Title Page
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KCA 2023
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Conducted on
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Prepared by
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Location
Cash
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1.01 - Does the cash held in the safes reconcile with the store system?
"Count all cash held in the store safes and reconcile to the screen Banking Safe Maintenance figure on the screen in the Cash Office. Use a safe check form (printed) to record count and also check and mark that : . all unreconciled pick-up bags are present. . all reconciled Loomis bags are present. . all till floats are present. . Loomis collections should be sealed. . Forged notes must be included as part of the pick-up but kept seperate. They must be banked for monitoring purposes & reported on SMART. . Lost cards should only be held for 24 hours before following the recovered card procedure. All floats and unreconciled cash bags should be held in bags with unique tags, (Floats can be left out in cash office unsealed - if this is the case then check value matches expected). This process should be withdrawn if the store are suffering cash loss. The Charity Float must be secured with a unique tag and recorded on the Charity Ledger Sheet."
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1.02 - Are daily safe checks & EOD checks being actioned in line with Company requirements?
"Review one month of completed safe checks to ensure that safe checks are completed each day. If banking reconciliation has been completed on a day, then no further safe check is required. All days where the daily banking is not completed, a manual safe check should be evident. The safe check should be printed from the BO system and show the reconciliation of both safe contents, including cash bags manually witten (ref 1.01). Check for alterations to Gift Card / Credit card totals in Daily Banking. These should always match the suggested banking report. The manual safe checks should be kept together for management review. Review one month of completed EOD checks to ensure that the checks are completed at the end of each day. EOD checks must be completed prior to closing. Any discrepancies on the actual versus expected bags should be documented on the system when prompted and investigated as appropriate. All entries / authorisation / checks should be completed using the colleagues unique user number, generic codes should never be used."
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1.03 - Are all paid outs valid and does supporting documentation exist?
"Review the last month of miscellaneous expenditure paperwork to ensure that the paid outs are made for valid reasons and that all supporting documentation is retained. . Paid outs should be completed in line with Company policy as detailed within Wixapedia. . Paid outs should NOT be done for charity, cleaning, colleague incentive, stationery, fuel, payroll, travel, see Company Policy for reference. . Customer concern payments should be supported by a CRL (concern resolution log) and payments via the till system should not exceed current guidelines as stated within Wixapedia (e.g. £100 cash/credit/debit card maximum). . Paid outs completed must have full supporting paperwork attached and where appropriate and authorised proof of purchase and / or vat receipt, and signed by management. . Paid out documentation must be retained for 6 years. . Social fund paid outs should only be processed if the account is in credit."
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1.04 - Are colleague’s performance on cash variances being managed?
"The performance of cashiers should be monitored on the Cashier Performance Report. Till shortages should be monitored daily by the store management, with significant variances logged in detail on the weekly cashier performance report. Any variances should be investigated daily by senior colleagues, and reported to management as appropriate. The cashier performance report, once reviewed by management should be held within the cash office. Should till variances persist, management should revert to individual cashier sign-ons until such time variances have reduced. Any significant or persistant cash discrepancies must be reported via the SMART security application."
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1.05 - Are the appropriate controls in place to ensure refunds are reconciled correctly?
". The Authorised Signature List must be up to date, with the sample signatures matching the colleagues actual refund signatures. . The current refund policy must be displayed on the help desk / tills. . There should be a procedure in place to account for all refund slips e.g all ticked as present, with any missing highlighted. . Missing refunds must be investigated, with stock checks as approriate added to the daily PI count. "
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1.06 - Are refunds processed in line with company policy?
"From a check of at least two days of refunds including one weekend day (minimum of 50) test the following: . Colleagues must use their individual user id to processs any refunds. . Refunds must be signed by both colleagues & customers, . Refunds to cash or card without proof of purchase must only be done at the discretion of the management team. . Authorising management / supervisor should be present at the refund and either process or sign the refund slip as authorised. . Original transaction details should be captured by either scanning customer receipt, keying in, or annotating on the refund slip. . Refunds where the customer has refused to pass on their personal details for data protection reasons must be stock checked. . The correct reason code for the return must be entered into the transaction when prompted, eg, 1) Refund Resale, 6) Not required. . A refund/resale transaction due to stock availability issues must be clearly marked on the refund slip by the cashier. . OLI refunds (F9 recall) should be checked daily and processed in line with Company requirements."
Stock
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2.01 - Are full store gap walks completed daily?
"Establish if the last 4 weeks of full store gap walks have been completed (6 days per week). . A full store gap walk should be completed and the appropriate adjustments made on the system. . Evidence of investigation and indication of adjustments should be detailed on the report. . The gap walk report should be retained once completed and filed. . Adjustments on the system as a result of the gap walk should be commented on within the free text, e.g. 'gap walk'."
