oas

• Site conducted

  Select
• Branch Name and Location
  Address

• Branch Manager

• Length of Service as Branch Manager

• What was your previous role and length of service

• Regional Manager

• Divisional Director

• Date Completed

  Date

• Prepared by

• PARC Detail

  Media

Stock Taking **KEY TASK**

• PI count is produced daily, starting 1st Feb 2024. The count will contain 75-180 parts depending on the stock pack held at the branch. The count must be completed daily , to ensure an accurate count the discrepancy checks must always take place. The count must be signed as complete, including the discrepancy check by the BM/RDCM/ABM. Report number 711PI - report shows list of uncounted sheets.

• Stock Take SOP0339 Archive schedule GDPR

• Is the branch up to date with the PI count?

  Pass

  Fail

  N/A

• Is there evidence of the required discrepancy checks being completed?

  Pass

  Fail

  N/A

• Is the branch tracking below the required 2% of total stock value?

  Pass

  Fail

  N/A

• Has the count and discrepancy check been signed off by management in the branch?

  Pass

  Fail

  N/A

Stock Adjustments

• All stock adjustments should be carried out by a responsible person in the branch, for example RDC Operations manager, or Branch Manager. Each stock adjustment should be investigated for cause prior to action.

• SOP0311 stock adjustments,

• Are the correct reason codes used for stock adjustments?

  Pass

  Fail

  N/A

• Does the Branch Manager (ABM/WHS) review and sign off all stock adjustments?

  Pass

  Fail

  N/A

Product on Suspend **Key Task**

• All stock whether for CAC or IMT must be present in the branch, no goods to leave the branch on a suspended document. Audit to perform a random spot check.

• SOP0016 Suspended invoices, report 2703BR

• Is stock present in the branch for suspended invoices?

  Pass

  Fail

  N/A

• Nothing older than two weeks on suspended invoices

  Pass

  Fail

  N/A

Stock Accuracy

• Check a minimum of 50 parts, including high value, report produced by AS/MD/DB.

• 95% + accuracy on 50 parts counted

  Pass

  Fail

  N/A

Negative Stock

• Pass = if within tolerance (3 working days and within the month for GE/Oil) and covering orders exist

• SOP0015 Negative stock, Report 206PTW

• Is negative stock within 3 working days?

  Pass

  Fail

  N/A

Deallocation

• Deallocation stats now form part of the PARC criteria, this will be published monthly and produced by JG (NDC) - For audit use the most recent PARC score.

• Is the branch within 2.5% tolerance of total IBT usage for deallocation?

  Pass

  Fail

  N/A

RTS Write off **KEY TASK**

• Pass = Within the £100 per month tolerance (avg £600 over 6 months) exclude GW from this figure, however 3K code should be in play. Investigate write off file. Check YTD, month to month value, is the ABM/BM aware of the write off **Fraud area ensure the branch are not using the write off as a bypass to GW**

• SOP0314 Warranty returns SOP0312 RTS

• Is there excessive write off over £100 per month using the avg from 6 months.

  Yes

  No

  N/A

RTS Uncollected

• Zero uncollected older than one month, designated area should be organised and separated from standard returns, the stock must match the 830NC report

• SOP0312 RTS

• Does 830NC report match stock at Branch?

  Pass

  Fail

  N/A

• Is the RTS area under control

  Pass

  Fail

  N/A

• Is the 830NC report within the permitted time frame?

  Pass

  Fail

  N/A

RTS Suspend

• Nothing older than the 15th of the month, designated area should be organised and separated from standard returns, the stock must match the 830S report

• SOP0312 RTS

• Does 830S report match stock at Branch

  Pass

  Fail

  N/A

• Is the RTS area under control

  Pass

  Fail

  N/A

• Is the 830S report within the permitted time frame?

  Pass

  Fail

  N/A

RTS Proof of Return

• Pass = Good filing system in place and scanning completed

• SOP0314 Warranty returns SOP0312 RTS SOP0029 Archive schedule GDPR

• Is the branch using POD scanning for RTS?

  Yes

  No

  N/A

• Is the warranty file in good order at the branch for RTS?

  Pass

  Fail

  N/A

Warranty Battery Return

• SOP0009(a) - Ensure a waste battery bin is present and the environmental paperwork is filed onsite. OSS should be receiving paperwork to clear down and a battery charger and tester should be in use. Warranty battery pay-out should not exceed the 2% of total battery sales (see rolling warranty report in Audit folder - AVG over last 6 months - select Dec use column column N)

• Excessive payout WNQ (>2% of total battery sales)

  Pass

  Fail

  N/A

• Is the Ecobat/hazardous waste paperwork present and filed in the branch?

  Pass

  Fail

  N/A

• Is the battery charger/tester present and used in the branch?

  Yes

  No

  N/A

• Does the branch require battery warranty training?

  Yes

  No

  N/A

• Does the branch require the battery charger or tester replacing?

  Yes

  No

  N/A

• Do Operations receive the warranty battery paperwork to clear from the system?

