Retail Audit Checklist by oax62801

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									      Store Audit Program                        Yr. 2006

      Store / Number
      Manager
      SP
      Bookkeeper

      Audit: Date:           Auditor:              Frequency:

                                                                                                                                           Actual                2005 Score
      CASH OFFICE OPERATIONS:                                                                                 NOTES AND REMARKS   Rating   Score                 if +/- only
1     Cash Office Door Locked?                                                                                                      4
2     Count Cash & Verify on hand Balance.                                                                                          4
3     Any non company Funds in Safe?                                                                                                2
4     Observe Preparation of Bank Deposit & Verification.                                                                           3
      Review Deposit slips (3 deposit slips) & Log for Approval & Verification(Review Log for 30 days) BK &
5     Managerial approval requirred.                                                                                                4
6     Review Checks for necessary information.                                                                                      2
7     Is Safe Counted daily and log completed and signed?                                                                           3
8     Are 2 deposits done daily?                                                                                                    2
9     Review Paid Outs, Refunds and Post Voids for Compliance.

9a. Paid Outs ( Test 3 Days)                                                                                                        3

9b. Refunds (receipt attached)     (Test 3 Days)                                                                                    3

9c. Post Voids (Test 3 Days)                                                                                                        3

9d.      Missed Post Voids Completed On PV slip front and back and approved. Register Tape attached.                                3
10    Verify Mgr.follows up with cashiers over/short (Posted Clearly)                                                               2
11    Review & Support Daily Electronic Cash Up..                                                                                   3
12    Cashier Drawer Sign Out Log completed and approved.                                                                           2
13    Review Lottery Inventory. (Balanced & Shortages reported to LP)                                                               3
14    Stamps Inventoried and balanced?                                                                                              2
15    NSF Check Account # and License in to POS to avoid repeat.                                                                    2
16    Un-activated Lottery Tickets secure?                                                                                          2
                                                                                                                                                       2006
17    Canadian Currency Rates Updated?                                                                                              2               Percentage
18    Register drawers run by one Cashier until cash-up? ( Ex. Rx & Ser.)                                                           3                 0.00%
                                                                                                                                                                                             Actual
    MANAGERS/ Merchandise Manager RESPONSIBILITIES: (Weekly)                                                                                   NOTES AND REMARKS                    Rating   Score

1   Count Safe & Check Safe Log?                                                                                                                                                      3

2   Check Lottery Ticket Inventory?                                                                                                                                                   3
                                                                                                                                                                                                         2006
3   Review Over/Short Report with Cashiers? (Manager should do)                                                                                                                       3               Percentage

4   Verify Bank Deposits are handled Properly?                                                                                                                                        3                 0.00%
                                                                                                                                                                                             Actual
    DELIVERIES:                                                                                                                                NOTES AND REMARKS                    Rating   Score
    (* enter AS400 system - option 3 (A/R inquiry) - log on - type "delivery" in the alpha field - select the store - type "s" on line to the left of store - hit enter - print.)
                                                                                                                                                                                                         2006
1   Deliveries according to policy? Is outstanding balance of account okay?                                                                                                           3               Percentage
2   Drivers over 18, have license & Insurance?                                                                                                                                        3                 0.00%

                                                                                                                                                                                             Actual                2005 Score
    DSD RECEIVING: (NA if not observed)                                                                                                        NOTES AND REMARKS                    Rating   Score                 if +/- only

1   Observe Processing of Delivery is it according to Company Policy?                                                                                                                 3

2   Order Verified before Vendor Takes Product to the Floor?                                                                                                                          3

3   Store Employees don't Change DSD System?                                                                                                                                          2

4   Shortages noted on delivery Ticket?                                                                                                                                               3

5   Review Credit Process. DSD not sitting in back room too long.                                                                                                                     2

6   Inventory Cartons 100%?                                                                                                                                                           3

7   Vendor Log Used and being signed?                                                                                                                                                 2
                                                                                                                                                                                                         2006
8   DSD Receipts/Returns entered to System immediately?                                                                                                                               3               Percentage

