Store Audit Visit

Information

Document No.
Audit Title
Store
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Prepared by

LOSS PREVENTION

Is stock room access to high value/risk items controlled?
Find where this stock is being held and check this area 3 times to ensure access is controlled. 3 points if fully compliant, deduct 1 point for every visit unsecured.
Is the back door log being completed every time the bay door or back door is opened?
Check the back door log is being consistently used, by checking the back door log against the goods in and outward books for the previous week. 3 points if fully compliant 3 points and deduct 1 point for each entry that does not match.
Are the keys to the perfume sales floor cabinets under control?
Check the last 14 days of the store key register for staff signing the perfume cabinet keys out/in on a daily basis. 3 Points if fully compliant, 10 -13 - 2 points, 5 - 9 1 points and less than 5 - 0 points.
Are counter cache keys being signed in/out on a daily basis?
Perform an audit of the counter cache keys and ensure they are all accounted for. Compliant - 3 points, non-compliant - 0 points.
Are Counter cache seals controlled and not available to unauthorized personnel?
Review the storage of Counter cache seals and ensure they are secure. Compliant 3 points, non-compliant 0 points.
Is cash office free of personnel belongings in the banking area in the cash office?
Check that no personnel belongings are kept within the banking area, i.e. staff parcels & hand bags. 3 points fully compliant 0 points non compliant.
Is the store key holder list up to date?
Check the current key holder list to ensure that staff are still currently employees in store. List is up to date - 3 points, list is not up to date - 0 points.
Do key holders hold the correct keys?
Check that opening/closing key bunches contain only keys required to open the building. All other keys should be controlled via the key cabinet/log. 3 points if fully compliant deduct 1 point for each set of keys non-compliant.
Are all internal keys controlled as per the Company key control procedures?
Conduct a key audit of internal keys via the key log. All keys are accounted for - 3 points, deduct one point for each key that is unaccounted for.
Are internal keys kept secure in a lockable key cabinet when not in use?
Keys kept in a secure cabinet - 3 points, not kept in a secure cabinet - 0 points.
All alarm fobs controlled as per Company policy? (If applicable)
Check all fobs against key holders to ensure that all fobs have been signed in/out of the safe over the last 7 days. Fully compliant - 3 points, any non-compliance - 0 points.
Ensure that safe keys are not left on the premises overnight and are being signed out and in.
Safe keys not left in store overnight - 3 points, safe keys left in store overnight - 0 points.
Check that staff are aware of location of panic alarm buttons and the circumstances under which they should be used. (Where applicable)
Check location of panic alarm buttons and question 3 staff as to there use. 1 point for each compliant member of staff.
Are key staff aware where the reset key is and how to reset the panic button?
Ask staff for location of reset key and explain reset procedure.
Is the master alarm code located in a sealed, dated envelope in the safe with the correct wording and valid on the alarm panel?
Check for master code location in safe, test master code with Management to ensure it is working and ask all management and admin team to see if they are aware of it (part of safe check). 3 points for compliance, 0 points for non-compliance.
Is the Cash Office recording all cash discrepancies over £5 in the matrix performa?
Check that the matrix is completed daily and all details are entered correctly. Balance this against the last weeks over's and shorts for cash discrepancies +/- £5. Compliant - 3 points, non-compliant - 0 points.
Is the store manager reviewing the cash matrix and signing to say they have done?
Review the cash matrix for the last 3 months and ensure that the store manager has being reviewing and signing the matrix on a weekly and monthly basis.
Are all incidents being logged on the Incident Report Form and filed correctly?
Review Incident Report Log for correct filing. 3 points for compliance, deduct 1 point for every report missing or filled in incorrectly.
Confirm that all staff have received Loss Prevention Training.
Review a random 5 members of staff's training files for evidence of Loss Prevention training. 3 points for all trained; deduct point for every member of staff not trained.
Review alarm panel to ensure all users are on the correct level?
Review panel for user level's and names. 3 Points for all correct, deduct 1 point for every user on wrong level.
Review alarm panels to ensure all users are currently authorised as key holders?
Review latest key holder list and review against panel for authorised users. 3 points for compliance 0 points for non-compliance.
Is CCTV being used and maintained correctly within store?
Check system is displaying the correct time & date, is recording, unobstructed by sign-age and a log retained. 1 point for each.
Is CCTV office locked when not in use?
Check the office at various times during your visit to establish that the office is secure when not in use, and not accessible to unauthorised personnel. Fully compliant - 3 points, partially compliant - 2 points, non-compliant - 0 points.
Is the store opening with 2 or more people in attendance?
Monitor/review 1 open and closing during the audit visit. 3 points for 2 or more people in attendance, 0 points if only 1.
Is the store closing with 2 or more people in attendance?
Monitor/review 1 open and closing during the audit visit. 3 points for 2 or more people in attendance, 0 points if only 1.
