TWL FY15 Risk Based Audit

Information

Audit Title
Region
Site Manager Name
Auditor
Conducted on

Health & Safety

1.01 Confirm all new employees have completed Keeping Yourself & Others Safe section of the "Introduction to Store" Buddy book, on or before their first day of work. □ All team members from 12/8/13 (booklet ticked, coach has assessed & signed off by TM & Coach)
1.02 Confirm there is a qualified First Aider and Building/Floor Warden coverage over every shift for next 7days. □ Sight First Aid Certificates(still valid 3 months after expiry) □ Training only valid for 12 months
1.03 Confirm all Lights, Appliances, Alarm Boxes, Hose Reels, Switch Boards, Sprinklers have at minimum of 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 □ Latest TAG Meeting Minutes □ Teamsafe Contacts Template □ Teamsafe Reports □ Teamsafe Agenda
1.05 Review last three months Health & Safety Minutes, verify management attendance, LTIFR/TIR, store manager sign off & associated reports attached. □ System Status Report
1.06 Confirm the store is following Incident Management Policy. Review last 6 months. □ Portal used to load TM Injuries. □ Investigations/Causal Analysis/Corrective Actions/SM Review completed within 5 days. (NB:Actions may sit outside 5 days timeframe)
1.07 Confirm the store is following Hazard Management Policy. Review last 6 months. □ Original Hazard paperwork must be on file with team notes recorded. □ Store Manager review must be completed by month end. □ 1-3 Hazard Reviews completed each month(can have up to 2 months without site hazard review dependent on explanation) □ Monthly Hazard Identification completed
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. □ 1 Page Evacuation Report Used □ Notification to Fire Service & Report □ Evacuation Scheme on file.
1.09 Confirm the team are managing all Contractors on site as per policy. □ Obtain sample from sign in/out register. □ Verify TM has been inducted within 12 months. □ Job Task must have valid consent on file with Activity/Hazard id/controls completed. □ Monitoring(Spot check) for one off contractors every time & regulars 4-6 a year.
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 tore 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.
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.
1.13 Are the HASNO standards being adhered to by the store. □ Signs are up at the front and back of the store □ Certificates □ Gas bottles store in cages.

Store Operations

2.01 Check Price Integrity on the shop floor & review store process to identify any weakness. □ Check 5 prices from 8 areas around the store. □ Price change process.
2.02 Test one page of the mailer & 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 □ Microstategy 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 Cartridges
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 □ IDSTR □ Physical check on shop floor
2.08 Ensure the store is running the Weekly No Sales & KVD No Sales Reports and these are being actioned as per company policy. □ No Sales (only Top 10 Qty/$) □ KVD No Sales complete Report
2.09 Gap Scanning □ Stores that have completed WS2 are following the template
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 with all the correct information recorded on Cash Management. i.e. operator listed against discrepancies & company 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 Purchase & WINZ process in store. □ Hire Purchase completed correctly & store has checked icred for payment □ Winz payment letters attached to receipts, amounts match & items purchased match. □ old winz letter if still received store matched to icRed
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 □ VFRCOM □ 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 Logistic 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 check & 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 & 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. □ Contract 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 file, confirm contractual hours and Pay Global Profiles 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 ares team member worked in last week. □f Team members employed from 01/08/13 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 thw Masterfile list are in fact team members.
3.06 Verify management are reviewing, signing the Payroll Calculation Reports, Payroll Cost Centre Reports & Leave Reports
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 & POS) □ No Generic Logins
4.02 Confirm Management are completing weekly checks of Register Cash Up Bags, Safe Float Counts and Petty Cash on the correct template. Confirm Bankings, Safe Floats, Petty Cash & Spot Checks are completed as per policy and signed off by management within the required timeframes. □ Management checks must be random days. □ Company template being used. □ take a sample and match to the cashiers declaration in CMS. □ Banking & Safe Float must be signed off the day it is counted by the cashier.
4.03 Review the CCTV to confirm security of the Building. □ Cash Office Secure from 1 hours after close to 6am □ Stockroom and 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 a verification check 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 Verify the correct signage is displayed instore. □ Classification Poster (A3+) □ Health & Safety Policy to team members & customers □ BWOF □ Under21 signage □ Food License □ The Warehouse Terms & Conditions displayed.
4.09 Verify all display stock of Whiteware, Televisions & Air Conditioners have an Energy Rating Stickers(Yellow) & Water Rating Sticker(Blue) attached. □ Boxed stock must be labelled if no display stock is out
4.10 Confirm Community Fundraising is in line with policy. □ Collections 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.
Name & Signature of Site Manager