  Yes

  No

  N/A

• Are old unit gas bottles all GSF supply?

  Yes

  No

  N/A

Supply 5

• Use supply 5 to determine whether returns process is being followed for FPS and Marathon. A return to supplier must be completed within a 28 day period. Stock to be present in the branch and available to be returned.

• Are all returns actioned for FPS?

  Pass

  Fail

  N/A

• Are all returns actioned for Marathon?

  Pass

  Fail

  N/A

Pre Del

• Predel being utilised and actioned as required - Use Predel1 report

• No Predels outstanding over 5 working days

  Pass

  Fail

  N/A

Customer Credit **Key task**

• Check Returns to be processed. WNQ credits within spec. Ask to see returns paperwork still to be processed And Check some recent credits ensure they are transacted complete and accurate, ensure a different person is entering to checking the returns.
  Pass = No signs of holding credits all entered within a 24/48 hour period, by BM/ABM/WHS checked by WH operative (check and balance)

• SOP0120 Customer credit notes SOP0121 Raising customer credits SOP0029 Archive schedule GDPR

• Are customer credits entered within a 24 hour period?

  Pass

  Fail

  N/A

• Are customer 'No Quibble' warranties entered within a 48 hour period?

  Pass

  Fail

  N/A

• Are credits checked in the warehouse and entered by a different person?

  Pass

  Fail

  N/A

Credits on Suspend **Key task**

• Pass = Only warranties present not exceeding a 6 month period, ensure BM knows how to run report and maintain.

• SOP0314 warranty returns, Run Report 2703RLOG

• No suspended warranty credits present exceeding six months?

  Pass

  Fail

  N/A

• Are there any suspended credits present not warranty?

  Pass

  Fail

  N/A

Goodwill credits

• GW in place both using 3K and ZZZGoodwill, clear narrative on the ZZZGW and authorised by RM for £250 and above. Goodwill should be under control at the branch and not used to bypass the warranty system. All Goodwill above £250 is to be authorised as per the SOP.

• SOP0007 non standard transaction

• Does the branch manager follow the correct goodwill process?

  Pass

  Fail

  N/A

• Is there evidence of repeat customers at small value being issued goodwill?

  Pass

  Fail

  N/A

Proof of delivery & Proof of collection

• Pass either manual counter collection/drivers manifest used for account collections. Drivers manifest showing customer signature / name

• SOP0119 counter collection manifest SOP0029 Archive schedule GDPR

• Are drivers manifests complete with customer signatures

  Pass

  Fail

  N/A

• Is there a counter collection manifest in place

  Yes

  No

  N/A

Staff Purchases

• Staff purchases are to be booked by BM/ABM only and the staff code/name must be used as reference and paid for at the time of purchase. Check samples of recently booked staff purchases, use invoice enquiry. Report available from Sue Bray on day of audit

• Are are all staff purchases booked by ABM/BM

  Yes

  No

  N/A

• Is there reference to employee/staff number?

  Yes

  No

  N/A

Customer Backorders and communication

• SOP0109 sales backorder management, exclude genuine backorders with supplier issues

• Backorders maintained, nothing overdue by more than 5 days

  Pass

  Fail

  N/A

• Is the branch using collection notes?

  Yes

  No

  N/A

National Accounts Uplifts via Eparts

• SOP0024 NA returns guide

• Nothing listed open on E parts over 3 days

  Pass

  Fail

  N/A

National Accounts Returns Process

• SOP0024 NA returns guide

• Credits raised correctly and stamped as required

  Pass

  Fail

  N/A

Cash back to branch procedure **key task**

• Cash books must be in place, when the driver receives a payment from the customer they must issue a signed receipt, when they return to the branch the payment is to be passed to the designated person(BM/ABM/Admin) this is counted (at the time of receipt) and signed for taking out the 2nd counterfoil from the cash book leaving the 3rd copy in the cashbook for reference. When the cash book is full the old book should be returned to the Branch Manager for filing and a new book issued. **Please note - cash must be checked on return to the branch**

• SOP0125 cash receipt handling procedure part number GSF003 from our approved supplier, SOP0139 cash receipt book log.

• Cash and cheques receipted by a ABM/BM/Admin on return to branch

  Pass

  Fail

  N/A

• Does the driver give a receipt to the customer when receiving cash/cheques

  Pass

  Fail

  N/A

• Are the used cash books and credit books controlled in/out?

  Pass

  Fail

  N/A

Counter Refund Process **key task**

• Check that the counter credit process is being followed (signatures & authorisation). Check that the BM is checking counter refunds against the 534BDD2 report, stock checking items, signing off and filing with that day's credits. BM/ABM to countersign any refund over £100

• SOP0110 cash credit transaction procedure SOP0118 cash credit supplement SOP0029 Archive schedule GDPR

• Are counter refunds processed correctly, complete with both Operator and Customer signature?

  Pass

  Fail

  N/A

• Is the 534BDD2 report printed, signed by management and filed with the refund paperwork attached?

  Pass

  Fail

  N/A

• Is there evidence of the stock being checked on the 534BDD2 report?

