Operational Review

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

ACCOUNTING

• 1. Is the access code to accounting changed and documented when personnel changes warrant or on a quarterly basis?

  Yes

  No

  N/A

• 2. Is the alarm panel for the accounting office armed anytime the office is empty?

  Yes

  No

  N/A

• 3. Is the safe kept on day lock when not in use and securely locked when no one is in the Accounting office?

  Yes

  No

  N/A

• 4. Does a member of management verify every deposit? (Compare the last 30 days deposit slips to the deposit summary screen)

  Yes

  No

  N/A

• 5. Is the peel off label from the deposit bag attached to the deposit slip kept at the club? (review last 30 days)

  Yes

  No

  N/A

• 6. Are all change orders received from the bank immediately verified to the change order screen? The bank receipt should be stapled to the Manager Review Report and initialed by management.

  Yes

  No

  N/A

• 7. Are the validated deposit slips, the fax confirmation, or the bank transaction report received from the bank verified by management and attached to the Pick-Up Deposit Report? (Review the last 30 days)

  Yes

  No

  N/A

• 8. Review the Armored Services Logbook. Does a manager and the Armored Car representative sign for all deposits before releasing the deposits to the service?

  Yes

  No

  N/A

• 9. Is the change fund balanced a minimum of 2 times per day and once a week by a manager? (Verify balance sheet with manager User ID)

  Yes

  No

  N/A

• 10. Does the Store Accounting Totals Report coupon total match the CFT created? If not research should be conducted and reasons noted on the Management Review Report.<br> <br>

  Yes

  No

  N/A

• 11. Is the Refund Review Report reviewed by a member of Management? <br>

  Yes

  No

  N/A

• 12. Are the Suspended and Voided Transaction Reports being worked with proper research completed? <br>

  Yes

  No

  N/A

• 13. Are all funds paid out of the Accounting Office approved by a member of Management prior to any money leaving the office? <br>

  Yes

  No

  N/A

• 14. Is the cash office free of any unaccounted for funds? Only money that is part of the change fund can be kept in the office; shopping cards should not be utilized to hold funds.<br> <br>

  Yes

  No

  N/A

• 15. Associates and Managers are not permitted to cash personal checks, Money Network checks or business checks through the Accounting Office. Is this being followed within the Club?<br> <br>

  Yes

  No

  N/A

• Completed by: Managers Signature

  Sign

• Club #:

PEOPLE Validate Leave of Absence practices are consistent with Company policy. Review the associate listing and identify all associates with an inactive status.

• 1. Do all associates who are inactive, with the exception of suspensions, have a properly completed LOA request on file? <br>

  Yes

  No

  N/A

• 2. If an associate has been on a medical or personal leave for more than one year, are appropriate plans in place, where state law allows, to terminate the associate’s employment?

  Yes

  No

  N/A

• 3. Are the guidelines followed regarding retention of Leave of Absence paperwork, i.e. medical files are separate from personal files?

  Yes

  No

  N/A

Verify that the Club maintains a Solicitation and Distribution of Literature binder. Does the binder contain the following:

• 4. Calendar for the current year with a record of all organizations that have requested to solicit or distribute literature and the days that the approved organizations are scheduled to hold an event.

  Yes

  No

  N/A

• 5. A signed copy of the Notice of Solicitation and Distribution of Literature Rules for each individual/organization that has been approved.

  Yes

  No

  N/A

• 6. Blank copies of the Notice of Solicitation and Distribution of Literature Rules for future use.

  Yes

  No

  N/A

• 7. A copy of the Solicitation and Distribution of Literature Policy?

  Yes

  No

  N/A

• 8. Are there any late hourly associate evaluations according to the Club Manager Recap?

  Yes

  No

  N/A

Review the last 15 weeks of Full Time Part Time Exception Reports.

• 9. Has the report been worked fully with an explanation/status for each exception and an exception report review completed?

  Yes

  No

  N/A

• 10. Have status changes been completed for all associates who were on the report for 12 consecutive weeks?

  Yes

  No

  N/A

• 11. Is the OSHA 300 Summary report posted? (February 1-May 1 only)

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

FRONT END

• 1. Are the Exit Greeters utilizing the Exit Door Error Log to track Cashier errors and are the errors being addressed with the Cashiers with documentation?

  Yes

  No

  N/A

• 2. Are return (Garvey) labelers and supplies secured at all times?

  Yes

  No

  N/A

• 3. Review the 3 largest available Fax N’ Pull orders for accuracy with the audit team. Were they accurate?

  Yes

  No

  N/A

• 4. Are Cashiers transferring according to policy and using Pick Scan Look Box (PSLB), Bottom Of Basket (BOB), and Look In Side Always (LISA) on every transaction. Observe Cashiers for 5 minutes. Are these procedures followed?

  Yes

  No

  N/A

• 5. Are unused registers blocked off? (This excludes convertible and self checkout registers)

  Yes

  No

  N/A

• 6. Review 3 days of refunds slips. Do the receipts have the proper approvals for refunds (No Receipt refunds and refunds over $100 require a MSS approval. Associate refunds and refunds over $300 require Management approval.)

  Yes

  No

  N/A

• 7. Podium Key Control: Does only one MSS have control of the keys during a shift and is the change drawer spot checked between each transition?<br>

  Yes

  No

  N/A

• 8. Is a host present and actively engaging members at the self checkouts? <br>

  Yes

  No

  N/A

• 9. Can the MSAM and MSS identify the top 5 shrink categories and items for the club? <br>

  Yes

  No

  N/A

• 10. Can the MSAM and MSS tell you how many days accident free the club is? <br>

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

MEMBERSHIP

• 1. Pull the Daily Sales Summary Report and compare 10 memberships. Is all the information correct?

  Yes

  No

  N/A

• 2. Are the Credit Card Reports (MB076101) retained in a secure manner? <br>

  Yes

  No

  N/A

• 3. Are all credit card applications matched to this report? In addition, is a pre-print checklist or Membership card with credit turned in for each name listed on the report?

  Yes

  No

  N/A

• 4. Are Credit Card applications filed in a locked file cabinet?

  Yes

  No

  N/A

• 5. Review the Unpaid Memberships at POS report. Is the Membership Manager reviewing the report weekly and addressing all exceptions? This report should be retained for 1 year.

  Yes

  No

  N/A

• 6. Are all rejected paperwork exceptions corrected and scanned to the Tax Department within 5 working days? <br>

  Yes

  No

  N/A

• 7. Review the MTRACKS/POS(MB185101) and Converted w/o payment (MB101701us) reports. Is the Membership Manager reviewing the report weekly and addressing all exceptions? This report should be retained for 1 year. (Documentation is needed when a report is unavailable)

  Yes

  No

  N/A

• 8. Review the Daily Invalid POS Membership Renewal Report (MB332101). Is the Membership Manager reviewing and addressing exceptions weekly?<br>

  Yes

  No

  N/A

• 9. Are Business Development items being logged and reviewed by the Membership Manager?

  Yes

  No

  N/A

• 10. Are all "Club Use Membership Cards" placed under a Business Membership with add on cardholders for each ancillary? Validate that only one business membership is active and being used for the "club use membership cards".

  Yes

  No

  N/A

• 11. Are all Club Use Membership Cards in Sam's Business status (ie. not in Plus status)? Also validate there is not a Sam's Club credit account tied to this membership.

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

CLAIMS

• 1. Review the Claims Inventory by Day or Claims Inventory by Vendor Report. Are all items listed on the report located in the Claims Department? (If not, an explanation must be noted)<br>

  Yes

  No

  N/A

• 2. Are the Adjustment Logs kept in a secure location and all Adjustment Logs accounted for and damages keyed under the correct code (Adjustment Logs should be turned in and keyed daily)?<br>

  Yes

  No

  N/A

• 3. Is the following information recorded for each Adjustment Log: the control number, the associate's name, department, date of issue, and date of return?<br>

  Yes

  No

  N/A

• 4. Review Liquidation Manifests. Are all pallets reviewed at least monthly? <br>

  Yes

  No

  N/A

• 5. Are all Liquidation items processed to a pallet within 7 days? (If not, an exception must be noted) <br>

  Yes

  No

  N/A

• 6. Review the Out For Repair Log. Is an explanation listed for each item that has been out for repair more than 30 days? <br>

  Yes

  No

  N/A

• 7. Are all outbound shipments signed by a member of Management, Dock Supervisor or Audit team lead? Special attention should be given to shipments with a local address.<br>

  Yes

  No

  N/A

• 8. Is all Return to Vendor Merchandise and the contents of all outgoing shipments verified by a member of Management, Dock Supervisor or Audit team lead? The verification should be indicated by a signature on the bill of lading.<br>

  Yes

  No

  N/A

• 9. Are price overrides "Orange Stickers" being authorized by the Hardlines manager?

  Yes

  No

  N/A

• 10. Is the Open Supplier Claims Report being worked daily, with notes, and maintained in a file with the Notification of Claim Preview/Trial copies of the open claims?

  Yes

  No

  N/A

• 11. Are Box Audit Verifications being completed daily by a salaried member of management?

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

RECEIVING

• 1. Is the proper number of trailer audits being performed? (Minimum of two per month)

  Yes

  No

  N/A

• 2. Is the receiving associate and driver signing and dating the Trailer Seal Record?

  Yes

  No

  N/A

• 3. Are all apparel boxes being opened and have count/initials/date on them? <br>

  Yes

  No

  N/A

• 4. Are all consolidated freight manifests verified item by item, and initialed? <br>

  Yes

  No

  N/A

• 5. Are jewelry shipments inspected for tampering, auto received and then immediately taken to the jewelry counter and received with an associate and Manager present? (Ensure boxes are emptied/ flattened to ensure no product is inside)<br>

  Yes

  No

  N/A

• 6. Is the receiving detail report used to double verify local vendor merchandise? <br>

  Yes

  No

  N/A

• 7. Are weekend deliveries checked in accurately on the day the merchandise is received? (compare weekend manifest to the same day receiving detail report)<br>

  Yes

  No

  N/A

• 8. Review the SAM'S CLUB Vendor Visitation Log. Is the log filled out completely and retained for one year?

  Yes

  No

  N/A

• 9. Review the Scheduled POs Not Received Report. Does each P.O. have an explanation? (i.e. No Show)

  Yes

  No

  N/A

• 10. Review the Receiving Over 1 Day Old Not Finalized Report and the 5 Day Old DC PO report. Does each PO have an explanation listed.

  Yes

  No

  N/A

• 11. Are the compactor and receiving doors locked (controlled) when not in use?

  Yes

  No

  N/A

• 12. Is the back door merchandise pick up log utilized whenever a member's merchandise is loaded out the back door with a signature from a manager or team leader?<br>

  Yes

  No

  N/A

• 13. Is the facility using the most current Forklift Training program? Have all operators completed both the Forklift CBLs and the Performance Assessment on an annual basis?

  Yes

  No

  N/A

• 14. Are all forklift safety procedures followed at all times forklifts are on the sales floor when members are present? (spotters, safety vests, aisles blocked off)

  Yes

  No

  N/A

• 15. Are Super Sandwich Bales and Cardboard Bales being logged in the Bale Tracking System? (Verify by logging into Bale Tracking on the wire-pending status)

  Yes

  No

  N/A

• 16. Is each bale labeled with the club number?

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

INVENTORY CONTROL

• 1. Review documentation from the required meetings in the Audit Team Playbook. Are the meetings solutions based (issues identified and plans put in place to correct the issues)?<br>

  Yes

  No

  N/A

• 2. Review Finalized Audit reports: Have the mandatory audits been completed as outlined in the Audit Team Playbook? <br>

  Yes

  No

  N/A

• 3. Have all blocked items been researched and recounted within 7 days? <br>

  Yes

  No

  N/A

• 4. The UPC Not on File Report and the Clearance Area Sales Report should be reviewed daily. Are all code 2/3 sales researched and corrected as necessary on a daily basis? (register receipts should be attached for transactions used to clear code 2/3) UPC not on file logs from the membership desk and front end should be retained with this report as supporting documentation)

  Yes

  No

  N/A

• 5. Review the Daily and Weekly Negative On-Hand Report to ensure all items on the report were researched and adjustments made and keyed correctly?<br>

  Yes

  No

  N/A

• 6. Review the Refund Sellable and Refund Defective Report. Are all Membership numbers or item numbers with an asterisk next to it researched?

  Yes

  No

  N/A

• 7. Review the Warehouse Change On-Hand(WCOH) Report and the Receiving Recap Reports. Are they cleared daily by Audit team?

  Yes

  No

  N/A

• 8. Is a member of management clearing one WCOH and one Receiving Recap Report weekly?

  Yes

  No

  N/A

• 9. Review the Special Order Stock Status, are positive on-hands researched with an explanation noted and negative on hands matched to an open PO?<br>

  Yes

  No

  N/A

• 10. Review SWAP Reports for the last seven days. Does every item swapped have a reason listed as to why it was swapped and the disposition of the item? If the item was adjusted out of inventory the Adjustment log number should be included.

  Yes

  No

  N/A

• 11. Does the audit team perform 2 Fax n Pull order audits per day (10 per week)? Are these audits documented in the Audit Team Playbook?

  Yes

  No

  N/A

• 12. Is the CWO report worked weekly with explanations for items with less than 5 on hand and unaccounted for items removed from club on hands?

  Yes

  No

  N/A

• 13. Is the Price Override Report being worked daily with explanations and supporting documentation identified and retained for each item?

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

FRESH

• 1. Are Fresh Department Managers and Team Leaders reviewing their Inventory Tracking Report daily? (The report should also be compared to the Fresh OPIS monthly, with Monthly IT report and monthly throw Throwaway Reports stored in the 52 Week File).

  Yes

  No

  N/A

• 2. Are Fresh Managers and associates verifying all fresh deliveries with a copy of the invoice and filing for credit within 24 hours if errors are identified? (All lines on the receiver should be initialed for accuracy and kept in the fresh 52 file).

  Yes

  No

  N/A

• 3. Are fresh deliveries keyed upon arrival including weekends? Look at purchase line on inventory tracking report to compare delivery days to days with a keyed PO.

  Yes

  No

  N/A

• 4. Is fresh inventory being conducted in accordance with SB514?

  Yes

  No

  N/A

• 5. Does the FINV screen match what was counted the day of inventory? (Compare backroom count worksheets to FINV screen). These items are to be kept in the 12 month 3rd drawer file. Are all documents printed and filed for Fresh Inventory?

  Yes

  No

  N/A

• 6. Was the FIVR screen finalized by the Club manager, Co manager or Grocery Asst Mgr?

  Yes

  No

  N/A

• 7. Are Fresh Throwaways and Damages being keyed daily and processed per guidelines? Are Charitable Contributions keyed per guidelines? (Review IT Report for Divisions 8,24,25,27 and 64)

  Yes

  No

  N/A

• 8. Are Fresh SPEC books updated and being used in Meat, Deli, Café and Bakery?

  Yes

  No

  N/A

• 9. Are all Code Dating guidelines followed in all fresh areas, coolers, freezers, and display cases. (Spot check product codes)

  Yes

  No

  N/A

• 10. Does the Club have current PAR signing in place for Meat, Bakery and Café? Do they reflect the inventory on hand?

  Yes

  No

  N/A

• 11. Are the guards on the production equipment in the Fresh areas in place and used by associates? (slicer, band saw, grinder, wrapper, etc.)

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

SAFETY AND SECURITY

• 1. Are weekly and monthly Safety Reviews being conducted properly with any exceptions indicated having corrections noted with associate and date corrected?<br>

  Yes

  No

  N/A

• 2. Does management know how many days accident free the club is and what their accident rate is TY vs. LY?

  Yes

  No

  N/A

• 3. Is a Safety Team Meeting held each week with the required persons in attendance? (refer to Safety Team Meeting Guide for required attendees)

  Yes

  No

  N/A

• 4. Is an effective 30-60-90 day safety action plan in place, reviewed and adjusted every 30 days?

  Yes

  No

  N/A

• 5. Were Accident Reviews completed within 7 days of any accident?

  Yes

  No

  N/A

• 6. Are all cameras functioning properly including exterior and gas station?

  Yes

  No

  N/A

• 7. Check DVR health update. Is the DVR time synchronized with the POS controller?

  Yes

  No

  N/A

• 8. Is the Management Notification List current and updated with Alarm Central?

  Yes

  No

  N/A

• 9. Is the exterior lighting of the Club functioning properly and at correct times?

  Yes

  No

  N/A

• 10. Is the club alarm set at night? (Review past 2 weeks alarm history)

  Yes

  No

  N/A

• 11. Are all keys signed in and out when removed from a lock box? (COS, claims, personnel, vending, electronics, team leader keys, mpu, jewelry)

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

SALES FLOOR

• 1. Are all display alarms and other security hardware functional?

  Yes

  No

  N/A

• 2. Does the Club have two working diamond testers?

  Yes

  No

  N/A

• 3. Is there an electronics associate scheduled during required hours?

  Yes

  No

  N/A

• 4. Is the electronics associate equipped with the proper tools? (i.e. Green Vest, Radio, Communications Log, etc.)

