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Sl No. 1.1 1.

Process

Sub Process

Max. Points

Population

Stock Verification by External Agency Timely accounting of Stock verification discrepancies

100 67

100 3

1.3

Control over Defective Stock

33

1.4

Daily Head count process

100

210

1.5

Tagless/Damaged/Manual Tag

67

Inventory
1.6

Timely Inward / Out ward of Goods

67

156

1.7

LON/FOC/LOSS/Conversion/PendingCC AF

67

17

1.8

Pending GIT - Follow up

33

1.9

Karatmeter reference/ Purity Check

33

110

2.1

Daily deposit of Cash/CC Settlement

100

111

2.2

Banking in system

33

110

2.3

Post Dated Cheque & Cheque Bouncing

33

134

Sales & Collections

2.4

Manual cash memo

100

2.5

Manual GHS Receipts CC Charge slip Merchant copies availablility & Expiry date of paper roll

100

2.6

100

340

2.7 3.1 Sales Return

Photo ID for Credit card sales Warranty card/Invoice available

67 67 33 67 100 33 67

86 116 7 1170 276 105 117

4.1 Customer Order Monitoring of Reserved Products 5.1 5.2 5.3 6.1

GHS/GFS Enrollment Process

GHS/ GFS

GHS/GFS Redemption Process Electronic Clearing System(ECS) TEP/ GEP receiving Process

TEP/GEP
6.2 7.1

TEP/ GEP Dispatching Process Loyalty Enrollment Process

67 67 100

26 116 215

Loyalty Points
7.2

Loyalty Redemption Process

8.1 Discount 9.1

Coupon/Approval attached Credit Note name mismatch (TEP/GEP/GHS/Advance) Credit note redemption with Original with sign

67 67 100 100 100 2135 80% AVERAGE


Total Weight/Qty

45 672 456 347 4


High Risk - Rating Medium Risk - Rating Low Risk - Rating
Value

Credit Note
9.2

10.1 GV Redemption GV redemption process 11.1 PAN Card

Copy of PAN card TOTAL % Complied Final Rating

Inventory - Physical verification

38671.94 3997 Rating of Inventory Control (Points)

206,488,396

12.1 12.2 12.3 Statutory 12.4 12.6 12.7 12.8 Safety

Shop & establishment Certificate VAT Branch Certificate Trade license

Not Available Not Available Available Not Available Available Available Available 4 Available

Compliances & Service Tax certificate AdministrativeI 12.5 Permission to open stores 365 days ssues
PPL/ IPRS Weighing Scale calibration certificate Adequecy of Fire extuinguishers

Complied

Rating

Remarks 100% Stock verification done by Auditors.

100 0

100 0

Communication not made

8
Communication for 3 defective stocks not send

0
Bos's signature missing on the daily stock register. Also refer Annexure "Daily Stock Register"

67
Communication send

121

52
Stock inward not done within 24 hours for 35 STMs

17

67

33

110

33

90

81
Refer Annex "Cash Deposit & CC Settlement"

110

33
Banking details report wot

130

32
4 instances of delay in reversal of cheque bouncing instances.

100

Kindly refer "Manual Bill" Annexure.

GHS Receipt book not serially used

338

99
Refer Annexure "Misc. Transactions"

85 100 6 1117 274 105 102

66 58 28 64 99
Refer Annexure "Redemption Transactions" ID proof not collected for one CC transaction. GRN was approved orally by Store Manager. No written communcation One Reserved Product kept in BOS room, ageing of which is 85 days Refer Annexure "GHS|SNS|GFS|GGS"

33 58
Refer Annex " CN Mismatch"

3 116 215

8 67 100

Delays in dispatch of TEP / GEP products to factory as mentioned in "Exchange Policy" annexure

45 653 450 347 4

67 65 99 100 100 1718 POOR POOR AVERAGE


Value E/S(-)

Refer Annex " CN Mismatch" Refer Annex " CN Mismatch"

Risk - Rating um Risk - Rating Risk - Rating


Grammage/ Qty E/S(-)

Adjustment Reference Doc. Details

#REF! #REF!

-10,275 Previously Adj Entry Passed by Mr. Manoj Gola 90

Sl No. 1.1 1.2 1.3 1.4

Process

Sub Process

Max. Points

Population

Stock Verification by External Agency Timely accounting of Stock verification discrepancies Control over Defective Stock Daily Head count process

100 67 33 100 67 67 67 33 33 100 33 33 100 100 100

100 3 4 210 2 156 17 4 110 111 110 134 1 2 340

Inventory
1.5 1.6 1.7 1.8 1.9 2.1 2.2 2.3 2.4 2.5 Sales & Collections 2.6

Tagless/Damaged/Manua l Tag Timely Inward / Out ward of Goods LON/FOC/LOSS/Conversi on/PendingCCAF Pending GIT - Follow up Karatmeter reference/ Purity Check Daily deposit of Cash/CC Settlement Banking in system Post Dated Cheque & Cheque Bouncing Manual cash memo Manual GHS Receipts CC Charge slip Merchant copies availablility & Expiry date of paper roll Photo ID for Credit card sales Warranty card/Invoice available Monitoring of Reserved Products GHS/GFS Enrollment Process GHS/GFS Redemption Process Electronic Clearing System(ECS)

2.7 3.1 Sales Return 4.1 Customer Order 5.1 5.2 GHS/ GFS 5.3

67 67 33 67 100 33

86 116 7 1170 276 105

6.1

TEP/ GEP receiving Process

67 67 67 100 67

117 26 116 215 45

TEP/GEP
6.2 7.1

TEP/ GEP Dispatching Process Loyalty Enrollment Process Loyalty Redemption Process Coupon/Approval attached Credit Note name mismatch (TEP/GEP/GHS/Advance) Credit note redemption with Original with sign GV redemption process Copy of PAN card TOTAL % Complied Final Rating

Loyalty Points
7.2 8.1 Discount

9.1

67

672

Credit Note
9.2 10.1 GV Redemption 11.1 PAN Card

100 100 100 2135 80%

456 347 4

High Risk - Rating

AVERAGE Medium Risk - Rating


Low Risk - Rating

Inventory - Physical verification

Total Weight/Qty

Value

38671.94 206,488,396 3997 Rating of Inventory Control (Points)


12.1 12.2 12.3

Shop & establishment Certificate VAT Branch Certificate Trade license Service Tax certificate Permission to open stores 365 days PPL/ IPRS

Not Available Not Available Available Not Available Available Available

Statutory Compliances & 12.4 AdministrativeIssues


12.5 12.6

AdministrativeIssues

12.7 12.8 Safety

Weighing Scale calibration certificate Adequecy of Fire extuinguishers

Available 4 Available

Complied

Rating

Remarks 100% Stock verification done by Auditors.

100 0 1 0 2 121 17 4 110 90 110 130 1 0 338

100 0

Communication not made

8 0 67 52 67 33 33 81 33 32 100 0 99

Communication for 3 defective stocks not send Bos's signature missing on the daily stock register. Also refer Annexure "Daily Stock Register" Communication send Stock inward not done within 24 hours for 35 STMs

Refer Annex "Cash Deposit & CC Settlement" Banking details report wot 4 instances of delay in reversal of cheque bouncing instances. Kindly refer "Manual Bill" Annexure. GHS Receipt book not serially used

Refer Annexure "Misc. Transactions"

85 100 6 1117 274 105

66 58 28 64 99 33

ID proof not collected for one CC transaction. GRN was approved orally by Store Manager. No written communcation One Reserved Product kept in BOS room, ageing of which is 85 days Refer Annexure "GHS|SNS|GFS|GGS" Refer Annexure "Redemption Transactions"

102 3 116 215 45

58 8 67 100 67

Refer Annex " CN Mismatch" Delays in dispatch of TEP / GEP products to factory as mentioned in "Exchange Policy" annexure

653

65
Refer Annex " CN Mismatch"

450 347 4

99 100 100 1718 POOR POOR AVERAG E

Refer Annex " CN Mismatch"

h Risk - Rating

dium Risk - Rating

w Risk - Rating

Grammage/Qty E/S(- Value E/S() )

Adjustment Reference Doc. Details

#REF! #REF!

-10,275 Previously Adj Entry Passed by Mr. Manoj Gola 90