Verify that balances are checked and signed off by Station Manager/team Leader at least once per week, any comments or discrepancies to be identified in comments.
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Check levels do not exceed the agreed station limits, any discrepancies to be noted in comments.
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Check that payments are made in a timely basis (floats repaid). Any concerns or discrepancies to be recorded in comments.
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Verify value and validate against log. Any comments to be recorded.
Collection logs (Approved security company)
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Check five logs from the previous 4 weeks are signed off by a GTR representative/ security personnel and the bag numbers on the White receipt and these match those on the collection log. Any comments or concerns to be recorded.
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Can the sales clerk demonstrate their understanding of the reporting procedure for failed collections. Please record level of compliance and understanding or concerns in comments.
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Confirm that individual seals are checked in the main bag. Any discrepancies to be recorded in comments.
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Verify local sign off collection logs by station manager or designate person. Any concerns or discrepancies to be put in comments.
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Check that bag numbers listed match those present awaiting collection. Record any pertinent detail in comments.
Cash regulations
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Check that all employees have signed for the current copy of cash regulations. Please demonstrate in comments those who comply/ fail to comply and actions.
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Ask sales colleague(s) a question from cash regulations to ensure their knowledge and understanding ensures compliance. Note any comments.
Administration, process and shift reconciliation.
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Shifts sheets are accurately completed - review recent paperwork and assess accuracy. Note any comments or concerns.
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Check that continuity is recorded accurately and encodes/ replacements/ non- issues are recorded. Any failures to be recorded in comments.
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Check shifts for prior two days have support paperwork (end of shift etc/non issues are recorded)
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Ensure all shift sheets are signed by the operator. Note any failures or comments.
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Check all station copy shift paperwork is filed and stored (minimum 13 periods)
Surplus and loss reconciliation.
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Check that all instances are explained/followed up to resolution and signed off where appropriate. Any issues or concerns to be recorded in comments.
Shift paperwork self service ticket machines (SSTM)
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Does continuity of SSTM paperwork documentation for each match over last 4 weeks? Note comments or discrepancies.
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Check any recipes form engineers and confirm any monies have been recorded on shift. Any discrepancies to be recorded in comments.
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Is all station copy shift paperwork is filed and stored for a minimum of 13 periods. Any concerns or comments to be recorded.
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Is storage of machine access cards/keys appraise and kept in a secure environment?
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Is there any evidence of tampering or misuse. Note any comments.
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Are machines covered by operation CCTV . Please note any issues.
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External machine emptying (inc pert is). Is the cash emptied at least once a week and a record kept of continuity/ money taken. Note any issues or discrepancies in comments.
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Are the emptying times varied and are they emptied during daylight hours whenever possible. Note any comments.
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Confirm that SSTM's are emptied by two staff as per cash regulations and supported on the reconciliation document. Note any comments.
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Are all machines in full working with all methods of payments available for customer use.
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If applicable, are permit machines switched off during sales office operations. Note any comments.
Office library and information
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Establish if charter discount for the previous 13 periods is accessible by colleagues, and check for their knowledge of location.
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Can the colleagues demonstrate how to access "The Manual" and demonstrate their knowledge.
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Are cheque acceptance procedures available, and method of payment stickers compliant to the standard.
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Is a copy of the GTR customer charter available for reference (QuEST)? A full printed copy must be on hand and colleagues aware of its existence.
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Is a copy of any other relevant train operator that services call at the station available for reference (QuEST)? Are colleagues aware of its existence? Note in comments any issues.
Refund management
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Are all refunds logged in the appropriate register (including all cash refunds and paid out items).
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Refund applications have been completed in accordance with RSP guidelines?
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Are all surrendered tickets marked as cancelled and attached to the refund application, does the route/journey match the details on the application?
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Are all refund claims valid (not out of date etc)?
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Do colleagues move unclaimed cash refunds to a secure location after 3 months?
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Are all refunds correctly authorised by the required identified person as per delegated financial authority. Note any discrepancies.
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random check - check calculation of amounts. Comment on discrepancies.
