WSL FY18 Risk Based Audit Workpaper Final v2

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Health & Safety

• 1.01 The Store/Site Management team show they are actively involving team members in Health and Safety Matters.<br>

  Yes

  No

  N/A

• The Store/Site has Safety Hero or Heroes

• The store/site has a Health and Safety Meeting at least monthly.

• 1.02 Reported incidents are investigated – classify severity, understand what happened, take corrective action where necessary.

  Yes

  No

  N/A

• 1.03 The Store/Site Management team are aware of the need to manage work related injuries where a team member seeks medical intervention e.g. doctors visit

  Yes

  No

  N/A

• Doctors packs are available where team members report to manager that they intend to visit a doctor in relation to work related pain or injury (Knowledge Base > Documents & Policies > H&S Tools)

• Store Management team understand that incident reports for incidents that results in injury (Doctors Visit, Medical Treatment or Lost time injury) must be forwarded to Gallagher Bassett through Safety Hub (see GB email button within investigation field)

• 1.04 Visitors and contractors are inducted into the store/site

  Yes

  No

  N/A

• Sign in Register sheet is actively used.

• There is a site -specific H&S induction drawn up and available to use for inducting persons.

• Merchandisers and contractors are inducted (first visit to store) and this induction is refreshed every 2 years at least.

• Store are aware when there is physical work going on in store and managing appropriately.

• 1.05 The Store/Site Management team understand that there are prescribed risk controls for known hazards, and that new hazards/H&S are reported and managed through Spot it Fix it module in SafetyHub

  Yes

  No

  N/A

• Perform a Floor Walk and identify any Hazards

• During Floor Walk, identify if any Hazardous products stored together

• Site Hazard Registers reviewed.

• 1.06 Store/Site Team understands their emergency procedures and has team members with specific responsibilities for assisting in emergencies

  Yes

  No

  N/A

• Trained First Aiders in Store and loaded into Safety Hub (Training Report Safety Hub)

• Trained Emergency Wardens – Internal Documentation

• Trained HASNO handlers on site.

• Participation in 6 monthly trial evacuation with internal documentation completed (Should be uploaded Safety Hub)

• 1.07 Health & Safety Training including new team member induction is managed

  Yes

  No

  N/A

• Use of Training Records module in Safety Hub (Training Records>Training Reports>Training Records)

• Records of first aiders, forklift license holders, Emergency wardens (loaded into Safety Hub)

• Health and Safety incorporated into new team member induction.

• 1.08 Health & Safety Information is available on noticeboards

  Yes

  No

  N/A

• TWG Health and Safety Policy

• Rehabilitation Policy

• Key Contact List

• Emergency Flip Chart

• Evacuation Plan (Map)

• Safety Alerts if Applicable

• Hurt Yourself at Work Poster

• 1.09 The Forklift/Reach Truck/Pallet Walker/Wave Machine/Company Vehicles should be checked daily to ensure its safe to use and only operated by authorised team members who have completed the required training with the right certification obtained. (if Applicable)

  Yes

  No

  N/A

• Traffic Management Plan or Safe Work process in place during Forklift Operation.

• Warrant of Fitness & Registration maintained if applicable.

• Certification on site for all Licence Holders.

• Maintenance Records reviewed if available.

• Only TWG authorised team using Forklift (If Applicable)

• Forklift/Pallet Walker/Reach Truck/Wave Machine Pre Operation Checklist being completed

• 1.10 For all Sprinkler protected buildings confirm all Combustible Material is stored 10 metres clear of any building unless under sprinkler protection or fire rated wall with parapet.

  Yes

  No

  N/A

STORE OPERATIONS

• 2.01 Compliance with Stockroom policies and procedures to minimise Stock & Financial Loss.

  Yes

  No

  N/A

• Receipting Process verified with Store person

• FIS (Local Deliveries)

• Delivery taken the day the stock arrives

• BRSCN review Daily (N, A, B, S, P, U)

• Outstanding Despatches Report/ETARV (TUI) followed up

• Receipting Checks (High Risk).

