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ADVISORY CONSULTING GOVERNANCE

ESTION ADVISOR

RISK

COMPLIANCE

Revised checklist for SOP Audit including com

Points already in checklist regarding compliance


HR COMPLIANCE ABSTRACTS AND FORMS ARE WELL DISPLAYED AT STORE AVAILABILITY OF SHIFTWISE EMPLOYEE ROASTER 4 WITH WEEKLY OFFS DC-FMCG FRESH STOCK RANDOM CHECK -PHYSICAL CHECK About Us OF FRESH STOCK OF FMCG AT DC AND CHECK THAT THERE SHOULD NOT BE ANY EXPIRED STOCK AS PART OF FRESH Areas of Operation INVENTORY AND THAT ALL FMCG EXPIRED STOCK HAS BEEN DULY TRANSFRRED TO 0002 LOCATION, AND KEPT SEPARATELY Approach and FOR WRITE OFF AT DESIGNATED "0002 LOCATION -NOT FOR Methodology SALE ALL MERCHANDISE DISPLAYED ON FLOOR CARRY NEAT & CLEAN & RELEVANT BAR CODES

Points already in checklist regarding compliance


VERIFY THAT DC IS ARRANGED DIVISION WISE AND SECTION WISE AND SEPARATE SECTION FOR DAMAGE AND EXPIRY IS ALLOCATED WITH A SIGNAGE " DAMAGE & EXPIRED ITEMS- NOT FOR SALE

VERIFY THAT FMCG EXPIRY STOCK IS NOT DISPLAYED ON THE FLOOR AND FIFO IS MAINTAINED IN DISPLAY AT SHELF ( Note: in case of Non FMCG store, The COUNTABLE MAX MARKS should be 'ZERO' for PAN INDIA comparison
HOUSE KEEPING STAFF WORKING AT STORE ARE COMPLIANT ON PF, ESIC, MINIMUM WAGES AND ARE ABOVE 18 YEARS OF AGE CHECK THAT HR REGISTERS ARE READILY AVAILABLE AT STORE FOR ANY CHECK / AUDIT BY AUTHORITIES.

ALL MANDATORY LICENSES AS PER ATTACHED LIST ARE PROPERLY DISPLAYED. (IN CASE A LICENSE IN APPLIED FOR , THE APPLIED FOR APPLICATION SHOULD BE DISPLAYED)

Problem occurring in those points As per checklist only availability of aspects or license has been checked not there validity

There is no point in checklist asking about proof against non applicable license in store.
As per checklist only availability of roster has been checked instead of applicability of roster

Our Solutions on those points


Bifurcate point of license visual checking as:1) ALL MANDATORY LICENSES ARE PROPERLY DISPLAYED OR NOT.?(IN CASE A LICENSE IN APPLIED FOR , THE APPLIED FOR APPLICATION DISPLAYED) 2) All LICENCE DISPLAYED ARE VALID OR NOT ? Bifurcate point of roster visual checking as:-

1) AVAILABILITY OF SHIFTWISE EMPLOYEE ROASTER WITH 4 WEEKLY OFFS IS AVLABLE OR NOT ?

2) IS EMPLOYEES SHIFIT SHECDULED AS PER ROSTER OR NOT ?

Add on pointes in checklist regarding compliance


1. Registera) All registers are available in store or not?

HR Register Register of fines Register of deductions for damage or loss caused to the employer Overtime register for workers Notice of weekly Holiday Register Of Leave Accident register. Register of wages Manual Attendance registers

b) Number of employee in roster are matched with HR register ?


c) Working hour of employee in register matching with punch machine or not ?(Working hours of each employee do not cross the specific limit i.e. 8 hours) d) Registers of Contractors are available in store or not ?

Add on pointes in checklist regarding compliance


2. License a) All applicable licenses are available in store or not ?(with the help of list of license) b) Is all available license valid on audit day or not ? c) If any license is not applicable for any store then whether store have any documentary evidence of the same for ready reference ?

Add on pointes in checklist regarding compliance


3. Security a) Fire extinguishers are available in store or not ? (valid or expired) b) All CCTV cameras are working or not ?( With visual checking of live footage and checking of randomly 5 days back up storage.) c) Emergency exit is approachable or not ?

Add on pointes in checklist regarding compliance


4. Other a) Record of age proof of employee available in store or not ? b) Valid reason with proof for selling expired stock available in store or not ? c) Are stores purchasing FMCG products from licensed vendors as per FSSAI act ?

Vacant d) Is store displayed name of organization in Local regional language ? (if English language is used then it is shown under local regional language like in Karnataka, Maharashtra, Gujarat, Punjab, North-East Stores etc )