Store audit ds12345

You will need:
Weekly Finalisation Reports for the two weeks under review.
Store Manager Safe and Legal Record.

Review the ‘declared’ column on the ‘Safe Results Report’ section of the Weekly Finalisation Report.
Confirm the declared safe values do not exceed the company guidelines: -

Cash Office Safe - £/€10,000 (N/A for Auto Safe stores)
Wages Safe - £/€0.00
Main Safe – value of the change delivery + 20% + £20,000

Main Safe Value:
To calculate the Main Safe value, turn to the ‘Received Detail Report’ section on each Weekly Finalisation Report and find the ‘Change Delivery’ line. Calculate 20% (£) of the change delivery, (the Service Manager should have written this value on the report, but check it is the correct figure). Add this value to the total value of the change delivery then add £20,000 to this figure and compare to the Main Safe declaration in the ‘Safe Results Report’ section.

The Store Manager must have signed against the Safe Results Section on each of the Weekly Finalisation Reports under review.

You will need:
Daily Finalisation Reports for each day for the two weeks under review.

Review the following sections on every report to ensure the Services Manager and Store Manager have signed as evidence of their review.
The sections are: -
- Safe Results Report, Lottery Reconciliation Report (N/A in ROI), Lottery Report (N/A in ROI) and Till Results Report - the sign off can be at the end of this page if over a number of pages.

A physical Lottery Scratch Card count must be completed by the store daily. If a count has not been completed this should have been highlighted and a valid next step written on the Daily Finalisation Report next to the Lottery Report section

You will need:
End of week Till Check Report for the two weeks under review - held with the Store Manager weekly reports pack.
Cash Office Safe and Legal Record.

Note - The end of week floats are the values reported as being in the tills for the final reconciliation of the week. The balances should be brought below the £/€300 limit. The float values will either be reported on the final till checks of the week (Sunday) or the first till checks on the Monday.

Review the Till Overs/Shorts Section on the Weekly Finalisation Report to identify the till numbers you need to check. Exclude Self Service, Scan as You Shop, mobile tills and 3rd party café.

Review each end of week Till Check Report to ensure all tills have received an end of week check and that the values are below £/€300.

All till floats above the £/€300 tolerance should be identified and a next step to reduce the floats written on the report or in the Cash Office Safe and Legal Record

You will need:
Refunds Over £9 Report for the two and three days prior to your audit.
Refund slips for all refunds which took place on the days under review.

Select five refunds over £20 (if available) from each of the two days and ensure the refund slip has been signed by the Duty Manager.
The signature must be that of a Duty Manager.

You will need:
Cash Office Safe and Legal Record.
Cash, Bank, Coupon and Lottery Reports for the last ten weeks.

The information on the latest report will be two weeks behind (e.g. If auditing in week 10 the latest report available will be week 8).

The check is in two parts:
1. The Services Manager has reviewed and signed the report in the signature section each week. Where there are differences versus the weekly budget, notes are captured in the notes section as evidence of review.

2. Ensure that all the reports for the last completed Tesco Period have been signed by the Store Manager as evidence of their review.

You will need:
Cash Office Safe and Legal Record as a guide to what date only.
Access to the Cash Management System.

IMPORTANT! Cash Office and Main Safe checks should be completed by the Services Manager; however, in their absence a declaration by any Manager is acceptable.

The evidence for this test is the declaration reported on the system and not the Safe and Legal Record.

1. From the Electronic Journal and Reporting Folder in the Main Menu select the Cash Office Electronic Journal icon.
2. In the Basic Criteria tab, select 'Front Office User'. Click the button with three dots beside the drop-down menu. This will bring up a list of all users. Select the user(s) whose activity you are checking. Click the OK button.
3. Select the date range required.
4. Move to the Cash Office tab and select 'Safe Declaration' from the drop down list of Cash Office functions. Click the Add button, then OK.
The report can then be reviewed on screen or printed if required.

Note:
In a store with the Auto Safe this is still required as the balance in the Auto Safe is added to the damaged notes and coins not in the unit and reconciled to the Cash Office System.

You will need:

The Store Manager Safe and Legal Record as a guide to what date only. The evidence is the actual declaration reported on the system.



All required safe declarations have been completed by the Store Manager.