  Pass

  Fail

  N/A

• Spot check 10 random cash credits for stock accuracy (zero tolerance)

  Pass

  Fail

  N/A

• Refunds over £100 are countersigned by BM/ABM at point of issue

  Pass

  Fail

  N/A

End of Day Process **Key task**

• The end of day process to commence no earlier than 5:15pm and to be completed at the close of business or after the last transaction has been processed, alternatively pre trading the following morning (same day preferred) The banking documents can be uploaded the following day, the files should include EOD Daily Till sheet, 511Rec report, TRR report, copy of the paying in slip, the card machine totals (the X/Z totals are to be completed but do not need to be upload) The banking declaration is to be uploaded daily with the banking files and completed in full at the end of the month, signed off by BM and uploaded to the monthly declaration file.

• SOP0131 Daily Till Sheet / SOP0130 End of Day Till Close / SOP0134 Monthly Banking Declaration

• Does the end of day cashing up process commence after 5.15pm (or am pre trading)

  Pass

  Fail

  N/A

• Are banking files up to date

  Pass

  Fail

  N/A

• Final Monthly Float, Petty Cash Declaration and Monthly Banking Declaration, complete and filed

  Pass

  Fail

  N/A

Till check

• Cash in till should match takings include 'till' float - the till float should be present and correct on the banking declaration. The criteria is zero tolerance for error, however some branches are having trouble getting change. Ask BM/ABM to run a 511Rec and X totals from the card machine.

• Does the till balance?

  Pass

  Fail

  N/A

• Is the till float secured in the safe overnight?

  Pass

  Fail

  N/A

PDQ Check

• The card machine details held at the branch should match the terminal, a weekly inspection is to be carried out and the paperwork should be signed and filed in the branch. The supervisor card is to be kept in a secure place at the branch, definitely not left next to the PDQ machine. Spot check with counter staff /sales advisors the Policy for taking a card payment over the phone? - No customer card details are to be kept in the branch

• SOP0128 payment card transaction policy SOP0127 weekly branch PDQ & credit card data check SOP0126 PDQ weekly check guidelines

• Is the PDQ supervisor card secure

  Pass

  Fail

  N/A

• Is the weekly PDQ inspection completed and recorded accurately

  Pass

  Fail

  N/A

• No evidence of Customer card details stored at the branch

  Pass

  Fail

  N/A

Check contents of Safe

• Check for any money / documents in Safe and what they relate to: Mandatory to have: Van Keys, Petty Cash and daily/account banking.

• Does the safe contain all items it should do with no unauthorised additions

  Pass

  Fail

  N/A

Check contents of Petty cash & Driver Floats

• The petty cash allocation is stated on the banking declaration and should be accurate (cash+receipts), no IOUs allowed. Drivers floats, if applicable will be stated on the banking declaration and should be allocated to the drivers, spot check a driver if required.

• Petty cash is correct to petty cash limit, no IOU present

  Pass

  Fail

  N/A

• Drivers floats allocated correctly

  Pass

  Fail

  N/A

Operator Login **Key Task**

• No staff member to share their login details - breach of IT Policy, if discovered contact IT and request an immediate user reset. Users should not be logged into more than 1 workstation (exceptions would include BM laptop/BM desktop - Not counter!) Operator log in details available on the day from Sue Bray.

• Is an operator logged in Autopart multiple times?

  Pass

  Fail

  N/A

HR: Time & Attendance

• Staff fobs are to be located on individuals and not retained within the Branch (day or overnight). Staff members on I-Trent should match T & A. On the day ask the BM to log into both and cross check names, if incorrect contact HR immediately.

• Do all staff have their own fob?

  Pass

  Fail

  N/A

• Do staff members match (I-Trent v T&A)

  Pass

  Fail

  N/A

Fleet:

• Review forms for last 2 weeks to ensure completed and all present. Check issues identified are followed up and actioned

• Are fuel cards secured in the branch (secured in the safe overnight)

  Pass

  Fail

  N/A

• Are van check sheets completed in full by the driver?

  Pass

  Fail

  N/A

• Are fleet issues actioned and van check sheets signed by management?

  Pass

  Fail

  N/A

• Are all operator fobs logged to the vans on Trackm8 complete and accurate?

  Pass

  Fail

  N/A

Health & Safety Branch Operations

• All staff moving around the warehouse wearing PPE, includes drivers and office staff (when in the WH) Are the aisles clear of obstruction and are goods off the floor, Fire Exits Clear and accessible. Clean and Tidy?
  Is the Archive area tidy and up to date ?

• Adherence to PPE Policy - Safety shoes and hi-vis in warehouse and vehicle compounds

  Pass

  Fail

  N/A

• Are aisles free of obstruction?

  Pass

  Fail

  N/A

• Are staff facilities clean and tidy?

  Pass

  Fail

  N/A

• Are fire exits clear and accessible

  Pass

  Fail

  N/A

• Is the archive area tidy and up to date

  Pass

  Fail

  N/A

Audit comments

• Any additional comments: