Store Controls Audit Express MW

Store Controls Audit

Store controls Audit
Conducted on
Prepared by
Location

Stock Control Routines

Are gaps scanned everyday including Sunday's?
You will need;
Last four weeks Stock Control Dashboards.

Method;
Check the number of red days on the 'Gap Scan Completion' measure. This highlights any days where the store have scanned less than 50% of their average number of gaps, and indicates that a full scan was not completed. The store must not have exceeded two red days.
Week 1
Week 2
Week 3
Week 4
The Gap-Scan 'Found in Store' function is being used correctly?
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.

Method;
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 products which have been set to 'instore' and have not had a delivery in the last 3 days. To check if the product has had a delivery in the last 3 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 3 days, then complete the test on the sample available. If there are no lines to review then set the mark as N/A.
A minimum of 98% compliance has been achieved on Fresh Food Planned Counts?
You will need;
The last four weeks Stock Control Dashboards.

Method;
Review Fresh Food Planned count compliance over the last four weeks to ensure the store has achieved a minimum of 98% in each of the weeks under review.
Week 1
Week 2
Week 3
Week 4
A minimum of 98% compliance has been achieved on High Value Counts?
You will need;
The last four weeks Stock Control Dashboards.

Method;
Review High Value count compliance over the last four weeks to ensure the store has achieved a minimum of 98% in each of the weeks under review.
Week 1
Week 2
Week 3
Week 4
The Lows and Overs routine has been completed to the required standard?
You will need:
The last four weeks Stock Control Dashboards.

Method:
This check is in two parts;

1) Check the 'Scheduled Lows and Overs Compliance' column for the last four weeks, to ensure that the store have investigated as required.

2) On the second page of the report check the OSI and LSI sections to ensure that Fill Errors are not above 50% in any of the four weeks.
Week 1
Week 2
Week 3
Week 4
Stock Record Movement reports have been printed daily and show evidence of review?
You will need;
Two weeks of 'whole store' SRM reports. Stores are only required to file a rolling two weeks of SRM reports.

Method;
Check that a report is filed everyday for each day of the two weeks. 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 down to £10 in value.
Week 1
Week 2
All required Stock Record Movement correction counts have been completed?
You will need;
The stores filled SRM reports used for the previous test and access to the SBO system.

Method;
Select a maximum of ten line from the reports 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.
All Emergency Product Withdrawals are filed and are fully completed?
You will need;
The stores filed EPW reports.

Method;
Check the EPW folder to ensure that all EPW's (including non stocked products) are filed, and have been fully completed by the store. All reports must indicate whether the line was stocked, the number of singles withdrawn and the signature of the person completing it.
All Tesco Receipt Notes are accounted for on the Delivery Summery System?
You will need;
The store filled DSS reports.

Method;
Check TRN numbers to ensure that none are missing in the four weeks under review. TRN numbers are sequential and all should be entered on to the DSS.
Week 1
Week 2
Week 3
Week 4
No deliveries have auto confirmed or been left unconfirmed on the Delivery Summary System in the weeks under review?
You will need;
The four week sample of DSS reports used in previous test.

Method;
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. Diary entry times will always be on the hour e.g. 18:00 or 22:00. This element applies only to paper receipted deliveries and not electronic ones.

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 not form part of this test.
Week 1
Week 2
Week 3
Week 4
Completed RP documentation has been entered into the Delivery Summary System?
You will need;
The RP388 Return to Supplier book, RP728 Claims book and the four week sample of DSS reports used in previous tests.

Method;
Review all entries in both books 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 'In' reports, for the Returns the entries will be on the 'Out' reports.

The value recorded on any returns form must match the value entered onto the DSS 'Outs'.
All completed RP documentation has been sent to Cardiff for processing?
You will need;
The RP388 Return to Supplier and the RP728 Claims books.

Method;
Check all entries for the last four weeks in both books. Ensure that all white copies of the paperwork are no longer retained in the book.
RP388 Return to Supplier
RP728 Claims book

Cash

Express Cash

The Store Manager has undertaken their weekly Safe Declaration on the Main Safe in each of the last 2 weeks.
You will need:
The Admin and Compliance Safe and Legal Record (as a guide to what date only - the evidence is the actual declaration reported on the system)

The safe declaration has been completed by the Store Manager (where the Store Manager has been absent, the Deputy Manager must complete the check).

To complete the check: -
- Select the 'Cash Office Electronic Journal' icon from the 'Electronic Journal and Reporting' folder in the Main Menu.
- In the 'Basic Criteria' tab, select 'Front Office User' from the dropdown menu.
- Click the button with three dots beside the dropdown menu - this will bring up a list of all users.
- Select 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.
- Move to the 'Cash Office' tab and select 'Safe Declaration' from the dropdown list of Cash Office functions.
- Click the Add button, then OK.

The report can then be reviewed on screen (or printed if required).
Week 1
Week 2
CRITICAL: The Cash in Transit safe value matches the number of pods recorded on the safe drop sheet.
You will need:

- Select 'Safe Management' and then 'Safe Declaration'.
- Select 'Cash in Transit' safe from the dropdown menu.
- Note the value shown in the 'Expected Value' column.
- Select 'cancel' and do not save the declaration.
- Obtain the safe posting sheet(s) since the last Securicor collection and count the number of lifts.
- Multiply the number of lifts by £500 and ensure that this matches the value held in the 'Cash in Transit' safe.
CRITICAL: The physical cash in the Main Safe matches the current system declaration.
You will need:

- Physically count the contents of the Main Safe with another member of staff and record the value on a float card.
- On the CMS system, select the 'Cash Office Electronic Journal' from the 'Electronic Journal and reporting folder'.
- In the Basic criteria tab select 'Safe' from the dropdown menu.
- Click on the button with three dots beside the dropdown menu - this will bring up a list of all safes.
- Select the 'Main Safe' and click 'OK'.
- Select the date range from yesterday to today.
- Move to the 'Cash Office' tab and select 'safe declaration' from the dropdown menu.
- Click on the Add button, then 'OK'.
- Select the most recent 'Main Safe' declaration by double clicking on it.
- Compare the counted value written on the float card to the 'declared' value on screen.

These should match.
The declared value on the Weekly Finalisation Reports for the following safes are within company guidelines: - Cash Office Safe - £/€0 - Main Safe - value of the change delivery + 20%. The Store Manager has signed against the Safe Results sections on the reports as confirmation of their review. Next steps are recorded in the Store Manager Safe and Legal Record for any exceeded value
You will need:

- Both weeks Weekly Finalisation Reports.
- Look at the ‘declared’ column on the ‘Safe Results Report’ section of the Weekly Finalisation Report.
- Confirm the value does not exceed the company guidelines stated in the check.
- To check the main safe value, turn back to the ‘Received Detail Report’ section on each Weekly Finalisation Report and find the ‘Change Delivery’ line. Add 20% to this figure (The Store Manager should have written this value on the report but check it is the correct figure). Compare to the declared value in the ‘Safe Results Report’ section.
The Daily Finalisation Reports for each day of the two weeks under review have been signed at each of the following sections by the Store Manager: - Safe Results Report; - Lottery Reconciliation Report (N/A in ROI); - Lottery Report (N/A in ROI); and - Till Results Report. The Scratch Card section of the reports must show evidence of a physical count being completed daily. If the physical count is zero there must be a next step documented next to the section.
You will need:
The seven daily Finalisation Reports for each of the two weeks under review.
On EVERY report review the following sections to ensure they show evidence of Store Manager review through signing. Additionally, there must be evidence of a PHYSICAL scratchard count each day. Where this reports as ZERO, their MUST me a follow up next step noted on that report against that section.

The sections are: -
- Safe Results Report
- Lottery Reconciliation Report (N/A in ROI)
- Lottery Report (N/A in ROI)
- Till Results Report - the sign off can be at the end of this page if over a number of pages.
Main Safe checks are carried out under dual control (CCTV).
You will need:

- Select the 'Cash Office Electronic Journal' from the 'Electronic Journal and Reporting folder' in the 'Main Menu'.
- In the 'Basic criteria' tab, select 'Safe' from the dropdown menu.
- Click on the button with three dots beside the dropdown menu -this will bring up a list of all safes.
- Select the 'Main Safe' by clicking in the tick box next to it.
- Click the 'OK' button.
- Select the date range for the previous 2 weeks.
- Move to the 'Cash Office' tab and select 'Safe Declaration' from the dropdown list.
- Click the Add button, then 'OK'.
- Randomly select one of the safe declarations and double click to open the details.
- Note the time shown on the screen and the name of the 2 users at the bottom of the report. (Confirm 'Manager' has not been used as a dual user as this was a generic user ID which was used when the system was introduced and should have been removed).
- View this safe check on CCTV to confirm that the 2 people recorded were present and completed the count under dual control. (One of these people must be either the Duty Manager or person running the shift).
- The count should have taken place directly before the time recorded on the screen.
Till pick ups are carried out under dual control (CCTV).
You will need:

- Select the 'Cash Office Electronic Journal' icon from the 'Electronic Journal and Reporting' folder in the 'Main Menu'.
- Select the date range required.
- In the 'Cash Office' tab, select 'Till Lift' from the dropdown list.
- Click the Add button, then OK.
- Select 2 'Till Pick Up' events in the past week, one for a 'Staffed Checkout' and one for a 'Self Service Checkout'.
- Double click the Till Pick Ups and note the time and names of those recorded on the Cash Management System as completing the till lift.
- Review CCTV and confirm that the same Customer Assistant and Manager/Admin Assistant were present, counted the cash together and the pod was sealed and posted at the same time, all under dual control.
NOTE: Each person must count the cash then pass it to the other who should also count it. This should be watched by the other person at all times including it being posted to the safe/Pod Chute.
Stores with Pod Chutes only - Cash is posted from the Pod Chute to the Main Safe within 20 minutes of a lift being completed.
You will need:

- Select the 'Cash Office Electronic Journal' icon from the 'Electronic Journal and Reporting' folder in the 'Main Menu'.
- Select 1 day in each of the last 2 weeks.
- In the 'Cash Office' tab, select 'Till Lift' from the dropdown list.
- Click the Add button, then OK.
- Record the dates of the selected days in notes.
- Compare the lifts and posting times on the system to the sheets ensuring that lifts are posted within 20 minutes.
- Review CCTV to confirm the posting was carried out under dual control and at the time shown on the safe drop sheet.
- If observed as not being posted within 20mins, ensure the audit notes reflect the time seen on the store’s pickup posting sheet.
Till lifts are completed regularly for Staffed Checkouts.
You will need:

- Select the 'Cash Office Electronic Journal' icon from the 'Electronic Journal and Reporting' folder in the 'Main Menu'.
- Select all the till numbers in store (for Staffed Checkouts) in the basic criteria tab.
- Randomly select 2 days from each week and record the dates selected in the notes on the Surface Tablet
- In the Cash Office tab, select 'Till Pick Ups'.
- Review the times of lifts for each staffed till over for the 2 days selected.
Review there is no more than a single lift (£500) for any till (ignore the end of day till pick-ups on screen which relate to cr/dr tender).
Till pick ups are completed (min 3 times a week) for each Self Service Checkout.
You will need:

- Select the 'Cash Office Electronic Journal' icon from the 'Electronic Journal and Reporting' folder in the 'Main Menu'.
- Select all the till numbers in store (for Self Service Checkouts) in the basic criteria tab.
- Select the date range for the past 2 weeks.
- In the Cash Office tab, select 'Till Pick Ups'.
- Review the times of lifts for each Self Service checkout over the last 2 week period

A minimum of 3 pick-ups for each self service checkout each week over the last 2 week period.
Self-Service Checkout weekly counts are completed on the correct day according to the company schedule.
You will need:

- Obtain the Daily Finalisation Reports for the previous 2 weeks.
- Review the Fastlane Reports which are attached to the report (from Tuesday onwards).
- Confirm the tills have been counted as per the company schedule (till 71 and 72 on Tuesday, till 73 and 74 on Wednesday, 75 & 76 on Thursday, 77 & 78 on Friday, 79 & 80 on Saturday)
NOTE! - The policy for completing counts on Self Service Tills states that stores should count 2 Self Service Tills each night starting on Tuesday. So, if a store has 5 Self Service Tills then they would count 2 on Tuesday, 2 on Wednesday and the remaining one on Thursday.
- Confirm a full weekly count was completed on all Self Service tills, with Fastlane reports as per Training folder. Check dates of Fastlane reports at the top of the receipts.
- To verify this, check all sections on the reports – Coin Acceptor, Note Acceptor, Coin Dispenser, Note Dispenser, reflect values of £0.00 in the ‘Value’ column - on the correct scheduled count day (see Training folder photos)
Random till checks are completed daily.
You will need:

- Obtain the Daily and Weekly Finalisation Reports for the past 2 weeks.
- On the last page the till results are shown.
- Randomly select 3 days from each week (INCLUDING 1 WEEKEND DAY) and ensure that a minimum of 3 till checks are evident in the 'No of Till Checks' column per staffed checkout.
- If two or more days have failed then mark as Non-Compliant, however, if one day has failed then review the Weekly Finalisation Report and ensure that a minimum of 21 till checks are evident per staffed till.
The Store Manager has completed their weekly review of the random till checks and next steps are recorded in the Store Manager Safe and Legal Record when till checks have not been completed as per company guidelines.
You will need:

The Admin and Compliance Safe and Legal Record.
- Confirm that the Store Manager has adequately completed their review of the till check process in each of the last two weeks based on the weeks checked in the previous question.
- Review how the Store Manager has scored the weekly check in the Admin and Compliance Safe and Legal Record, ensuring that:
- Where the till checks were adequately completed as per your testing, the check has been scored 'Green by the Store Manager; or
- Where the till checks were inadequate, the check has been scored red and there is a next step written in the Safe and Legal Record to address this issue.
The Cash, Bank, Coupon and Lottery Reports have been signed in the signature section by the Store Manager in each of the weeks under review. All differences over the weekly budget have notes captured in the notes section as evidence of review.
You will need:
The Cash Bank and Lottery Reports for the last two weeks.
The information on the latest report will be two weeks behind the current week, e.g. in Wk 10 the latest report available will be Wk 8.
There may be some unusual occurrences when they cannot print these off but this should be validated during the audit e.g. a next step reported in the Safe and Legal Record.
This check is as follows: -
The Store Manager has reviewed the report for each week and where there is a difference over the reported weekly BUDGET amount, there are notes entered on the notes section (second page when printed)of the report. There must also be evidence that the report is being checked through the reports being signed in the relavant signature section by the Store Manager.
Where the closing end of week till floats for all staffed tills, reported on the Till Checks Report for Sunday night/Monday morning, exceed £/€750, exceptions have been highlighted and next steps to reduce the float are written in the Admin and Compliance Record Safe & Legal Record.
You will need:

The Admin and Compliance Safe and Legal Record.
The end of week floats are the cash balances reported as being in the tills for the final till reconciliation of the week. It should be brought below the £/€750 limit to ensure that minimum cash is held in the store and to make it simpler to count correctly. The float values will either be reported on the final till checks of the week (Sunday) or the first till checks of the Week (Monday). Regardless, these should be reviewed.
ALL Users of the Cash Management System have signed the Password Usage Policy.
You will need:

Once logged into CMS, on the CMS main screen,
- Using the right-hand dropdown menu, select ‘Manager Menu’
- Select ‘Storeline User Maintenance’
- Select ‘Users & Profiles’
This will show a list of all current user IDs/ Usernames of the Cash Management System in-store.
- Review the personnel files of ALL current system users (store to provide the signed off policies) and confirm that each person has a signed copy of the Password Usage Policy held in the file. These should all be present/ completed.
The Cashier Trend Tracker is completed accurately for all discrepancies equal to or greater than £/€5 (+/-).All Operators have been identified and recorded correctly.
You will need:

Last two weeks Daily Finalisation Reports and the Admin and Compliance Safe and Legal Record which contains the Cashier Trend Tracker.
- Sample one net difference >+/- £/€5 for each of the two weeks by comparing one Daily Finalisation Report (last page that shows till shorts and overs) to the previous day's Finalisation Report for each day.
- When you find one net short or over greater than £/€5 between the two days, validate that this loss has been recorded in the Till Shorts and Overs section. If not, check the discrepancy is not made up of a number of smaller errors by reviewing the Till Check Analysis Report as follows: -
- On the system request the Till Check Analysis option. - Select the till you want to review. - Enter the date you want to review and click 'preview'.
- If any till checks have been undertaken, and the discrepancies were less than £/€5 but the overall total makes up the net difference you calculated, then the store will not have captured the discrepancy on the Till Shorts and Overs. Then select another short or over and follow the same process again.
- The Till Check Analysis Report should be used to identify the operator number of all those who operated the till and these should be recorded in the Cashier Trend Tracker.
- Ensure that all cashiers have been recorded in the Cashier Trend Tracker for the discrepancies selected.
- The tracker must be no more than 2 days in arrears.
Next steps are recorded in the Store Manager Safe and Legal Record for all discrepancies equal to or greater than £10.
You will need:

The Admin and Compliance Safe and Legal Record covering the previous two weeks.
- Review the 2 weeks Next Steps pages of the Compliance review.
Any Next Steps for any Till shorts/overs identified should be documented here.
e.g. Till Interview for 3rd August, -£20.00 on Till 1 to be completed
- The Cashier Trend Tracker is subject to management review and next steps are being identified or performance monitored.
- Sample that a discrepancy from each of the last two weeks greater than £/€10 has been next stepped with the till number and Customer Assistant number.
Customer Assistant Interviews are being completed within two weeks of the till discrepancy date by the Store or Deputy Manager. If not completed, the reason has been recorded in the Store Manager Safe and Legal Record.
You will need:

Admin and Compliance Safe and Legal Record going back two and three weeks from the week you are auditing in. This will allow for the issue of next steps and the ability of the Store Manager to see all staff concerned. For example, if auditing in Week 4 you should review Weeks 1 and 2.
Ensure that all next steps that have past two weeks from the date of the till discrepancy have been marked as complete or have a valid reason for non-completion.
All interviews marked as completed in the Store Manager Safe and Legal Record are supported by a Customer Assistant Interview Form (RP2K224). The Interview Form has been signed by the Customer Assistant and the Manager.
You will need:

Admin and Compliance Safe and Legal Record going back far enough to find two completed next steps and, once selected, the relevant CA Interview Forms.
- Regardless of the date completed, go back far enough in the Admin and Compliance Safe and Legal Record to sample four next steps where a Customer Assistant has been identified for an interview, that have now been marked as completed.
- Confirm that there is a completed CA Interview Form relating to the interview to prove it has actually been completed.

Price Integrity

Price verification has been completed in line with the Price Verification process for the format.
You will need:

You will need - Admin and Compliance Safe & Legal Record

Access to the Workload Management Screen Labelled Sections to be Checked or print of the Labelled Sections to be Checked screen (TB205.1.1) filed with the last two weeks Price Verification Reports.

The 16 week cycle is a fixed period and is the same for each store. The date that the current cycle started is detailed at the top of the TB205 report (example on opposite page). Take 16 weeks from the date that the current cycle started to know what dates you are reviewing.

For example, if the current cycle started on 12/02/13, then subgroups showing a date in the 'date last checked column' before 23/10/12 will be non compliant. There may be no history if visited in the first 16 weeks of store opening. Therefore score N/A.
Week 1
Week 2
A ‘zero’ Legal Labels Remaining Report has been printed each day and signed by the Duty Manager.
You Will Need:
'Zero' Legal Labels Remaining Reports from the weeks under review - These reports should be printed when all Legal Labels are displayed and is used to prove that all Legal Labels have been actioned and the store is trading legally.

Ensue that each report is available and that it has been signed by the Duty Manager.
Week 1
Week 2
The ‘Zero’ Legal Labels Remaining Report has been printed within one hour of store opening.
You Will Need:

The 'zero' Legal Labels Remaining Reports from the weeks under review.