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Check paid out refunds and ensure customer has receipts by form of a signature. Note any discrepancies.
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Random check to ensure that payment method for refund is the same as the method used to purchase ticket. Note any discrepancies.
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Has the Season Ticket left at home register been completed? Note any discrepancies.
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Have all duplicates and encodes been recorded in the required manner? Note any discrepancies.
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Are all duplicates authorised before being re-issued? Note any discrepancies.
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Refund claim - fraudulent checks. Verify that checks (not stamped/clipped) are in place and check local understanding of such checks by colleagues? Note any issues.
Security
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Sales access - identify areas of weakness against forced entry, check for listings and document findings. Note any concerns in comments.
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Are all security doors locked shut when not in immediate use? Note any comments.
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Visually inspect the visitors book to ensure that all records are kept up to date, and that all entries are recorded and that all persons who sign in also sign out. Note any comments or discrepancies in the comments.
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Is the latest authorised access available and displayed for colleagues to be able to easily access information contained on it?
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Is personal identification checked against the authorised access list for all visitors? Note any concerns or comments.
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Check existence of office access key register. Note any comments.
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Conduct a random check for accuracy of office access key register. Note any concerns or comments.
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Have all door codes been signed for?
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Have all staff who are identified as being in possession of keys, signed for the keys?
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Check for existence and accuracy of cash access/ safe key register. Note any comments.
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Check existence and accuracy of relief key register, ensuring all identified users have signed for their keys issued. Note comments.
Safe check - Cash draws - unattended cash - alarms/panic buttons - CCTV - safe combinations
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Check if safes are fit for purpose. Note any concerns comments and actions.
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Is a safe combination in use? Note any comments.
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Is the key still in the safe? Note any comments.
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Is the key kept in a secure location when not in use or overnight? Note any comments.
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Has the combination been signed off by all users in accordance with regulations?
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Physically check the safe to ensure it is locked when not in use. Note any comments.
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Are all cash draws in full working order, lockable and fit for purpose? Note any issues, fault numbers, issues in comments.
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Ensure that no cash is left unattended and therefore exposed to the opportunity of theft, document your findings in the comments.
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When unattended are cash draws secured? Note comments or findings.
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Are alarms in full working order and regular checks in place to ensure that they are working. Note comments.
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Check the alarm register to ensure compliance and that this is being used as per the regulations. Note findings.
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Is the CCTV a coverage appropriate. Note comments or issues.
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Does the CCTV a signage meet legal requirements.
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Numerical codes - for safe combinations, alarms and door keypads are these changed quarterly or when an employee leaves upon theft. Note comments.
Sundry checks
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Schedule 17 - check open and close operation times to ensure compliance to our schedule 17 compliance. Note any comments.
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GTR Vision - do colleagues have a knowledge and understanding of the GTR vision statement as per TSA objective 1.
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GTR a fraud hotline - is the GTR a fraud hotline number on display in colleague exclusive areas (not public). Note comments.
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Non smoking area - are the legal requirements for signage to denote non smoking areas met within the ticket office and station? Note comments.
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Locked stock - do locked stock records accurately reflect items on hand/ sold? Note comments.
Data security standards - Payment card (PCI DSS)
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Do colleagues understand the procedure for cards left behind? (Chopped, last four digits in LP register and sent to accounts department? Note comments.
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Are all card details stored securely (including TIS receipts and refund forms)? Note comments.
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Is there a process in place to ensure secure disposal of card details? Note comments.
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Are colleagues aware of the importance of guarding data from theft? Note comments.
Shift sundries
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Have all cheques on hand been completed correctly on both the front and reverse. Note comments.
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Are all warrants on hand been completed correctly - verify values entered on warrants on hand. Note comments/findings.
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It's the GTR lost property register present and being accurately maintained. Note comments.
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Random check - check any lost property on hand to ensure compliance and that all items recorded accurately. Note comments.
Previous Audit reports performance measuring
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Compare current performance against previous reports, check the previous recommendations have been implemented. Record any comments or areas of non- compliance.
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Name: followed by electronic signature
