Information
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Audit No.
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Store
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Conducted on
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Risk Manager
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Location
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Regional Manager
Cash Handling
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Cash float in accordance with approved float?<br><br>
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Check float is at designated amount. Fail if float is at incorrect level, or variance of greater than $5
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Change Float Balance Sheet is in use and change balanced daily.
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Check Change Float Balance Sheet for the last 4 weeks.
Partial fault for one count missing, fault for more than one count missing.
Fault also occurs where variance noted on sheet and not rectified and/or reported as per process. -
Register clearances are being conducted.
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Access Surefire BOS for the last 14 days and check daily cash amounts on each till. Notate any amount over $2000. Check whether clearance has occurred via Register Accountability. Fault occurs if the have been amounts over $2000 and there is no evidence of a clearance taking place.
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Register clearances are being conducted correctly?
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Check clearance receipts for two signatures, and amounts written onto the clearance receipt. This figure should match the amount entered into Surefire BOS register accountability, as well as the amount entered onto Daily Cash Balance Sheet. Fault occurs for more than one issue identified.
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Banking performed daily?
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Observations of sealed banking bags in the safe, with all required information completed on the bag and also the deposit slip.
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Banking details match
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Check details in Surefire BOS (daily cash banking figure) that the amount matches the deposit slips to Armaguard. Fault occurs where there is a difference in the amount and this has not been reported to Finance or Risk Management.
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Daily POS Balance Sheets being used for all Tills in use
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Check Daily POS Balance Sheets are in use, and correct information is being completed daily. Forms should be the correct template. NOTE: different template at Anaconda.
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Register draws not in use that day contain full float and are checked regularly.
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Check that additional tills in safe have floats within them, and that they contain $400. Ask when the last time they were counted, if more than one week ago they should be counted.
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Register variances are reported and followed up
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Check that all variances over $5 are being followed up with the operator/s. Variances over $20 must be reported the Risk Management and Regional Manager. Where consistent variances are occurring team retraining or performance management must be demonstrated. Large or often occurring variances are to be investigated.
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Safes are in good condition are operate effectively
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Check that all safes are operating effectively. Doors should swing freely, locks operate, and code pads work. Safe size should also be appropriate for the size of the store.
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Cash Office door is secured when safe is open, or when no one is in the Cash Office vicinity
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Check door throughout the day and note times where door has been left open, or when safe accessed with door open. Note any chocking devices that may be used to keep the door open.
Anaconda - store to have 'door closed' signage affixed to door -
Cash Office / Safes covered by alarm system
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Check that alarm system is effective and detectors not blocked by stock.
Anaconda - Cash Office to be covered with operating CCTV camera -
Armaguard collection occurs as per process
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Check that the Armaguard collection has occurred correctly. Office door is closed. Paperwork completed correctly, and Armaguard is not delayed by banking not being ready for collection.
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Is the two person rule being followed at all times when handling cash in the Cash Office
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Spotlight only question. Two Team Members must be in attendance when cash is being handled in the Cash Office.
Anaconda - N/A -
Social Club funds are handled correctly
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Spotlight - nominal amount held in safe, bank account held with minimum of two signatories. No EFTPOS card or cheque access.
Anaconda - accounts held in Sport Group. Access to funds via Petty Cash with Regional Manager authority. Nominal amount can be held in cash in safe. -
Overall comments regarding Cash Handling within this store.
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Follow up required
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Who is responsible:
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Action required by:
Refunds
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You should access all refund information for the previous month. You should ensure you have receipts for all tills as well as refund reports printed by the store.
Resources -
- 508 refund report
- refund analysis tool on shared drive
- Surefire BOS refund report -
Refunds / Exchanges checked from the following date range:
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Is the Customer Refund Policy on display at the main POS area of the store?
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Anaconda - the customer refund pamphlet is to be displayed and available for customers to take at the main POS
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Has the Refund Reconciliation Report been printed daily and signed off as being reviewed by the Management Team
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Check that the Refund Report has been printed off daily and has been signed off by the Manager completing the daily reports. Fault for any day not printed out, fault for more than one occasion that report has not been signed off. Fault for sign off by Management Team where issues haven't been identified (i.e. missing receipts not identified, which would indicate report has not been checked)
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Are all refund/exchange receipts accounted for?
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Check that all refund/exchange receipts are accounted for. Compare receipts to refund report. Fault if two or more are missing from last 14 days without appropriate follow up from Management.
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Do all refund/exchange receipts have two team member signatures?
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Check that all refund/exchange receipts have two team member signatures. Fault for three or more non compliant receipts
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Do all refunds / exchanges have appropriate original transaction details or customer identification present?
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You should be checking that all refunds/exchanges have the complete original transaction number and date listed. All refunds over $50 should have the original transaction confirmed from the transaction journal from Surefire BOS.
Where this is no receipt, you need to establish complete customer details are valid. -
Overall comments regarding Refunds within this store.
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Follow up required
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Who is responsible:
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Action required by:
Compliance
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Recall stock acted upon by due date and held in appropriate signed area?
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Spotlight - check the Compliance folder for recent compliance notices to ensure they have been acted upon. Fault occurs for any instance of non compliant stock still on selling floor. Fault occurs if more than one compliance instruction has not been completely followed (ie sent back to supplier by due date)
Anaconda - refer to Weekly Comms for most recent recall information. Fault occurs if any non compliant stock has not been acted upon. -
Knife signage is clearly displayed in knife area and on main POS or Water counter.
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Anaconda question only. Spotlight N/A
Partial fault occurs if only one sign up, or signage damaged or photocopied. Signage available on Campfire. -
Signage regarding the sale of spray paint clearly displayed on paint cage.
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Spotlight question only. Anaconda N/A.
Signage should be clearly displayed on paint cage. Signage should be clear and free from paint residue. -
Bait fridge is maintained?
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Anaconda question only. Spotlight N/A.
Bait fridge should not have excess build up of frost/ice. Bait should also be packaged correctly with no opened packets. There should not be an excessive smell coming from fridge. -
Use by / best before dates in range for food items.
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Anaconda question only. Spotlight N/A.
Check random products to ensure that they are within date. Areas to check - freeze dried food, bike area power bars, drinks fridge. -
Hazardous materials area correctly maintained?
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Fault occurs if area is not maintained correctly (ie blocked by stock etc) This does not necessarily to safety aspects. Anaconda - chemical cabinets, gas bottle storage. Spotlight - gas cage
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Lost Property process is correctly actioned.
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Check to see if Lost Property process has been implemented and is being followed.
Anaconda - Lost Property box and log in place within store. All items are to be listed on log. -
Overall comments regarding Compliance within this store.
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Follow up required
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Who is responsible:
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Action required by:
Receiving Area
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Receiving area appropriately setup to ensure efficient delivery receipting and appropriate stock distribution.
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This is more about how the Receiving area is setup rather than poor design of a building etc.
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Stock not left outside unattended
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Fault occurs if stock is found left outside for an extended period of time. Notate times found unattended.
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Receiving door not left up when area unattended.
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Fault occurs if Receiving door is found open for an extended period of time. Notate time found open.
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Forklifts / WAVES / Walkie Stackers not left unsecured or unattended
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Fault occurs if Forklifts / WAVES / Walkie Stackers found with keys in them unattended.
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Supplier Returns/claims section clearly marked and maintained
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Fault occurs if Suppliers Returns/claims area is untidy, spread across multiple areas, or has a lengthy back log.
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Stock is secured adequately
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Fault if stock is found unattended in boxes or on pallets outside of the storeroom on the selling floor.
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Stock is stored adequately
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Fault if stock is stored poorly in the storeroom
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Overall comments regarding Receiving Area within this store.
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Follow up required
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Who is responsible:
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Action required by:
Team
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Team Member pro deals are actioned in accordance it procedures?
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Anaconda question only.
Discussion with the Store Manager to establish the process for pro deals within the store.
There is to be authorisation and control of pro deals. -
Team Member purchases are processed correctly
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Discussion with the Manager to ensure there is some control over Team Member purchases. I.e. not during shift, at a designated POS, with designated Team Members / Managers
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Team Member Lay-bys correctly processed and maintained correctly.
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All Team Member lay-bys must be processed correctly. If found, packages should be checked for accuracy of items.
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Team Members are not holding merchandise
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Look for stock being held by Team Members. You need to check Tea Room, Offices and POS areas.
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Team Member rentals are processed correctly
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Anaconda question only.
Check that there is process in place for Team Rentals. Check book to ensure that all items have been returned. -
Team Member lockers are correctly maintained
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The should be enough lockers to cover the number of Team Members in the store at peak times. Lockers should be able to be locked.
Anaconda - signage regarding responsibility must be displayed in locker area. -
Store Manager Relief / Takeover checklist has been utilised since last change of Store Manager
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Anaconda question only.
Store should be able to present last checklist if Store Manager has changed since the last audit. -
Tea Room is appropriately maintained and clean and tidy
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Check Tea Room for general tidiness. Check fridge, microwave, sandwich press for cleanliness. Fault for dirty unclean conditions. Also check magazines, books etc fit the values of the store
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Team Member bags and personal items are not held at registers / counters / receiving /selling floor.
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Check registers / counters / receiving /selling floor for Team Members bags and personal belongings. Also look for food and excessive drinks.
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Risk Management information displayed on the Tea Room noticeboard
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Look for items hat have been sent to stores and should be displayed in the Tea Room and Noticeboards. Look for Focus of the Month, Alerts etc
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Overall comments regarding Team within this store.
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Follow up required
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Who is responsible:
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Action required by:
Stock
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Stock required for in store use to have the appropriate stock movement taken.
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Check areas: Bike workshop and Spartys. Anything used for in store use must be adjusted.
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Stock kept for spare parts to have had the appropriate stock movement taken, and kept in an isolated, signed area.
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Anaconda - check spare parts area in storeroom. Area should be tidy, all items should be adjusted. Discuss with Manager.
Spotlight - unknown -
Stock priced with relevant ticketing to product
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Check at least two departments. Tickets should be displayed and show accurate for price for the correct product.
Partial fault for 10% error rate
Fault for 20% or more error rate.
Describe errors listing departments checked -
Catalogue and VIP/Adventure Club ticketing is current and on the correct signage templates
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Check current ticketing to ensure that the tickets are in line with current promotion. Fault occurs for any incorrect tickets found. Describe errors.
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Permanent price changes actioned by due date
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Review Store Notes / Weekly Comms for recent permanent price changes. Check at least 10 price changes for conformation of action taking place.
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Security Tagging guidelines are followed within the spirit of the Tagging Guidelines document and are consistent across ranges of items
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Anaconda - check for consistency of tagging. Check TSG, Shoes, Power Inverters.
Spotlight - unknown -
Damaged merchandise process adhered to
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Spotlight question only. Check that items being marked down due to being damaged, that the process is occurring correctly, prices are within guidelines.
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Overall comments regarding Stock within this store.
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Follow up required
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Who is responsible:
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Action required by:
Building
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The store to display the appropriate Conditions of Entry signage near the entrance of the store
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Spotlight only question. Check entry for conditions of entry signage. Sign to be not blocked by other signs or stock. Sign is to be clearly legible and not damaged.
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All locks and doors have adequate security
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All locks and doors o lock and lose correctly.
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All digital keypad locks have had codes changed in the last 12 months, or after a significant incident.
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Confirm when code was last changed.
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Stores CCTV system is operational and all cameras showing image and monitors are operating
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Check monitor in office is showing all images. Monitor at front of store should've showing entry camera.
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Management Team are aware of how to operate the CCTV system to review and burn footage
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Ask Management Team if they know how to operate CCTV system. If unsure of validity, ask to demonstrate.
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Store to have the appropriate signage relating to the use of CCTV in the store
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Anaconda - signage should be near entry as well as in the Tea Room.
Spotlight - unknown -
Are two Team Members entering and leaving the store together
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Discuss with Manager, review rosters and alarm entry times. Check CCTV system if available.
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All alarm equipment is operational and not blocked by stock?
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Observations of alarm equipment.
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Alarm walk tests are being conducted quarterly
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Check when the last alarm walk test was conducted. Check to see if any issues identified in last walk test have been rectified.
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Alarm codes are up to date
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Check codes in alarm panel. Fault if codes found active for former employees.
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Alarm after hours call out listing is up to date and all numbers are correct.
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Confirm from ADT Select that after hours call out listing is current and up to date. Update at the time of the audit.
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Alarm Weekly Open/Close Report being followed up
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Anaconda question only.
Where a Store has been identified on weekly alarm open / close report, ensure that follow up has occurred. Fault occurs if store is constantly on the report. -
EAS gates are fully operational
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Test EAS gates. Use soft tag, hard tag and source tag to ensure consistent activation. Fault if issues found that have not been reported.
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EAS deactivators and tag removers are fully operational
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Test deactivators and detachers to ensure they operate. Fault for issues found that have not been reported.
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Team Members aware of what to do in case of an EAS activation
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Discuss with Team Members, ask them how they would handle a customer that activates EAS gates.
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Fitting Rooms are operational and clear of stock and tags.
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Anaconda question only.
Check Fitting Rooms. Fault occurs if excess build up of clothing, hangers, tags or rubbish. Check TSG and Bikes fitting Rooms -
Off site storage is appropriate and secure
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Ensure that the off site storage is appropriate for the size f the store, and it can be secured appropriately. Enquire as to how the off site storage is paid for (ie though accounts, or Petty Cash)
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Lockable cabinets in selling areas and POS are secured
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Check cabinets are all locked. Fault for any cabinets left unlocked. For cabinets missing or have defective locks, fault would occur if high risk / high priced items are in a cabinet that can't be locked.
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High risk stock cage has appropriate items enclosed and is secure
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Anaconda question only. High risk cage must be locked at all times. Appropriate items ,use be located within. Fault for cage being unlocked or unsecured. Fault for items that should be in bags left out.
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Is the Key Register maintained and up to date
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Check Key Register. Must be up to date.
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Overall comments regarding the Building within this store.
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Follow up required
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Who is responsible:
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Action required by:
Climbing Pinnacle / Kayak Pool - Anaconda
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Climbing Pinnacle area appropriately maintained
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Climbing Pinnacle area must be maintained in a neat and tidy manner. Barricades to be in place. Equipment to be tidy and accessible for use.
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Climbing Pinnacle signage clear and appropriate
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Official Climbing Pinnacle Signage to be clear and unblocked by stock or other signage. Stand up signage to be clearly visible.
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Climbing Pinnacle signage regarding opening hours is appropriate
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If store have restricted the hours that the Climbing Pinnacle is open, signage should be appropriate, not hand written, and not indicating that Pinnacle is closed for maintenance reasons.
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Waivers for Climbing Pinnacle are completed correctly
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Check all Waivers for the last month. Waivers are to be completely filled in, with full customer details, witness details and signatures. Fault if more than one waiver not completed correctly.
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Kayak Pool area appropriately maintained
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Kayak Pool area must be maintained in a neat and tidy manner. Barricades to be in place. Equipment to be tidy and accessible for use.
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Kayak Pool signage clear and appropriate
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Official Kayak Pool Signage to be clear and unblocked by stock or other signage. Stand up signage to be clearly visible.
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Kayak Pool signage regarding opening hours is appropriate
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If store have restricted the hours that the Kayak Pool is open, signage should be appropriate, not hand written, and not indicating that Pinnacle is closed for maintenance reasons.
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Waivers for Kayak Pool are completed correctly
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Check all Waivers for the last month. Waivers are to be completely filled in, with full customer details, witness details and signatures. Fault if more than one waiver not completed correctly.
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Overall comments regarding the Climbing Pinnacle / Kayak Pool within this store.
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Follow up required
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Who is responsible:
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Action required by:
Payroll, Training and People
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Are time sheets being completed correctly
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Timesheets should be checked to ensure hat they are being filled in correctly. Look for not being filled in until the end of the week, or being per completed.
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Are Team Members paid correctly
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Check the last two weeks exception reports against timesheets. Speak to Team Members to see if there is any issues with pays within the store.
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Have all Team Members completed the necessary induction / training
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Anaconda - ask Manager to bring up Campfire to see what the overall completion rate for the entire team. Fault for under 80%, Partial up to 90%, pass for above. Exceptions may be made for team who have just started with the last few weeks or people on leave, where new task have appeared while on leave.
Spotlight - unknown -
Have the Management Team conducted the necessary induction / training
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Anaconda N/A
Spotlight - check Management Induction records, fault for extended non compliance to the training. -
Overall comments regarding Payroll, People and Training within this store.
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Follow up required
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Who is responsible:
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Action required by:
POS Register Process
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All registers logged out when not in use
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Check all registers at various times throughout audit. Fault occurs where a register is found to be logged in without a Team Member present.
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Operator details are current and accurate in Surefire BOS
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Bring up names on Operator Details in Surefire BOS. Looks for names of past Team Members or numbers only that are active in the system. Fault occurs for any former Team Member still active in system. If unsure of names have Manager run through list during audit.
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All receipts are given to customers, or destroyed at POS
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Observed at POS. If customer does not want receipt, receipt should be destroyed and placed in bin. Fault if non destruction is observed, or if you find non destroyed receipts in bin.
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Team Discounts received by appropriate persons
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Look at discount report. Review transactions with 15% off to ensure hat staff discount card has been presented
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Suspended Sales not Resumed Report printed and appropriately followed up
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Check that report has been printed if suspended transactions have occurred. Evidence of follow up should be demonstrated.
You can print report in Surefire BOS under Reports > Security > Suspended Transactions Not Resumed -
Voided Transaction / Voided items Report printed and appropriately followed up
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Check that report has been printed if voided transactions / voided items have occurred. Evidence of follow up should be demonstrated.
You can print report in Surefire BOS under Reports > Security > Voided Transactions -
Price Override Reported printed and appropriately followed up
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Check that report has been printed. Evidence of follow up should be demonstrated for all price overrides over 50%
You can print report in Surefire BOS under Reports > Security > Price Override Audit Trail.
NOTE: item discount report does not show all mark downs. You need to check price overrides. -
Daily Cash Up completed as per process
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Anaconda - following reports must be printed daily: price override report, void report, suspends report, open cash drawer report,
Spotlight - check -
Petty Cash Process followed correctly and appropriately authorised
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Check Petty Cash usage for last two months. All receipts must be accounted for, and appropriate use of Petty Csh must be established. You may be to speak to Regional Manager to confirm authority of spend. Fault for any Petty Cash not accounted for.
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Cheque sales are process according to procedure and are banked correctly
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Ensure cheques have been entered correctly within Surefire BOS, and have been banked correctly. They are to be banked with daily takings in bottom section of banking bags and collected by Armaguard.
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Dump code usage is appropriate
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Spotlight question only. Check
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Overall comments regarding POS Register Process within this store.
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Follow up required
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Who is responsible:
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Action required by:
Lay-by / Shop at Home / Online Transactions
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Lay-by area maintained in a neat and orderly manner
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Check the lay by area to ensure that it is neat and tidy. Fault for areas that are very untidy. Ensure that labels are faced to the front. Review a number of laybys to ensure they are in date.
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Overdue Lay-by Report printed regularly and actioned
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Print off the Overdue layby report from Surefire BOS. Fault occurs for five or more laybys overdue by more than a month without the required follow up letters being sent. Fault also occurs if the reminder letters have been sent over a month ago without further follow up.
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Shop At Home paperwork does not show private information
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Review Shop at Home paperwork. ensure that credit card information has been destroyed/removed. Fault occurs for any credit card information found. Fault also occurs if Shop at Home form with customer details such as address's found visible on the shop floor.
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Shop At Home process being followed correctly
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ensure that the Shop at Home process if occurring correctly.
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Appropriately trained Team Members are transaction online orders
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Anaconda question only - The Team Members who are preparing and putting through Online orders are appropriately trained.
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Online orders are being processed within 24 hours of received
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Anaconda question only - Check the online orders are being processed within 24 hours of receiving the order. Feedback back to Customer Care if order cannot be fulfilled.
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Area for online orders with postage / courier collection point maintained in Receiving
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Anaconda question only - check that there is an appropriate area for the gathering and processing of online orders.
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Overall comments regarding Lay-by / Shop At Home / Online Transactions within this store.
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Follow up required
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Who is responsible:
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Action required by:
Stock Movement
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Is there outstanding items on he Stock In Transit Report
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Review Stock In Transit report. Fault occurs for items in transit for significant periods of time without constant follow up.
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Goods receipting is up to date
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Ensure that Goods Receipting is up to date. Review pallets received vs what is outstanding. Fault would occur if pallets have been accepted and distributed without actually being receipted.
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Goods Receiving Log being used correctly
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Spotlight question only - review log and ensure that it is being used correctly and is up to date.
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Negative Stock On Hand Report reviewed and followed up
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Spotlight question only - Print off Negative Stock on Hand Report. Fault occurs for reports that clearly haven't been followed up regulalry.
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Supplier returns/claims are being actioned in a timely manner
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Review Supplier Claims / Returns area. It should be maintained in a neat and tidy manner. Items should be followed up within a reasonable timeframe. Items should have paperwork with dates attached. Check a number and fault occurs if items have been there for an unreasonable timeframe.
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Store transfers are being processed correctly
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This will show on the Stock In Transit Report. Fault occurs where items outstanding for an unreasonable period of time
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Is the store completing DC Over and Under adjustments
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Anaconda question only - Store should be completed DC overs and unders adjustments weekly. Fault occurs if adjustments haven't occurred on at least 50% of the weeks. Report can be found on Campfire.
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Is all stock leaving from the Receiving area with the appropriate paperwork
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Ask the Receiving Team what the process if for stock leaving back door. Make observations throughout the day.
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Overall comments regarding Stock Movement within this store.
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Follow up required
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Who is responsible:
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Action required by:
Incidents
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Are stores reporting incidents through to Risk Management
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Based on information sent through or communicated to Risk Management against known incidents that have occurred within the store. Fault occurs if incidents haven't been recorded.
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Is the store completing Known Theft / Empty Packets adjustments on a weekly basis
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Check Adjustments Report for write offs. Fault occurs if items are not adjusted on at least 50% of the weeks.
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Is the store aware of their shrinkage hotspots
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Stores should be able to talk about where their shrinkage hot spots are within the store. Fault occurs if store have very little idea where there area of losses occur.
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Comments regarding local crime issues
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Overall comments regarding Incidents within this store.
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Follow up required
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Who is responsible:
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Action required by:
Sign Off
Sign Off
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This audit has been discussed with a member of the Management Team. Areas of improvement have been discussed and actions on how to rectify.
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Management Team Member
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Will be followed up via
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Will be followed up by
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Risk Manager
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Risk Manager Comments
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Management Team Member / Store Representative
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Management Team / Store Representative comments
