Retail Operational Audit

Audit

Physical Security

Alarm company call and code list matches current keyholders and contact numbers?

Alarm system fully operational? (Walk test performed at each point to ensure reporting to alarm keypad, visually inspect each point for needed repairs and review alarm activity for false alarms)

Store and cash drawer keys carried by authorized personnel only? (Key Accountability form signed by key holder)

Security chains being used consistently? (Installed when not pulling a car in & out)

Are all exterior doors and locking devices in proper working condition?

Scrap tire area secured when not in use, if applicable?

Scrap tire area contains only "authorized" items? (no adjustment tires unless chained in a rack or products other than bulk fluids)

All warehouse doors locked and secured properly when not in use? (Roll-up doors are to be secured with a padlock at the bottom)

Safety/Risk Management

Are managers completing the Monthly Safety Inspection Reports accurately and correcting deficiencies? (Rolling 3 months on file)

MSDS contact # on every phone, or two MSDS posters posted; all containers properly labeled as to their contents; all store employees know how to obtain as MSDS if needed in the event of an emergency and general MSDS content?

No "unapproved" gas storage containers in facility? (gas cans must be metal with spark arresting lid - recommend no gasoline containers in facility)

Fire Extinguishers/Risers inspected monthly (inspection tag initialed/dated), mounted, annual inspection current and charged?

Fire exits free of obstruction's? (min. of 36" wide path maintained at all times)

First aid kits stocked with required first aid items? (Must be easily accessible to all store employees and must contain ANSI 308.1)

Eye protection being utilized while in shop by customers and employees? (Glasses must be Clear, Amber or High Vis Blue)

Eye Wash station operable, clean, and min. of 36" wide path maintained at all times?

All ladders, stairs and elevated decking in proper working order with no bent/missing supports, rails (toe, knee and hip) or steps and secured not to fall when not in use?

Does bench grinder comply with OSHA standard 1910.215 for safety guards on abrasive wheel machinery and tool rest within an 1/8th inch of wheel?

Is there a minimum clearance of 3 feet around all electrical panels in store (no breaker lockouts present, no missing breakers/blanks and breakers labeled)? DO NOT SCORE BREAKER LABELS TILL JULY 2012

Policy/Procedures

Open work order report processed with all open work orders valid? (Allow last seven days / mgmt. follow-up on all open work orders on a weekly basis)

Does the location have a copy of the ALI Lift Guide and current torque chart posted? (Posted with preset torque wrenches or first lift)

Flat repair procedure being followed? (Store in compliance with policy issued on 9/16/2009 regarding the use of patch plugs and stem plugs only?)

Are scrap tire, waste oil and scrap filter manifests maintained in file at store for 36 months? Documents must be signed by Generator, Transported and Disposal facility. The documents should be maintained in a separate and organized file.

Are all employees in compliance with Kauffman Tire dress code and appearance policy? (New hires excluded - Max of one employee out of dress code)

Mats and seat covers in every car? (Maximum of one vehicle missing either item)

Electronic Time Cards processed properly? (min 30+ lunch punch if work >6 hrs.)

Employee files and credit applications secured in a locked file cabinet? (Only new hire cover sheet, PCN and employee counseling s should be kept in store. All other items are to be forwarded to HR Dept. at Support Center)

Oil Out procedure followed? (Oil cap removed and placed at hood latch, pre-check of oil level, dipstick pulled out halfway, oil change stamp on work order, red shirt verification of oil filter part number w/ initials, dipstick level verified by another employee w/ initials, stamp completed fully with all required information, vehicle raised post oil change to check for leaks)

Are store employee discounts being processed in accordance with Kauffman Tire Policy issued on 5/26/2009 ( Tires: Cost + installation, Service: 25% off menu board prices)

Is store performing ONLY approved work per Kauffman Tire Approved work policy (rev. 08/2011)? If items are sold as "CSP", a detailed description needs to be provided for item(s) sold and appropriate add-on waiver included on invoice.

Tire torque procedure being followed? (Verify each employee - torque sticks and torque wrench utilized with the correct torque. Vehicle lowered until tires make contact with surface prior to torqueing with wrench)

Housekeeping

All restrooms and waiting area clean? (If out of paper or soap correct the situation)

All appliances and customer counters/cabinets clean? (ie. microwave, refrigerator, coffee maker, cabinets and drawers)

All lights working properly? (every emergency/exit light, neon, exterior and max of 2 interior)

Are floors clear of wet spots, spills, grease, wheel weights, tools and/or trash? All air hoses retracted/hung up while not in use? Mop buckets empty, unless being used?