Are searches being conducted in line with Company policy?
Check the staff search record sheets for the last two weeks. Are they being recorded? Are they done with a witness present? Are they random? Is there different search types completed I.e. bags/locker/vehicle? Fully compliant - 3 points, partially compliant 2 points, non compliant 0 points.
Check that all radios are not left unattended and are kept fully charged.
Check that all radios are operational, controlled and are in use. Fully compliant - 3 points, partially compliant - 2 points, non-compliant - 0 points.
Are the store loop alarms in use?
Check that all store loop alarms are in use and are in a working condition. 3 points 70% and above working, 40% - 69% 2 points, 10%-39% 1 point and less than 10% 0 points.
Are tagging levels in store at an acceptable level?
Check a minimum of 50 items across 5 different ranges that require 100% tagging. To check for levels of compliance. 100% - 3 points, 90-99% - 2 points, 80-89% - 1 point, 0-79% - 0 points.
Are tagging standards in line with Company policy?
Check for positioning of both hard and soft tags on a minimum of 50 items across different departments. Scoring as above.
Are all EAS tagging de-activation pads/wand fully operational and in use?
Conduct a test at every till point using a hard tag to identify if units are activated and operational. All units operational - 3 points, deduct 1 point for each faulty or non-active unit.
Test all EAS pedestal to ensure that they are operational.
Conduct a test of every EAS pedestal to ensure that they are activated and operational; 3 points all operational 0 points if one or more are not working.
Check all hard tag detachers are secured to the till points.
Conduct a check of all de-taggers and ensure they are secure. Compliant - 3 points, non-compliant - 0 points.
Ensure that both hard and soft tags are being stored away from the till points in a suitable area and that they are controlled.
Check all till points for soft tags and that hard tags are being recovered daily and walk sales floor to ensure tags are not left unattended. Fully compliant - 3 points, partially compliant - 2 points, non-compliant - 0 points.
Are the perfume cabinets locked when not in use?
Check the perfume cabinets at least 3 times on your visit to make sure the cabinets are all locked unless in use. If fully compliant 3 points deduct 1 point for every time not compliant.
Are all perfume locks in good working order?
Check the perfume cabinet locks to see if they are working. If they are not has this been logged as a maintenance request? If fully compliant 3 points deduct 1 point per unreported broken lock.
Are cash in draw note limits being adhered to?
Perform random checks on 3 tills and check the value of notes retained in each till. 3 points if each till is under or equal with the required Company policy cash in drawer note limits, and deduct 1 point for any of the 3 tills that are holding notes over
Are counter cache units being used correctly?
Check all counter cache units that are in use are clear from jammed notes or foreign objects. 3 points if all counter cache units are clear and deduct 1 point for any counter cache unit that is not clear or secured.
Is sold tape being used & controlled as per Company policy?
Check that sold tape is available & secure on all till points within the store and question 3 members of selling staff regarding circumstances under which it should be used. 1 point for each staff member who fully understands its use. Check till banks pre-trade to ensure all sold tape has been recovered to the admin office. 0 points if sold tape is not under control.
Are staff aware of Company tagging requirements?
Test 3 staff on the knowledge of Company tagging requirements. 1 point for each member of staff who displays a good understanding of the Company tagging policy.
Is the LP awareness board in place and fully up to date?
Check that the awareness board is in place and the required list of documentation is on display.
· Store Stock Loss Result Store Top 5 Loss Departments
· Company Stock loss Result
· Company Top 5 Loss Departments
· Hot Spot Map of the Store (Vulnerable Theft Area)
· Number of Weekly Arrests and Value
· Weekly Tagging EAS results
· 5 to Drive Stock loss Action Plan
· Staff Reward Chart – (Recognition) Use sub-criteria calculation tab to check each item and gain point scoring
3 Points if fully compliant deduct 1 point for every one of the above not displayed.
Confirm that the Stock Loss Reduction plan is in place, the check-lists are completed and there evidence it is being worked towards.
Review the stores Stock Loss Reduction plan, check-lists and look for evidence of notes and meetings to support the store actively working to achieve it - Compliant 3 points, non compliant 0 points
Is the opening /closing signature book being used to open/close the store?
Check the opening/closing signature book is in operation and is being signed by both members of staff involved in opening/closing the store. All days fully compliant - 3 points, 1-3 days not fully compliant - 2 points, 3-5 days not fully compliant - 1 point, non-complaint - 0 points.
Review opening and closing documents to ensure they are completed fully and at the time of the open/close and not being completed retrospectively.
Check the last months opening/closing check-list for daily evidence that check list is being used. All days fully compliant - 3 points, 1-3 days not fully compliant - 2 points, 3-5 days not fully compliant - 1 point, more than 5 days not fully compliant.
Confirm that staff enter and exit the store using the prescribed route.
Review staff entering and leaving the store and establish if the store has a prescribed route. Compliant 3 points, non-compliant 0 points.

