Mini Internal Process Audit

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Cash Management

• Conduct a cash register audit, ensure all registers are within Company Policy as per the ACG.

• Add Drawer Total

Cash Drawer

• Cash + Change = Total

• Less than $100 during daylight (less than $70 at night)

• More than $100 during day (less than $70 at night)

• ACG - Section 1 - Cash Handling
  CSI employees must make timely cash drops and never allow the amount of cash in the EPOS register drawer to exceed $100.00 per register (or maximum limit set by the District Sales Manager) during the hours of 6:00 a.m. and 8:00 p.m. (or daylight hours) and $70.00 per register during the hours of 8:00 p.m. and 6:00 a.m.

• Verify the working fund cash total matches the ending change fund total in BlueCube.

  Yes

  No

  N/A

• ACG - Section 1 - Cash Handling
  7. Cash drops should never be held out of the safe for any reason.
  8. All store cash funds must be secured at all times, i.e. EPOS register or change- vending safe.
  9. All funds from the register, except the starting drawer cash amount of $50.00, are to be dropped into the Cash/Bill Acceptor safe.

• Change Fund Verification Process

• Count Bottom of Safe + $100 from both registers + loans current day
  =
  BlueCube > Safe Count Report > Ending Change Fund (from previous business day)

• Verify that lotto and lottery paid outs in BlueCube match the terminal sales report.

  Yes

  No

  N/A

• Paid Out Dates Reviewed in BlueCube

Date

• Date

• Lotto/Lottery Terminal Amount

• BlueCube Amount

• ACG - Section 8 - Lottery Accounting Procedure
  Enter the value of the winning ticket as a Lottery Paid-out(s) using the Paid-out key on the EPOS register. Cashiers need to be careful and select the correct option on the register when they are handling paid-outs. They should be choosing Lottery or Lotto Paid-Out, not Vendor Paid-Outs on the drop down screen of the Nucleus register. The comparison will be what shows in your paperwork vs. what the State shows as paid-outs. Any variance will be booked to cash over/short.

• BlueCube User Guide - Section 1 - Daily Workflow Terminal Reconciliation

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• Verify the cash acceptor deposit total matches the deposit total entered into BlueCube.

  Yes

  No

  N/A

• Brinks Deposits Reviewed in BlueCube

Date

• Date

• Bill Acceptor (Brinks) Terminal Amount

• BlueCube Amount

• ACG - Section 1 - Cash Handling
  The CompuSafe (Brinks) Day Report should be used when entering the CSI Deposit (in BlueCube).

• BlueCube User Guide - Section 1 - Daily Workflow Safe Reconciliation

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Administration

• Verify there is no questionable key indicator (refunds, no sale, cancels, voids) activity during the journal review.<br>

  Compliant

  Non Compliant

• ACG - Section 4 - Register Operations
  Store Managers (or person assigned to do paperwork on SM’s day off) are required to review the EPOS register journal (Nucleus sales log) daily to monitor employee compliance with CSI Policies and Procedures. Any questionable transactions or activities should be verified for legitimacy by reviewing the video system, document your findings on the Security Tape Log.

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• BlueCube User Guide - Loss Prevention Report

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• Verify the POS is being backed up to CD Monthly.

  Yes

  No

  N/A

• Ops Specialist review/demonstrate the process with the SM, and reference ACG Section.
  ACG - Section 11 - Paperwork Filing and Retention
  Monthly backup process
  At the end of each month it is required that the Register Sales Logs be backed up from the Nucleus System. Monthly Transaction CD’s from the Nucleus should be secured in locked file cabinet in manager's office and shipped out with corresponding month's daily paperwork

• CD Back Up Process

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• Verify the shelf edge label (SEL) prices match the HHT retails. <br>

  Compliant

  Non Compliant

• BlueCube User Guide - Section 4 - Managing Inventory - Check Retails

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• Verify the video system is recording at least 30 days worth of video and all components are working. SM is keeping the video log as per retention guidelines.