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2.02 - Have the 5% checks been completed on the gap walks?
"A 5% check must be completed once per week to ensure the accuracy of adjustments and gaps. . The gap walk paperwork must be annotated with the gaps & adjustments checked and retained. . The stock and/or gap should be checked by the manager in order to confirm accuracy & integrity of any adjustments. . The completing manager must sigh and date the document to confirm that the checks have been completed. . 5% is a minimum, and if concerns are raised, then management should increase this appropriately."
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2.03 - Are the Hi and Low checks being completed in line with the store DSAR?
"The store DSAR should be planned & documented on the google form issued. . All the categories must be 'dragged & dropped' onto the period planner, colleagues should not change the tile titles. . Category Hi & Low checks should be completed in line with the planned DSAR, once fully completed, the tile should be ticked as such. . The category overstocks should be pulled from the warehouse. . Conduct a spot check at the shelf edge on any low quantities or large quantities of overstock to ensure stock levels are accurate. . Evidence of investigation and indication of adjustments should be detailed on the report. . The gap walk report should be retained once completed and filed. . Adjustments on the system as a result of the Hi & Low should be commentated on e.g. 'hi low' or 'DSAR'."
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2.04 - Are the daily refund and negative checks completed correctly?
"Establish if the previous 5 weeks of refund and negative counts have been completed correctly. . All daily counts must have been completed. . Refund count discrepancies should be immediately passed for management investigation."
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2.05 - Are damages & write-offs being managed effectively and in-line with the store DSAR?
"Damages should be kept to a minimum, but dealt with via timely sell through, eg clear labelling and offered for sale. . Damages should be reviewed as a minimum in line with the DSAR, once every two weeks. . Clearance label applied to all damaged stock, indicating sku, nature of defect and the date of price mark down. . Immediate 50% reduction for two weeks, 75% reduction for the following two weeks, management discretion/write off. . All shop floor stock should be clearly & correctly labelled, offered for sale. . Any missing stock, or stock that is damaged & requires skippping must be detailed in the Write-Off Book. . The Write-Off Book must be checked twice daily by management, Early & Late manager to ensure that wirite-offs are keyed & authorised. . Management should review damaged goods sales via the daily price violation report. . The Write-Off Book must be kept on the helpdesk at the front of the store. . The Markdown Stock on Hand report should not be used for any damages - display stock only / current Einhell returns. . Open returns should be reviewed weekly as a minimum, only stock to be returned to suppliers should be placed on open returns. Review the site to determine the level of damaged stock. Are preventative measures being taken to minimise damages. . Yard stock - review to determine level of damages, is there a particular category that is not managed well, e.g fence panels, sheds. . Warehouse - review corners, overstock pallets, cupboards, is there stock damaged that is not being dealt with. . Shop Floor - general housekeeping to a good standard with stock correctly merchandised. . Damaged stock should not be placed on Open Returns. . Returns - check open returns weekly, is it correct and up to date."
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2.06 - Are all IBT's actioned within 7 days?
"Check there are no aged IBT's. . IBT's should be reviewed daily. . IBT's to non-store cost centres must be authorised with supporting documentation where appropriate."
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2.07 - Are goods inwards controlled?
"Check 20 direct delivery notes (not GFR suppliers) for evidence of checks by staff prior to merchandising and booking in. . Delivery notes should show evidence of goods checked. . The receipting staff should detail on the invoice their name, the date, and the time of receipt. . Once receipted, consigned and checked, the invoice should be taken to the administration office and get booked in. . The following day, a senior colleague / manager should check the booking in by matching the delivery note to the DRL. . The delivery note and the DRL should be attached and filed appropriately."
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2.08 - Are outstanding customer orders & collections managed effectively?
"Review Enable & COPs to ensure that all outstanding orders are being managed. . Customer collections must be managed utilising COP's, zebra device. 95% minimum acceptable benchmark. . Customers should provide a PIN to release/authorise collection. . Orders picked and stored in a timely fashion (pick with pride labels used appropriately). . Follow up for non-collected orders (in excess of 24 hours). . All completed orders confirmed & dispatched off Enable. . Customer details held securely. . Customer Order Enquiry utilised for pre-sold information on refund / negative counts & gap walks."
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2.09 - Are all customer deliveries managed in order to minimise remedials and collections?