• LOADH & LOADC

• Outwards Goods Register has been completed correctly, sample check transactions. (Sample Test delivery > documentation/TUI. Reference Numbers Recorded & Signed by person taking goods).

• 2.02 Confirm Write Off process is in line with policy

  Yes

  No

  N/A

• Adjustment Report printed & reviewed weekly

• Issues identified, root cause documented, action taken

• ADJST completed daily

• Copy centre consumables actioned as per policy

• 2.03 Negative Investigations should be performed as required by the business in order to identify any Stock Shrinkage and implement corrective action.

  Yes

  No

  N/A

• Reason documented for root cause

• Sample check report & validate reason via TUI or team member

• ITRAN, IPOBI, INPAK, IDSTR reviewed

• 2.04 Cycle Counts should be performed as required by the business to identify any Stock Shrinkage and implement corrective action.

  Yes

  No

  N/A

• Cycle counts being followed as per Workload Planner

• Variance Report on file

• Total Variance +/- $500 review managers action plan

• Line variance over $50 investigated

• Perform verification checks on some products

• Completed within timeframe

• 2.05 Part of our Customer Principles is to maximise our Stock Availability as part of improving the Shopping Experience.

  Yes

  No

  N/A

• Gap Scans completed weekly as required

• Process in place to manage excess stock/availability

• 2.06 Banking Processes should comply to the company procedures. Management reviews must take to validate the integrity of the cashier & ensure the money going the bank is accurately declared.

  Yes

  No

  N/A

• Investigations/Explanations recorded for discrepancies over $10

• Investigation form used

• Operator names listed in CMS for discrepancies

• Reconciliation of Open Drawers and Cancelled Sales

• Refund Camera Validations ($20 cash, $50 other tender)

• Security slips being retained and signed by drivers

• Banking signed off

• Safe Floats sign off

• Register Spot Checks on Checkout Operator during trade (x1 per week)

• Management Checks of the Cash Office completed weekly - Safe Float Check/Register Bag Check (after trade)

• 2.07 Compliance with Finance policies and procedures to ensure Contracts are paid in full to avoid any Financial loss or customer dissatisfaction.

  Yes

  No

  N/A

• Outstanding finance contracts followed up (Send back checked weekly in Finance Now Portal)

• Contracts processed correctly

• Lease Programme

• MRO's

• 2.08 Price integrity should be maintained in store to maximise sales opportunities. Mailer stock should be ticketed & stock available for customers to maximise sales opportunities.

  Yes

  No

  N/A

• Sample Test Products from Shop Floor

• Price changes processed correctly (iPod)

• Pricing maintenance process in place

• Price Override report reviewed and follow-up action taken

• Mailer checked

• Mailer Checks completed by store

• Expired advert tickets not on display

• Managers pricing specials

• Clearance pricing

• 2.09 Limited Life Product Policy should be followed to ensure quality of the product is not compromised & there is no potential loss of revenue

  Yes

  No

  N/A

• Sample test of inks - 1 month prior 40% (BB date), BB date to 6 month after 60% off. Then Write off)

• Food - 1 month prior 50% off, past its Best Before manager discretion, One Month after Best Before products must be written off and destroyed. These cannot be provided to team members.

• Review adjustment report and store process

• 2.10 The store should ensure all high risk items are secure from misappropriation

  Yes

  No

  N/A

• Parker pens

• Lamy pens

• All tech items over $100 (excludes $150+ range)

• Printers, shredders, Laminators and binders over $150

• 2.11 Action Memo’s provide Key Tasks that should be completed by the team to help achieve operational objectives or help meet compliance across several areas.

  Yes

  No

  N/A

• Sample check actions and confirm implementation

• 2.12 Customer Experience should not be compromised in relation to any customer orders.

  Yes

  No

  N/A

• All customer orders loaded as required (PRDRQ/POS)

• PRDRQ/ Non-Ranged Orders reviewed daily

• Reconciliation between POS & TUI conducted Weekly.

• Rain checks

• C&C Orders match Portal/Report

• Follow up on any outstanding Orders over 2 days for Click and Collect

• C&C orders unopened/saleable with high value secure

• Stockroom Scanned into Stockroom &/or Copy Centre and located appropriately.

