Information
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Audit Date:
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Store Name:
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Auditors Name:
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Store Manager Name:
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Area Manager Name:
Cash Handling/Front End/Previous Audit
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Previous LP best practice review has been followed up and all identified failed points and additional comments have been followed up in the specified timeframe.
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Obtain last LP review from Manager. Has it been used as a working document to educate team members. Have self audits been conducted. Obtain evidence of this. Check each failed audit point and report on no action taken and non compliance.
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Change Float Balance Sheet in use and balances and all Cash register floats are in accordance with approved float $500?
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Check Change Float Balance Sheet for the last 4 weeks.
Partial fault for one count missing, fault for more than one count missing.
Fault also occurs where variance noted on sheet and not rectified and/or reported as per process. Check register floats are approved $400 or $500. Additional unused floats must be overbanked. -
Register clearances are being conducted.
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Spot check register cash levels. Do registers contain over $1000 in cash.
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Banking performed daily.
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Observations of sealed banking bags in the safe, with all required information completed on the bag and also the deposit slip. Is banking being actioned as per collection schedule or branch deposit schedule being daily. Are missed collection reported.
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Cash deposits match EOD reconciliation report with no variances between report and what is banked.
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Check EOD report and actual banking deposits for variance between what has been recorded to what has been banked.
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All Register Drawers Balance.
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Check daily register variance report and spot check and balance two drawers. Does cash balance. Check that additional tills in safe have floats within them, and that they contain $500. Ask when the last time they were counted, if more than one week ago they should be counted.
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Register variances are reported and followed up.
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Check that all variances over $5 are being followed up with the operator/s. Register Variance report must be filled in for all variances over $5 and emailed to Loss Prevention.
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Safe is in good condition and is closed and locked.
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Check the safe door is closed and locked. Test the safe to ensure it is operational and no signs of digital lock battery failure or safe damage.
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Cash Office door is closed and secured at all times.
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Check the door is not propped open or locks faulty.
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Cash Office / Safes covered by operational CCTV/Alarm system.
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Check that alarm system is effective and detectors not blocked.
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Cash Collection services arrive to schedule, ID shown, Bag details slip retained.
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Check that the cash collection services arrive as per the schedule with no missed collections and ID is viewed each time. Also check all bags collected have been written up in collection book/deposit book including serial numbers, cash amounts, collectors id number. No bags leave without having been written up in full.
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Is there any money found on counters, floor, cupboards etc and are register areas clean and tidy. No Food and Drink.
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Check cupboards, cash office, counters, drawers, floor, under mouse pads and keyboards, pencil cases etc. for any loose money. There should only be money in registers and safe. Check the area is clean and tidy and organized. No staff bags behind register counter.
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Petty Cash debit card process compliant.
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Obtain Debit card statement from Accounts and reconcile against purchases. Require evidence such as purchase receipts. Manager responsible for the petty cash debit card. For self audits check with Loss Prevention.
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Cashiers following the Staff, Bulk Buys, Price Match and Loyalty discount Policy.
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Cashiers compliant with the discount policy. Speak with cashiers and obtain there understanding of each policy, there %, customer obligations regarding price match and bulk buy and rules around Price Matching. Spot check price match and discount report.
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Cashiers counting back change and handing receipt to customers.
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Observe cashiers are counting back change to customers and either handing a receipt to customer or first option offering an electronic version.
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Trellis Gates/Front Entry doors secure and locks in working order.
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Check for any damage to gates/doors and locks. Have issues been reported to Loss Prevention.
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Cashiers applying Clear Tamper dot on all items $50+.
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Observe cashier is placing the clear tamper dot next to the product barcode on all purchases $50+ and check returns have the clear dot removed from them by the cashier.
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EOD Cash and Tyro procedures completed, settled and reconciled correctly and spreadsheet completed as per policy and EOD report emailed to operations at EOD.
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Check EOD and settlement receipts, daily register summary report. Check if the EOD reports are filed away neatly and in order. Check all refunds, exchanges, discounts reconciled against EOD recon report. Entries must be made in the LP spreadsheet.
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Cashiers displaying Toymate customer service standards.
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Observe cashier is following the Toymate customer service standards with all customers.
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Cashiers processing refunds correctly and using correct info codes.
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Refunds are compliant with Policy. Managers checking refunds daily.
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Spot check refunds. Are they compliant with policy with all details obtained from customer and witness signatures obtained etc. Spot check refunds on CCTV and contact customer. Check refunds in store and weekly refund report that all refunds are accounted for. Check refunded items and validate it has been returned for the reason stated.