To complete any Safe declaration checks: -

1. Select the Cash Office Electronic Journal icon from the Electronic Journal and Reporting folder in the Main Menu.

2. In the Basic Criteria tab, select 'Front Office User' from the drop-down menu. Click the button with three dots beside the drop-down menu. This will bring up a list of all users. Select the user(s) whose activity you are checking by clicking in their tick box(es) beside their name(s). Click the OK button. Select the date range required.

3. Move to the Cash Office tab and select 'Safe Declaration' from the drop-down list of Cash Office functions. Click the Add button, then OK.

The report can then be reviewed on screen or printed if required.

You will need:
Daily Finalisation Reports for each day of the two weeks under review.
End of Week Till Check Report for the two weeks under review – held with the Store Manager weekly pack.

This test is in two parts:
1) The store must randomly till check 50% or more of the tills per day.
Method:
- Review the Till Overs/Shorts Section on the Daily Finalisation Report to identify the number of tills. Exclude Self-Service and mobile tills.
- Divide the number of tills in half to determine the 50% requirement.
- Check how many times a day a store undertakes a full till count - This will be either first thing in the morning or last thing at night.
- Review the Till Checks Section of the Daily Finalisation Report and deduct the number of full counts completed each day. For example - If a store completes one full count on each till per day and each till shows two till checks, then each till has received one random till check.

2) Till checks should be completed throughout the day during the following time phases (00.00 - 12.00hrs, 12.01 - 17.00hrs and 17.01 - 23.59) to ensure they are not done all at once. The spread should include all tills in the main store, excluding Self-Service Tills. Do not include full morning or evening counts.
Method:
- Review the End of Week Till Check Report.
- The spread of random till checks should be approximately even across all phases. For example - If a store has 60 tills then 30 (50% requirement) should be checked per day and the spread should be 10/10/10. Allow 10% tolerance on these calculations.

You will need:
Daily Finalisation Reports for the two weeks under review.
Colleague Trend Analysis Forms (RP2K225).
Access to the Cash Management System.
Customer Assistant Interview Forms.

This test in is two parts:
1) Sample one net till difference equal to or greater than £/€10 in each of the two weeks under review.
To identify a difference equal to or greater than £/€10 compare one Daily Finalisation Report to the previous day's report.
Check that this loss/gain has been recorded on the relevant colleague (Smart Stores) or colleagues (non-Smart Stores) Trend Analysis Form (RP2K225).

2) Confirm that any required interviews have been completed for the colleague(s) identified in part one on the required form, within 14 days of the issue occurring.

You will need:
Access to the Cash Management System.

1). From the Electronic Journal and Reporting Folder in the Main Menu, select the Cash Office Electronic Journal.
2). In the Basic criteria tab, select 'safe' from the drop down menu. Click on the button with three dots beside the drop down menu. Select the Main Safe by clicking in the tick box next to it then click the OK button.
3). Select the date range for the previous seven days.
4). Move to the Cash Office tab and select 'Safe Declaration' from the drop down list. Click the Add button, then OK.
5). Select at random one of the safe declarations and double click to open the details.
6). Observe the time shown on the screen and the name of the two users at the bottom of the screen. Print this screen for your use.

View this safe check on CCTV to confirm that the two people declaring the safe were both present. Both parties must participate in counting the safe. Ensure all locations that make up the Main Safe balance are included in the reconciliation. If the Safe in the Safe Room is not included, this is non-compliant.

Ensure the same two people are present and enter their passwords individually when declaring the safe on the Cash Management System.
All safe declarations must be entered on the system within company guidelines for timings.

You will need:
Access to the Cash Management System

1. Select the Cash Office Electronic Journal from the Electronic Journal and Reporting folder in the Main Menu.
2. In the Basic criteria tab, select the date range for the previous seven days.
3. Move to the Cash Office tab and select 'Posting to Bankings Safe' from the drop down list. Click the Add button, then OK.
4. For each entry reported double click to open the details.
5. Determine the value and time of the posting.

NOTE! Check that consecutive postings are not done minutes apart as this would mean that immediately prior to the postings, there was excessive cash in the Cash Office.