Manager's office, sales and service counters organized and free of clutter?

All lifts, shop equipment, top/bottom of tool boxes and work benches clean/wiped down?

Sidewalks and parking lot clear of debris and trash?

Front-End Controls

Cash drawer secured when not in use? Keys not left at counter and drawer lock device working correctly?

Daily Cash Log completed & description of all shortages/overages of a $1.00 +/-? (Current through prior day of business & signed each day by the Management)

Cash reconciled daily (In balance during audit, WITHIN A $1.00 +/-)?

Is the store utilizing the safe to store cash drawer funds and prior day's deposit overnight?

Maximum of one deposit in the store at the time of the audit, excluding Monday? Does the location have >2 late deposits in the prior 60 day period?

All Checks Processed Properly Personal or Business?
• Location number recorded on face of check
• ALL checks approved by Certegy (No Counter Checks).
• DL #, State of Issue, Date of Birth, & Certegy authorization # on each check.
• Deposit stamp on back of all checks (prior to check being placed in cash drawer)

Cash paid-outs processed in accordance with company policies?

Store/Assistant Manager's signature on all refunds with original invoice # reference in refund?

All Work Orders & Invoices Completed Properly?
• Customer & red shirt signatures
• Recommendation codes updated, if applicable.
• Customer’s entire address, Vehicle info., Tag #, mileage

DOT #'s entered correctly & completely into every invoice, for each tire sold?

Inventory Control

All adjustment tires properly labeled, processed and stored? (Print Adjustment Journal for "New" status only and match tires to journal)

Tire stockroom organized and well maintained? (Maximum of 25 Tires without labels facing out or not attached)

All outside purchase tires/wheels properly identified and kept less than 14 days? Outside purchase tire/wheels and Tread Depot merchandise must be kept separate from perpetual inventory items to prevent invoicing errors.

No tires in perpetual or OPT inventory with DOT codes of four years old or more?

"Open" less than four days old, "In-Transit transfers received immediately upon arrival? (Research & process with manager prior to leaving the store (Anzio #11, #2 and with "Auditor Formatting"))

Retail Operational Audit

Operational audit of the premises.

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Audit

Physical Security

Alarm company call and code list matches current keyholders and contact numbers?

Alarm system fully operational? (Walk test performed at each point to ensure reporting to alarm keypad, visually inspect each point for needed repairs and review alarm activity for false alarms)

Store and cash drawer keys carried by authorized personnel only? (Key Accountability form signed by key holder)

Security chains being used consistently? (Installed when not pulling a car in & out)

Are all exterior doors and locking devices in proper working condition?

Scrap tire area secured when not in use, if applicable?

Scrap tire area contains only "authorized" items? (no adjustment tires unless chained in a rack or products other than bulk fluids)

All warehouse doors locked and secured properly when not in use? (Roll-up doors are to be secured with a padlock at the bottom)

Safety/Risk Management

Are managers completing the Monthly Safety Inspection Reports accurately and correcting deficiencies? (Rolling 3 months on file)

MSDS contact # on every phone, or two MSDS posters posted; all containers properly labeled as to their contents; all store employees know how to obtain as MSDS if needed in the event of an emergency and general MSDS content?

No "unapproved" gas storage containers in facility? (gas cans must be metal with spark arresting lid - recommend no gasoline containers in facility)

Fire Extinguishers/Risers inspected monthly (inspection tag initialed/dated), mounted, annual inspection current and charged?

Fire exits free of obstruction's? (min. of 36" wide path maintained at all times)

First aid kits stocked with required first aid items? (Must be easily accessible to all store employees and must contain ANSI 308.1)

Eye protection being utilized while in shop by customers and employees? (Glasses must be Clear, Amber or High Vis Blue)

Eye Wash station operable, clean, and min. of 36" wide path maintained at all times?

All ladders, stairs and elevated decking in proper working order with no bent/missing supports, rails (toe, knee and hip) or steps and secured not to fall when not in use?

Does bench grinder comply with OSHA standard 1910.215 for safety guards on abrasive wheel machinery and tool rest within an 1/8th inch of wheel?

