RM Mini Risk Audit Copy

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Loss Prevention

Till and Safe Checks

• Do the tills balance at the point of checking? (Check one till at random)

  Yes

  No

  N/A

•  Tills must always balance to the expected value in the back office plus the £50 till float.  If Extra Floating the tills a MAX of £40 per till can be borrowed from the safe, this must be paid back by 11am

• Does the Safe balance at point of checking?

  Yes

  No

  N/A

•  Safe float must balance at all times (Please speak to LP if unsure)  If Extra Floating the tills a MAX of £40 per till can be borrowed from the safe, this must be paid back by 11am

Banking Control / Inner Bags

• Is the Banking Control Sheet completed correctly? Does the G4S bag number on the G4S receipt match the number on the BCS? (Check last 4 weeks)

  Yes

  No

  N/A

•  All boxes must be completed daily after cashing up ensuring that all current inner bags are present and correct  2nd set of tick boxes and 'sealing G4S' details must be completed on the morning of the collection due date  G4S date of collection and receipt number must be written in ink on the carbon copy after collection

• Do the current inner bag numbers in the safe match what is recorded on the current banking control sheet? (Check current week)

  Yes

  No

  N/A

•  All inner bag numbers in the safe match always match the numbers recorded on the current weeks BC sheet

• Are the Banking bags properly sealed? i.e. no-one could gain access? (Check current week)

  Yes

  No

  N/A

•  When sealing inner bags they must be sealed over the top so there are no gaps to allow unknown access.

Safe and Door Keys

• Safe keys - All management/Key holders present in store - are safe keys hidden in the office? <br>

  Yes

  No

  N/A

•  All safe keys must be hidden in the office during the working day (for each key holders that is present each day)  Safe keys must be taken home overnight

• Door Keys - All management/Key holders present in store - is one set in till all other sets in safe?<br>

  Yes

  No

  N/A

•  One set of door keys must be in the till drawer 1. (None carried on your person)  All other key holders door keys (present on each day) must be kept in the safe

Refunds

• Weekly Tender Refund/Post Void sheet fully completed and total's match? (Check 1 week)

  Yes

  No

  N/A

•  Each day's totals on the sheet must match the refund slips present.  The sheet must be then be ticked and signed and dated by management.

• Signatures, name and address obtained on refund slips? (Check 1 week)

  Yes

  No

  N/A

•  All refund slips must be completed in full with customers name, signature and full address including town and postcode  One staff signature is required on the refund slip which must be the authorised refunder signature ONLY.

• All refunds over 14 days have been issued Credit Vouchers? (Check 1 week)

  Yes

  No

  N/A

•  All Refunds over 14 days must have Store Twenty One Vouchers issued (unless 'faulty' item)  All Refunds with no original receipt must have Store Twenty One Vouchers issued (unless faulty)

Chip and Pin

• Amount and PIN verified circled on all slips? (Check 1 week)

  Yes

  No

  N/A

•  All Sale PDQ slips must have 'PIN VERIFIED' and the value circled  All Refund PDQ slips must have the value circled

• Do the daily Z Reads from the PDQ machine match the amount declared on the Till Declaration Sheet? (Check current week)

  Yes

  No

  N/A

•  The total on each Z read for each till must be declared and any card discrepancies shown and reported to LP if not a crossover with another tender.

Deliveries

• Have all deliveries been 100% box checked? Are stock adjustments for delivery discrepancies being actioned and stapled to invoice? (Check last 4 weeks)

  Yes

  No

  N/A

•  100% box checks must be completed with a tick against each box and the manager must signed off the invoice.  A stock adjustment sheet must be stapled to the invoice for any boxes not ticked as not received.

Damaged Stock

• Is it set up as per SOE? Has all stock been checked to ensure it cant be sold? (Check last 4 weeks)

  Yes

  No

  N/A

•  DSR sheet must be completed in full  Damages must be actioned each Tuesday  ‘Damaged’ reason code must always be selected when processing through the till  Two copies of the stock adjustment sheet must be printed  Damages must be boxed with ALL copies of paperwork present ready for the RM sign off  Once DSR sheet is signed off by RM it must be filed in the box file with a stock adjustment sheet and the 2nd stock adjustment sheet to be sent with stock to the DC.

Tagging

• Are the tags being utilised correctly?

  Yes

  No

  N/A

•  All ladies stock ONLY over £9.99 must be tagged (where possible depending on tag quantities in store)  All stock must be tagged correctly, i.e. on the seams and visible.

• Overall Comments on the LP section

• Is the store free of any slip/trip/fall hazards?

  Yes

  No

  N/A

• Are housekeeping standards to an acceptable standard

  Yes

  No

  N/A

• Are deployment rotas being completed daily (signed off) and filed in box 22?

  Yes

  No

  N/A

• Are lighting levels acceptable? if response is No please list any areas of concern in box below

  Yes

  No

  N/A

• List areas of concern

• Are all Fire Exits clear and Final exit sheets in place and signed daily?

  Yes

  No

  N/A

• Are all fire escape routes clear of obstructions (internal and external)

  Yes

  No

  N/A

• Is all Portable Fire Fighting Equipment unobstructed?

  Yes

  No

  N/A

• Is the Fire Safety Folder available and being used correctly?

