Internal Audit Report Summary (Stores)

Title Page

Store Number:
Store Name:
T.Manager Name:
Area Manager:
Completed By:
Date Completed:
Last Years Score:

Store Security

1 Open and Close Are the guideline's followed for opening and closure of the store . i.e. at least two open and closing the store Observe opening or closing of store including CCTV footage Observation / CCTV
2 Goods in area Is the back door secure and under management key control? Check the back door is alarmed and set correctly and ensure that only the management team have access to the Key / Fob. Also check the integrity of the locking mechanism Observation and check of back doors
3 Colleague Searches Are colleague/visitor/contractors searches taking place and being recorded as per policy? Observe search process to ensure all bags are checked . Colleagues, Contractors and , Visitors must have their bags checked. Review daily Search logs for completion and check that ALL colleagues have been captured over a 4 week period and that the searches represent all shift patterns as well as close of shift. 4 weeks search logs
4 Secured areas Are colleague & back office areas secured? Check to see if all locks are working and servable in all secured areas Observation
5 Key Security Are all keys secured / key press under management control? Check the key box is locked and the key stored away from the box. If a code box is in use must be locked Observation
Key Security Are the store keys and the alarm fobs stored separately by each key holder? Check all key holder keys available on the day. The keys and fob should be kept on a different keyring, not together. Observation
6 CCTV Is CCTV in place, correct time/date and awareness on how to use? Review system to ensure all correct and functioning correctly with the correct time and date Ensure manager can complete download process onto disk or alternative and is confident using the system. CCTV system review
7 Red routes Are Red Routes clearly identified to all colleagues and being used? Question three colleagues about red route knowledge of high loss areas. And Check that red routes are displayed in colleague hub Observation / question 3 colleagues
8 Security Is the intruder alarm key holder list up to date? Review key holder list with Store management to ensure it is up to date Observation
9 Tagging Tagging of products - sample 20 from latest tagging list Check 20 Lines from high loss department to ensure the Tagging guidelines are being followed correctly sample 20 products
Tagging Is tagging system working including till deactivators? Physical check and test all systems to ensure all are working correctly and if not have the issues been reported to FM or Loss Prevention Manager physical check of equipment
10 Colleagues Belongings Are colleagues belongings secure (handbags, book bags, rucksacks etc.) and not in prohibited areas i.e. the cash/back office, stockroom etc.? Ensure personal belongings are kept in lockers with the key removed or in the dedicated area agreed with the manager (e.g. Colleague hub / locker area). Bags that do not fit in lockers must have the high value content removed and put in locker e.g. mobile phone, purse etc. and not in prohibited areas. Observation
11 Cash Security Equipment in place and serviceable - counter cache, PA buttons etc. Physical check and test all systems to ensure all are working correctly and if not have the issues been reported to FM or Loss Prevention Manager physical check of equipment
12 Lost property Is the lost propriety process in place for and controlled? Check to see if lost propriety log is in place and controlled by management team, with dates of destruction cards etc. Check Logs

Cash Control

13 Deposits Do deposit slips agree with the weekly cash statement? Verify 4 recent deposits slips are reconciled to the daily cash statement. Previous 4 weeks packs
Deposits Have deposit slips been signed by two colleagues? Verify 4 recent deposits for two signatures. Last 4 deposits
Deposits Are deposit slips supported by a receipt from Loomis and attached to the Banking Journal? Verify four weekly deposits have Loomis receipt attached. And attached to the weekly Banking Journal Previous weeks pack, Last 4 deposits
14 Cash Count Does the store banking safe and cash in NAV match the safe contents? Check the amount showing in both Cash and banking safes in NAV and check it is correct to cash holding in store and physically count main safe and change safe / tin Safe and Nav records
15 Cash Pick Up Log Is the cash up log maintained and managers names and witness present with initials? Check last 4 weeks Cash pick up logs for names and witnesses with initials fully completed for each day on the log for each week reviewed. Previous 4 weeks cash up packs
Cash Pick Up Log Are the Cash pick-ups/lifts by till recorded as checked at the bottom of the form showing number of bags/lifts present? Check last 4 weeks Cash pick up logs for full completion of cash pick up / lift totals added and checked by day for each week reviewed. Previous 4 weeks cash up packs
16 Daily Refunds Refunds - are all refunds authorised and slips retained? Check 4 weekly cashing up packs to ensure refunds are checked with the correct report and each report is signed along a signature on the weekly review document Previous 4 weeks packs
17 Safe Checks Has the safe float (i.e. the money in the safe) been checked twice as part of weekly cash reconciliation, at the beginning and the end of cashing up? Verify that a count has been performed twice each week. Review the safe check form and ensure it is signed by the persons who completed the cashing up. Previous 4 weeks packs
18 Cash Discrepancies Have till and safe discrepancies +/- £20 per till or £50 across all tills been investigated where necessary? Review last 4 discrepancies Verify that Till Discrepancy Report Forms and TDQ* questionnaires have been completed. * If Applicable Previous 4weeks packs
Cash Discrepancies Have till discrepancies been posted on the colleague notice board in the Hub? Verify that the current period till variance's are present and updated correctly on the colleague notice board in the hub to drive awareness of till variances. Observation / Previous 4 week packs
19 Till Overrides Have all Discounts been reviewed and correctly processed, including matching to the daily till report? Check last 4 weeks cashing up pack to ensure all discounts have been reviewed as part of the weekly cashing up process and checked for authorisation. Previous 4 weeks pack
20 Safe Access Is the Safe secure and no unauthorised items in safe? Check the safe is locked secure when not in use and only authorised items present Physical check of safe door/contents
Safe Access Is there always two colleagues present when the safe is open? Ensure there are always two colleagues present when the safe is open. Check CCTV to review previous days activity. CCTV

