In-Unit Audit Template-China-V1-20160620

1. 项目点整洁有序 Adequate order and clean conditions exist at the unit.

1.1 项目点有清洁和消毒的时间表 There is a cleaning and disinfection schedule

1.2 检查小器皿的清洁和消毒 Cleanliness and adequate disinfection of utensils is verified

1.3 工作区域整洁有序 Work areas and equipment are clean and organized

1.4 项目点具备HACCP/ISO(或者其他当地政府要求的)认证文件的复印件 Units have copies of the latest HACCP/ISO certificates or any other as per the local requirements

1.5 项目点有急救药箱并有合适的位置指示 Complete First aid kit is available and adequate signages of its location

2. 已进行虫控并且还在有效期内 Pest control is performed and certificate is up to date

3. 每道菜品都按照HSE要求保留有样本 Food control samples are taken for each service provided

4. 所有员工都使用合适的劳动保护用品 All staff members have appropriate personal protective equipment (PPE) and are in good condition

5. 经加工的食品是否都有标签注明详细信息？（包括名称，生成日期，有效期）Are work-in-process inventories consistently labelled?

1. 已签署合同并在合同有效期内 There is a signed contract / statement of work in place

1.1 Validate that the contract is current

1.2 Unit Manager is aware of contract main clauses (operationally and financially) and these are being complied with.

2.1 Is the balance reasonable?

3. The accrount receivable process is adequately followed

3.1 On line sales report is prepared on daily basis

3.2 Invoices are raised in a timely fashion with the relevant supporting documentation, and feedback evidence from client for the invoices issued from head office is retained.

3.3 Adequate follow up of overdue receivables is performed. There are no items older than 90 days.

4. Functions / extra services are adequately supported and invoiced

5. Client satisfaction meetings are held.

6. Customer satisfaction is measured

7. Service conditions are adequate at the unit, identify deviations in service conditions and establish action plans to improve user satisfaction

7.1 Unit layout is adequate

7.2 Cashier / tills are located in a way that makes it difficult for customers to consume a product or leave without paying

7.3 The menu is posted before initiating service and the information displayed is correct

7.4 The service is ready on time (incl. staff and products)

7.5 All employees are using the approved uniform

7.6 Utensils are always available (i.e. tray, cutlery, glasses)

7.7 Portioning utensils are used when serving food

7.8 Food is kept at a suitable temperature

7.9 Staff is respectful and polite to customers

7.11 Wait time in line does not exceed 5 minutes

7.10 Staff is familiar with the daily menu / specials and are actively offering the most convenient dish / other products

7.12 Canteen is clean and organized

1. Cashiers have been trained and are aware of till / retail control procedures

2. If there is a cash till / POS and it's in use

2.1.1 Each till user has their own individual login and password to the system, and uses their own login ID when processing a transaction. Logins are not shared between users

2.1.3 Till drawers cannot be opened between transactions (possibility to open till drawer is linked to sales transaction)

2.1.2 All cash is put immediately into till drawer

2.1.4 Till drawer keys are under the control of the Unit Manager / supervisor (key is not attached to the drawer at all times)

2.1.5 If there is a button to "open drawer" in the till, only the Unit Manager or supervisor has access to it

2.2.1 All sales are processed through the till as individual items at the correct selling price

2.2.2 All sales are processed through the till at the time it occurs

2.2.3 Cashier rings in a right item to that being sold / ring the right item during a transaction, Cashier does not under-rings a transaction in an effort to correct a previous mistake

2.2.4 Till is positioned so that consumers can see the screen

2.2.5 A receipt is offered to the customer for each transaction completed

2.2.6 Till / POS machine can print the report identify the different payment method, i.e. cash, card, mobile etc.

2.3.1 Voids / refunds / error corrections can only be performed by Unit Manager or supervisor

2.3.2 Any cash sales refunds is recorded in the log reviewed by unit manager/supervisor and signed by cash receiver

2.4 If a till / cash register is not in place, verify sales are manually recorded for each transaction.

3. There is a control for meal tickets received as a form of payment

3.1 Does the unit report and apply to central finance for coupon selling?

3.2 Are coupon issued by company appropriately controlled? Coupon collection, ruined, sold quantities are under dual control.