The zero report should be printed within minutes of all Legal Labels being displayed and is used to prove that all price increases have been actioned and the store is trading legally.
Week 1
Week 2
There are no outstanding price increases on the Shelf Edge Labels Exceptions Reports (TB215).
You will need;

Shelf Edge Labels Exception Reports (TB215) from the weeks under review - This prints automatically each day and details how long label changes have been outstanding. Price Integrity Safe and Legal Record. If there are price increases reported on the Shelf Edge Labels Exception Reports TB215 and staff report that a system issue prevented the label confirming or previous increases have re-appeared, check for an explanation, helpdesk reference on the report or captured in the Safe and Legal Record. There should be no price increases remaining as all have to be confirmed on the day of the price change to ensure the store is trading legally.
Week 1
Week 2
All other exceptions on the Shelf Edge Labels Exception Reports (TB215), dated two days or more prior to the ‘action on date’, have an explanation or action record on the report or in the Price Integrity Safe and Legal Record.
You will need:

Shelf Edge Labels Exception Reports (TB215) from the weeks under review - This prints automatically each day and details how long label changes have been outstanding. Price Integrity Safe and Legal Record. The date of the exception must be two days or more than the date of the report to require an explanation or action. Exceptions less than 2 days will commonly occur (especially price decreases during promotion periods) and may have an explanation or action on the report. This is acceptable.
Week 1
Week 2
There is evidence that the Store Manager has reviewed and signed the Shelf Edge Labels Exception Reports TB215.
You will need:

Shelf Edge Labels Exception Reports (TB215) from the weeks under review - This prints automatically each day and details how long label changes have been outstanding. Price Integrity Safe and Legal Record.

NOTE - If the Store Manager has been absent, then review reports when they have been present. This is a weekly check so current reports may be awaiting signatures.
Week 1
Week 2

RTW

Right To Work

CRITICAL; Each Personnel file has the latest TERMS AND CONDITIONS on file for each colleague selected.
You will need:
Confirm that all colleagues have a signed copy of their latest Terms and Conditions in their personnel file.

DO NOT select anyone who has started in the last 8 weeks, as their Terms and Conditions may not yet have been received back.

To undertake the check, select the HISTORY option in the Terms and Conditions option within the Payroll Reports system, entering the colleague number to view the latest copy.

Ensure that the LATEST Terms and Conditions are on file for this person.
CRITICAL; All colleagues who started after 1/5/2004 who ARE NOT VISA HOLDERS have the correct documentation under the Right to Work policy.
You Will Need:
Review colleague files and confirm that all colleagues have the correct Right to Work documentation on file.

NOTE THE FOLLOWING: If employed prior to 01/05/2004 then no documentation is required;

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 (LARGER FORMAT) OR WEEK 27 2014/15 (IN EXPRESS) MUST HAVE A CENTRAL EMPLOYMENT COMPLIANCE TEAM CONFIRMATION HELD IN THEIR PERSONNEL FILE WITH THEIR RIGHT TO WORK DOCUMENTATION. THIS ENSURE THAT THE CENTRAL TEAM HAVE VALIDATED THE RIGHT TO WORK DOCUMENTATION.
CRITICAL; Colleagues recorded as Visa Holders have the correct Right to Work documentation on file.
You Will Need:
IN HRAM STORES, REVIEW THE VISA HOLDERS REPORT.

To request the Visa Holders Report.

To access this 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 that 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 the Policies for Our People for the required documentation.
CRITICAL; All colleagues with Limited Leave to Remain in the UK, (employed on or after 29/02/2008) have documents which have not expired, OR if they have expired, have provided evidence that they have made a new application for leave to remain prior to their old permission expiring.
You Will Need:

IN HRAM STORES, REVIEW THE VISA HOLDERS REPORT.