Stock integrity and Goods Receipt

21 Goods Receipt Are all goods received entered onto the log? Ensure all Po's are correctly logged and match all delivery notes on the log Last 4 weeks log and Delivery notes
Goods Receipt Are all goods received booked in within 48 hours? Check the goods in log to ensure that all goods are booked in within 48hrs Review Goods in Log / Observation
Goods Receipt Are outstanding ASN's and Transfers over 7 days being investigated? Review retail receiving in NAV and filter expected date to - 7 days to ensure they are no ASN or Transfer over 7 days old Review Retail receiving in NAV
Goods Receipt Is there evidence that delivery notes are signed and dated? Check all delivery notes to ensure all have been signed and dated when booked in this is in order to comply with KPMG audit requirements Last 4 weeks Delivery notes
22 Goods in set up Is there a clear segregated area for goods not yet booked in and is it being used? Ensure that goods in the goods in area are clearly segregated with signage or floor markings to ensure goods that are not booked in can not be processed to the craft floor Observation
23 Goods in / Craft floor Are high-value lines from the DC being checked on receipt? Review DC High-Value check list weekly using the correct version and preformed as part of ways of working. Review against DC delivery and check all high-value lines are correctly received and or claimed for through DC support using the High-value checklist as evidence to make the claim. Last 4 weeks Value checklists and email claims
24 Negatives Negative counts completed and minimal value of Negatives.(At least 4 per week) Review Negative stock count in Nav and compare to paperwork to ensure these have been completed correctly Nav / and stock paperwork
25 Stock integrity Weekly Stock Integrity counts completed. Review posted HHT header in NAV for Stock Integrity to ensure this process is completed on a weekly basis over a 4 week period 4 Weeks posted integrity counts
26 Adjustment Reporting Are excessive adjustments reported to area manager and Loss prevention Manager prior to posting? Store to ensure that all large adjustments over £200 are reported to area manager and loss prevention manager with reason for adjustment Posted adjustments in BI reporting / Emails
27 Physical Inventory Are PI counts completed as per the PI schedule? Ensure PI counts are completed to date as per the company PI schedule. Review reporting and adjustment levels against the schedule. Also, ensure PI paperwork is correctly signed and file is correctly stored Review PI/Fit Schedule To Date
28 Stock control Damaged stock written off and quarantined. Ask two colleagues and a member of the management team to explain the store process for damaged stock processes and locate any damage stock still in store to ensure that if has been adjusted from the stock file correctly Posted adjustments in BI reporting / Observation
Stock control Store Use stock written off. (check random items from Hub, craft room etc.) Check 5 items from SOU area and look up the stock history in NAV to ensure they been written off to the correct adjustment code Nav History
29 Stock integrity Physical Stock Check to book stock. Check a minimum of 50 lines including recent lines that have been included in a PI /Fit check to ensure stock accuracy HHT/Nav
30 Till Procedures Dump Codes not to exceed £10 per week. Run a four week Dumpcode report from Nav and the average for the four weeks should not be over £10 per week. Nav info code report
31 Supplier Returns Procedures High value Returns guidelines available? Check that the High value returns process poster is displayed for all colleagues to see Observation
32 Pricing Correct pricing of stock including promotions Check a minimum of 50 prices including promotions to ensure goods are priced correctly in order to avoid Trading standards issues HHT