9   Associate with DSD Driver at all times in back room?                                                                                                                              3                 0.00%
                                                                                                                                                                                             Actual
    FRONT END OPERATIONS:                                                                                                                      NOTES AND REMARKS                    Rating   Score
    Registers, EAS Deactivation, Scanning Equipment etc. in good working order? Test Deactivation
1   Pad.                                                                                                                                                                              3
2   Merchandise Recovery ( Re-shop) Procedures Timely?                                                                                                                                2
                                                                                                                                                                                                         2006
3   Register Transactions handled properly? (Money Orders, Lotto,Utilities, Western Union etc.)                                                                                       3               Percentage
4   Customer's ID'd on Tobacco / Alcohol / Lottery when appropriate? (NA not Observed).                                                                                               3                 0.00%

                                                                                                                                                                                             Actual                2005 Score
    Photo Department:                                                                                                                          NOTES AND REMARKS                    Rating   Score                 if +/- only
1   Area & Equipment Neat & Clean?                                                                                                                                                    4
2   Employee Photos processed by another employee?                                                                                                                                    3
3   Any Old Photos? Being Followed up?                                                                                                                                                2
4   Overnight Entered to system day of receipt?                                                                                                                                       3
5   Chemicals properly stored and handled according to OSHA?                                                                                                                          2
                                                                                                                                                                                                         2006
6   Daily One Hour Log Completed and Reconciled?                                                                                                                                      3               Percentage
7   OSHA Training Certifications on hand? Signed & approved?                                                                                                                          2                 0.00%
                                                                                                                                           Actual
     STORE SAFETY:                                                                                            NOTES AND REMARKS   Rating   Score

1    Doors & Stairs Clear of Obstructions?                                                                                          3

2    Exit Doors Working, lighted and locked when not in use?                                                                        3

3    Electrical Panels clear of obstructions (3 feet in front)                                                                      2

4    Receiving area, outside perimeter and parking lot clean?                                                                       3

5    Emergency Evacuation Plan Posted?                                                                                              3

6    Back room orderly & Overhead racks secured?                                                                                    2
                                                                                                                                                       2006
7    Wet Floor signs used?                                                                                                          2               Percentage

8    Ladders/Chemical handling & usage in conformity with OSHA?                                                                     3                 0.00%
                                                                                                                                           Actual                2005 Score
     GENERAL OTHER AREAS:                                                                                     NOTES AND REMARKS   Rating   Score                 if +/- only
1    Overall neatness of all areas of the store?                                                                                    4

2    Review Damaged Merchandise & Paperwork for compliance. (Manager Approving?)                                                    3
3    Postings of Licenses (DEA, DOL, OSHA) etc.?                                                                                    3
4   Department of Labor (Employment Requirements)
    Check for current posting of complete Federal & State Labor Laws (Minimum Wage, FMLA, EEO,
4a. OSHA Health & Safety, Child Labor etc.)                                                                                         2

    Minors (under 18) Employment Certificate ( The Original Working Papers not a copy) must be on file
    at the store prior to beginning employment. Must be kept in a place where access is accessible at all
4b. times by any person authorized by law to examine. (Can't be locked in Managers filing cabinet)                                  2

    Check for posting of work hour schedule (Minors must be identified on this schedule, highlighted).
    The lunch period for minors MUST be noted. ( Lunch period of 30 minutes for employees who work
4c. shifts of more than 6 hours) Any changes to the posted scheduled, MUST be changed on the schedule.                              2
    Minor Hours of work may not exceed (8 hours day, 48 hours a week and 6 days a week non-school
    weeks (NY Only). During School 4 hours day before a school day, 8 hours Fri., Sat.Sun. or Holiday, 28
    in a week (NY Only). No restrictions in Vermont. Night work 10:00 PM (midnight before schooldays
    with written permission of parent and school and before non-schooldays with written parental consent
4d. to 6 AM. (NY Only)                                                                                                              2
    Check with management to insure that minors starting early or staying past their normal scheduled shift
4e. are compensated for the time.                                                                                                   2
 5 Run a Layaway report, does it conform to policy?