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 applied for new leave to remain in the UK before their old documents expire.
CRITICAL; International students do not exceed the hours that they are allowed to work.
You Will Need:
HRAM STORES
Review the payroll system for the previous 4 weeks for each international student to ensure that 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 16 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 16 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 been 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 College or University Website) detailing term times 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.
CRITICAL; All child workers have the correct documentation.
You Will Need:

Review the personnel file for each child worker and ensure that there is a child work permit from their local educational authority prior to starting work and a Child Safety Letter (if applicable) & Young Workers Working Time Regulation Form (if applicable for stores)

Review the current Child Worker Information to identify if the store has Child Workers.

Fuel Payments

Express Fuel Payments

The value of Drive Offs & Customer to Pay transactions reconcile to the Department Sales Report (TB330).
You will need:
Confirm that the daily totals of the Department Sales Report (TB330) for the previous 7 days match the total of drive offs recorded in the Safe & Legal Record
All Customer to Pay entries in the Fuel and Forecourt Safe & Legal Record have been recorded on a Declaration No Means to Pay Form (CDR-2).
You will need:
Safe & Legal Record and the CDR-2, Declaration No Means of Payment forms for the last five hand written entries in the Safe & Legal Record.

Ensure that all five Customer to Pay entries recorded in the Safe & Legal Record 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.
All Declaration No Means to Pay Forms (CDR-2) are retained for 26 weeks.
You will need:
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.
Till receipts for customer repayments are attached to the Declared No Means to Pay Form (CDR-2), or the Fuel and Forecourt Safe and Legal Record.
You will need:
The CDR-2, Declaration No Means of Payment forms. Review last 5 transactions which are marked "Paid".
Copies of repayment receipts can be printed from the till to substantiate customer repayments and must be produced and attached to the form.
The full details of the repayment receipt must be recorded in the CDR-2 No Means of Payment Form.
All No Means to Pay Forms (CDR-2) not paid within seven days have been sent to the Debt Recovery Company (B.O.S.S).
You will need:
From the Safe & Legal Record, find the last five CDR-2 No Means of Payment Forms over seven days old. These should be archived for 26 weeks.

- Each form should have evidence of either repayment though a receipt being attached and it being marked as PAID, or should be marked NOT PAID (or similar annotation) and the correct portion of the form sent to the Debt Recovery Company.

HRAM Payroll

The Stores Update Report has been printed, reconciled to source documentation, and signed by the Store Manager as evidence of review.
You will need:
Establish whether there have been any permanent amendments in the previous 8 weeks by doing the following:
- Log on to HRAM;
- From the Main Menu, select 'Shift Maintenance' then 'Permanent Shift Maintenance'.
- Leaving the 'Employee' field blank, press 'Enter' which will list all of the colleagues for the store.
- Starting at the top of the list of colleagues, view the details for each colleague until you identify 2 colleagues who have had changes in the last 8 weeks (shown against the 'current' field - Ignore future changes);
- Review the Stores Update report which relates to the changes you have identified and ensure that the reports are present and were signed by the Store Manager.
Permanent amendments recorded on the Stores Update Report are supported by a Permanent Amendment form.
You will need:

Using the selected colleagues from the previous test, request to see the corresponding Permanent Amendment Forms.
Permanent amendments have been authorised by management.
You will need:
Using the permanent amendment forms selected for the previous test, ensure that the forms have been signed by the colleague and Store Manager.
The Permanent Amendment Forms being used by the store are the standard company version.
You will need:
A standard Permanent Amendment Form is available in the 'Know Your Stuff for Wages' material.
Confirm that all amendments you reviewed were recorded on the standard document.
Premium Reports have been printed, reviewed and signed off by the Store Manager.
You will need:
The Premium Reports for the weeks under review.
Confirm that the reports have been printed and they have been signed off (on the front page as a minimum) by the Store Manager.
The Admin Assistant has completed the required Bronze Wages training.
You will need:
Review the training records of the Admin Assistant and confirm that Bronze Training (Modules 1-11) are recorded.
The Admin Assistant has completed the required Silver Wages training.
You will need:
Review the training records of the Admin Assistant and confirm that Silver Training (Modules 1-4) are recorded.
The Store Manager has completed the required Time & Attendance training.
You will need:
Review the training record card of the Store Manager and confirm that 'Managing Wages in HRAM Stores' training has been completed.