"Review DOP's, QOD & DIMs to ensure that all outstanding customer deliveries are being managed. . All orders in DOPs must be scan picked. . Pick with Pride labels must be fully completed. . All orders to be pick confirmed in DIMs once picked via DOPs. . Once order is confirm picked in DIMs the order should be updated in DOPs with 'Confirm Carrier' . All items in the order should be scanned onto the vehicle for picking accuracy. . The 'scan all' function should only be used when it is not practical to scan check, ie, large HIAB load. . The scan check should be completed by a senior colleague or member of the management team. . Notes must be added to the order when raising a remedial, redlivery or collection regarding the nature of the order. . Remedial, Collections & Adhocs should be less than 5% of total deliveries. . Adhoc deliveries must only be raised in exceptional circumstances and authorised centrally
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2.10 - Has stocktake paperwork been retained and does it display evidence of the required checks?
"SAR pack and investigation paperwork to be filled in SAR folder and retained for 2 years. STM must complete & sign off all actions completed on the Investigation Summary sheet. All reports received by WIS must be retained within the SAR folder/pack, this includes, . 100 gains and 100 losses displaying evidence of investigation and appropriate adjustments. . Zero count displaying evidence of investigation and appropriate adjustments. . Penny items/skus displaying evidence of investigation and appropriate adjustmentss. All exception reports listed above should be signed and dated by the STM at the time of review and investigation. "
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2.11 - Has the SAR action plan been completed and followed up at the appropriate intervals?
"SAR action plan must be completed and visible on the shared drive. This requires updating as appropriate as it is a live document. A printed copy of the SAR action plan should be filed in the front of the Stock Accuracy folder (High & Low Checks). Top 3 categories (adjusted) from the previous SAR must be detailed on the SAR action plan & DSAR planner."
Design & Installations Services
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3.01 - Are K&B returns effectively managed?
"Review Non-stocks & Deletes from K&B and physically stock check 10 high value lines from this report. . K&B NS&D's should be kept to a minimum. . All refunds on K&B sales must be processed via the Vision system. . Any non-saleable stock should be written off. . An appropriate level of stock must be offered for sale, and marked clearly with pricing information. . Aged stock that has not sold should be reviewed to determine either a lower sale point or write-off. . Code 30 adjustments should be reviewed on a weekly basis. . Stock accuracy should be maintained via a regular review of code 30 returns and a periodic full category stock check."
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3.02 - Are the monthly check-ins on compliance being completed by management?
"Check the last 3 months DC check-ins. All details entered and appropriate commentary added & verified with the STM & DC electronic signatures. Selling More Profitable (via link) detail: . Remedials . Zero Orders . Compensation . Barclays suspensions . Incomplete Orders"
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3.03 - Are DC's completing the In Home Sales Consultation document for all sales / home visits?
"Review 10 project K&B orders. . Home Consultation Document fully completed with accurate plan for all customers stating physical or virtual for the home visit. . Reasons for choice fully completed. . Layout plans to include appliances, sink and drawers for kitchens and the soil pipe position for bathrooms. . Home Consultation Document signed by the DC as completed. . Non surveyed kitchen disclaimer supporting orders without home visits. . Virtual surveys undertaken without a home visit should be supported by a non surveyed disclaimer. . All customer paperwork stored securely."
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3.04 - Have the relevant colleagues completed the mandatory iLearn finance training modules?
". All Design Consultants and STM (DIFM Mgr) must complete the iLearn Barclays Finance (parts 1 & 2). . All Design Consultants and STM (DIFM Mgr) must complete the iLearn Barclays How2's (parts 1 & 2). . Only STM's & DC's should process orders with finance."
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3.05 - Have all DC's been assigned a PSD & have the relevant colleagues completed the iLearn training module?
". All PSD's are assigned to the correct colleagues. . All DC's have completed (passed) the iLearn training module. . Have STM'S / DIFM's completed (passed) the iLearn training module. . Have STM's reviewed PSD usage via the Peoplesafe portal. "
Security
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4.01 - Is cash kept secure during trading hours?
"Through ongoing observation, confirm that all cash is securely controlled. . Both safes key locked during day when not in use. . Small safe utilised for change swaps to reduce traffic into cash office & large safe. . Large safe fully locked (including combination) once banking completed. . Counter caches in full working order and locked in place. . Colleagues aware of the location and use of the Panic Alarm buttons. . Till drawer limits not exceeded. . Cashiers aware of how to open tills using the duress code. . Secondary till locks in use when till left unoccupied. . Any cash taken on K&B sales to be immediately removed to cash office. . Large safe key (if applicable) should be held by management, or securely stored with access limited to management. . The safe combination (if applicable) should have been changed when there is a change within the management team. . Any key presses used to store safe / cash office keys should be secured, with access limited to management / authorised personnel only. . CCTV (if appropriate) and / or spyhole available for cash office door."
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4.02 - Are all user profiles set to the correct level of authority?
