Retail Operations Compliance Audit #2

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

1.0 Folders

• 1.1 Is the Health and Safety folder present?

  0

  1

  2

  3

• 1.1.1 Does the folder contain the correct Risk Assessments?

  Yes

  No

  N/A

• 1.1.2 Are the Risk Assessments signed and in date?

  Yes

  No

  N/A

• 1.2 Is the Loss Prevention folder present?

  Yes

  No

  N/A

• 1.2.1 Does the folder contain the required logs?<br>*Fitting Logs<br>*Search Logs<br>*Visitor Sign in<br>*Petty Cash<br>*Lost Property

  Yes

  No

  N/A

• 1.2.2 Are the logs signed and in date? Archived correctly?

  Yes

  No

  N/A

• 1.3 Is the Retail Operations folder present?

  Yes

  No

  N/A

• 1.3.1 Has the folder been used?

  Yes

  No

  N/A

• 1.3.2 Is the relevant information in the folder? Is it current?

  Yes

  No

  N/A

• 1.4 Is the Visual Merchandising folder in use?

  Yes

  No

  N/A

• 1.4.1 Are the current and up to date directives available?

  Yes

  No

  N/A

2.0 Finance

• 2.1 Is the safe correct?

  Yes

  No

  N/A

• 2.2 Is the finance drawer laid out as it should be?

  Yes

  No

  N/A

• 2.3 Does each day have the correct paperwork?

  Yes

  No

  N/A

• 2.4 Are the correct banking procedures followed? Discrepancies reported?

  Yes

  No

  N/A

3.0 Personnel Folders

• 3.1 Are the filing cabinet drawers laid out as specified?

  Yes

  No

  N/A

• 3.2 Are there staff folders, named and organised?

  Yes

  No

  N/A

• 3.3 Do all folders contain:<br>Safe Systems at work.<br>Next of Kin.<br>H+S quiz.<br>H+S training (refreshed every 12 months).<br>

  Yes

  No

  N/A

4.0 Stockroom Layout

• 4.1 Walkways clear from obstructions?

  Yes

  No

  N/A

• 4.2 Clothes in between processes clearly labeled? <br>Overstock<br>Last Ofs<br>Delivery

  Yes

  No

  N/A

• 4.3 Is the racking and shelving labeled according to the stockroom operations folder?

  Yes

  No

  N/A

• 4.4 Are the PST boards up, are they used effectively?

  Yes

  No

  N/A

• 4.5 Is there any stock on the floor? Is it labeled?

  Yes

  No

  N/A

• 4.6 Is there a clear stockroom office area with PC and printer?

  Yes

  No

  N/A

• 4.6.1 Are there labeled trays for delivery paperwork and stock movement?

  Yes

  No

  N/A

• 4.7 Is SNO labeled and stored appropriately? How much is there?

  Yes

  No

  N/A

• 4.8 Are the shoes tidy, in style order?

  Yes

  No

  N/A

• 4.8.1 Are boxes correctly labeled with display stickers where required?

  Yes

  No

  N/A

• 4.9 Are the watches stored in a locked cabinet?

  Yes

  No

  N/A

• 5.0 Are the standards across the stockroom in keeping with stockroom operations folder sections 1.0-1.5.

  Yes

  No

  N/A

5.0 Stock Movement

• 5.1 Are delivery manifests printed off?

  Yes

  No

  N/A

• 5.1.1 Are the delivery manifests taken to the shop floor to check for replenish and new stock? Evidence?

  Yes

  No

  N/A

• 5.2 Is the delivery efficiently dealt with on a daily basis?

  Yes

  No

  N/A

• 5.3 All stock tagged in the stockroom, before going to the floor?

  Yes

  No

  N/A

• 5.4 TASK board used, relevant information recorded?

  Yes

  No

  N/A

• 5.5 STOCK board filled in daily?

  Yes

  No

  N/A

• 5.6 Is stocking up completed on a regular basis - kept for at least 7 days?

  Yes

  No

  N/A

• 5.7 Sreads completed frequently throughout the day?

  Yes

  No

  N/A

• 5.8 Are Sreads checked off and kept (7 days)?

