Store Controls Audit 2017 Hemel

• Stores Controls Audit

• Client / Site

• Conducted on

  Date

• Claire Sweet

• Location
  Address

• Personnel

Finance

• The declared values on the weekly finalisation reports for all safes are within company guidelines and the store manager has signed against each results section. Next steps are recorded in the store manager safe and legal record for exceeded values

  Yes

  No

  N/A

• All Daily finalisation reports have been signed at all the relevant sections by the store manager. The scratch card section of the reports shows evidence of a physical count being completed daily. A zero physical count must be next stepped on the report.

  Yes

  No

  N/A

• All end of week till floats are within the £300 limit. Any till floats that exceed £300 are identified and a next step has been recorded on the till checks report or in the cash office safe & legal record.

  Yes

  No

  N/A

• All refunds over £20 are reconciled to the refund slip to ensure the products existed. The Duty Manager has signed the receipt to confirm they have seen the product.

  Yes

  No

  N/A

• The Cash, Bank, Coupon and lottery reports have been signed by the services Manager in each of the weeks under review. All differences over the weekly budget have notes captured. The store Manager has reviewed and signed the reports for the last period.

  Yes

  No

  N/A

• The relevant Mangers have undertaken their safe declarations on the Cash office Safe and the Main safe during the two weeks under review.

  Yes

  No

  N/A

• The Store Manager has undertaken their periodic Safe declarations on the Cash Office and Main Safes.

  Yes

  No

  N/A

• Random Till Checks are undertaken every day across 50% of the total tills in the store, and are spread across the morning, afternoon and evening of each trading day.

  Yes

  No

  N/A

• The Colleague Trend Analysis Forms (RP2K225) are completed accurately for all till discrepancies equal to or greater than £10 on the daily Finalisation Report and the required interviews have been completed within the required timescales.

  Yes

  No

  N/A

• From a random review of CCTV from the last seven days, there is evidence that safes are counted and confirmed on the Cash management system under dual control.

  Yes

  No

  N/A

• Cash posting are undertaken as soon as £20,000 is reached.

  Yes

  No

  N/A

• The MoneyGram Daily activity reports are printed and retained for the weeks under review.

  Yes

  No

  N/A

• All MoneyGram activity has been processed through the tills.

  Yes

  No

  N/A

• All MoneyGram send transactions reconcile to the Daily Activity Reports and are all related documentation is retained and adequately completed.

  Yes

  No

  N/A

• All MoneyGram Receive transactions reconcile to the Daily Activity Reports and all related documentation is retained and adequately completed.

  Yes

  No

  N/A

• All MoneyGram refund transactions reconcile to the Daily Activity Reports and all related documentation is retained and adequately completed

  Yes

  No

  N/A

• The Cash deposit slips are available for all transactions which have taken place during the weeks under review and all have been signed by the customer.

  Yes

  No

  N/A

• Cash office colleagues have completed the required MoneyGram training.

  Yes

  No

  N/A

• Customer service desk colleagues have competed the required MoneyGram training.

  Yes

  No

  N/A

• Cash office colleagues have completed the required PCA and saving training.

  Yes

  No

  N/A

• Customer service colleagues have completed the required PCA and savings training.

  Yes

  No

  N/A

• Daily entries in the stock reconciliation Book for drive Offs, customer to pay and refunds match the values on the department sales report (TB330) and is subject to management review.

  Yes

  No

  N/A

• Customer to pay entries in the stock reconciliation Book (RP110) have been recorded on a Declaration of means to pay form (CDR2) and are retained for two weeks.

  Yes

  No

  N/A

• Till receipts for customer repayments are attached to the declaration of means to pay form (CDR2), or the relevant page of the stock reconciliation Book (RP110), and all nonpayments have been sent to debt recovery after seven days.

  Yes

  No

  N/A

People

• All colleagues who started after 1/5/2004 who are not Visa Holders have the correct documentation under the right to work policy and their name details recorded on payroll are correct.

  Yes

  No

  N/A

• Colleagues recorded as Visa holders have the correct right to work documentation on file.

  Yes

  No

  N/A

• All colleagues with limited leave to remain in the U.K. Have documents which have not expired. If documents have expired, there is evidence that's a new application for leave to remain has been submitted prior to the old expiring.

  Yes

  No

  N/A

• International students do not exceed the hours that they are allowed to work.

  Yes

  No

  N/A

Payroll

• The stores update report has been printed and every entry has been signed by the compliance manager as evidence of review to confirm that the reconciliation has take place.

  Yes

  No

  N/A

• Permanent amendments recorded on the stores update report are supported with a permanent amendment form, which has been fully completed and signed by all required parties.

  Yes

  No

  N/A

• Staff Registers are reviewed and signed off weekly by the relevant department Team Managers or team support and are returned to wages.

  Yes

  No

  N/A

• A screen print from the ETHAF has been printed and signed by the Compliance Manager.

  Yes

  No

  N/A

• The Wage Clerk have completed the required Bronze and Silver Wages training

  Yes

  No

  N/A

• Team Managers have completed the required HRAM Wages training.

  Yes

  No

  N/A

• The Compliance Manager has completed the required HRAM Wages training.

  Yes

  No

  N/A

Product

• The Gap - San 'Found in store' function is being used correctly for Food Lines.

  Yes

  No

  N/A

• The Gap - Scan 'found in store' function is being used correctly for Non Food lines.

  Yes

  No

  N/A

• Ambient stick record movement reports have been printed daily, show evidence of review, and all required correction counts have been downloaded.

  Yes

  No

  N/A

• General Merchandise stick record movement reports have been printed daily, show evidence of review, and all required correction counts have been downloaded.

  Yes

  No

  N/A

• All Emergency Product Withdrawals are filed and are fully completed.

  Yes

  No

  N/A

• All delivery summary system reports are filed and all Tesco receipt notes are accounted for on the DSS (store & pfs)

  Yes

  No

  N/A

• No deliveries have auto confirmed or been left unconfirmed on the delivery summary system in the weeks under review.

  Yes

  No

  N/A

• Completed RP documentation has been entered onto delivery summary system and sent to Cardiff for processing.

  Yes

  No

  N/A

• As a minimum standard product protection is in place.

  Yes

  No

  N/A

• Checkout de-taggers are locked when tills are not in use.

  Yes

  No

  N/A

• All EAS gates are operational.

  Yes

  No

  N/A

• Door alarms are activated.

  Yes

  No

  N/A

• Waste download reports are filed and signed by management as evidence of review.

  Yes

  No

  N/A

• Waste is managed in line with company policy and is not allowed to build up.

  Yes

  No

  N/A

• The food waste cage or waste bins are locked when not in use.

  Yes

  No

  N/A

• The required number of staff searches are being completed each week.

  Yes

  No

  N/A

• The weekly stock loss meeting board is up to date.

  Yes

  No

  N/A