Is there a minimum clearance of 3 feet around all electrical panels in store (no breaker lockouts present, no missing breakers/blanks and breakers labeled)? DO NOT SCORE BREAKER LABELS TILL JULY 2012

Policy/Procedures

Open work order report processed with all open work orders valid? (Allow last seven days / mgmt. follow-up on all open work orders on a weekly basis)

Does the location have a copy of the ALI Lift Guide and current torque chart posted? (Posted with preset torque wrenches or first lift)

Flat repair procedure being followed? (Store in compliance with policy issued on 9/16/2009 regarding the use of patch plugs and stem plugs only?)

Are scrap tire, waste oil and scrap filter manifests maintained in file at store for 36 months? Documents must be signed by Generator, Transported and Disposal facility. The documents should be maintained in a separate and organized file.

Are all employees in compliance with Kauffman Tire dress code and appearance policy? (New hires excluded - Max of one employee out of dress code)

Mats and seat covers in every car? (Maximum of one vehicle missing either item)

Electronic Time Cards processed properly? (min 30+ lunch punch if work >6 hrs.)

Employee files and credit applications secured in a locked file cabinet? (Only new hire cover sheet, PCN and employee counseling s should be kept in store. All other items are to be forwarded to HR Dept. at Support Center)

Oil Out procedure followed? (Oil cap removed and placed at hood latch, pre-check of oil level, dipstick pulled out halfway, oil change stamp on work order, red shirt verification of oil filter part number w/ initials, dipstick level verified by another employee w/ initials, stamp completed fully with all required information, vehicle raised post oil change to check for leaks)

Are store employee discounts being processed in accordance with Kauffman Tire Policy issued on 5/26/2009 ( Tires: Cost + installation, Service: 25% off menu board prices)

Is store performing ONLY approved work per Kauffman Tire Approved work policy (rev. 08/2011)? If items are sold as "CSP", a detailed description needs to be provided for item(s) sold and appropriate add-on waiver included on invoice.

Tire torque procedure being followed? (Verify each employee - torque sticks and torque wrench utilized with the correct torque. Vehicle lowered until tires make contact with surface prior to torqueing with wrench)

Housekeeping

All restrooms and waiting area clean? (If out of paper or soap correct the situation)

All appliances and customer counters/cabinets clean? (ie. microwave, refrigerator, coffee maker, cabinets and drawers)

All lights working properly? (every emergency/exit light, neon, exterior and max of 2 interior)

Are floors clear of wet spots, spills, grease, wheel weights, tools and/or trash? All air hoses retracted/hung up while not in use? Mop buckets empty, unless being used?

Manager's office, sales and service counters organized and free of clutter?

All lifts, shop equipment, top/bottom of tool boxes and work benches clean/wiped down?

Sidewalks and parking lot clear of debris and trash?

Front-End Controls

Cash drawer secured when not in use? Keys not left at counter and drawer lock device working correctly?

Daily Cash Log completed & description of all shortages/overages of a $1.00 +/-? (Current through prior day of business & signed each day by the Management)

Cash reconciled daily (In balance during audit, WITHIN A $1.00 +/-)?

Is the store utilizing the safe to store cash drawer funds and prior day's deposit overnight?

Maximum of one deposit in the store at the time of the audit, excluding Monday? Does the location have >2 late deposits in the prior 60 day period?

All Checks Processed Properly Personal or Business?
• Location number recorded on face of check
• ALL checks approved by Certegy (No Counter Checks).
• DL #, State of Issue, Date of Birth, & Certegy authorization # on each check.
• Deposit stamp on back of all checks (prior to check being placed in cash drawer)

Cash paid-outs processed in accordance with company policies?

Store/Assistant Manager's signature on all refunds with original invoice # reference in refund?

All Work Orders & Invoices Completed Properly?
• Customer & red shirt signatures
• Recommendation codes updated, if applicable.
• Customer’s entire address, Vehicle info., Tag #, mileage

DOT #'s entered correctly & completely into every invoice, for each tire sold?

Inventory Control

All adjustment tires properly labeled, processed and stored? (Print Adjustment Journal for "New" status only and match tires to journal)

Tire stockroom organized and well maintained? (Maximum of 25 Tires without labels facing out or not attached)

All outside purchase tires/wheels properly identified and kept less than 14 days? Outside purchase tire/wheels and Tread Depot merchandise must be kept separate from perpetual inventory items to prevent invoicing errors.

No tires in perpetual or OPT inventory with DOT codes of four years old or more?

"Open" less than four days old, "In-Transit transfers received immediately upon arrival? (Research & process with manager prior to leaving the store (Anzio #11, #2 and with "Auditor Formatting"))