Information
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Internal Control
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Conducted on
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Station Manager
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Select Station
- Brookmans Park
- Potters Bar
- Hadley Wood
- New Barnet
- Oakleigh Park
- New Southgate
- Alexandra Palace
- Hornsey
- Harringay
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Conducted by
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Staff on duty
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Document No.
1.0 Ticket Issuing Systems
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1.1 Is the TIS secure and not left unattended?
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1.2 Is the TIS being cleaned and entry in log?
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1.3 Is the chip and pin secure?
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1.4 Are faults for the TIS being recorded?
2.0 Cash Handling
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2.1 Window floats, is the register being used? <br>Are seals being used on bags? <br>Are records updated between shifts?<br>Has the float been checked ad-hoc?
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2.2 Office floats, is safe float counted and recorded?<br>When opening and closing bags are seals recorded?<br>Does the float match the value recorded?<br>Has the float been checked ad-hoc?
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2.3 Security change orders, is the log maintained?<br>Is it signed for each time?<br>Are the levels within the limits?<br>Is it being paid back within a timely period?<br>Check the value on hand matches the register?
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2.4 Security collection logs, check logs from previous 4 weeks are signed.<br>
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2.5 Cash Regulations, have all staff signed for the latest version?
3.0 Operator Shift Sheets
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3.1 Shift sheets -local filing, are they being completed correctly? <br>Check previous shift sheets match.
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3.2 Surplus and Loss, Are all surplus and losses supported by explanation?
4.0 External Ticketing Machines
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4.1 SSTM shift paperwork, <br>Check continuity of SSTM paperwork documentation for last 4 weeks<br>Check any money found by engineers paid in<br>Check money listed is paid in
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4.2 Are pre requisite machine security facilities used?<br>Are keys secure?
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4.3 External machines emptying, <br>Are machines emptied twice per week?<br>Are they emptied at various times when available to do so?<br>Are TVMs being emptied by TWO people?
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4.4 Are TVMs in working order?
5.0 Office Library
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5.1 Office Library<br>Do staff know where to obtain passenger charter discount?<br>Do staff know where 'The Manual' is located?<br>Is payment acceptance on display?
6.0 Refunds
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6.1 Are all refunds recorded?<br>Are tickets marked cancelled and attached to refund form?<br>Check validity of refunds.
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6.2 Check authorised / Paid out refunds<br>Check calculations of refunds.<br>Check correct authority has been applied<br>
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6.3 Duplicates and Encodes<br>Have all duplicate and encodes been recorded!
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6.4 Fraudulent refund claim checks<br>Verify that checks are in place.
7.0 Security
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7.1 Security of ticket offices,<br>Are all doors secure and locked where necessary?
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7.2 Visitors book in use<br>Are visitors signing in the visitors book?<br>Is list of authorised access on display?
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7.3 Key Register<br>Is the key register up-to date?<br>Have all staff signed for keys?
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7.4 Key Register Relief Sets<br>Is key register correct for relief sets?
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7.5 Safe Checks<br>Is safe fit for use?
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7.6 Window Tills / Cash Drawers<br>Are the drawers fit for use and can be locked?
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7.7 Unattended Cash<br>Check there is no unattended cash lying around
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7.8 Alarms / Panic Buttons<br>Is the alarm and panic buttons in good working order?<br>
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7.9 CCTV Coverage<br>Where provided do cctv cameras cover ticket offices and in working order?
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7.10 Change of Codes<br>Have safe combination codes been changed as per cash regs?<br>Have door codes been changed?
8.0 Sundry Checks
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8.2 Payment Card Industry Data<br>Do staff understand procedure for cards left behind?<br>Do staff understand data protection?
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8.4 Fraud Hotline<br>Is the fraud hotline poster on display?
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8.8 Lost Property<br>Is all lost property being recorded correctly?
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