Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
Electronic tagging system
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LT1 - System operational
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LT2 All shop floor tagged - weekly check up to date
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LT3 Detagger secured to the cash desk
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LT4 Is there any evidence of tag damage through tagging.
Fitting room / shop floor security
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FS1 All means used to prevent theft via fitting rooms
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FS2 No hangers or tags found in the fitting room
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FS3 staff allocated specific areas of responsibilities
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FS 4 Doors to back area secured
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FS 5 shop floor supervised appropriately at all times.
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FS6 Alert signals around the till area
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FS7 Good customer awareness.
Key Holders / Keys and Alarms
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KH 1 All store / safe keys accounted for
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KH2 keys stored correctly
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KH3 managers office locked were applicable. <br>
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KH4 Alarm fobs not attached to store keys
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KH5 Key holders trained prior to bring given keys. Policies are understood
Back door Security & Rubbish
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RD1 Back door use only when supervised by management or authorised person
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RD2 Back doors restricted to business use only
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RD3 back doors always kept secure
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RD4 Rubbish checked by management prior to disposal <br>
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RD5 Back door log completed <br>
Staff valuables/ personal items
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SV 1 Locker policy fully complied with
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SV2 Staff valuables kept secure from theft
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SV3 2 Are staff searches taking place and being recorded on the integrated search log. Eg Pocket , Locker and bag .
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SV4 Staff wardrobe removed from premises end of shift <br>
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SV 5 Mobile phones / cash not carried or used on shop floor
Signing In Book
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SI 1 signing in sheet available.
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SI2 All staff signing in and out listing wardrobe
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SI3 Completed sheets filed appropriately in store filling system
Radios
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R1 Are Radios in use <br>
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R2 Radios not left unattended on the sales floor
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R3 Are all Radios charged correctly over night
House keeping
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HK1 Toilet facilities to company directive
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HK2 Staff areas clean and tidy and fit for purpose
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HK3 stock room cleaning standards to company directive <br>
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Hk4 Shop floor cleaning standards to company directive
CCTV
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CC1 CCTV in use and functioning correctly
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CC2 Date and time correct
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Cc3 Any faults reported
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Cc4 cameras free from obstructions
Refunds and Exchanges
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RF 1 Refunds and exchanges actioned by management / authorised person
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RF2 Customer details recorded correctly
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RF3 Cash refunds actioned on faulty products only
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RF 4 Reason codes used for all refunds
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RF5 All refund paperwork filed correctly
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RF6 Refund policy displayed at the counter.
Cash -up
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CA1 Cashing up completed by trained personnel.
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CA2 Till discrepancies investigated & reported to Accounts/ RPPM<br>
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CA3 Floats counted correctly
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CA4 Cashing up sheets completed in full every night
Staff Wardrobe / Discounts / Holds
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SD1 Transactions processed at a manager level.
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SD2 Check 3 employees wardrobe against their purchases
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SD3 Customer holds correctly labelled
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SD4 Customer holds deadlines not exceeded
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SD5 Staff wardrobe checks carried out to company guidelines. <br>
Banking
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BA1 Banking CIT pick ups completed
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BA2 Banking giro book completed correctly. Dual validated
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BA3 All Un banked money stored in the safe
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BA4 Separate slip used for each banking
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BA5 CIT transactions completed as per guidelines
Petty Cash
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PC1 only authorised petty cash has been used.
Safe Control
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SC1 Safe locked
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SC2 Safe log completed as per company policy
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SC3 Safe key secured in box when not in use
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SC4 Safe float log checks completed daily.
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SC5 Safe discrepancies investigated and reported to RPPM
TILL USAGE
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TU1 persons using own swipe card <br>
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TU 2 Till users fully competent with gift card transactions
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TU3 Till users at the correct security levels
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TU4 Till users fully competent with credit card sales
Till Control
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TC1 Till area free from loose cash
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TC2 All available tills floated
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TC3 Any discounts that need further investigation.
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CA5 Cash ready for CIT every night . Inner bag sealed
Footwear controls
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FW1 Shoes stored in stockroom neatly and to a system
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FW2 Odd shoes managed as per policy.
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FW3 till point checks being carried out
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FW 4 Deliveries being checked for odd shoes
Damages and Faulties
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DF1 Customer and shop floor Faulties kept segregated
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DF2 Faulty stock being returned as per policy
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DF3 Faulty labels being completed as per instruction.
Coding and Stock management
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CS1 Unlabelled stock within acceptable limits
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CS2 Stockroom - all stock neat and laid out to guidelines
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CS3 All excess shop fittings stored neatly
Deliveries/ Transfers/ Back office
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DE1 All cartons/ totes received are for relevant store
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DE2 Delivery content checked and scanned
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DE3 stock room assistants can demonstrate how to check totes for damage and seals are intact..
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DE4 Discrepancies recorded and actioned correctly
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DE5 Delivery log updated and paperwork filed correctly
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DE6 Deliveries not left unattended in corridors or service areas
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DE7 Manager / stock room staff can demonstrate how to transfer stock
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DE8 Transfers amended on the back office before posting
Filing and General Records
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FL1 Hard copy filing system set up as per policy
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FL2 All documentation filed in relevant file
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FL3 Personnel details secured and accessed by management only.
Health & Safety
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FL4 incident reports have been sent and recorded
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HS1 Fire Exits and accesses are free from obstruction
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HS2 Fire doors functioning correctly and in good repair
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HS3 Fire extinguishers stored correctly
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HS4 All H&S / Maintenance issues reported to facilities manager
PCI Compliance
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PC1 Manual trading process followed (known by management )
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PC2 Banking paperwork and PDQ slips secured in the P&C cabinet(6months)
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PC3 Is the receipt removal log in place and being used
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PC4 is the visitor log set up and ID requested
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PC5 All till operators understand the refund PCI compliance
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PCI 6 Is the P&C cabinet locked and the key secure.
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PCI 7 Have all till operators received the PCI compliance training
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PCI 8 Do the PDQ slips match up with EOD X read. Are missing slips being reported as per guidelines.