The Cash Office should post as soon as they have £20,000 and not build this up. Observe the time shown on the screen and or the value reported. If any one posting listed is over £20,000 then this is non-compliant. Additionally, if there are consecutive postings (within minutes of one another) which total over the limit then this indicates the store are recording separate entries of £20,000 but still not posting when the £20,000 is reached. Again, this would be non-compliant.

IMPORTANT! Ignore any ‘Auto Postings to Banking Safe’.

You will need:
MoneyGram Daily Activity Reports for each day of the two weeks under review – held in the MoneyGram folder.

Check the Daily Activity Reports have been printed and filed for all days during the weeks under review.
Ensure you check the date the activity is for and not the date the report was printed. Reports should be printed after the close of trade or the following day to ensure all activity is captured on the Daily Activity Report.

You will need:
MoneyGram Daily Activity Reports for each day of the two weeks under review – held in the MoneyGram folder.
Daily Finalisation Reports for each day of the two weeks under review.

Review all Daily Activity Reports where MoneyGram activity has taken place during the two weeks under review.
Check the value(s) on the Daily Activity Reports match the total value(s) reported on the Daily Finalisation Reports (Department Analysis Report Section).

You will need:
Cash Office Safe and Legal Record.
Cash, Bank, Coupon and Lottery Reports for the last ten weeks.

The information on the latest report will be two weeks behind (e.g. If auditing in week 10 the latest report available will be week 8).

The check is in two parts:
1. The Services Manager has reviewed and signed the report in the signature section each week. Where there are differences versus the weekly budget, notes are captured in the notes section as evidence of review.

2. Ensure that all the reports for the last completed Tesco Period have been signed by the Store Manager as evidence of their review.

You will need:
MoneyGram Receive slips for each day of the two weeks under review – held in the MoneyGram folder.
MoneyGram Forms for each day of the two weeks under review – held in the MoneyGram Folder.
MoneyGram Daily Activity Reports for each day of the two weeks under review – held in the MoneyGram folder.

Confirm that the values on the Daily Activity Reports reconcile to the totals on the Store Copy of the receive transaction receipts.
All receive slips must be the Store Copy and signed by the customer.
All receive transactions must be supported by a Tesco Copy of the MoneyGram Form and be signed by the customer

You will need:
MoneyGram Refund slips for each day of the two weeks under review – held in the MoneyGram folder.
MoneyGram Daily Activity Reports for each day of the two weeks under review – held in the MoneyGram folder.

Confirm that the values on the Daily Activity Reports reconcile to the totals on the Store Copy of the refund transaction receipts.
All Refund slips must be the Store Copy and be signed by the customer.

You will need:
Cash Deposit Reports (TB171.01) for each day of the weeks under review.
Confirm the Cash Deposit and Cheque Deposit Reports have been printed and retained daily for the two weeks under review.

You will need:
Cash Deposit and Cheque Deposit Reports (TB171.01) for each day of the two weeks under review.
Cash Deposit and Cheque Deposit Slips for each day of the two weeks under review.

Review all days when Cash and Cheque Deposits have taken place during the two weeks under review.
Confirm the values on each line of the Cash Deposit and Cheques Deposit Reports match the values on the Cash Deposit and Cheque Deposit Slips.
Check all slips have the customer's signature in the required place as evidence that the customer has authorised the transaction.

You will need:
Training Record Cards for two Cash Office Colleagues.

Review the training records of the colleagues selected and confirm the MoneyGram training (Know Your Stuff for Cash Office – Bronze 12) has been completed.

You will need:
MoneyGram Send and Receive slips for each day of the two weeks under review – held in the MoneyGram folder.

From the Send and Receive slips select up to four colleagues who have completed transactions during the two weeks under review. Cashier Operator ID’s can be found on the bottom of the slips.
Review the training records of the colleagues selected to confirm the Tesco Bank training (Know Your Stuff MoneyGram Transfer – Bronze 1-6) has been completed.

You will need:
Training Record Cards for two Cash Office Colleagues.

Review the training records of the colleagues selected and confirm the Tesco Bank Training (Tesco Bank Guide – Cash Office – Cash and Cheque Deposits) training has been completed.

You will need:
Cash and Cheque Deposit slips for each day of the two weeks under review – held in the MoneyGram folder.

