Stock & Cash Assurance

Complete audit and return to update when result is known!

Any balance inaccuracies in the stock files identified during the visit will need to be corrected using code 11.

In all instances direct the store to One Great Way procedures which are available on 365.

Risk - Impact on stock availibility

Check Aura 4-8-2 to create a Mismatch report and print. Remember the company requirement is to clear daily
Answer Fail based on the below;
• If more than 1 item is over 48hrs, as it’s then classed as multiple occurrence.
• If stock has manually been moved to mismatch.

Risk - Impact on space within area 1 and security lines exposed for longer

Check Aura 4-5-5-8 and press F10 to create report and print. Remember the company requirement is to clear daily
Answer Fail based on the below;
• If more than 1 item is over 48hrs, as it’s then classed as multiple occurrence
(Must be from when the reservation cancelled)

Risk - Impact on stock availibility and the integrity of the pending files

• Cross reference the below reports against what is physically present to confirm each pending file is accurate;
1. Returns
2. Views
3. Pending Transfers (Damages)
4. Disposals (Exclude code 41)
5. Perm Display
6. Investigate any balance discrepancies on the above
• Is the view file being used for genuine customer views only?
• Are the other files being used for their intended purpose only?
Answer Fail based on the below;
• If any stock is +/- on more than 1 item, as it’s then classed as multiple occurrence
• If more than 1 discrepancy across all x5 pending files i.e.
. 1 Error on Return & 1 error on View = failed as this is a multiple occurrence
. 1 Error on Return (only) = Pass
• If more than 1 item has been left on View/Return more than 48hrs

Risk - High value lines becoming more vulnerable

Company requirement
1. Counts completed in full.. i.e all ticked/marked
2. No missed lines
3. Stock moved in to security when identified
4. Code 7 MUST be used if stock cant be found/empty box
(unless identified as a mis-pick or on your SASP)
Answer Fail based on the below;
• If more than 1 full count is missing / incomplete.
• Incomplete= Miss-counting items & not capturing the full PRI range.
• Stock on more than 1 occasion not being moved into security room
(Excluding stock in DPA & RPA)
• If an adjustment has occurred and the correct code hasn’t be used

Risk - Impact on the ability to understand the correct reason for an adjustment

Review 20 adjustments to ensure the correct code has been used.
Answer Fail based on the below;
• If on more than 1 occasion the wrong adjustment code has been used

Risk - Impact on integrity as well as transfers open to abuse

Review the last 4 weeks stockroom envelopes for the SASP report
• The store must annotate or provide F7/F2 & F10, as well as utilising the Reverse Flow & Wes Discrepancy reports.
• Full transfer scenarios; Stores cross referencing the summary load sheet to make sure the transfer was correctly labelled when sent.
• Has code 6 been used to correct any errors?
Answer Fail based on the below;
• If you find more than 1 line per sheet, which the store has not annotated/evidence of investigation.
• If on more than 1 occasion the wrong code has been used to correct a SASP error.

Morning drop:
. Contact your HUB to request the replacement item for delivery on the afternoon drop the same day
. Contact customer to update them
. Do not finalise transfer until your item has been delivered that afternoon
. Once item arrives and is putaway. You can then finalise as usual.
Afternoon drop:
. Contact customer to update them and arrange recovery for them, either a replacement or refund
.Contact your HUB to inform them of the discrepancy
. Finalise transfer, including discrepancies
It is vital no transfers from your HUB are left NOT FINALISED overnight, this will cause system issues.
Answer Fail based on below:
. If colleagues mention leaving the transfer open until next day
. If the store are making code 6 adjustments instead of voicing over/short upon finalisation on WES

Risk - Impact on stock availibility as well as space issues within the DPA

Validate that all balances are accurate.
• Investigate any discrepancies to establish if any missing stock has gone out manual & is awaiting the eForm to be updated by the CC
• Any stock on DPA for longer than 18 days can be moved back into saleable stock.
• Using system stock adjustment to adjust down from reservation and up into main stock using code 08
• Any confirmed delivered units must be adjust down from DPA as code 14
• Ensuring any customer details are removed from the packaging.
• Any stock found that was a previously marked as missing (code 15) re-adjust back as code 15
• Answer Fail based on the below;
• If more than 1 item has been in DPA for longer than 18 days.
• If the file is inaccurate i.e +/- stock.
• Missing stock cannot be accounted for by reviewing manual forms.