• Paperwork signed and identification sighted with only Type recorded

• 2.13 Repair Management process should be maintained to ensure customer experience is not compromised and no further Stock Loss to the store. Shop Stock Repairs should be dealt within a reasonable time to ensure credits can be obtained or product repaired for future sale.

  Yes

  No

  N/A

• Store is following Repairs process

• Stock Returned to store is being actions within 7 days

• Followed up Weekly, Updates documented

• Paperwork all signed

• Correct version of repair tool available

• Using “Sent for Repair” Codes in TUI for Shop Stock

• Recalled products relating to potential safety issues or product defects should not be available for sale on the shop floor

  Yes

  No

  N/A

• Review of PDREC

• Review of Recalled Product report from Microstrategy

PEOPLE MANAGEMENT

• 3.01 Compliance with NZ & WSL Employment Polices & Right to Work Laws. (Note - In some cases documents will be completed via Docusign)

  Yes

  No

  N/A

• Contracts on file for their current employment status

• Team member pay rates correct

• Contractual hours match Actual hours

• Contractual hours match Profiled hours

• Criminal history checks on file for 18 years & over

• Pre-employment paperwork

• Validation of legal right to work in NZ

• Restricted Product Policy (Gaming Stores only)

• Acceptable Use Policy (DS)

• Conflict of Interest Policy (DS)

• TWG Code of Business Ethics (DS)

• 3.02 Team are required to have performance appraisals completed every 6 months with the rating loaded into Pay Global

  Yes

  No

  N/A

• 3.03 Training is crucial for the team’s development and success. It is beneficial to both employees and Management when the team members are given the skills and tools to be more efficient and productive.

  Yes

  No

  N/A

• Red Seed training completed on system with a signed evaluation sheet on file

• Team members have met required standards to be signed off as competent

• Competency level met in Job Check or action plan in place

• Paperwork all signed

• 3.04 Payroll Reports should be printed fortnightly, reviewed by management, signed and filed in a location that can only be accessed by authorised parties

  Yes

  No

  N/A

• Pay Calculation

• Cost Centre Report

• Combined Leave Report

STORE MANAGEMENT

• 4.01 Team members should only have system access relevant to their job role. All team members included on the Store master list should be actual team members.

  Yes

  No

  N/A

• POS Users List Current & reviewed monthly

• Management access appropriate

• TUI User list current & reviewed monthly

• BOSS User list current & reviewed monthly

• Pay Global security access reviewed

• 4.02 All customer data should not be opened to any breach in privacy or confidentiality

  Yes

  No

  N/A

• Customer Information should be kept secure at all times.

• Secure information is kept secure such as Personnel files, Payroll Reports, Disciplinary information, Rehabilitation

• Customer photos dealt with accordingly

• 4.03 Company Assets should be secured & Protected.

  Yes

  No

  N/A

• Money not left out when office unattended

• Safes locked

• Access to office restricted (during banking)

• Safe is accessed by two people for float in/out process

• Door not opened while money is left on the desk

• Access In/Out of store (also during trade)

• Check back door area is always locked when not receiving deliveries, and any stock located outside the building is secure

• Pin Pad area access

• Alarm system up to date (no generic codes)

• Safe Combination changed if anyone who knows it leaves

• Perimeter doors to be alarmed when unattended

• 4.04 All required signage should be displayed to team and customers to ensure we are meeting our Legal/Operational Obligations as a business.

  Yes

  No

  N/A

• Building Warrant of Fitness

• Energy Rating Stickers displayed where applicable.

• Boxes without a display have an Energy Rating sticker

• Working Smarter noticeboard being used

• Working Smarter board being used accurately

• Out of Office Contacts

• OCP displayed to the team

• Wellbeing Policy

• 4.05 The CSA (Control Self Assessment) is released monthly to assess the effectiveness of Risk Management and Control Processes. This should be completed by Manager with accurate declarations.

  Yes

  No

  N/A

• Sample test of answer(s)

• 4.06 Each site has an Approved Evacuation Scheme approved by the NZ Fire Service if required.<br>

  Yes

  No

  N/A