  Yes

  No

  N/A

• 5. Have the last 4 no movement reports been worked by all team leaders 100% and signed by the Assistant and Club Manager with all items located or adjusted out of club on hands? (attach item audit to the report for adjustments)

  Yes

  No

  N/A

• 6. Are pull tickets available for bulky / secured merchandise?

  Yes

  No

  N/A

• 7. Has the sales floor areas of grocery/freezer/cooler/HBA/Automotive Batteries merchandise been properly rotated? (Check 15 items in each area)

  Yes

  No

  N/A

• 8. Are signing exceptions corrected daily? (Test scan 20 items and review the last 3 weeks of Club Manager Recaps)

  Yes

  No

  N/A

• 9. Has the entire club been test scanned in the last two weeks?

  Yes

  No

  N/A

• 10. Does the club category space match the blue print posted on the Wire?

  Yes

  No

  N/A

• 11. Is the club alarm system placed on watch mode during the day? (Alarm panel Command #6)

  Yes

  No

  N/A

• 12. Are the delayed egress doors working properly? (check 2 doors)

  Yes

  No

  N/A

• 13. Is the jewelry safe locked and alarm set when associates are not present? (Day lock is acceptable during open hours)

  Yes

  No

  N/A

• 14. Are all diamonds over $5000 pulled nightly and secured in the safe?

  Yes

  No

  N/A

• 15. Is the steel safety inspection form being completed on a daily basis with all issues corrected and associate name and date corrected indicated? Review and spot check past 30 days. (Retain for 3 years.)

  Yes

  No

  N/A

• 16. Are spill stations readily available and properly stocked with safety cone, absorbent, gloves, dust pan, broom, trash bags, paper towels and a flip chart?

  Yes

  No

  N/A

• 17. Are displays fully assembled and properly secured?

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

SPECIALTY

• 1. Do Specialty associates (Gas, Photo, Pharmacy Technicians, and Optical) keep personal belongings in their locker (not in the work area)?

  Yes

  No

  N/A

• 2. Is the Gas Station staffed from open to close by Class C certified associates?

  Yes

  No

  N/A

• 3. Do pharmacy personnel understand the policy for allowing non-pharmacy personnel access to the pharmacy? (Review the Pharmacy Access Log Including Fuji, Mckesson, FedEx, UPS, USPS,etc)

  Yes

  No

  N/A

• 4. Are the Contact Lens and Hearing Aid cases on the sales floor locked at all times?

  Yes

  No

  N/A

• 5. Is the doctor’s office free of stored merchandise?

  Yes

  No

  N/A

• 6. Is all HIPAA information secured when not being accessed by an authorized associate?

  Yes

  No

  N/A

• 7. Can the Pharmacist explain how to process hazardous waste?

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #:

TIRE & BATTERY CENTER

• 1. Are there 2 TBC Certified associates in the tire mounting area whenever a vehicle is being serviced?

  Yes

  No

  N/A

• 2. Are Lug nuts double checked with a torque wrench by a different TBC certified associate utilizing the star pattern?

  Yes

  No

  N/A

• 3. Are the TBC Bays roped off with yellow plastic chain ordered through 99 supplies?

  Yes

  No

  N/A

• 4. is the spotter process being utilized correctly when TBC associates pull vehicles into and out of the shop?

  Yes

  No

  N/A

• 5. Are all associates and Management in the Tire and Battery Center wearing PPE while work is being performed on a vehicle?

  Yes

  No

  N/A

• 6. Are all the appropriate posters posted in service area? ( Tire Installation poster, Tire Repair, Battery installation, Hub centric Assembly, Current Torque Chart and TPMS Helpful Hints)

  Yes

  No

  N/A

• 7. Are there 2 operational torque wrenches available?

  Yes

  No

  N/A

• 8. Are the TBC service area doors secured, with only TBC Associates and management having access?<br>

  Yes

  No

  N/A

• 9. Is the Special order Tire program executed (Special Order Tire Log, Special Order Tire tags, Designated Special Order Tire holding area)

  Yes

  No

  N/A

• 10. Are all adjustments for tires and batteries processed properly?

  Yes

  No

  N/A

• 11. Is the DOT battery packaging and shipping sign posted in the TBC used battery cage?

  Yes

  No

  N/A

• 12. Are batteries stacked in accordance with the DOT packaging and shipping sign?

  Yes

  No

  N/A

• Completed By: Managers Signature

  Sign

• Club #: