KCR

• Document No.

• KCR

• STORE

• Conducted on

  Date

• Prepared by

• Personnel

Cash

• Does the cash held in the safes reconcile with the store system?

  Yes

  No

  N/A

• 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. All floats and unreconciled cash bags should be held in bags with unique tags, (Step Change process allows floats to 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 This process should be withdrawn if the store are suffering cash loss.

• Are daily safe checks being actioned in line with Company requirements?

  Yes

  No

  N/A

• "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).
  
  The manual safe checks should be kept together for management review."

• Are EOD checks being actioned in line with Company requirements?

  Yes

  No

  N/A

• "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.
  All entries / authorisation / checks should be completed using the colleagues unique user number, generic codes should never be used."

• Are all paid outs valid / does supporting documentation exist?

  Yes

  No

  N/A

• "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.
  . Group policy on expenses should be followed, paid outs should not be completed for items / travel that require claiming via personal
  expenses.
  . Paid outs should always be supported by proof of purchase and / or vat receipt, and authorised / signed by management.
  . Customer concern payments should be supported by a CRL (concern resolution log) and not exceed current SPG
  (e.g. £100 cash maximum via a paid out).
  . Under no circumstances should a paid out be done for Colleague rewards that involve any form of gambling ie scratch cards/lottery tickets or Alcohol. Should the STM feel that this is the correct reward for a Colleague then the STM will need to pay personally for this."

• Are colleague’s performance on cash variances being managed?

  Yes

  No

  N/A

• "The performance of cashiers can 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."

• Are colleague’s performance on product scanning being managed?

  Yes

  No

  N/A

• "The performance of cashiers can be monitored on the Cashier Performance Report.
  Scanning % should be monitored weekly as a minimum by the store management, with significant shortfalls logged in detail on the daily / weekly cashier performance report.
  The cashier performance report, once reviewed by management should be held within the cash office.
  Should poor scanning % persist, management should consider reverting to individual cashier sign-ons until such time as it has improved."

• Are refunds processed and reconciled correctly?

  Yes

  No

  N/A

• "From a check of at least 2 days of refunds including 1 weekend day (minimum of 50) test the following:
  . There should be a procedure in place to account for all refund slips e.g all ticked as present, with any missing highlighted.
  . Refunds should be signed by both the customer and colleague (only one required).
  . Check that original transaction details and customers name and address have been captured.
  . Any missing refunds, or refunds with missing signatures / names / transaction details should be passed to
  supervisor / management for review and stock check."

Stock

• Is the count cycle completed correctly?

  Yes

  No

  N/A

• "Establish if the previous 5 weeks of scheduled counts have been completed correctly.
  . All scheduled counts must have been completed.
  . Management must authorise the count once sufficient investigation into adjustments have been completed.
  . Any counts rescheduled must be completed within a week, and have ROM / RD authorisation.
  . Refund counts must be completed daily, with any discrepancies immediately passed for management investigation.
  "

• Is the 5% sample check being completed?

  Yes

  No

  N/A

• "Review 5 weeks of 5% Management Checks (10) to establish if the checks upon stock and shelf labelling accuracy have been actioned and the correct documentation used.
  . 5% checks should be filed / held in a lever arch folder.
  . Clear detail of count quantity.
  . SEL checks indicated.
  . Discrepancies adjusted on the system to update stock quantities."

• Is damaged stock actively promoted and managed?

  Yes

  No

  N/A

• "Review damages to determine store activity on damaged stock. Are preventative measures being taken and are damages being dealt with timely. Damages should be kept to a minimum, but dealt with via timely sell through, eg clear labelling and offered for sale. Areas to consider:
  . 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.
  . Shopfloor - stock should be clearly & correctly labelled, offered for sale.
  Management should review damaged goods sales via the daily price violation report. This should be monitored to ensure price leakage is kept to a minimum.
  The Markdown Stock on Hand report should not be used for any damages - display stock only."

• Are all entries on ODAS actioned within 48 hours?

  Yes

  No

  N/A

• Check there are no aged items in ODAS (across all tabs). ODAS should be checked daily, and any outstanding invoices actioned. Purchase Ledger will often add comments on to invoices to indicate store action required - these require timely response. Comments should always be added onto invoices (by the store team) in ODAS relating to calls / communication / action taken to resolve. Forced matches should be only minimal - any forced match invoices should have valid reasons documented.

• Are supplier deliveries controlled?

  Yes

  No

  N/A

• "Check all direct delivery notes (not GFR suppliers) in one week 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."

• Is the returned pallet process being correctly controlled?

  Yes

  No

  N/A

• "Check Hanson delivery notes to ensure that pallets have been booked in correctly.
  . Any returned pallets should be clearly detailed on the appropriate section of the supplier delivery note.
  . Returns documentation (where appropriate e.g. bulk returns) should be signed by the Driver on release and held on file awaiting credit.
  . IBT's should be raised to e-store for any online / e-commerce customer purchase requiring a Hanson pallet.
  . Mark as N/A if the store is no longer charged for Hanson Pallets."

• Are K&B returns effectively managed?

  Yes

  No

  N/A

• "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 due to monthly collections.
  . Any non-returnable or no-saleable stock should be written off and skipped.
  . Non-returnable but saleable stock must be offered for sale.
  . Aged stock, non-returnable that has not sold should be reviewed to determine either a lower sale point or write-off."

• Are supplier returns effectively managed?

  Yes

  No

  N/A

• "Does the sample check of items in the returns bay match the Returns Detail Report?
  . All stock held on supplier returns (open returns) should be valid, either awaiting return, supplier visit or spare parts.
  . Faulty stickers should be used on all electric / petrol products that have been returned with faults.
  . Where practicable, stock on open returns should be segregated from good stock.
  . Paperwork for released stock (returned to supplier) should be retained until credit is received. This should match the
  Open DA's 'Supplier Returns' on ODAS
  . Returns paperwork should be signed by the receiving courier driver on collection."

• Are the store completing the required gap walks and adjusting the stock accordingly?

  Yes

  No

  N/A

• "Establish if the last 2 weeks of gap walks have been completed.
  . A full gap walk should be completed and the appropriate adjustments made on the system daily.
  . Adjustments on the system as a result of the gap walk should be commentated on e.g. 'gap walk'."

Transport

• Is a Vehicle Daily Check and Defect Report filled in at the start of each day for all vehicles in use?

  Yes

  No

  N/A

• "Check the last full month for compliance.
  . Daily defects must be completed at the start of the day for store vehicles.
  . Check that the TP020 is the most up to date form.
  . Any defects should be clearly highlighted and passed to Supervisor / Manager for action."

• Are all safety related defects, reported on the Daily Check and Defect Report, rectified the same day?

  Yes

  No

  N/A

• Review the store's Vehicle History files to ensure defects are being raised (where applicable) and management is checking and resolving the issues in a timely manner. . Reported defects should be resolved, and detailed action listed on the form. . Filed within the VHF.

• Is a separate Vehicle History file in place with up to date information for each vehicle?

  Yes

  No

  N/A

• "For ease and consistency, the paperwork should be filed by section, and then chronologically, as indicated within the VHF.
  From the vehicles sampled in 3.01 check the following are in their respective files:
  - Current MOT / Plating certificate (photocopy)
  - Tachograph Certificates
  - Garage Inspection / service sheets (TP66)
  - Fleet Support group repair summary (this is sent via e mail to the Store Management)
  - Drivers daily defect reports (nil reports will be filed separately)
  - Tyre Sheets [note* if they are not here they may be in the expense files, different retention periods]
  - Crane repairs / Inspection Sheets
  - FTA Reports (2 / year for lorries and once per year for vans.)"

• Have tachograph infringements been reviewed?

  Yes

  No

  N/A

• "Discuss with the STM/Hub Mgr the latest tachograph infringements and review the driver(s) files.
  . The reports should be printed, and then discussed with the Driver on a one to one basis.
  . The reports should be signed by the reviewer and the Driver and filed in the appropriate folder.
  . Repeat offences e.g A Driver that does not improve, may require management intervention / coaching / disciplinary action."

• Are the agency driver mandatory checks being completed?

  Yes

  No

  N/A

• "For Agency Drivers used, the following should be on file:
  . Agency Driver Questionnaires been completed in full.
  . Agency Driver's licence checks completed and a copy taken.
  . Agency Driver's CPC checks completed and a copy of their DQC card taken.
  . Where relevant, the verification of experience checked and a copy of proof of competency taken (i.e. a crane operator's permit).
  . Agency Driver's digital card downloaded on a daily basis."

Security

• Are cash office keys/ safe keys secure and controlled?

  Yes

  No

  N/A

• "Through observation during the audit check to ensure that cash office keys and safe keys are secured and controlled at all times.
  . Large safe key (if applicable) should be held by management, or securely stored with access limited to management.
  . Cash office keys (including small safe key) should be held on person by senior staff (with authorisation) / management only.
  . Any key presses used to store the keys should be secured, with access limited to management / authorised personnel only.
  . CCTV (if appropriate) and / or spyhole available for cash office door."

• Is cash kept secure during trading hours?

  Yes

  No

  N/A

• "Through on-going observation, confirm that all cash is securely controlled.
  . Both safes key locked during day when not in use.
  . Large safe fully locked (including combination) once banking completed.
  . Counter Caches in full working order.
  . 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."

• Are all user profiles set to the correct level of authority?

  Yes

  No

  N/A

• "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. As from Jan 16, all cashiers had limits increased to £100."

• Are all own vehicles leaving the store checked by a senior member of staff?

  Yes

  No

  N/A

• "From two completed weeks of filed delivery reconciliation paperwork, check that the Delivery Notes have been signed as checked by management for all deliveries completed.
  . Delivery notes filed by day when completed.
  . Picker, Checker, Driver & Customer signatures captured.
  . Checker must be a Hub Manager / Supervisor, or a Duty Manager, the check should be done just prior to departure.
  
  This check not only provides an essential security check and order integrity check (OTIF), but also a final check on load safety before leaving the store.
  Whilst checks completed on loading in the evening prior will suffice for order quality/ quantity they are not sufficient for the Security aspect. Checks should be completed just prior to dispatch to ensure there are no 'extra' items added. Under no circumstances should this check involve climbing on the back of the vehicle."

• Is stock / store security managed effectively?

  Yes

  No

  N/A

• "Review building security to ensure that risks of theft or unauthorised entry are minimised.
  . All gates / shutters are closed when area not in use eg. warehouse shutter, yard gate, GPC gate.
  . High Value store secured.
  . Staff area access lock fully functional.
  . Final exit / entrance door alarmed during opening times.
  . EAS / CCTV switched on, with any faults reported."

Legal

• Is the store displaying the Legal Information board / poster?

  Yes

  No

  N/A

• "The new poster should be on display on all customer service desks in refurbished / new stores (no need for one sign per till). Existing stores may have the old signage behind each till, this is acceptable.
  Note* Trading Standards do carry out test purchases and will prosecute companies and colleagues."

• Are shop pricing requirements adhered to?

  Yes

  No

  N/A

• "Check a random 50 random SKU’s displayed in the store and GPC.
  25 primary prices, and 25 secondary place prices e.g outposts, bulk stack, promotional."

• Is the required documentary evidence on file to confirm colleagues are eligible to work in the UK?

  Yes

  No

  N/A

• Select the files of the 3 newest colleagues, who have been employed after March 2008, and check that evidence of eligibility to work in the UK has been obtained.

• Are there any Data Protection concerns?

  Yes

  No

  N/A

• "By continuous observation identify if any paperwork which includes customer details is left visible anywhere in the store.
  Examples of areas to be aware of:
  - DC pods / offices, paperwork detailing customer information / purchases.
  - Helpdesk, customer collection details / files left out on service area.
  - PC's left logged in displaying customer / sales information.
  - Hub Offices unsecured (where access is available from customer areas)."

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