From the Cash and Cheque Deposit slips select up to four colleagues who have completed transactions during the two weeks under review. Cashier Operator ID’s can be found on the bottom of the slips.
Review the training records of the colleagues selected and confirm the Tesco Bank Training (Tesco Bank Guide – Customer Service Desk – Savings and Personal Current Accounts) has been completed.

You Will Need:

RP1310 Stock Reconciliation Book and the TB330 Department Sales Reports for the last three completed days.



This test is in two parts:
1)Drive Offs, Customer to Pays and Refund transactions must be manually entered in the correct boxes of the RP1310 as they occur during the day. Confirm that the values recorded for these in the RP1310 Stock Reconciliation Book reconcile with the daily values reporting on the corresponding TB330 Department Sales Reports.

2)Confirm that the PFS Manager has reconciled the Department Sales Report with the actual hand-written entries in the RP1310 Stock Reconciliation Book to make sure that nothing is being processed incorrectly to hide possible fraudulent activity by colleagues. As evidence of their review, confirm the PFS Manager has signed the Stock Reconciliation Book for each day.

You will need:
RP1310 Stock Reconciliation Book and the CDR-2 Declaration No Means of Payment Forms.

This test is in two parts:
1) Ensure that all five Customer to Pay entries recorded in the RP1310 Stock Reconciliation Book have a corresponding and fully completed page completed of the CDR-2 Declaration No Means of Payment Form.

Score as compliant if all details are recorded on the CDR-2 Declaration No Means of Payment Form. If entries are missing and/or other details are missing from the CDR-2 Declaration No Means of Payment Form then score as non-compliant.

2) Obtain the pad that contains the CDR-2 Forms that will be used for non payments. This will give you the current serial number awaiting use.
Using this serial number, ensure that the previous ten forms are filed and are available. Any 'spoiled' forms should also be retained and marked as such to ensure completeness.

You will need:
The CDR-2 Declaration No Means of Payment Forms and the RP1310 Stock Reconciliation Book.

From the RP1310 Stock Reconciliation Book, identify the last five CDR-2 No Means of Payment Forms over seven days old.
Each of the CDR-2 Forms should have evidence of either repayment though a receipt being attached and it being marked as PAID, or it should be marked NOT PAID (or similar annotation) and the correct portion of the CDR-2 Form should have been sent to the Debt Recovery Company.

You will need:
Review colleague files and confirm that all colleagues have the correct Right to Work documentation on file.
A colleague's name details on their contract should match their Right to Work documentation held on file. ‘Known As’ names should be recorded in the colleague’s ‘Known As’ personal details field on HRAM.

NOTE THE FOLLOWING: If employed prior to 01/05/2004 then no Right to Work documentation is required. Colleagues that have TUPE transferred post 01/05/2004 require Right to Work documentation. Refer to 'Policies for Our People' documentation in store for Right to Work requirements.

ADDITIONALLY - ALL COLLEAGUES WHO STARTED AFTER TESCO WEEK 1 2014/15 (LARGE FORMAT) OR WEEK 27 2014/15 (EXPRESS) MUST HAVE A CENTRAL EMPLOYMENT COMPLIANCE TEAM CONFIRMATION LETTER HELD IN THEIR PERSONNEL FILE WITH THEIR RIGHT TO WORK DOCUMENTATION. THIS ENSURES THAT THE CENTRAL TEAM HAVE VALIDATED THE RIGHT TO WORK DOCUMENTATION.

For colleagues employed after March 21st 2016, the only acceptable form of Right to Work documentation is a Keesing Letter.

You Will Need:
IN HRAM STORES, REVIEW THE VISA HOLDERS REPORT.

To access the Visa Holders Report take the following options form the HRAM system:-
1. Reporting;
2. Print Reports;
3. Visa Holder Report;
4. Store Visa Holder Report;
5. All employees – Yes;
6. Enter dates – Enter todays date to todays date and this will give you current colleagues;
7. Select Report;
8. Select the print option.

Compare the report to the colleague files and ensure all the information is correct and that we have the correct Right to Work documentation for each person.

NOTE: This test does NOT cover expired documentation, we are checking they have correct documentation at this stage and not the expiry dates. Refer to 'Policies for Our People' for the required documentation

You will need:
IN HRAM STORES, REVIEW THE VISA HOLDERS REPORT AND THE COLLEAGUES' RIGHT TO WORK DOCUMENTATION.

Check the following:
- All colleagues, (including International Students) employed since 29th February 2008 with limited leave to remain, must not work on past the expiry of their documentation unless they can prove they have applied for new leave to remain in the UK before their old documents expire.

.

HRAM STORES:
Review the Payroll System for the previous 4 weeks for each International Student to ensure they have not exceeded the hours that they are allowed to work.

All International Students must provide an official document at the point of their recruitment that confirms they are a student and what their term time dates are, (this may only give you information relating to the first year of employment). NB: For any colleagues employed before 16th May 2014 there is no need to get a letter confirming their current or future term time dates unless the colleague works beyond their hours restriction. However, for any International Students employed from 16th May 2014 onwards there is a requirement to provide us with evidence of their academic term and vacation times for the duration of their studies in the UK while they work. This can either be done for the duration of their course up front, or each year once the academic term time dates are published – we should always have the dates for their current academic year and this should be updated in HRAM.

If the colleague has exceeded their permitted hours then the store MUST have documentation on file (letter or print from their College or University website) detailing term time dates. ADDITIONALLY, for HRAM stores only - check that the dates have been CORRECTLY entered onto the HRAM system. If not then this constitutes a fail on this question.

You Will Need:
The Stores Update Reports for the weeks under review.

Review the Stores Update Reports for the weeks under review and confirm that each entry has been signed off by the Compliance Manager (or Deputy Manager in Metros).

Reports signed off by the Wage Clerk are not acceptable in any circumstance.

Using the Stores Update Reports for the two to eight weeks prior to the current week, select three permanent amendments of either of the following types:-

- An increase of hours;
- A decrease of hours; or
- A change of Job Code.

For the selected amendments, check the Personnel Files for the relevant colleagues and ensure that the amendments are supported by a Permanent Amendment Form. Ensure details recorded on each Permanent Amendment Form reflect the changes detailed on the Stores Update Reports and that the forms have been signed by the colleague, the relevant department Team Manager and the Compliance Manager (or Deputy Manager in Metros).

You will need:

The Staff Registers for the weeks under review.

Confirm that all Staff Registers have been reviewed, signed off by each department Team Support (Dotcom & Checkouts Only) or Team Manager and returned to the Wages.

You will need:

The screen prints from the ETHAF for the weeks under review.

Confirm that the reports have been printed and they have been signed off by the Compliance Manager (or Deputy Manager in Metros) as evidence of review.

Review the training records of a Wage Clerk and confirm that Bronze HRAM Wages Training (Modules 1-11) and Silver HRAM Wages Training (Modules 1-4) are recorded.

Updated training material was launched to stores in 2012. Any wages training completed prior to 2012 is out of date and is no longer relevant.

Review the training record cards of Team Managers and confirm that the 'Managing Wages in HRAM Stores Workbook' training has been completed:

Updated training material was launched to stores in 2012. Any wages training completed prior to 2012 is out of date and is no longer relevant.

Review the training record cards of Compliance / deputy manager and confirm that the 'Managing Wages in HRAM Stores Workbook' training has been completed:

Updated training material was launched to stores in 2012. Any wages training completed prior to 2012 is out of date and is no longer relevant.

You will need:
The I Can Get What I Want Report for the previous day. The store are not required to file these but they can be printed from SBO option 5,3,5.

Review the status column of the I Can Get What I Want Report to determine which products have been coded as 'instore'.

Select up to ten food products which have been set to 'instore' and have not had a delivery in the last three days. To check if the product has had a delivery in the last three days review the delivery column of the product profile (option 5,1,1).

Check these lines to ensure that the store can produce the stock.

If there are not ten lines set to 'instore' that have not had a delivery in the last three days, then complete the test on the sample available. If there are no lines to review then score the test N/A

You will need:
The I Can Get What I Want Report for the last GM gap scan. The store are not required to file these but they can be printed from SBO option 5,3,5.

Review the status column of the I Can Get What I Want Report to determine which products have been coded as 'instore'.

Select up to ten GM products which have been set to 'instore' and were not delivered on the last GM delivery. To check if the product has had a delivery review the delivery column of the product profile (option 5,1,1).