  Compliant

  Non Compliant

• 

Inventory Management

• Verify the CSI Merchandise Write Off Policy is being followed.

  Compliant

  Non Compliant

• BlueCube User Guide - Section 4 - Managing Inventory - Adjust Inventory

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• Verify inventory adjustments are being entered correctly into BlueCube using Adjust Inventory.

  Compliant

  Non Compliant

• BlueCube User Guide - Section 4 - Managing Inventory - Adjust Inventory

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• Verify SM is entering items in return inventory with the correct UOM, quantity, and cost.

  Compliant

  Non Compliant

• BlueCube User Guide - Section 3 - Receive Inventory - Receiving and Returning Lottery

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• BlueCube User Guide - Section 3 - Receive Inventory - Receiving and Returning Lottery

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• BlueCube User Guide - Section 3 - Receive Inventory - DSD Supplier Returns and Credits

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Administration

• Does the SM understand how to review journal activity using a back up CD on the BOS?

  Yes

  No

  N/A

• Ops Specialist review/demonstrate the process with the SM, and reference ACG Section.
  ACG - Section 11 - Paperwork Filing and Retention
  Monthly backup process
  At the end of each month it is required that the Register Sales Logs be backed up from the Nucleus System. Monthly Transaction CD’s from the Nucleus should be secured in locked file cabinet in manager's office and shipped out with corresponding month's daily paperwork

• CD Back Up Process

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Inventory Management

• Can the SM create a mini audit count worksheet in BlueCube?

  Yes

  No

  N/A

• Ops Specialist review/demonstrate the process with the SM and reference the COCO BlueCube User Guide Section 4: Inventory Management

• Creating a (Count/Adjustment) Worksheet

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• Does the SM know how to review the results of a mini audit count using the critical inventory summary report?<br>

  Yes

  No

  N/A

• Ops Specialist review the process with the SM and reference the COCO BlueCube User Guide Section 4: Inventory Management- Counting Inventory with a Worksheet
  

• Is the SM investigating mini audit variances for subcategories or segments +/- $300?<br>

  Yes

  No

  N/A

• Ops Specialist review the process with the SM and reference the Accounting and Control Guide Section 9 Inventory Audit Process.

• Does the SM understand how to investigate 3rd party audit variances for categories with a variances of +/- $300?<br>

  Yes

  No

  N/A

• Ops Specialist explain how to investigate a 3rd party audit variance. Refer to Accounting and Control Guide Section 9 Inventory Audit Process

• Does the SM know how to review the item activity in BlueCube using the Item Activity or WAC Item Activity Report?<br>

  Yes

  No

  N/A

• Ops Specialist review the Item Activity and WAC Item Activity Report with the SM

• Does the SM understand how to process returns using return inventory and receive inventory (net receiving)?<br> <br>

  Yes

  No

  N/A

• Ops Specialist to review the return inventory process, SM reference COCO BlueCube User Guide Section 3 Receive Inventory

• Does the SM understand when a count without a worksheet is needed?<br> <br><br>

  Yes

  No

  N/A

• Ops Specialist explain when a count worksheet is needed, SM to reference the COCO Bluecube User Guide Section 4 - Managing Inventory Counting Inventory without a Worksheet.

• Does the SM know how to conduct a count without a worksheet?<br>

  Yes

  No

  N/A

• Ops Specialist explain the process of conducting a count without a worksheet, SM reference COCO BlueCube User Guide Section 4 Manage Inventory Counting Inventory without a Worksheet
  

• Does the SM know how conducting a count without a worksheet will affect the inventory?<br> <br>

  Yes

  No

  N/A

• Ops Specialist explain the process of conducting a count without a worksheet and how it affects inventory, SM reference COCO BlueCube User Guide Section 4 Manage Inventory Counting Inventory without a Worksheet
  

• Does the SM understand the result of un-checking the critical inventory box when creating a count?<br> <br><br>

  Yes

  No

  N/A

• Ops Specialist explain what happens when you un-check the critical inventory box, SM reference COCO BlueCube User Guide Section 4 Manage Inventory