CASH ADMINISTRATION

Perform a full check of the stores main safe float and record your findings, correct if required.
Store float balances in full - 3 points, store float accurate to within £1 - 2 points, store float accurate to within £5 - 1 point, store float out by more than £5 - 0 points.
Are cash office staff performing 2 daily checks of the stores main safe float and recording their findings?
Check the last months float count log and check that a count has been performed on a daily basis and logged. Count performed daily - 3 points, one or more days missing - 0 points.
Are management performing a weekly check of the main safe float and recording their findings in the float count log?
Check that a management check has been performed each day within the last month and recorded in the float count log. Check performed & recorded each week - 3 points, check not performed weekly or not recorded - 0 points.
Ensure that value of cash held in main safe does not exceed set safe limit.
Check at least once on your visit towards the end of the day. Value is within agreed limit - 3 points, value exceeds agreed limit - 0 points.
Ensure that safe float checks have been correctly balanced.
Check one week's calculations to ensure accuracy. All 7 days correctly calculated - 3 points, deduct 1 point for each day calculated incorrectly.
Are the cash office reviewing store float entries on a daily basis by taking a hard copy of the float entries off at 5pm and keeping them in a file?
Review previous weeks float entry hard copies. 3 points if fully compliant, 1 point deducted for every hard copy not kept for that week.
Are the cash office rectifying any float entries that have been keyed in incorrectly?
Check store is correcting incorrect float entries on the same day as the error occurred.3 points if fully compliant deduct 1 point for every day non compliant.
Are all main store float discrepancies in excess of £5 being report to the GM & incident reported?
Check 10 week for discrepancies in excess of £5 and cross check with the IRF log. Compliant - 3 points, deduct 1 point for each not reported.
Are the Over's & shorts completed on a daily basis and all discrepancies in excess of £5 investigated?
Check 2 weeks over's & short and ensure that investigations have been carried out into discrepancies in excess of £5 and review incident reports. 3 points for compliance, deduct 1 point for every missing investigation/report.
Is the main safe door kept closed during the day?
Check safe at every visit to the cash office. Compliant - 3 points, non-compliant - 0 points.
Is the main safe float being corrected at each month end & Financial Accounts being informed?
Check store float count records and ensure that relevant adjustments have been made on the previous 3 month ends. Compliant - 3 points, deduct 1 point for each month non-compliant.
Is the month end float count being sent to Financial Accounts with month end paperwork?
Check month end paperwork. Compliant - 3 points, non-compliant - 0 points.
Is the store operating a change order book to log the ordering of change?
Change book/log in operation - 3 points, no change book/log in operation - 0 points.
Is all change paid back by the end of the month?
Check the level of outstanding change. All change paid back - 3 points, 90-99% of change paid back - 2 points, 85-89% of change paid back - 1 point, less than 85% of change paid back - 0 points.
Cash should not be left unattended in the Cash Office?
Check on each visit to the cash office that cash is not being left unattended at any time. Compliant - 3 points, non-compliant - 0 points.
Check that bankbook entries match the cashbook for cash & cheques.
Check the most recent full month. Fully compliant 3 Points any non-compliance 0 Points.
Check that C.I.T seal numbers are recorded on both the paying in slips and takings reconciliation forms for both cash and cheques for each collection.
Check that the C.I.T receipts match the seal numbers on both the paying in slips and takings reconciliation form.
Do management verify C.I.T bags to seal numbers on takings reconciliation form and bank book at time of collection, and sign the takings reconciliation form to indicate as such.
Check that there are two signatures 1 of which must be a manager present on the bank paying in slips are the signatures of the staff preparing the banking.
Check that C.I.T receipts attached to the relevant pages of the paying in book (1 book only to be in use)
Ensure that petty cash slips are being forwarded to Financial Accounts by Tuesday of the following week.
Review the last 5 weeks Petty Cash forms and contact Financial Accounts for verification. Fully compliant 3 Points deduct 1 point for each petty cash form and slips not sent off in time.
Has the GM, or in his absence the duty manager, signed and authorised the end of week petty cash expenditure form?
Review the same 5 weeks petty cash forms above for verification. Fully compliant 3 Points, deduct 1 Point for any form not authorised.
Are all in store expense claims under £20 paid in store and those over submitted to Financial Accounts for payment and correctly authorised by the claimant's line manager?
Are all IOU's and Petty Cash slips authorised by a member of management?
Check Petty cash box for all recent IOU's and Petty Cash Slips. 3 Points for compliance, deduct 1 point for each unauthorised.
Are all paying in slips within the cash book accounted for?
Review last 2 months paying in books, 3 points for compliant; deduct 1 point for each unaccounted paying in slip.
Confirm that Loomis serial numbers are hand written onto the Reconciliation sheet?
Review the last 2 weeks paperwork. 3 points compliant, 0 points non compliant.
Are petty cash limits adhered to? Over £50 needs H.O. Authorisation.
Review the week's paperwork. 3 points compliant, 0 points non compliant.
Has the Reconciliation sheet being completed on the back server for each day?
Check a minimum of 1 week's takings reconciliation forms. 3 Points if fully compliant deduct 1 Point for any of the 7 days reconciliation sheet not found or not completed in full.
Is the cash book being completed?
Check the most recent full months weekly and month end cash book. 3 Points if fully compliant deduct 1 Point if any of the week/month is not found or not completed in full.
Check that correction fluid is not being used to make alterations on the weekly & monthly cash books & the takings reconciliation sheets.
Check the hard copies of the most recent full months weekly and month end cash book & takings reconciliation forms. 3 Points if fully compliant if any correction fluid used 0 Points.
Check that gift vouchers are reconciled and submitted according to Company policy.
Check previous two full months. Fully compliant 3 Points deduct 1 Point for any week not compliant.
Is the cash office door kept locked and secure at all times?
Observe that this procedure is in place on all your visits to the cash office. If found to be unlocked at any time - 0 points, otherwise 3 points.
Is the cash office security window kept closed & secure when not in use?
Observe that this procedure is in place on all your visits to the cash office. If found to be not closed and secured when not in use - 0 points, otherwise 3 points.
If the cash office has a second entrance door it should only be used in the case of an emergency (this will minimise any risk to the cash office staff)
Does the admin office have a copy of the Company Document Retention List clearly displayed and are all admin staff aware of its content?
List is present & clearly visible - 3 points, list is present but not clearly visible - 1 point, list is not present - 0 point.
Does the Admin office have a copy of the Office Procedure Check list clearly displayed and are all admin staff aware of its content?
List is present & clearly visible - 3 points, list is present but not clearly visible - 1 point, list is not present - 0 point.
Does the store have a UV lamp or UV pen at each till point/bank, and is it working?
Check each till point to ensure that there is a minimum of one per every two tills and that these are fully operational. Compliant - 3 points, non-compliant - 0 points.
Are till operators using equipment to identify forged notes?
Observe 10 cash transactions by different operators and assess whether forge detection equipment is being used. 100% - 3 points, 90% - 2 points, 80% - 1 point, less than 80% - 0 points.
Are the store counter cache units in suitable working order?
Check all counter cache units are securely attached to the till point and that all are in working order. All attached and in working order - 3 points, 1+ not attached or in working order - 0 points.
Are change runs performed in accordance with Company policy?
Check 3 recent days for evidence that change requisition forms are being used, completed in full for all change requests and that 2 No Sales are conducted for each additional change request. 1 point for each fully compliant day.
Is a cash trolley being used to perform end of day cash collections and is it fit for purpose?
Observe an end of day cash collection and verify that a cash trolley is being used correctly to perform the collection. Compliant - 3 points, non-compliant - 0 points.
Are two members of staff involved in the end of day cash collections (minimum of 1 x Team Leader per trolley)?
Observe an end of day cash collection and verify that 2 members of staff are performing the collection. Compliant - 3 points, non-compliant - 0 points.
Are cash collections done after the store all clear has been given?
Review 1 random days cashing up to ensure that collections start once the all clear is given. 3 points for compliant, 0 point for non-compliant.
Are 2 people conducting the cashing up of tills?
Observe an end of day cash up and verify that 2 people are cashing up all tills. Compliant 3 points, 0 Points non complaint.
Once the tills are cashed up ensure that no float bags are left unattended?
Observe an end of day cash up and verify no float bags are left unattended. Compliant 3 points, non-compliant 0 points.
Is the store completing a seal intact record to record details of end of day cash collections?
Review last month's collections log for accuracy & completion. Full month accurate - 3 points, 1-2 days not accurate/completed - 2 points, 3-5 days not accurate/completed - 1 point, more than 5 days not accurate/completed - 0 points.

STOCK ADMINISTRATION

Are all customer deliveries individually logged in the Goods Outwards Book?
Check Goods Outward Book for last 2 delivery runs. 3 points for all entries recorded, 0 points for not recorded individually.
Is the designated checker signing the 'Stock Receiver' box on each van consignment note received?
Check the last 5 van consignment lists. Fully compliant - 3 points, deduct 1 point for each note not signed.
Is the Goods Inward Book being completed for Van Consignment notes?
Is the Goods Inward Book being completed for Direct Deliveries?
Is the Goods Inward Book being completed for Non-Merchandise Deliveries?
Is the Goods Outward Book being completed for Van Consignment notes?
Is the Goods Outward Book being completed for Non-Merchandise Transfers including WEEE returns?
Check last week's V/C/Directs against the Goods In Book for evidence that deliveries are being logged correctly. Check 10 recent transfers out/supplier uplifts against the Goods Out Book for evidence that stock leaving the building is correctly logged. All goods in/out are correctly recorded - 3 points, 1-2 deliveries or collections are not recorded - 2 points, 2-4 deliveries or collections are not recorded - 1 point, 5+ deliveries or collections not recorded - 0 points.
Is the Goods In Controller conducting a daily check of the Goods In Book to ensure that all delivery paperwork has been received for input?
Check the last month's deliveries against the Goods In Book to ensure that all received paperwork has been forwarded to the office. Book must display evidence of daily check being conducted. Compliant - 3 points, non-compliant - 0 points.
Are the loading bay doors opened and closed by an authorised member of staff/management?
Check for the authorised members of staff signatures on the previous week's back door log and goods in and out books. If breeched - 0 points, if none are breeched - 3 points.
Is the back door locked and alarmed when not in use.
Check the doors on 3 occasions' during your visit to make sure the door if not in use is locked and alarmed. 1 point for each of the 3 times they are compliant and 0 points if they are not.
Are designated staff checking customer collections/customer deliveries out of the store?
Review customer collections/deliveries for authorised person, Compliant 3 points, deduct 1 point for each non compliant.
Are all excess/shorts being highlighted to DC & listed and faxed using the DC discrepancy report, have discrepancies over £500 been highlighted to Internal Audit?
Check incident report file in store.
Are all date restricted confectionery being processed through the stockrooms to avoid un-necessary stock loss?
Review the Company Expiry File and ensure all confectionary is logged and processed through the stockroom to avoid stock loss. All ok 3- points, 90%-99% ok - 2 points, 5%-89% - 1 point, less than 5% - no points. All ok 3- points, 90%-99% ok - 2 points, 5%-89% - 1 point, less than 5% - no points.
Check that all Confectionery on the Sales floor is not out of date?
Review all confectionery for date life, 3 points for compliant deduct 1 point for every product found out of date. Highlight to management any stock near its expiry date.
Has the store identified fast selling lines and made an effort in locating stockroom space to support replenishment?
If top 5 depts. adhered to - 3 points, top 2-4 depts. - 2 points, 1 dept - 1 point, no depts. - 0 points.
Is stock stored visible for merchandising?
Review the store stock rooms, 15-20 - 3 points, 10-14 - 2 points, 5 - 9 1 point, less than 4 boxes 0 points.
Check that Confectionery on the shop floor and stock room is not stored in contact with the shop floor.
Review all confectionery in the store and ensure it is not in contact with the floor. 3 points compliant, 0 points non-compliant.
Is debit stock held in one area of the store?
Yes - 3 points, No - 0 points.
Are debit returns being actioned on a regular, weekly basis?
Check the 5 most recent debit return transfers and assess. Debits are being returned on a regular weekly basis - 3 points, debits are not being returned on a regular basis - 0 points.
Estimate the value of unprocessed debit-able stock of faulty items and check the oldest date for debit, if over 4 weeks - 0 points 3 -4 weeks 1 points, 1-2 - 2 points less than a week 3 points. Value:-
Report Value in Audit points.
Have all debit returns been correctly processed through the back office system?
Check 10 recent debit returns and ensure that they have been correctly processed through the back office system. 100% - 3 points, 90% - 2 points, 80% 1 - point, less than 80% - 0 points.
Are transfer notes being completed in full for all transfers out of store?
Check 10 recent transfers out of the store and ensure that all paperwork has been completed correctly and in full. 100% - 3 points, 90% - 2 points, 80% 1 - point, less than 80% - 0 points.
Is back office generated transfer number written onto the transfer note?
Check 10 recent transfers out of the store and ensure that the back office generated transfer number is annotated on the transfer note. 100% - 3 points, 90% - 2 points, 80% 1 - point, less than 80% - 0 points.
Have all transfers out of the store been correctly processed through the back office system?
Check 10 recent transfers out and the corresponding confirmation slip and ensure that they have been processed through the back office system on the correct codes and in the correct quantities. 100% - 3 points, 90% - 2 points, 80% 1 - point, less than 80 0 - points.
Are transfers back to the DC for faulty goods checked and verified by management?
Check 10 recent debit returns and ensure that they have a management signature. 100% - 3 points, 90% - 2 points, 80% 1 - point, less than 80% - 0 points.
Are all transfers in being checked against the back office print out for accuracy on receipt into the store?
Check 10 recent transfers into the store and ensure they have been fully checked against the sending stores back office print out. 100% - 3 points, 90% - 2 points, 80% 1 - point, less than 80% - 0 points.
Is the store controlling the debits for unwanted home deliveries?
Review the last month's refunds for home delivery items and ensure any refunds' have had a debit raised. If all refunds match to debit - 3 points, 80% - 99% 2 points, 40 - 79% 1 point and less than 40% 0 points.
Are Supplier uplifts controlled and administered correctly?
Verify the Goods Outwards book against the stores stock file for 5 recent supplier uplifts, 3 points for compliant, non-compliant 0 points.
Are all branch invoices accepted onto the back office system within 24-hours of delivery receipt?
Check 2 recent V/C and check the corresponding branch invoices to confirm that they are accepted within 48-hours of receipt. 100% - 3 points, 90-99% - 2 points, 80-89% - 1 point, 79% or less - 0 points.
Have all fragrance and electrical deliveries from the DC been 100% checked dated and signed?
Check 10 of each dept., 25-30 checked -3 points 15-24 - 2 points, 5-14 1 point, less than 4 zero.
Are all Direct Deliveries being logged in the Goods In Book, a Folio Number assigned and this Folio Number annotated on the packing note?
Check 20 Direct Deliveries across a minimum of 2 weeks and check that each has been logged in the Goods In Book and a Folio Number assigned and annotated on the packing note. 100% - 3 points, 90-99% - 2 points, 80-89% - 1 point, 79% or less - 0 points.
Are all Direct Deliveries 100% checked by line against the packing note and within 48-hours of arrival in store and dated and signed?
Check 20 Direct Deliveries across a minimum of 2 weeks and check that each has been fully checked by line, dated, and signed by the person performing the check. All 3 of these criteria are required to constitute a check. 100% - 3 points, 90-99% - 2 points, 80-89% - 1 point & under 79% - 0 points.
Are paperwork only debits being raised for shortages?
Check 5 Direct Deliveries where stock received varies from the packing note and check a relevant debit has been raised correctly for each. All 5 have debits correctly raised - 3 points, 4 have debits correctly raised - 2 points, 3 have debits correctly raised - 1 point & 2 or less 0 points.
Are overages being dealt correctly in line with the Company Procedure?
Check 20 Direct Deliveries for any sign of overages on packing note to Purchase Order. Any overages over 10% tolerance should have been communicated to the buyer who will instruct to accept or not (if instructed not to accept a debit should be raised) 3 points all ok
Are deliveries being accepted correctly in relation to the purchase order? (i.e. In full or with exceptions)
Check 20 direct deliveries across a minimum of 2 weeks and ensure that they have been processed onto the system correctly. 100% - 3 points, 90-99% - 2 points, 80-89% - 1 point, 79% or less - 0 points.
Are Direct Deliveries being accepted within 48-hours of receipt?
Check 20 direct deliveries across a minimum of 2 weeks to the goods in book and ensure that they have been accepted onto the system within 48-hours of receipt. 100% - 3 points, 90-99% - 2 points, 80-89% - 1 point, 79% or less - 0 points.
Is the store fully utilising the back office system?
Check with both admin staff and management that they are regularly using the Futura system and that they fully understand its capabilities.
Is the Open Dept sales report produced daily, checked by Management and rectified?
Review the Open Dept reports for the last months and identify signs of investigation and corrections of open dept sales, 3 - points compliant deduct 1 point for each transaction that hasn’t been investigated and corrected.
Are damages processed weekly and the paper work submitted to Business Support Dept for removal from the system?
Check the last months damages returns paperwork and ensure that returns compare favourably to the current level of outstanding stock. Returns submitted weekly - 3 points, returns submitted weekly but outside deadline time/day - 2 points, returns submitted fortnightly - 1 point, 0 - points returns not submitted.
Are damages paperwork being filed in an organised manner?
Check the store has a suitable filing system in place for all damages paperwork. It should be clear which forms relate to which confirmations. Compliant - 3 points, non-compliant - 0 points.
Is the store GM/DM authorising all damages that are submitted to Business Support?
Check the last months write-offs/damages have been authorised by the GM. Compliant - 3 points, non-compliant - 0 points.
Are Head Office confirmation documents being matched to the original disposal documents and discrepancies corrected via Business Support?
Check the last months damages forms and ensure that they have been matched to the Business Support confirmation print. All matched - 3 points, one or more not matched - 0 points.
Are Fragrance testers written off as per Company Policy?
Check with staff the stores current write off procedure for testers, testers should be written off when the bottle is empty. 3 points for compliance, 0 points for non compliance.
Are breakages and damages being controlled as per Company Policy?
Check till points and identify damaged stock, identify whether stock has been entered onto the breakage/damaged log and recorded correctly prior to been removed from the store. Compliant - 3 points, non-compliant - 0 points.
Are all glass and china breakages being recorded and destroyed immediately and not held in store?
Check that no glass or china breakages are being held in store. Compliant - 3 points, non-compliant - 0 points.
Does the store have an adequate system in place for dealing with the processing of any odd shoes?
Check the current level of odd shoes and assess. Odd shoes are consistently monitored and controlled - 3 points, odd shoes are not monitored or controlled efficiently - 0 points.
Have till points got bar-codes around till area (not in a file)?
Check all till points for bar codes around the till, question staff why the bar codes are there and remove. 3 points no bar codes, lose 1 point per bar code.
Are any bar code books for large stock items up to date?
Check with Central Ops or public folder for latest bar code sheet, match against store folder 3 points up to date 0 point if not.
Is soiled, reduced or damaged stock being sold to staff or family?
Question 3 staff on soiled stock, 1 point for each member of staff who knows the policy.

OPERATIONS

Are till operators signing on and off till points as per Company policy?
Check that staff working on tills are logged on under their own number and that any unmanned tills are not still logged on. Check 5 tills. Fully compliant - 3 points, 1 or more non-compliant - 0 points.
Are price amendments filed correctly and signed by the GM?
Review the last 6 weeks price amendment file ensuring the GM has signed all sheets. 3 points for compliance, deduct 1 point for every missing sheet and signature.
Does the store have a designated staff purchase area for the storage of staff purchases and is a raffle ticket system being used?
Yes - 3 points, No - 0 points.
Is the store adhering to Company lay-by procedures?
Check that lay-by forms have been completed for all stock held in lay-by area and that none of these products have been there longer than 7 days. Fully compliant 3 - points, for every one not compliant deduct one point (until 0 points are awarded).
Is there a copy of the Company refund policy clearly visible at the customer service desk?
Must be clearly visible at all designated refund areas within the store. Compliant - 3 points, non-compliant - 0 points.
Visit the Customer Service Desk and match 5 recent refunds to the stock returned.
Check 5 recent refunds against the Company Refund Policy and ensure stock refunded is present. Compliant 3 points, deduct 1 point for each non compliant area.
Is the Premise License Summary clearly displayed at the front of the store?
Review the front of the store for evidence that the Summary is clearly displayed. Compliant - 3 points, non-compliant - 0 points.
Is the full Premise License available for immediate review?
Request a copy of the full Premise License for immediate review. Compliant - 3 points, non-compliant - 0 points.
Is alcohol display in only the areas highlighted on the Premise License?
Review the Premise License and identify areas alcohol should be displayed on and check for compliance. Compliant - 3 points, non-compliant - 0 points.
Is the General Manager checking the monthly payroll submitted to Payroll and signing a hard copy of the submission?
Check the previous three months wages hard copies and look for evidence of the General Managers signature and is kept in an organised manner. 3 points compliant 0 points non compliant.
Check for ghost employees on the payroll system?
Review the current list of staff on payroll v Rota and H.O. listing?
Have all staff hours been processed correctly for the previous months payroll?
Review 10% of the store staff for accuracy on payroll for hours reported and overtime worked/sickness.
Have all recent leavers had a leavers form completed, signed by a manager and the finishing date recorded on payroll?
Review all leaves for the last month and ensure that a leavers form has been submitted and that the date of leaving is recorded on the template for Payroll.
Have all recent new starters completed the required new starter forms and are eligible work in the UK?
Identify any new starters within the last month and check to ensure there is a fully completed new starter form and starter check-list, and eligible to work in the UK?
Are refunds being reconciled by the Admin office on a daily basis?
Check 2 recent day's refunds for evidence that they have been reconciled to the daily refund report. Both day's fully reconciled - 3 points, one day fully reconciled - 2 points, neither day fully reconciled - 0 points.
Is the Company refund policy being adhered to at all times?
Check 2 days' refunds from the previous week and check the following: That the refund is within 14-days, contains a customer name and address, that the refund is given in the same tender as the original purchase, that all cash refunds have an original sale, deduct 1 point for each not compliant refund.
Are random spot checks being conducted on refunds?
Check for evidence of random spot checks being conducted on 3 days worth of refunds, 1 point for each day compliant.
Are Company trans-void procedure being adhered to in full?
Check that trans-voids are being conducted by a different member of staff to the one performing the original sale and that all trans-voids are completed immediately after the original sale. Check 4 recent days, 1 point for each fully compliant day.
Are the cash office checking the no sales report on a daily basis, signing it and reporting any findings?
Review the previous weeks No sales form against the No Sale report. 3 points for compliance deduct 1 point for any missing and not investigated.
Is the price over-ride report being produced on a daily basis and checked by a member of management and signed off?
Check the last week's price over-ride reports and ensure that they have been reviewed and signed to indicate as such. Fully compliant 3 Points deduct 1 Point for every day not checked.
Are excessively high or frequent over-rides being investigated in full?
Check the same week as in question 1 and look for evidence that suitable investigations have been performed, 3 Points if fully compliant 0 Points for any non-compliance.
Are daily price over-ride reports being held on a 6 week rolling programme?
Yes - 3 points, No - 0 points.
Is the store returning confidential waste on a quarterly basis to SafeShred for disposal?
Review retention procedure against stores filed paperwork Compliant 3 points, 0 points if non-compliant.
Review any stock held of sale for Trading standards reasons, is the stock kept secure and appropriately labelled?
Review all stock held of sale for trading standards reasons.3 points compliant, 0 points non-compliant.
Has the Goods Inwards Controller implemented the invoice filing system?
Check that delivery/transfer paperwork is stored in supplier/store order, not department order. Compliant - 3 points, non-compliant - 0 points.
Are fault labels being fully completed for all faulty returns?
Check stock in returns area for evidence of completed fault return labels. Compliant - 3 points, non-compliant - 0 points.
Are no more than 3 till operators using a till?
Review one day in the last 7 days on Futura and identify if any tills have had more than 3 cashiers on them. Deduct 1 point for each till with over 3 operators.
Check to see that the store has a folder set up in the Administration Office – titled “Omega Cleaning Time Sheets”. This folder is to be used by the Omega Supervisor to hold copies of the previous week's staff time sheet. Within this folder, the monthly Area/Site Supervisor’s Report, which highlights the cleaning standards in-store must be held. Compliant - 3 points Non Compliant - 0 Points.

HEALTH & SAFETY & STAFF TRAINING

Are all staff fully aware of the Company policy regarding staff discount/sales?
Question 5 staff regarding Company staff purchase/sales procedure and assess their response/review any staff transactions. All 5 fully aware of procedure - 3 points, 4 staff fully aware - 2 points, 3 staff fully aware - 1 point, less than 3 fully aware - 0 points.
Does the store have an emergency evacuation box and is it complete?
Check that the box contains £200 in notes, £10 in change, spare store keys, pens, pencils, paper, a copy of the emergency & bomb procedures and a list of emergency telephone numbers store contingency plan. (The list of items etc. can be found in B.S.M.) If fully compliant 3 points, lose 1 point for each item not in the box.
Confirm that the visitor's book is used each time a visitor is on site.
Review the visitor's book during your time in store and ensure all visitors including visiting staff are signing in and out. Compliant 3 points, deduct 1 point for each non-compliant.
Are the management team signing in and out of the store?
Review the last 2 weeks store Management signing in/out sheets to ensure all Management are completing the form. 3 points compliant, deduct 1 point for every time a manager hasn’t signed in or out.
Have all staff including lease received fire training?
Review the fire precaution log to ensure documentation of all staff including lease fire training, 3 points compliant; deduct 1 point for every member of staff not trained.
Has the store conducted a Fire risk assessment and is it up to date (Cafe's also if applicable)?
Has the store conducted a Manual Handling assessment's for all areas of manual handling and is it up to date?
Has the store conducted a General risk assessment and is it up to date?
Has the store conducted a Working at Height assessment and is it up to date?
Has the store conducted a Young Persons assessment for staff under 18 and is it up to date?
Has the store conducted an Expectant Mothers assessment for staff any staff expecting and is it up to date?
Conduct a check of all hard copies of Risk Assessments within the store to ensure that all relevant risk assessments have been completed and are up to date and that they are suitable and sufficient. Compliant - 3 points, non-compliant - 0 points.
Has the store conducted a COSHH (Generic) risk assessment and is it up to date; including the cleaning products used by the porter?
Are all fire doors/exits and fire safety equipment clearly accessible?
Conduct a walk of store and identify all Fire exits and routes and that they are clear of Stock and there is a clear route to the Fire exit. Fully Compliant - 3 points, partially compliant - 2 points, non-compliant - 0 points.
Have electrical items used in store been tested within the last 12 months?
Conduct a check of 10 electrical items within the store. Confirm that PAT testing has been recorded. Compliant 3 points, non-compliant 0 points.
Is the store conducting regular sprinkler tests and recording the results?
Check Sprinkler Log to confirm Test has been conducted and recorded as per Procedure; ensure that various Call Points have been used. Fully compliant - 3 points, partially compliant - 2 points, non-compliant - 0 points.
Is the store conducting a weekly fire alarm test and recording the results?
Check Fire Log to confirm Test has been conducted and recorded as per Procedure, ensure that various Call Points have been used. Fully compliant - 3 points, partially compliant - 2 points, non-compliant - 0 points.
Is the store conducting a monthly emergency lighting tests, twice a year by recognised contractors and recording the results?
Check Emergency lighting Log to confirm Test has been conducted and recorded as per Procedure, ensure that various Call Points have been used. Fully compliant - 3 points, partially compliant - 2 points, non-compliant - 0 points.
Has the store conducted 2 live evacuations in the last 12 months?
Check the fire precautions log book and ensure that the store has conducted 2 live evacuations in the last 12 months, Precinct stores may only conduct 1 with Centre management. 3 points for compliant, 0 for non-compliant.
Review the stores emergency procedures?
Review the emergency procedures and ensure they are suitable, sufficient and store specific?
Check the stores Public Liability Insurance is displayed and valid and that the HSE poster is displayed and up to date.
Check back of house sign-age. Compliant 3 points, non-compliant 0
Review the stores Ladder Register and ensure monthly checks are carried out and that the register is up to date?
Review Register. Compliant 3 points, non compliant 0 points.
Conduct 5 random members of staff H&S training to ensure the training documents are completed correctly, answers are correct and that they are updated yearly.
Review the H&S training records and ensure all staff employed have passed the relevant sections prior to been employed by the Company. Refresher training criteria should be completed annually. Compliant 3 points, non compliant 0 points.
Are all customer service assistants fully trained on Company refund policy?
Identify all customer service staff and check for training and completion of the Customer Refund pack. Fully compliant - 3 points, for each non-compliant member of staff subtract a point.
Have all staff received training on WEEE?
Review 5 store staff for evidence of WEEE training, 3 points all trained, 0 points for 1 or more staff not trained.
Is store display WEEE leaflets on the Refund desk and electrical desk?
Review both the Customer Service Desk and the Electrical Sales Desk for evidence of leaflets freely available to customers 3 points - complaint, 0 points non compliant.
Does the Store have a Returns WEEE folder set up with copies of the completed WEEE returns form, the outgoing van consignment sheet must be held in this file?
Review the Store file and ensure all WEEE returns forms are filled in fully with the Van Consignment attached.
Is the store displaying WEEE signage on all entrance/exit doors?
Review the store entrances/exits and ensure that they are display WEEE signage on all doors, 3 points - compliant, 0 points non compliant.
Is the store recycling bin in the location detailed on the display signage and is it in a usable state?
Check the recycling bin is in the location detailed in the correct location and is in a usable state for customers.
Is the store displaying the Battery Recycling display in the window and is the sign filled in correctly ?
Review the entrance/exits for the Battery Recycling signage and ensure it is completed fully. 3 points - complaint, 0 points non compliant.
Is the store operating an age refusal Log?
Review all till banks and ensure that an Age Refusal file is set up and that any entries are filled in full and complete. 3 points - Compliant, 0 points - Non Compliant.
Is all the required Trading Standards signage clearly visible in both front & back of house areas?
"Check that all the required signage is clearly visible. Sales floor Requirements:

· Videos
· Knives
· Perfume
· CCTV
· Refund policy
Backstage signage Requirements:

· Manual Handling Poster.
· Health & Safety Poster.
· A copy of the Employer’s Liability Insurance.
· CCTV cameras are used in this store’ notice.
· Holiday entitlement letter.
· Break entitlement notice.
· Company ‘Statement of Policy’ signed by Chief Executive.
· Business Dress letter. "
Does the store have sufficient first aiders for the number of staff in store (1 to every 25 staff)?
Review the current week's rota and ensure a first aider is on duty each day for the required number of staff on duty?

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