  Yes

  No

  N/A

• 5.9 Supervisor/Manager checks on stock movement carried out?

  Yes

  No

  N/A

• 6.0 Is the Recall folder present and containing the correct recall paperwork?

  Yes

  No

  N/A

• 6.1 Is the IST folder present and containing the correct paperwork?

  Yes

  No

  N/A

• 6.3 Are there any outstanding Recalls on the HHT? <br>State them:

  Yes

  No

  N/A

• 6.4 Are there any outstanding ISTs on the HHT?<br>State them:

  Yes

  No

  N/A

6.0 Deliveries

• 6.1 Does the store have any outstanding cartons? <br>How many? Please list?

  Yes

  No

  N/A

• 6.2 Are discrepancies recorded correctly, and relevant paperwork kept?

  Yes

  No

  N/A

• 6.3 Are boxes labeled and processed correctly for delivery to DC or store?

  Yes

  No

  N/A

• 6.4 Are Recall surveys completed on Sonic?

  Yes

  No

  N/A

• 6.5 Have ISTs been accepted into store correctly on HHT?<br>

  Yes

  No

  N/A

• 6.6 Deliveries accepted in correctly?

  Yes

  No

  N/A

• 6.7 Is faulty stock correctly labeled?

  Yes

  No

  N/A

• 6.8 Faulty stock should not have built up, but be regularly dispatched to DC!

  Yes

  No

  N/A

7.0 Shop Floor

• 7.1.1 General standards of the shop floor: folded stock

  Yes

  No

  N/A

• 7.1.2 General standards on the shop floor: size stickers

  Yes

  No

  N/A

• 7.1.3 a General standards on the shop floor: hanging stock

  Yes

  No

  N/A

• 7.1.4 General standards on shop floor: security tags

  Yes

  No

  N/A

• 7.2 Are the windows consistent with current directives?

  Yes

  No

  N/A

• 7.3 Are staff on relevant, dedicated areas?

  Yes

  No

  N/A

• 7.4 Are staff in correct uniform? Current season?

  Yes

  No

  N/A

• 7.5 Are stock depths correct?

  Yes

  No

  N/A

• 7.6 Are all sizes represented on the shop Floor?

  Yes

  No

  N/A

• 7.7.1 Fitting Rooms- are they manned?

  Yes

  No

  N/A

• 7.7.2 Is there a current fitting room log?

  Yes

  No

  N/A

• 7.7.3 Are the fits tidy and free from stock/clutter?

  Yes

  No

  N/A

• 7.8 Is the Till folder kept at the till?

  Yes

  No

  N/A

• 7.8.1 Is there a current visitor sign in/search log?

  Yes

  No

  N/A

• 7.8.2 Is there a current search log?

  Yes

  No

  N/A

• 7.8.3 Is the emergency box present, and containing all appropriate information?

  Yes

  No

  N/A

• 7.8.4 Is today's Zoning plan available?

  Yes

  No

  N/A

• 7.9.1 Is the till area tidy, no stock, carrier bags full, no clutter!

  Yes

  No

  N/A

• 7.9.2 Is the correct till POS up and visible?

  Yes

  No

  N/A

8.0 Back of House

• 8.1 Are the toilets clean and tidy?

  Yes

  No

  N/A

• 8.2 Are the corridors free from stock, rubbish or fixtures?

  Yes

  No

  N/A

• 8.3.1 Is the weekly tracker up to date?

  Yes

  No

  N/A

• 8.3.2 Health and Safety board visible with current legislation and LP audit?

  Yes

  No

  N/A

• 8.3.3 Minimum 2 weeks worth of rota's up?

  Yes

  No

  N/A

• 8.3.4 POP boards contain current information for staff?

  Yes

  No

  N/A

• 8.4 Shop floor access door locked at all times.

  Yes

  No

  N/A

• 8.5 Only correct signage on walls. No hand written notices.

  Yes

  No

  N/A

• 8.6 Staffroom clean and tidy, no fixtures or stock.

  Yes

  No

  N/A

• 8.7 Lockers available to all staff.

  Yes

  No

  N/A

• 8.8 All fire exits are clear.

  Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A