  Yes

  No

  N/A

• If applicable is the Lone Working Procedure being adhered to?

  Yes

  No

  N/A

• Has the Stores General Workplace Risk Assessment and Action Plan been completed and filed in the Retail Safety Procedure Manual (RSP)?

  Yes

  No

  N/A

• Have all other applicable Risk Assessments been completed and filed in the RSP (Manual Handling / Young Persons / Lone Working)

  Yes

  No

  N/A

• Overall Comments for H&S

Risk Banding

• The Risk Banding is as follows
  Green 86% and above
  Amber 70 to 85%
  Red 69% and below

Signature

• Add signature

  Sign

Loss Prevention Guidance Notes for RM's

• Till and safe checks
  Till check
   View expected figure in back office for relevant till (plus £50 float)
   If a store has extra floated tills from the safe is - £40 MAX per till and this must be paid back by 11am
  Safe Check
   Floats should be one of the following values £150, £250, £350 or £500 plus £50 till floats.
   Store can borrow MAX of £40 per till from the safe but must be paid back to the safe by 11am
   Tip! Whilst the safe is open check the door keys and current inner bags.
  Banking control sheet / Inner Bags (Check last 4 weeks)
  Banking Control Sheet
   Ensure all boxes have been completed onto the carbon copy of the Banking Control sheet
   Ensure the G4S bag has been sealed on the day the collection was due (check the ‘sealed by’ section)
   Ensure G4S date of collection and receipt number is written in ink on the bottom copy after collection
   Ensure the G4S bag number collected matches the number recorded on the Banking control sheet
  Current Inner bags in Safe
  1st Point
   Ensure all inner bag numbers in the safe match numbers recorded on the current weeks BC sheet
  2nd Point
   Sealed Bags must be sealed over the top so no gaps to allow unknown access.
  
  Safe and Door Keys
  Safe keys
   Ensure all safe keys are hidden in the office during the working day (all key holders that are present that day)
   Please ask the questions what happens to the safe keys overnight (they must all be taken home)
  Door Keys
   Ensure One set of door keys should be in till drawer (None carried on their person)
   Ensure all other key holders door keys (present that day) are stored in the safe
  
  Refunds
  Weekly Tender Refund/Post Void sheet (Check last week sheet)
   Ensure each day's totals on the sheet matches the refund slips present.
   Ensure the sheet and been ticked, signed and dated by management.
  Refund Slips
  1st Point
   Ensure refund slips are completed in full with customers name, signature and full address including town and postcode
   Ensure only one staff signature on refund slip which must be the authorised refunder signature ONLY.
  2nd Point
   Ensure Refunds over 14 days have had Store Twenty One Vouchers issued (unless 'faulty' item)
   Ensure Refunds with no original receipt have had Store Twenty One Vouchers issued (unless faulty)
  
  Chip and Pin
  PDQ Slips (Check last week Slips)
   Ensure Sale PDQ slips have 'PIN VERIFIED' and the value circled
   Ensure Refund PDQ slips have the value circled
  Z reads (Check last week Z reads)
   Ensure the total on each Z read for each till has been declared correctly and for each till.
  
  Delivery Invoices (Check last 4 weeks)
   Ensure 100% box checks have been completed with a tick against each box and the manager has signed off the invoice.
   Ensure a stock adjustment sheet is stapled to the invoice for any boxes not ticked/not received.
  
  Damaged stock (Check last 4 weeks)
   Ensure the DSR sheet has been completed in full and 1st copy of the stock adjustment sheet is attached with the ‘damaged’ reason code selected through the till.
   Ensure the 2nd copy of the stock adjustment sheet is in the box of stock
   Ensure damages are boxed up with paperwork ready for RM sign off
   Ensure they have been processed every Tuesday
  
  Tagging
   Ensure all ladies stock over £9.99 is tagged (where possible depending on tag quantities in store)
   Ensure stock is tagged correctly, i.e. on the seams and visible.
  
  Health and Safety
  
   Slip/Trip/Fall hazard
   Ensure any liquid / food / tickets have been removed and cleaned up
   Ensure any trip/fall hazards such as boxes, equipment are not left on sales floor and any loose tiles or mats have been highlighted and reported to maintenance
  
   Housekeeping Standards
   Ensure all waste cardboard / plastic etc is removed from sales floor and returned to the DC ASAP and all other rubbish has been disposed off.
  
   Deployment Rotas
   Ensure deployment rotas have been completed daily and signed by Management and filed in box 22
  
   Lighting levels
   Are there any high risk areas with poor lighting, i.e. Staircases, Fire Escape routes etc?
  
   Fire Exits
   Are Fire exits kept clear of obstructions and is the Fire Exit final exit sheet in place (and signed off)?.
  
   Fire Escape Routes
   Ensure all Fire escape routes (internal and external) are clear of obstructions etc.
  
   Fire Fighting Equipment
   Ensure all Fire extinguishers are not obstructed by equipment, stock etc.
  
   Documents (Fire Safety Folder, Retail Safety Procedures)
   Ensure the FSF and Retail Safety Procedures are in store and being used as per instructions and they contain all relevant risk assessments where applicable (Fire, GWRA, MH, Lone working etc)