Health and Safety

33 Fire Safety Fire Exits and routes clear - internal, external and with signage, including directional signage on craft floor and back stage including lift signage Check that all fire routes are clear without obstructions including Disabled refuge areas, and that all fire door open freely. Review of directional signage on the craft and backstage areas to ensure clear direction in case of fire. Observation
Fire Safety Are cages/totes/recycling etc. outside stored away from the building or stored inside? Visual check to ensure no recycling/waste / totes etc. are stored against the outer fabric of the building in order to minimise the risk of arson/fire Observation
Fire Safety Fire Extinguishers available, unobstructed and serviced. All fire Extinguishers to be located in the correct position as per the fire map layout and unobstructed. The service record on each extinguisher must be updated and fully completed Observation
Fire Safety Fire Risk assessment completed and reviewed annually Review Virtual PA to ensure that the fire risk has been completed by a Trained person and is up to date, and been has refreshed if a major layout change has been completed and the FRA form is signed and updated annually Review H&S Noticeboard and VPA
Fire Safety Fire evacuation completed and recorded Review Virtual PA to ensure that all evacuations have been completed including a record of colleagues who where present, the timing/day of the drill should also aim to cover all colleagues in a full year and should also include Evac chairs if present Review VPA Full year
Fire Safety Fire safety tests completed, alarm, emergency lighting etc. Review Virtual PA to ensure that all test are completed on time and none have expired and all logged correctly, any failures must be supported by emails to FM for corrective works Review VPA last 6 weeks
Fire Safety Utilities cupboards secure and clear of combustibles. Check that all utilities area and cupboards are free of goods and rubbish, and are locked when not in use and access is not blocked in case of an Emergency Observation
Fire Safety Signing in book available for all visitors and contractors and colleagues Check that the signing in Book is available for colleagues and is being used on a daily basis. Also the signing log for contractors and visitors (f17) form is in place and in use Observation
34 First Aid First Aid boxes available and correctly stock without prohibited items Check all first aid boxes for correct items making sure there are no prohibited items and all items are in date and Virtual PA checks completed Observation / Check VPA and all boxes
First Aid Complement of first aiders Review Frist training and expiry dates for all trained colleagues to ensure correct coverage Observation
35 Legal Requirement Accident books - available, completed and completed entries stored securely. Review Accident books to ensure completed correctly and stored securely in line with data protection policy and all entry's should have a matching entry in Hubnet Review Hubnet / Accident book
Legal Requirement H&S notice board - complete and up to date? Review H&S notice board and ensure all documents are correct and not out of date Observation
36 Health and Safety Stock room and back areas tidy with access, no hazards or storage in prohibited areas Visual check Stock room and back area to identify any hazards including the safe storage of ladders and equipment Observation
Health and Safety Emergency contact list up to date and in Virtual PA Review the Emergency contact list in Virtual PA and ensure it is up to date and any leavers have been removed Review VPA
Health and Safety Is all equipment, stepladders, trolleys free from any defects? Visual check of equipment to ensure it is in good working order Observation
Health and Safety Are the spill kits available and complete? Check for the present of a spill kit and ensure all contents are complete and is store in a accessible location which all colleagues are aware of Observation
Health and Safety Colleague Training up to date? Review all outstanding training for all colleagues in Upskill through Virtual PA and ensure none is more than 12 weeks overdue and ensure all training modules have been allocated to all colleagues Review VPA
Health and Safety Colleagues have reviewed and signed off for Covid-19 assessment and ways of working? Check sign off by all colleagues andf management for the review of Covid-19 general risk assessment and ways of working. Review manaual sign off form
Health and Safety All fire Extinguishers to be located in the correct position as per the fire map layout and unobstructed. The service record on each extinguisher must be updated and fully completed Review VPA
Health and Safety DILO correctly completed with daily hazard trawls completed by store management team and retained Review the last 4 weeks DILO sheets in ensure they have been fully completed and signed by store management Sample 4 weeks DILO
37 General Risk assessments Is the General Risk Assessment folder set up and represnts the current version? Check current General Risk Assessemtn folder and ensure it reflects 2019/20 version of the cover, contents and Risk assessment guide document. Review of General Risk Assessment folder
General Risk assessments Have all Risk Assessments been reviewed and signed by the Territory manager / management to show they reflect the store location? (Any changes issues have been escaleted to Risk manager?) Check current General Risk Assessemtn folder and ensure each risk assessment in each section is signed off at the end as reviewed by the manager within the current year 2019. Review of General Risk Assessment folder
General Risk assessments Have all relevant Risk Assessments been reviewed and signed off as seen by all Colleagues and Managers in the last 18 months? Check current General Risk Assessemtn folder and ensure that ALL colleagues and managers have signed off for relevant risk assessments as reviewed within the last 18 months cycle. Review of General Risk Assessment folder
38 Special Risk assessments Special Persons risk assessments completed and notified to People Team Review people files to ensure any special persons risk assessment have been completed and contact People team to ensure full process has been followed Contact HR
39 Trading standards Legal signage in place, knives aerosols etc. with completed checklists Full check of the Craft floor ensure all legal signage is in place including promo ends, power panels and monthly checklists have been completed Observation / Checklists
Trading standards Are legal age restricted sales processes and procedure being adhered to Check to training records and refusal log to ensure compliance Observation/training records and refusal log
40 Weee Is Weee signage and documentation in place with Training Check to see if all colleagues have been trained in Virtual PA and signage and battery recycling box in place Observation/training records in VPA

