TWL FY15 2 Day Audit

Information

Document No.
Audit Title
Client / Site
Conducted on
Prepared by
Location
Personnel

HEALTH AND SAFETY

1.01 Confirm all new employees complete Health & Safety training on or before their first day of work. Review last 2 new team members. □ Keeping Yourself and other Safe sections completed in full □ Sign off by Assessor and Team member □ Assessment Completed
1.02 Confirm there is a qualified First Aider and Building/Floor Warden coverage over every shift for the next 7 days (this includes Off sites). □ Building/Floor Wardens expired after 12 months □ Verify First Aid Certs
1.03 Confirm all Sprinklers, Lights, Fire Extinguishers, Alarm Call Boxes, Hose Reels and Electric Switchboards have at minimum, a one metre clearance. Confirm all Emergency Exits are not obstructed. □ Lights □ Appliances □ Alarm Boxes □ Hose Reels □ Switch Boards □ Sprinklers □ Emergency exits
1.04 Confirm Teamsafe section of the Working Smarter Noticeboard is up to date. □ H&S Policy □ Rehabilitation Policy □ Evacuation Plan(map) □ Latest TAG Meeting Minutes □ Teamsafe Contacts Template – Teamsafe Rep, Fire Wardens, First aider + exp dates, Forklift drivers + exp dates □ Teamsafe Reports (LTIFR/TIR KPI Reports from ICRed) □ Teamsafe Agenda (10 days prior to meeting)
1.05 Review last three months Teamsafe Action Group Minutes, verify management attendance, LTIFR/TIR, store manager sign off, system status report used and follow up action has taken place on outstanding issues. □ Date □ Verify Management Attendance □ Store Manager must sign Minutes □ Corrective Actions Signed off by Store Manager □ LTIFR/TIR Listed □ System Status Report
1.06 Confirm the store is following the Incident Management Policy. Review the last 6 months. □ Incidents loaded via Teamsafe Portal □ Investigation/Casual Analysis/Corrective Actions completed □ Incident status completed with Manager Review within 5 days
1.07 Confirm the store is following the Hazard Management Policy. Review the last 6 months. □ TSOL Hazards printed prior to review and findings documented on copy printed. Controls loaded into TSOL. Paperwork retained on file. □ Store Manager Sign off,TSOL by month end □ Monthly Hazard Identification (Any new hazards forwarded to H&S team within 48 hours).
1.08 Confirm an evacuation drill has been completed within the last 6 months, documented, debrief performed and the next drill Scheduled. Confirm the site has an Approved Evacuation Scheme with the Fire Service unless the store scheme is covered by a mall/complex. □ Notification to Fire Service & Report(stores who have any external provider perform drills are exempt) □ Evacuation Scheme on file
1.09 Confirm the teams are managing all Contractors on site as per policy. □ Inductions valid 12 months/Consent to Work valid 12 months as long as scope has not changed. Monitoring to occur: Regular contractors 4-6 times a year. Contractor on site for more than one day in a row to monitor each day
1.10 Confirm Current Forklift drivers have undergone OSH approved training certificate of competency & hold a current endorsed driver’s license. □ WOF □ License □ Wallet Card □ Rego □ Only TWL authorised team using Forklift
1.11 Confirm all Combustible Material is stored 10 metres clear of any building unless under sprinkler protection or fire rated wall with parapet. Confirm Pallets are stored no more than 15 high. □ A non-penalty will be issued at the auditor discretion if store cannot meet legal requirements but maintains good risk management.
1.12 Review last 14 days Forklift/Reach Truck/Pallet Walker equipment checklist to confirm it has been completed each day the forklift has been used. □ Reach Truck □ Pallet Walker □ Forklift
1.13 Are the HASNO standards being adhered too by the store. □ Certification available and current □ Safety standards met (Fire lighters from Butane Cannisters 3m, Gas Bottle cages outside, Butane 3m clearance from chlorine etc □ Hazchem and LPG signage