Check these lines to ensure that the store can produce the stock.

If there are not ten lines set to 'instore' that were not delivered on the last GM delivery, then complete the test on the sample available. If there are no lines to review then score the test N/A.

You will need:
The stores filed Ambient Stock Record Movement Reports and access to the SBO System.

This test is in two parts:
1) Check that an SRM report is filed each day for all departments. Reports should be printed daily for the previous day's SRM and should not be
backdated. Check each report for evidence of re-counts on all lines in the top twenty or down to the value of £10.

2) Select a maximum of ten lines from the Ambient areas where a count correction has been identified. Use the History Stock Record Movement option on SBO (5,5,1,3) to validate that a correction count has been downloaded by the store

You will need:
The stores filed General Merchandise Stock Record Movement Reports and access to the SBO System.

This test is in two parts:
1) Check that an SRM report is filed each day for all departments. Reports should be printed daily for the previous day's SRM and should not be backdated. Check each report for evidence of re-counts on all lines in the top twenty or down to the value of £10.

2) Select a maximum of ten lines from the General Merchandise areas where a count correction has been identified. Use the History Stock Record Movement option on SBO (5,5,1,3) to validate that a correction count has been submitted by the store.

Sign into myActions to view which EPWs have been issued to the store.Check the EPW folder to ensure that all EPWs issued to the store (including non-stocked products) are filed and have been fully completed. All reports must indicate whether the line was stocked, the number of singles withdrawn and the signature of the person who has completed the EPW

You Will Need:
A four week sample of the filed DSS reports for the store and the PFS.

Check there are no missing Delivery Summary Ins and Outs Reports for the four weeks under review. Review the TRN numbers on the reports for the store and the PFS to ensure they are all accounted for. TRN numbers are sequential and should all be entered on to the DSS.

You Will Need:
The four week sample of DSS reports for the store and the PFS used in the previous test.

This test is in two parts:
1) Check the confirmation time of paper receipted deliveries on the DSS reports, and ensure that none have been allowed to apply to the stock records at diary entry time. This element applies only to paper receipted deliveries and not electronic delivery notes.

2) Check the right hand side of the DSS reports to ensure that all deliveries show as 'confirmed' or 'extracted'. No deliveries should show as 'unconfirmed'. This element applies to both electronic and paper receipted deliveries. Branch to branch transfer activity does not need to be confirmed and does form part of this test.

You Will Need:
The RP388 Return to Supplier books and RP728 Claims books for all areas (stores will often have a separate book for Backdoor, Opticians, PFS and the Pharmacy), and the four week sample of DSS reports used in the previous tests.

This test is in two parts:
1) Review all entries in all books available for the last four weeks. For any entry in the books during the last four weeks check that there is a corresponding entry on the DSS. For Claims the entries will be on the 'Ins' reports, for Returns the entries will be on the 'Outs' reports.
The value recorded on any returns forms must match the value entered onto the DSS 'Outs'.

2) Check all entries for the last four weeks in the Claims and Returns books. Ensure that all white copies of the paperwork are no longer retained in the book.

Confirm that all high value lines which require tagging are secured in line with company policy

Visit all tills including all satellite areas where de-taggers have been installed. Check the de-taggers have been secured when the till is not in use.

Pass a security tag through each EAS gates to show that the gate alarm works. Check the EAS gates (where applicable) at the store entrance/exit, customer toilets, SAYS and .Com area.

Visit exit doors around the store and ensure the door alarm is set to ''ON'' and there is no key in the alarm.

You will need:
The stores filed waste reports.

Check that all reports are available and show evidence of management review in the form of a signature.

Visually review all store waste areas and ensure that there is not a build up of waste.

Check the food recycling cage/waste bins to ensure that they are locked when not in use.

You will need:
The store Staff Search Books (there may be more than one in use).

Staff searches should be completed on 10% of the store headcount each week. Ask the Wages Clerk or a Manager for the number of staff employed. Check the Staff Search Books to ensure the required number of staff searches have been completed.

You will need:
The Weekly Stock Loss Meeting Board (Located in the Training Room/Back Area Corridor)

Confirm that all sections of the Stock Loss Meeting Board are up to date and current next steps are displayed.