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Monday LP spreadsheets and Report completed correctly each day.
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Check the LP weekly spreadsheets are being used in accordance with policy. Details entered in every day. Check refunds, discounts, deliveries ,banking, tile time etc. and check no details are missing. Check the LP report and ensure Action plans are created and being followed.
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Customer Refund Policy and Price Match Policy on display at the POS counter.
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Check for A4 size refund and price match policy poster at register area. Must be visible to customers and Toymate approved standard. No unauthorized signage.
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Customer Holds compliant with policy and one designated area for holds.
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Check customer holds are not exceeding 48hours. Check holds slip is completed in full and is a Toymate approved hold slip.
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Wastage and Discount policy being followed. Wastage reported weekly. Discounted items merchandised as per policy. Wastage items have Return/Faulty slip attached.
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Check store wastage bay and register counter for wastage. Is is recorded and reported to Loss Prevention weekly. Is returned stock for resale compliant and merchandised as per policy. Wastage must be in the wastage bay only and all items must have a Return Faulty slip attached.
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Miscellaneous code not used by cashiers.
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Miscellaneous code should not be used by cashiers. Record the number of misc codes used over 7 days and by whom.
Store Security
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Store Alarm, CCTV, EAS working correctly and no cameras blocked or image impeded.
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Check alarm system has no isolated zones and is working correctly. Test fire doors. Check CCTV is working correctly and time is correct. If store has EAS test system and check EAS activation log sheet is completed daily. Check systems are in good condition and managers know how to use systems and record footage on CCTV systems.
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Alarm Codes and after hours monitoring details are up to date.
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Management Team are aware of how to operate the CCTV system to review and burn footage.
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Store have the appropriate signage relating to the use of CCTV in the store.
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Key Register in use and up to date.
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Check key register is being used and is up to date.
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Visitors log in use and up to date. Cleaners, Reps and Contractors signing in.
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Check the visitors log and ensure it is up to date and all visitors are signed in and out.
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Security Incident reports in use and all incidents reported to Loss Prevention.
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Store Keys with Managers and not left unattended.
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All store scanners accounted for and in good condition.
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Staff exiting store through front door or designated staff entry and bags checked.
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Store lights are on and all are working.
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Condition of Entry sign clearly displayed at front of store.
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Check sign is approved signage and visible to customers.
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Door Greeter is on. Has completed the required training and is performing the role as required.
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Check door greeter is trained and door greeter is compliant with policy.
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Tile Time carried out every hour of every trading day. Log sheet completed.
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Staff personal belongings stored in lockers or in a safe location.
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No personal bags stored at registers or cash office.
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Store Room and Lunch Room doors closed and locked.
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Doors closed and locked. No propped open doors. If locks are fitted do they work and are they being used.
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No stock or Rubbish in the Lunch room, Office areas. Areas are clean and tidy.
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Security Alerts, newsletters, notices displayed at Registers and cork boards.
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All stock correctly stored in store and store rooms. No loose stock on floor or at risk of damage.
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Inspect store rooms and shop floor. Check for loose stock on floor which can potentially be damaged.
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Staff are aware of what to do in the event of an Armed Robbery.
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Speak to staff and ask them what they would do if there was an armed robbery.
Safety
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Recalled/Compliance stock acted upon by due date and held in appropriate signed area?
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Check recent compliance notices to ensure they have been acted upon. Fault occurs for any instance of non compliant stock still on selling floor. Fault occurs if more than one compliance instruction has not been completely followed .
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Box Knifes being used safely by all staff and stored safely. Not left on shop floor.
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Fire extinguishers/hoses serviced by due date.
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Fire extinguishers require servicing every 6 months and hoses every 12 months. Check all fire equipment is in good condition.
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Fire doors and exits have no obstructions and are accessible.
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All locks and doors provide adequate security.
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Fire Evacuation plans displayed throughout the store.
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Check there are a minimum of 3 evacuation plans throughout the store near fire equipment, front of store middle of store and rear of store.
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Emergency exit signs illuminated and in working order.
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Stock 46cm distance from fire sprinklers.
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Use by / best before dates in range for food items.
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Check random products to ensure that they are within date. Check confectionary, drinks and ice creams.
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Hazardous Materials/Chemicals correctly maintained?
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Fault occurs if hazardous materials/chemicals are incorrectly stored, used inappropriately.
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Incident/Accident report forms used when required and reported to HR copies filed in OH&S folder.
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First Aid Kit available, easily accessible and fully stocked.