STORE OPERATIONS

2.01 Check Price Integrity on the shop floor & review store process to identify any weakness. □ 40 Products checked for pricing □ Price Change Process
2.02 Test one page of the mailer and 5 WOW deals for Advert tie up compliance. Confirm the store is not displaying any signs that breach the Fair Trading Act. □ Mailer Tie Up □ Expired Adverts □ Mailer Checks □ Managers Special Pricing
2.03 Ensure that no recalled products are available for sale (exclude Sale or Return). □ Review PDREC □ Microstrategy Recall Report
2.04 Sample Products on the shop floor to ensure they have not reached their best before or expiry date as well as stock is rotated. □ Food □ Ink Cart □ Health & Beauty □ Pet Food
2.05 Confirm the store has a process in place to check all store temperature checks. Confirm that all Thermometers on site have been calibrated internally monthly & externally on an annual basis. □ Calibrated Monthly □ Infrared within -2/+2 □ Probe within -1/+1 □ Annual Calibration by Metermaster □ Temp checks daily
2.06 Verify the Grocery & Pet Areas of the Shop floor and Stockroom is clean. □ Pet Areas □ Grocery Areas □ Milk Fridge □ Bread Stand □ Impulse Fridges □ Stockroom
2.07 When working negatives, is the store investigating correctly to identify root cause. □ ITRAN □ IPOBI □ INPAK □ IDSTR □ Physical check on shop floor
2.08 Ensure the store is running the Weekly No Sales & KVD No Sales Reports and these are actioned as per company policy. □ No Sales (only Top 10 Qty/$) □ KVD No Sales complete report
2.09 Is the Gap Scanning Process being adherred too. □ Tier 1 Areas (pre Working Smarter II), Working Smarter II toolkit process
2.10 Is a weekly check of High Risk products carried out with variances investigated appropriately
2.11 Confirm the store is investigating discrepancies over $10. □ Operator names listed in CMS □ Investigation form used
2.12 Are Register spot checks being performed at least 3 times a week and transposed onto the Cash management system.
2.13 Review Hire Purchases & Winz process in store. □ (non Winz Cards) & HP Reconciliation □ Authorisation Letters match □ Docket attached, contract dollars match, special terms & conditions are met & signed by all required parties. □ Refunds completed correctly
2.14 Confirm the store is running a debtors report monthly and following up on outstanding Debtors. □ Match up report to Tax invoices □ Approved Debtors list
2.15 Review outstanding orders to confirm the store has followed up on all orders more than 10 days old. □ ETARV □VRCOM □ Outstanding Despatches
2.16 Verify Receipting processes are being followed as per policy. □ FIS □ BRSCN review daily □ Paperwork is verified by admin/secondary person prior to closing receipts □ Acknowledged into gun within hour/same day) □ LOADH/LOADC □ Jewellery Receipting
2.17 Is the store adhering to the Reverse Logistics practices. □ 3 Bins system □ ADJST verification of write off stock before disposal □ Stillage’s sent once a week □ Unsafe Items not sent □ RD Dockets attached/barcode not taped over □TRIND reports reviewed daily
2.18 Confirm Layby Process is correct to Policy. □ Incomplete/inactive layby report and review □ Reminder Cards/ expiry being sent □ Register with money owed to customers □ Recalled Products checked & Customer Script used to contact customer □ Verification of Products and customer prior to releasing goods.
2.19 Is the store following the correct procedures with Click and Collect. □ Incoming stock acknowledged on arrival by stockroom. □ Paperwork attached to product. □ High Risk Stock secure. □ Product Service update system
2.20 Ensure the store has a process in place for Store/Customer Repairs and the correct guidelines are being followed. □ Weekly review with contact with customers & repair agents □ Shop Stock Repairs In/Outs Adjustments
2.21 Verify Customer Rainchecks are being managed by the team and customers contacted.