3.3 Credit Coupon selling has been confirmed by client in writing

4. The company cash and banking process is followed

4.1 Cash from sales is adequately safeguarded

4.2 Cash is double-counted and correctly recorded at the end of the shift

4.3 Variances over RMB 40 are investigated and documented

4.4 Sales/POS refill and cash reconciliations are performed on a daily basis.

4.5 Surprise cash counts by the unit manager and is documented

4.6 Cash sales is deposited to bank on regular basis, and not exceed the maximum amount on daily basis

4.7 Cash from sales is not used for petty cash purchases or to give loans to employees

5. The safe is managed following the company policy

5.1 Safe check is carried out daily

5.2 Safe check is carried out each month independently to the daily safe check

5.3 Safes are secured (bolted to the floor, with keys/locks, etc)

Balance agreed?

6. Petty cash is managed as per petty cash policy and recorded accurately

7. Sales Report input on time, correctness and Integrity

1. Standard menu and recipes are adequately implemented

1.1 Menu is prepared based on contractual requirements (weeks and preparations)

1.2 Compliance with planned menu is achieved (verify vs. requisitions and production sheets)

1.3 Standard recipes are adequately applied in kitchen / production requisitions (incl. quantities and type of ingredient)

1.4 There are no significant variations (+/- 5%) in the number of prepared portions vs. portions sold

2. Procurement execution is properly managed

2.1 eCOP system is used for ordering

2.2 Purchases are made based on menu planning requirements

2.3 No slow moving inventory / items in inventory that have not been used in the last 30 days

3. Three Way Match

3.1 All non eCOP procurement are properly pre-approved (i.e. cash purchasing, service procurement etc.)

3.2 At least 2 staff involved in the receiving process(if no, any specific reason), and adequate check is performed, including weighting, quality check

2.4 Inventory balance at period ends is reasonable

4. Stock issues / requisitions are made and documented according to planned menu and per service

4.1 Stock issues are signed by the receiver and warehouse personnel

4.2 First-in/First-out principle is applied

4.3 Stock issues / movement are documented on a movement sheet

5. Stock is properly secured (access to storerooms is restricted, monitored; high value items segregated).

6. Stock counts are performed properly

6.1 A weekly full count of food /monthly full count of non food inventory is performed

6.2 Blind count is performed

6.3 Count is performed by at least two personnel

6.4 Count sheets are signed by all stock taking personnel

6.6 Are all goods stored logically, correctly & rotated with non exceeding use-by date?

6.7 Results from stock counts are reviewed by the Unit Manager

6.5 Differences are investigated, quantified and documented

6.8 Count sheets are kept following the company policy

7. Key security procedures implemented and the log completed

8. Select 5 products from stock list and count items in storage. No exception noted.

1. When asked about the types of revenues / expenses / fluctuations, the Unit Manager demonstrates sufficient knowledge of the P&L

2. Fixed assets are in good conditions

3. Petty cash funds exist, reimbursements are adequately supported

3.1 Cash assigned as petty cash is physically located at the unit and is safeguarded

3.2 Petty cash is used for expenses established in the company policy

4. Ensure cash advances are being used for the purposes for which they are requested and that are duly supported

1. Number of unit employees agrees with payroll as well as the client contract

1.1 Number of unit employees agrees with payroll

1.2 Number of unit employees agrees with the client contract

2. Hours worked are accurately record for all employees at the unit

2.1 Working hours in e-attendance is matching with the actual records, there is reasonable examination and confirmed by employees if any difference.

2.2 Is working hours for part time staff meet the relevant labor law, no more than 24 hrs per week)?

2.3 Has overtime processed on E-attendance been controlled and authorized (as per labor law, monthly overtime should not excess 36hrs).The hours recorded accurately & filled correctly.

2.4 Attendance records 100% signed by employee self, and unit manager confirmed.

3. Shift plan is published with a week in advance and staff is aware of it

4. Hiring of staff(including temporary staff) is performed in compliance with company policies and procedures

5. Employee training records are maintained.

7. Employees do not have long-outstanding vacation days

6. Speak-up and 5 Golden Rules are displayed at the unit