Product Protection & Waste

Waste & Product Protection

As a minimum standard product protection is in place.
Method:
The Format Product Protection list.
Spot check lines on the list have the relevant yellow RF security sticker on the product and the 'tag me' label is displayed.
All EAS gates are operational.
Method:
Pass a tag through each of the gates and show that the gate alarm works.
Staffed checkouts are signed off when not in use and there is a staff presence in the till area at all times.
Method:
Visit the checkout and confirm that any used tills are logged off. Check that a member of staff is in the vicinity of the tills (within sight of) at all times. Observe procedures throughout your visit to ensure compliance.
Tobacco stock is only stored in a locked safe or on the gantry.
Method:
Ensure that no tobacco backstock is held outside of the cigarette safe inculding under the gantry. Confirm the safe is locked by trying to open it.
The backdoor is closed and alarmed when not in use and the key has been removed from the alarm box.
Method:
Check that the backdoor is closed and alarmed unless a delivery is being accepted. Observe procedures throughout your visit to ensure compliance.
The office door is closed and safes are locked.
Method:
Check that the office door is closed and the safes (excluding tobacco) are locked. Review throughout your visit to ensure compliance.
Waste bins are locked?
Method:
Check the waste bins to ensure that they are locked when not in use.
There is no evidence of waste build up in the warehouse.
Method:
Review the waste area and ensure that this is well managed. The waste area should not contain excessive stock from previous days that has not been recorded.
Waste download reports are filed and signed by management as evidence of review.
You will need:
The stores filed waste reports.

Method:
Check that all the reports have been signed by management as evidence of their review.
A full News and Magazines scan has been completed each week.
You will need:
Newman Report for the two weeks under review (soft or hard copy).

Method:
Use the Newman report (on sharepoint) to check the store has completed a full news and magazine scan for each of the weeks under review.
Week 1
Week 2
Newspaper and Magazine waste has been recorded weekly.
You will need:
The weekly News & Magazines waste report (available on Sharepoint).

Method:
Check the store has actioned waste correctly based on the detail listed on the News & Magazine waste report.

Evidence of downloading the waste can be reviewed using either of the following methods:
1 ). The store provides a wastage download print to demonstrate the waste has been actioned.
2). Review detailed waste on SBO screen option 5,4,1 for the previous three weeks and check that all lines on the News & Magazine waste report have been downloaded.
A minimum of two searches is completed by each Duty Manager/Trained Team Leader each week.
You will need:
The Store Manager Safe and Legal Record (Staff Search Tracker section).

Method:
Through discussion establish how many Managers and trained Team Leaders there are in the store. Check the last three weeks of the Staff Search Tracker to ensure a minimum of two seaches have been completed by each Manager/Team Leader.
The Weekly Unknown Loss Meeting Board is up to date.
You will need:
The Weekly Unknown Loss Meeting Board.

Method:
Check the Unkown Loss Meeting Board to ensure that the Security Six section is up to for the day of your visit.
Check that the Loss Prevention Dashboard is up to date and that next steps are displayed.
Colleagues have reviewed the Unusual Suspects DVD and there is evidence of this training through sign off of their Training Records.
You will need:
Colleague training record cards.

Method:
Select five colleagues at random and ensure that Unusual Suspects training is recorded on their training record cards.
Note:
Colleagues starting after February 24th 2014 will complete this as part of their Induction 'Know Your Stuff Bronze' Module 11.
Colleague 1
Colleague 2
Colleague 3
Colleague 4
Colleague 5

Store Controls Audit Express MW

Go digital today!

Convert your paper checklists into digital forms

Stock Control Routines

Express Cash

Price Integrity

Right To Work

Express Fuel Payments

HRAM Payroll

Waste & Product Protection

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Store Controls Audit Express MW

Free Store Controls Audit Express MW Checklist

Go digital today!

Convert your paper checklists into digital forms

Stock Control Routines

Express Cash

Price Integrity

Right To Work

Express Fuel Payments

HRAM Payroll

Waste & Product Protection

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