Data Protection

41 Front of house Are the front of store computers including tills signed off and locked when not in use? Check all computers and tills are locked when not in use and require access credentials to use. (Logged off tills have Crafty Monkey screen saver). Check of tills and computers
42 Front of house Are the front of store computers clear of any attached unauthorised devices? Check all USB and access ports etc. to ensure no unauthorised devices such as USB sticks, Phones etc. are attached. Check of computers
43 Front of house Is the general till area and back of tills clear of any personal data? Search back of till areas for any personal data left insecure including access passwords, CV's, Payslips, Emergency contact details, Club sign up information and customer addresses etc. Observation and check of till area
44 Front of house Are colleagues at the till point using their own log in to use the tills etc.? Approach colleague at the till point and look at till screen if signed off then Crafty Monkey will be on screen. If signed or asked to sign on then colleague number will be displayed at the top of the screen. Ask them to print the last transaction that they completed in the till (Receipt print) and this will give name and number that you can check against name badge to ensure correct colleague. Check till screen and print receipt to prove user logged on.
46 Are store servers secure and or clear of any unauthorised attached devises? Check the location of the store servers to ensure they are secure if applicable, but more importantly have no attached unauthorised devises i.e. USB sticks, external drives etc. Observation
47 Colleagues Hub Is the colleagues Hub area clear of any sensitive personal data? Search Hub area for any personal data left insecure including CV's, Payslips, Emergency contact details and customer addresses etc. Observation and check of Hub area
48 Managers / General Office Are the office computers including tablets signed off and locked? Check all computers and tablets are locked when not in use and require access credentials to use. Check of tablets and computers
49 Managers / General Office Are the office computers clear of any attached unauthorised devices? Check all USB and access ports etc. to ensure no unauthorised devices such as USB sticks, Phones etc. are attached. Check of computers
50 Managers / General Office Is the Managers or General office area clear of any sensitive personal data? Search Managers and or General office area for any personal data left insecure including access passwords, CV's, Payslips, Emergency contact details and customer addresses etc. Observation and check of office area
51 Managers / General Office Have all colleagues and managers got their own user accounts set up in store, or if new starters account applied for? Check the store colleagues list against the report from IT detailing who has a Till and Windows account, all should be current team only and others should be blocked from access or removed etc. (Report is requested by auditor day before the audit from IT and printed ready for the audit). If there is no account for a current colleague then store should demonstrate email with FO6 request to IT. Review system listing and evidence of F06 form completed for new start and submission.
52 Personal data secure Are all personnel filing cabinets secure with the key under management control? Check the personnel file filing cabinets are locked and the key stored away from the cabinets. If a code key box is in use must be locked. Observation and check of cabinets
53 Personal data secure Are colleague appraisals and reviews secure? Check all filing trays in the offices and Hub on the day. The files and documents should all be secure and locked away. Observation and check of filing trays
54 Personal data secure Are waste bins and or shredders clear of personal data? Check all office and back door / till area bins to ensure clear of any dis guarded personal data. Also check shedding areas to ensure the machine and or location is clear of personal data. Observation and check of waste bins
55 CCTV Is the CCTV monitor switched off when not in use? Review system to ensure the CCTV monitor is switched off when not in use and that if in use for the observation of FOS is only displaying these images. CCTV system review
56 CCTV Is the DVR clear of any old recordings on either Disc or USB stick left unprotected? Review system DVR area and look for old DVDR's left or USB sticks left in the vicinity that contain CCTV images not protected. CCTV system review
57 CCTV Is CCTV signage present throughout the store and in the correct version? Review sales floor and back of house CCTV signage to ensure current version and in place including office door "Recording equipment signage". Observation and check of Sales floor
58 Training Have ALL colleagues received GDPR Basics awareness training including Information Security? Check Virtual PA / Upskill reporting for the store to ensure all colleagues have completed the GDPR and Information security awareness training. Review VPA for completion
59 Training Have ALL management received Data Protection and Security Essentials training? Check Virtual PA / Upskill reporting for the store to ensure all managers have completed Data Security and Information Essentials awareness training. Review VPA for completion

Completion

Additional Comments
I, as manager of the above named store accept these actions following the audit completed at my store and agree to implement them with immediate affect in line with the deadlines stated.
Manager Name and Signature