5a. Shelf items match items on report?                                                                                              3

5b. 10% Down payment adhered to ?                                                                                                   1

5c. Are payments current?                                                                                                           2

6    Do a random check for outdates?                                                                                                3
7    Use Hand Held and Check Retail Prices? (Test 50)                                                                               3
8    Use Hand Held and Check Quantities on hand? (Test 20)                                                                          3
9    Are window ads and store signs current and per policy?                                                                         3
                                                                                                                                                       2006
10   Test price changes & specials to shelf prices?                                                                                 3               Percentage

11   Is a Transfer File in place and verified monthly?                                                                              3                 0.00%
                                                                                                                                          Actual                2005 Score
      PHARMACY:                                                                                              NOTES AND REMARKS   Rating   Score                 if +/- only

 1 Books & Manuals per State Regulations on Manager's P/C, Except:
1a. NY Part 80 Rules & Regulations (Hard copy on hand) ?                                                                           2
    VT AP Handbook Pediatric Dosage 9th. Edition and Federal and State Law of Pharmacy (Hard copy
1b. on hand)?                                                                                                                      2

 2    Pharmacist present during all open store hours?                                                                              2

 3    Is Drug Enforcement Administration License Current?                                                                          2

3a. State License on hand and current?                                                                                             4

3b. Individual Pharmacists Licenses on hand and current?                                                                           4

 4    Are CII Narcotics secure?                                                                                                    4

 5    How often is CII inventory taken?                                                                                            3

 6    Are Controlled Substance documents properly maintained?                                                                      3
      Is CII Manual Log maintained and accurate? Test to Renlar, Actual and Last Script. Run a CII on hand
 7    inventory BU/D/D/C/A (Test 3 Drugs)                                                                                          4

 8    Does Physical set up of Pharmacy deter theft?                                                                                3

 9    Is Customer Prescription Signature Log Completed ?                                                                           4

 10   In Compliance with Office of Professional Discipline?                                                                        3

10A. Drugs only in refrigerator.                                                                                                   2

10B. Thermostat between 2 & 8 degrees Celsius.                                                                                     2

10C. Outdated drugs pulled from stock, marked and quarantined?                                                                     2

 11   Pharmacist signing daily prescription log? NY Only                                                                           2

 12   Verify counts on 20 CIII & CIV Drugs?                                                                                        4

12a. Have interactive edits printed on discrepancies and review.

 13   McKesson returns & shortages handled properly?                                                                               3

 14   Cycle Counting done in Pharmacy?                                                                                             2

 15   "On The Wall" Prescriptions returned to stock if not picked up timely?                                                       3
                                                                                                                                                      2006
 16   Store transfer files maintained and followed up?                                                                             3               Percentage

 17   Review for over-fill of opened viles?                                                                                        1                 0.00%
                                                                                                                  Actual
                                                                                          Percentage   Rating     Score
                                                         TOTAL STORE AUDIT SCORE            0.00%       258        0.00
                                                           Pharmacy Only Audit Score        0.00%        64        0.00
                                                             Front End Only Audit Score     0.00%       194        0.00


                                                                                                       Last Years Audit
                                                                                                                  Actual
                                                                                          Percentage   Rating     Score
                                                         TOTAL STORE AUDIT SCORE            0.00%       220
                                                           Pharmacy Only Audit Score        0.00%        61
                                                             Front End Only Audit Score     0.00%       159

                        (NOTES AND OTHER ISSUES) Continued
If a particular item is not observed i.e. no DSD delivery during the Audit. The DSD
rating points will be deleted from total rating points in calculating Percentage
Score.
                                         Pharmacy Inventory                               Store:

                                                                                          Date:

     C III Inventory:                                                                        Actual
                                                                      Quantity on Hand    over(under)
                          Product           Supplier & Strength      Renlar      Actual     System