"Review colleague profiles on the system to establish that they have been set the correct level of authority in respect of their job role. . Only Duty Management colleagues set to levels 109 & 110. . Appropriate levels for all remaining colleagues. . Leavers deleted. . Duty Manager's only should have management authorisation level on till system. . Appropriate level of staff to have supervisor authorisation level on till system. . Enable System - only Management, Keyholders, Supervisors, Senior Colleagues should have level 3 access- ability to complete full or partial refunds."
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4.03 - Have all keyholders completed the mandatory iLearn keyholder training module?
All management and key holders must have completed the mandatory iLearn Keyholder Training module.
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4.04 - Is stock security managed effectively?
"Review building security to ensure that risks of theft or unauthorised entry are minimised. . Security concerns should be reported via SMART app. . All gates / shutters are secured when area not in use eg. warehouse shutter, yard gate, GPC gate. . Final exit / entrance door alarmed during opening times. . No obvious damages to perimeter fences. . EAS system working, or reported if faulty."
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4.05 - Are internal security controls managed effectively?
"Review building security to ensure that risks of theft or unauthorised entry are minimised. . High Value store secured. . Staff area access lock fully functional. . CCTV switched on. . Where practicable, access to the CCTV system limited to management. . Click & Collect area (if appropriate) secured. . Generic codes or store codes not to be used on combination locks. Periodic change. . Access codes must NEVER be written on or near the door. . Security concerns should be reported via SMART app. . If Security Guards are present, they should have their SIA license on display. . Any key presses used to hold store keys should be secured, with access limited to management / authorised personnel only."
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4.06 - Are colleague searches being completed?
"A minimum of ten searches must be completed weekly. . Colleague and contractor searches should be recorded in full on the search log. . Searches to be a mix of, person (bag & pockets), locker, and car. "
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4.07 - Are security incidents being reported on the SMART app and are the keyholder details up to date with Mitec?
". All appropriate incidents must be reported via SMART app. . All management must be proficient in the use of the SMART app reporting system. . Keyholder list must be kept up to date via e-mail to Mitec. . All instances of physical or verbal abuse reported through IRS. . Any internal issues (physical, verbal or racist abuse, bribery and fraud) should be reported through the anonymous, free and confidential Expolink phone or web service."
Legal
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5.01 - Is the store displaying the Legal Information board / poster?
"Challenge 25 signage must be displayed as per the guideline pack. Age Related sales signage must be visible on customer service desks. All store colleagues must have completed the Challenge 25 iLearn module. Note* Trading Standards do carry out test purchases and will prosecute companies and colleagues."
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5.02 - Are shop pricing requirements adhered to?
"Check 50 price labels and point of sale displayed in the store and GPC. 25 prices including label checks on both primary and secondary location e.g outposts, bulk stack, promotional. 25 price labels in the categories where the weekly label checks have been conducted in the previous 2 weeks."
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5.03 - Is the required documentary evidence on file to confirm colleagues are eligible to work in the UK?
"Select the files of the 5 newest colleagues, and check that evidence of eligibility to work in the UK has been obtained. . For colleagues employed after the introduction of the current HR system in 2018, the record can be held electronically. . It is advised that the hard copy of the evidence is retained & locked securely in the personnel file. . Post June 30th 2021, all colleagues from EU & EEA countries employed prior to Jan 1st 2021 must have provided proof of RTW via the EU Settlement Scheme, either settled or pre-settled status"
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5.04 - Are the appropriate controls in place to ensure compliance with data protection regulations?
"Check the control mechanisms that should be in place to protect customer or colleague detail. . CCTV signage is visible for customers. . CCTV system stored in a secure cupboard / room with restricted access. . CCTV folder set up and used as appropriate, including the viewing log. . Confidential waste disposal process set-up and followed. . Document retention periods adhered to including the disposal of old documentation. . All store colleagues must have completed the Data Protection iLearn module . All customer facing colleagues must have completed the PCI DSS awareness iLearn module."
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5.05 - Are there any Data Protection concerns relating to customer or colleague data?
"By continuous observation identify if any paperwork which includes customer or colleague details is left visible anywhere in the store. Examples of areas to be aware of: . Helpdesk / Service desk, customer collection details / files all appropriately secured. . DC pods / offices, clear of paperwork detailing customer information / purchases. . PC's left logged in displaying customer / sales information. . Staff records held securely. . Offices secured (where access is available from customer areas). . Click & Collect orders which are stored in customer areas are detailed with only the 'reserve' labels. . Bins in public areas; do these have discarded paperwork with customer details? . Special Order returned stock must have any customer details removed if offered for resale."
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5.06 - Have all colleagues completed the appropriate Business Ethics training?