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Fixtures, Stands, Shelving are stable and safe.
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Check all displays are safe. Ensure displays have support feet where required and are stable. Check for displays with sharp edges and protrusions. No cracked or broken pallets on shop floor. Pallets to be tapes with fluro tape to avoid tripping.
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No unstable stock on shop floor or store room including overs and bulk stacks/side stacks.
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Check stock is stored safely and not unstable of leaning over. Look for stock which can potentially fall and injure someone.
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Ladders/steps not left unattended on the shop floor.
Receiving Area
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Receiving area appropriately setup including isolation bay.
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Receiving desk set up and organised as per policy. Isolation bay set up and marked.
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Stock not left unattended outside receiving.
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Fault occurs if stock is found left outside unattended. Notate time found.
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Receiving door not left open when area unattended.
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Fault occurs if Receiving door is found open. Notate time found open.
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Forklifts / WAVES / Walkie Stackers used by authorized/approved persons only and used appropriately.
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Fault occurs if Forklifts / WAVES / Walkie Stackers are used in an unsafe manner or by unapproved persons.
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Short deliveries reported and invoices marked with STC.
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Short deliveries must be reported immediately and noted on the invoice along with STC.
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Wastage Bay, Claims Bay and Compliance Bay set up, signed and compliant with policy.
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Wastage items have return faulty slips attached and wastage processed weekly as per policy.
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All wastage must have a completed return faulty slip attached and wastage must be recorded on site audit pro weekly and emailed to LP. Check if wastage has been disposed off when instructed by LP.
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Return faulty items found in wastage bay match return faulty list from POS.
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Check the weeks return faulty list and match with stock in the wastage bay. The items should be in the bay if they have been returned faulty and not in other locations.
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Goods Receiving Log being used correctly.
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Supplier returns/claims are being actioned in a timely manner.
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Review Supplier Claims / Returns . Items should be followed up within a reasonable timeframe. Items should have paperwork/Slips with dates attached. Fault occurs if items have been there for an unreasonable timeframe such as 4 weeks.
Stock
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Local deliveries actioned in accordance with policy.
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Warehouse deliveries actioned in accordance with policy.
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Check warehouse deliveries are received into stock with no discrepancies. Are pallets fully wrapped and security taped.
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Stock Transfers are in accordance with Store Stock transfer policy.
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Stock transfers must be approved before actioned. Approval to be obtained by Kim or Idan.
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Stock priced with relevant ticketing to product.
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Check 50% of store and record total number of missing or incorrect tickets. Fail if more than 5.
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Security Tagging/Cable ties in use on specified products and master box in use.
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Cable ties on scooter displays and master box in place as directed.
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Marked Down returns/damaged displayed in one signed location in accordance with policy.
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Marked down returns/damaged must be displayed in one location and items must be safe to resell with no major defects.
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High risk merchandise such as Lego, Pokémon displayed behind the counter as directed.
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Lego over $100 displayed behind the counter and Pokémon also displayed behind the counter. Any Pokémon on shop floor must have stop locks.
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Empty Packets of Stock/Theft reported to LP. Tile time increased in those high risk areas.
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Check by asking team members if they are aware of the theft hot spots in the store and that they must be routinely walking those areas whilst on shift to identify shoplifting, empty packets and gaps in displays.
Payroll, Training and People
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Are all team members signing on and off and recording meal breaks.
POS Register Process
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All registers logged out when not in use.
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Check all registers at various times throughout audit. Fault occurs where a register is found to be logged in without a Team Member present.
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All receipts are given to customers, or destroyed at POS.
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Team Discounts received by appropriate persons.
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Look at discount report. Review transactions with 15% off and verify on CCTV to ensure staff discount is legitimate.
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Gift Card and Credit Vouchers are process correctly and in according to procedure.
Click and Collect/Online
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Click and Collect/Online area maintained in a neat and orderly manner.
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Click and Collect items verified by two staff prior to release.
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Two staff must sight receipt and stock prior to release to customer. Staff verify stock is purchased as per receipt and customer id details taken.
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Online orders are checked for suspected fraud and sent to LP for verification.
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Online orders are being processed within 24 hours of received.
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Courier scans in all online order packages matching total to stores list and signs list as verification of collecting total packages.
Sign Off
Sign Off
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This audit has been discussed with a member of the Management Team. Areas of improvement have been discussed and actions on how to rectify.
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Auditor Comments
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Will be followed up via
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Will be followed up by
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Auditor
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Store Manager Comments
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Store Manager
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Area Manager comments