Risk - Impact on customer journey and unnecessary stock adjustments

Ask 3 colleagues (minimum 2) working in the stockroom or wearing a headset what they would do if they cannot locate an item on the shelf during picking.
• Check short pick adjustments from the last 2 weeks to see if any have been found same location, different day
• Sense check the short picks that haven’t been rectified.
Answer Fail based on the below;
• If any of the colleagues advise anything other than using the ‘short pick’ function.
• If you find on more than one occasion code 4/13 adjustments that have been corrected in the same location on a different day.
• If any short picks are found on the day of the visit in the same location it was short picked.
. If on more than one occasion stock has been moved to view and adjusted

Risk - Impact on customer journey, unnecessary stock adjustments, replenishment & more…

Review 2 weeks task planners & envelopes to ensure all daily/weekly tasks have been achieved.
• The evidence required for the envelope must be present
• Ensure all tasks have be initialled to state the task has been completed in full.
Answer Fail based on the below;
• If evidence is missing on more than 1 occasion when the task has been confirmed as completed
(Classed as a reoccurrence)
• If more than x7 gaps (per each week checked)
.Gap can’t be on the same task within the same week
. X7 gaps can't be on the same day

Risk - Falsification of documentation knowingly/unknowingly

Review 2 weeks & cross reference each task planner to the online submission detail to ensure the submission is accurate.
Answer Fail based on the below;
• If you find more than one lack of correspondence in data between the ‘worked paper’ task planner and the envelope/online submission.
• If the online form wasn’t completed.

Risk - Impact on customer and stock replenishment

• Review the last 2 weeks;
• Check the delivery schedule to see if all deliveries have been received upon receipt
• Check to see if all cages/totes/skips have been verified against Aura print outs
• Check to ensure that every location detailed on the WES discrepancy report has been checked with a balance documented as required.
• Cross reference any overs against the AURA movements to ensure that these have been processed correctly and AURA updated i.e (Any locations with overs where the over has not been confirmed and AURA updated)
• Check the balance on the shelf to ensure that the store have not missed any shorts
• Answer Fail based on the below;
Answer Fail based on the below;
.If any deliveries received on Aura on a specific day have not been received at the same time of arrival (tolerance window) on more than one occasion.
.If any locations on the WES reports have been left blank/not checked or missing paper work – On more than 1 occasion/delivery
.If on more than one occasion any overs have not been processed correctly
.If any shorts are found
.If missing Aura print outs (cage/tote/skips) – On more than 1 occasion/day
.If the status on the Aura prints outs say ‘Received/Pre-released’ instead of In-transit

Risk - Impact on stock availibility and customer proposisition

Review AURA menu 4-2-6-1 to see what Transfers In are outstanding for the store.
.Question the Stock Manager to understand if these transfers are still in transit or are they in the building waiting to be worked. 
.Investigate any transfers dated over 7 days
.If needed, interrogate the stock movements for each line to understand what if anything has been done with the stock. 
.Investigating when the transfer was raised and the current date using the WES discrepancies. Then see if the lines missing have been added to another transfer in error. 
.No transfer-in should result in an adjustment being made, as it should be amended through the SASP
Answer Fail based on the below;
.If there are any transfers still on the system over 1 week old
.If the store have made any adjustments.
.If you are unable to identify where the missing stock is located.