                  Acetaminophen w/Cod.            Barr #2                                          0
                  Acetaminophen w/Cod.            Barr #4                                          0
                       Alprazolam              Sandoz .25mg                                        0
                       Alprazolam               Sandoz .5mg                                        0
                       Alprazolam               Sandoz 1mg                                         0
                       Alprazolam               Sandoz 2mg                                         0
                       Alprazolam           Greenstone XR .5mg                                     0
                       Alprazolam           Greenstone XR 1mg                                      0
                       Alprazolam           Greenstone XR 2mg                                      0
                       Alprazolam           Greenstone XR 3mg                                      0
                   Hydrocodone APAP          Watson 2.5/500mg                                      0
                   Hydrocodone APAP          Watson 5/325mg                                        0
                   Hydrocodone APAP          Watson 5/500mg                                        0
                   Hydrocodone APAP          Watson 7.5/325mg                                      0
                   Hydrocodone APAP          Watson 7.5/500mg                                      0
                   Hydrocodone APAP          Watson 7.5/650mg                                      0
                   Hydrocodone APAP          Watson 7.5/750mg                                      0
                   Hydrocodone APAP          Watson 10/325mg                                       0
                   Hydrocodone APAP          Watson 10/500mg                                       0
                   Hydrocodone APAP          Watson 10/650mg                                       0
                   Hydrocodone APAP         Qualitest 10/660mg                                     0
                   Hydrocodone Ibuprof       Watson 7.5/200mg                                      0
                      Hydrocodone         Guaifenesin Liquid Ethex                                 0
                        Tussionex          Susp10mg/5Ml Penwalt                                    0
                         Vicodin               Knoll 500/5mg                                       0
                         Xanax               Pharmacia .25mg                                       0
                         Xanax                Pharmacia .5mg                                       0
                         Xanax                Pharmacia 1mg                                        0
                         Xanax                Pharmacia 2mg                                        0
                         Xanax              Pharmacia XR .5mg                                      0
                         Xanax              Pharmacia XR 1mg                                       0
                         Xanax              Pharmacia XR 2mg                                       0
                         Xanax              Pharmacia XR 3mg                                       0
                                                                                                   0
                                                                                                   0
                                                                                                   0




     Note: Count any 20 of the above CIII Drugs from On Hand CIII Inventory system.
              (Go into Renlar enter BU/D/D/C/B/C/B send to print)


     C II Inventory:
                                                                                                         Last
                          Product           Supplier & Strength      Renlar      Actual   Manual Log    Script

1)
2)
3)




     Note: Count any 3 CII Drugs from the Renlar on Hand CII Inventory System.
              (Go into Renlar enter BU/D/D/C/A/C/B send to print)
                           Kinney Drugs, Inc.
                                                                                                 Store:   #

              Store Inventory On-Hand Verification                                               Date: 0//06



                                                                                                    Actual
                                                        Quantity on Hand                         over(under)
      SKU or Product #        Description            POS   Floor Count Back Stock Total Actual     System

1)        4560094        Stacker 3                                          0           0                 0
2)        4560043        Stacker 2                                          0           0                 0
3)        4580125        Zantrex 3                                          0           0                 0
4)        9936734        Opcon A Drops                                      0           0                 0
5)        3930041        Zantac 75 30 tabs                                  0           0                 0

 6)       4322304        Afrin Pump Mist                                    0           0                 0
 7)       4296745        Icy Hot Cream 3oz                                  0           0                 0
 8)       4785231        Gold Bond Foot Powder                              0           0                 0
 9)       7382227        New Skin Liquid Bandage                            0           0                 0
10)       7382545        Curad Spray Bandage                                0           0                 0

11)       4051475        Pedialyte 33.8oz Grape                             0           0                 0
12)       4965868        Listerine Whitening                                0           0                 0
13)       7880510        SonicCare 4100                                     0           0                 0
14)       4968816        Smart Mouth                                        0           0                 0
15)       7230044        Rembrandt Whiteing Strips                          0           0                 0

16)       5088550        Red Cross Toothache Med.                           0           0                 0
17)       6623514        OxiClean 24oz                                      0           0                 0
18)       6585566        Lysol Concentrate                                  0           0                 0
19)       4580389        Conair Slim Shaver                                 0           0                 0
20)       4918053        Wahl Clipper Kit                                   0           0                 0
                            Store Retail Price Check Worksheet
                                                                                      Store:   #

                                                                                      Date:    0//06

                                                                                        Price on shelf
                   SKU or Product #        Description                  POS Price      lable or sticker    Diff
1)                                                                                                        $0.00
2)                                                                                                        $0.00
3)                                                                                                        $0.00
4)                                                                                                        $0.00
5)                                                                                                        $0.00

6)                                                                                                        $0.00
7)                                                                                                        $0.00
8)                                                                                                        $0.00
9)                                                                                                        $0.00
10)                                                                                                       $0.00

11)                                                                                                       $0.00
12)                                                                                                       $0.00
13)                                                                                                       $0.00
14)                                                                                                       $0.00
15)                                                                                                       $0.00

16)                                                                                                       $0.00
17)                                                                                                       $0.00
18)                                                                                                       $0.00
19)                                                                                                       $0.00
20)                                                                                                       $0.00


      Note: Use Hand Held Terminal and check retail prices per POS to shelf label/Price sticker etc.
                (Record differences only on this worksheet and give a copy to Store manager.)

								
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