Ticket Office Audit - v1.0

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• PLEASE WRITE ANY DETAILED INFORMATION IN THE BOXES AVAILABLE AT THE END OF EACH SECTION

• Period Start Date of this audit

  Date

• Period End Date of this audit

  Date

General Ticket Office Security

• Ensure that all personnel within the ticket office are authorised to be there

  Yes

  No

  N/A

• Ensure that lockable cash drawers are provided, that they are in working order and that they are secured when not in use

  Yes

  No

  N/A

• Number of cash drawers in office

• Ensure that all cash is secured and out of sight / reach of the public

  Yes

  No

  N/A

• Check that intruder alarms are in working order and that records are maintained in respect of personnel entrusted with alarm codes

  Yes

  No

  N/A

• Check that safes are closed and locked when not in use

  Yes

  No

  N/A

• Ensure that a register is maintained of all personnel entering / leaving the secure ticket office environment

  Yes

  No

  N/A

• General Ticket Office Security Violations

Security of Keys / Safes

• Is a register maintained for keys relating to this ticket office?

  Yes

  No

  N/A

• Does the number of keys in the register agree with those in circulation?

  Yes

  No

  N/A

• Door Keys in circulation

• Door Keys in register

• Safe Keys in circulation

• Safe Keys in register

• How many sets of door keys are issued permanently to staff?

• How many sets of door keys are available for relief staff?

• How many sets of safe keys are issued to permanent staff?

• How many sets of safe. Keys are available for relief staff?

• Is a register accurately maintained of keys signed out and signed back?

  Yes

  No

  N/A

• Where a combination safe is in use, do records exist of combination numbers?

  Yes

  No

  N/A

• Combination safe numbers should be changed every three months. Please note down the date of the last combination change

  Date

• Has the combination been changed in accordance with requirements?

  Yes

  No

  N/A

• Ensure a register is maintained for all employees entrusted with the safe combination

  Yes

  No

  N/A

• Security of Keys / Safes violations

Shift Balancing

• Completed shift balances not yet collected are sealed

  Yes

  No

  N/A

• Completed shift balances not yet collected are entered into a register

  Yes

  No

  N/A

• Completed shift balances not yet collected are on hand and retained securely

  Yes

  No

  N/A

• A register of shift balances exists and is maintained

  Yes

  No

  N/A

• Shift balances that have been remitted / collected are processed in a timely manner

  Yes

  No

  N/A

• Station Accounting documentation is retained for 13 RSP periods

  Yes

  No

  N/A

• Shift Balancing violations

Station Change Floats

• Total value of Window Floats

• Total value of Safe Float (excluding window floats)

• Window Floats Correct

  Off

  On

• Safe Float Correct

  Off

  On

• Mobile Staff (RPI / Catering / Security Company) Correct

  Off

  On

• Do the above values match authorised limits?

  Yes

  No

  N/A

• If the values do not match, please note the amount outside the authorised float here

• Are records maintained of floats signed out to mobile staff? Are these signed in / out in accordance with local procedures?

  Yes

  No

  N/A

• Change float check carried out

  Off

  On

• Till check carried out

  Off

  On

• Change orders, receipts and repayments are entered in local records and agree with those held at HQ

  Yes

  No

  N/A

• All change is repaid within three working days of delivery (unless prior authorisation from RCAC is obtained)

  Yes

  No

  N/A

• Station Change Float violations

CCTV

• Ensure CCTV equipment is in working order

  Yes

  No

  N/A

• Check cameras are in focus

  Yes

  No

  N/A

• Make sure lenses and housings are clean

  Yes

  No

  N/A

• Check time and date accuracy

  Yes

  No

  N/A

• CCTV violations

Duplicates / Encodes / Changeovers

• Duplicates - number of duplicate seasons completed in the period being checked

• Duplicates - are all duplicate tickets entered into an appropriate register?

  Yes

  No

  N/A

• Duplicates - are all duplicate indemnity forms present and correctly completed?

  Yes

  No

  N/A

• Duplicates - are all duplicate application forms appropriately authorised?

  Yes

  No

  N/A

• Duplicates - are all duplicate seasons entered into the season ticket database?

  Yes

  No

  N/A

• Encodes / Replacements - number of replacement / encode tickets issued in the period being checked

• Encodes / Replacements - are all encodes / replacements entered into an appropriate register?

  Yes

  No

  N/A

• Encodes / Replacements - are all encodes / replacements entered into the season ticket database?

  Yes

  No

  N/A

• Changeovers - how many changeover tickets have been issued in the period being checked?

• Changeovers - is supporting documentation available for all changeovers issued in the period being checked and is this documentation correct?

  Yes

  No

  N/A

• Changeovers - have all changeover tickets issued in the period being checked been entered into the season ticket database?

  Yes

  No

  N/A

• Duplicates / Encodes / Changeovers violations

Refunds

• Are all refunds on hand.........

• Referenced

  Yes

  No

  N/A

• Entered into the refunds register

  Yes

  No

  N/A

• Entered into the season ticket database (including SLAHs)

  Yes

  No

  N/A

• Have all tickets attached to refunds been marked as cancelled?

  Yes

  No

  N/A

• Where documentary evidence is required, is this attached to the refunds as appropriate?

  Yes

  No

  N/A

• Are all refunds correctly calculated?

  Yes

  No

  N/A

• Are all refunds authorised appropriately?

  Yes

  No

  N/A

• Does the Method of Payment reflect the Method of Refund on all refunds present?

  Yes

  No

  N/A

• Refunds not collected within three months of certification date should be forwarded to the relevant department and the register marked accordingly. Has this been done?

  Yes

  No

  N/A

• Are all refunds on hand stored securely?

  Yes

  No

  N/A

• Has the refunds register been updated correctly to reflect the status of refunds that have passed through the office for the period being checked?

  Yes

  No

  N/A

• Refunds violations

Locked Stock

• Locked Stock records are kept for all saleable items and the number on hand agrees with that in the register

  Yes

  No

  N/A

• Continuity is maintained for all locked stock items and receipts / counterfoils are are calculated / accounted for correctly

  Yes

  No

  N/A

• Transfer of items to / from another location are appropriately recorded in the register

  Yes

  No

  N/A

• Delivery notes are retained with Locked Stock register for all fresh stock

  Yes

  No

  N/A

• Local checks are made of Locked Stock and records are made of Delivery notes are retained with Locked Stock register for all fresh stock checks

  Yes

  No

  N/A

• Locked Stock violations

Self Service Ticket Machines

• Number of PERTIS machines present

• Number of Cash and Card SST machines present

• Number of Card Only machines present

• Cash box keys are kept separate from machine door keys

  Yes

  No

  N/A

• Cash box keys are left in the office when the SSTs are being emptied

  Yes

  No

  N/A

• Machines are emptied at intervals as dictated by local business management

  Yes

  No

  N/A

• Number of times PERTIS emptied in the period being checked

• Number of times Cash accepting SST machines have been emptied during period being checked

• Are all accountancy sheets and cards present?

  Yes

  No

  N/A

• Has all cash extracted from SST machines been paid in in a timely manner?

  Yes

  No

  N/A

• Self Service Machine violations

Statement of compliance

• I certify that I have carried out the periodical checks defined in the periodical check procedures and will carry out remedial actions as detailed below:

• Remedial actions required:

• Date and time of sign off:

  Date

• Signature of individual carrying out the check:

  Sign