Risk - Impact on Stock Transfers timing out creating a loss to the business

Check AURA 4-2-4-2
• Validate any transfers that are on the system to see if they are present/within the building.
• Check to see if any are currently being worked on in-store i.e raised today.
• Any stock transfers not in the building should have already been released / finalised.
• Confirm via the summary load sheet as to when they departed.
Answer Fail based on the below;
• If you find any transfers on the system that haven't been released, which have already been sent to the DC / Store.

Risk - Increases opportunities for monies to go missing

Check the Daily Cash Booklet for the last 4 weeks to ensure that every day has a valid entry and to ensure any details of losses/gains are documented
Check the to ensure that the weekly management check has been completed each week over the last 4 weeks. 
Review the signatures to ensure that a different member of the management team is completing this check each week.
Answer Fail based on the below;
.If any gaps are present over the 4 weeks i.e reconciling tills/T&B daily
.If the Management check has not been completed.
.The same Manager is completing the checks unnecessarily.
.If any T&B error has not been corrected & has been carried over into the next day

Risk - Impact on smaller losses going undetected over periods of time

• Review the shorts & overs report for the last 4 weeks. 
.Any shorts or overs of +/-£5 should have had a till discrepancy form completed 
.Interrogate the cash envelope to ensure the form has been completed in full
.Including evidence that the colleagues logged to the till shift have been asked / made aware of the error. 
.Any error of £20 or more unresolved should be notified to the SCM
Answer Fail based on the below;
.If you find any missing / incomplete forms
.The store has errors of +/-£20 and the SCM have not been notified

If the store haven’t had any 981’s in the last 4 weeks ask the duty manager what the correct
reconciliation process is.
Answer Fail based on the below;
.If the Duty Manager couldn’t explain the correct process (If none)

• Review the last 4 weeks cash office envelopes to ascertain if the store is reconciling 981 refunds daily.
• Review the quality of all 981 refund forms present to ensure that they have been completed in full
• With an adequate explanation for the reason for the refund
• As well as ensuring the form has been signed by the customer.
• 981/1599 refund processed in Hub stores for FTD cards should have the ;
• FTD order detailed on the form, but will be missing the customer signature.
Answer Fail if any of the below are not achieved;
• If the store are not reconciling the forms daily against Aura print outs
• If you find any forms are missing or incomplete

Risk - Increased risk to refund abuse/Fraud

Count ALL the money as part of this question
.T&B (Sainsbury’s –Validate the print out)
.Float (in cash office)
.Change
.Total Physical Cash holding” and “Aura Line 54”, these should match
Answer Fail based on the below;
.If it doesn’t match

If the store doesn’t have any on the system ask the duty manager what the correct process is
Answer Fail based on the below;
.If the Duty Manager couldn’t explain the correct process

Review the Pending Disposal file and review all code 41 Disposals against the paperwork available in the Cash Office.
Answer Fail based on the below;
• If any paperwork is missing – (Tolerance if RJ copy is printed whilst S&C are present)
• If products are missing

SCM to review stores stock documents and ensure that all files are cleared to zero where possible with all stock moves completed and any adjustments required to be processed as code 11. If these cannot be cleared on the day then a brief reason as to why should be stated.

SCM to check:
Fuel cards are being signed in and out using correct documentation.
Spot check that receipts are being reconciled weekly Vs. TMC documentation

Fail:
Fuel cards are not being signed in & out.
Store is not consistently reconciling receipts with TMC documentation
If Fail please escalate Via email copying in RM, FTD Divisional Support, DSCM & Paul Mitchener

SCM to check:
Store is filling up at Sainsbury’s fuel stations as per brief criteria
No nectar or loyalty card points are being collected on fuel purchases.

Fail:
Store is not filling up at Sainsbury’s fuel stations as per brief.
Evidence found of Loyalty cards being used on fuel purchases.
If Fail please escalate Via email copying in RM, FTD Divisional Support, DSCM & Paul Mitchener

I confirm that I was present during the compliance audit conducted at my store today and the score and outputs have been explained to me along with the agreed action plan and timelines required to complete this in.