PEOPLE MANAGEMENT

3.01 Sample team members Personnel files to confirm Contracts, House Rules, Restricted Product Policy, Warehouse Way, Criminal History Checks and if required Work permits/Visas are on file and current. Pre-Employment paperwork is also on file. □ Contracts on file are correct version (Dec 12) □ Contract signed by all parties □ Signed House Rules □ Work Permits/Visa on file and current □ Criminal History Check on file □ Restricted Product Policy (16/05/12)
3.02 Sample files to confirm Pay Rates are correct.
3.03 From a sample of file confirm contractual hours and Pay Global Profiled hours agree & Actual hours agree.
3.04 Sample 10 training files to confirm completed training matches Pay Global declaration. Confirm training is on file for areas team member worked in last week. □ Team members employed from 1/8/13 should have the new modules □ Selling Smarter training (Jewellery & technology) Exam pass in Redseed, and Shop floor Assessment on file.
3.05 Confirm with store staff that all team members included on the Masterfile list are in fact team members.
3.06 Verify management are reviewing, signing the Payroll Calculation Reports, Payroll Cost Centre Reports & Leave Reports. □ Pay Calculation □ Cost Centre □ Combined Leave
3.07 Confirm that all Team Members Files & Payroll Reports are kept in a locked cabinet and access is only provided to authorised parties. □ Payroll Reports secure (not in trays/on desk) □ Team member files secure
3.08 Is Mode of Sales Checks performed monthly on all team members who operate a checkout.

STORE MANAGEMENT

4.01 Review current user listing to ensure only Management/Key Holder/Rostered Duty Managers have manager authority (TUI,BOSS and POS).Verify all team members who no longer work in the store have been removed from the store User lists. □ TUI (Level 5) □ POS (Manager Access) □ BOSS (User Permissions & Point of Sale (Branch and Till Settings, Managers Special, Product Group Discount □ No Generic Logons
4.02 Confirm Management are completing weekly checks of Register Cash Up Bags, Safe Float Counts and Petty Cash. Confirm banking’s(Cash Management), Safe Floats, Petty Cash & Spot Checks are completed as per policy and signed off by management within the required timeframes. □ Safe Float □ Petty Cash □ Register bag Check (traded till) □ New Forms Used □ Process performed on random days within week
4.03 Review the CCTV to confirm security of the Building. □ Cash Office Secure from 1 hours after close to 6am □ Stockroom or back dock doors are not to be opened during night fill except in emergencies □ Open/Closing procedures followed □ Store Secure for Cash up/Out □ Alarms/Keys/Pin Pads access
4.04 Confirm Store Card & Team member discount reports are run monthly by Management. □ Store Card Report □ Team member discount Report
4.05 Confirm the store has completed the last CSA. Obtain a copy and perform verification checks on the answers provided.
4.06 Is an Adjustment Report run weekly/ monthly with all codes, and reviewed by Management.
4.07 Is the store following the Price Override process. □ Slip match up □ Issues identified dealt with immediately □ Price Override Tracker
4.08 Ensure all the required signage is displayed in store. □ Health & Safety Policy displayed to customers. □ Food licence displayed & current. □ BWOF displayed. □ Under 21 signage □ Classification Poster displayed. □ The Warehouse Terms & Conditions displayed.
4.09 Verify all display stock of Whiteware & Air Conditioners have an Energy/Water Rating Sticker attached. □ White ware &Televisions(Energy label) □ Washing Machines (Energy Rating & Water label) □ Boxed stock must be labelled if no display stock is out.
4.10 Confirm Community Fundraising is in line with policy. □ Collection Tins □ Community BBQ
4.11 Ensure the Returns Report is printed and actioned daily. Jewellery Returns completed as per policy. □ Dockets matched to report daily □ CCTV investigation □ Management sign off
4.12 Confirm Vouchers, Cancelled Sales and Open Drawer dockets are checked as per policy.
4.13 RMX How Reports being printed and Reviewed. □ All Reports printed weekly