Checklist template

Diversion and age verification controls for vape stores

A ready-to-use checklist with 100 items in 6 sections, covering ID checks, Purchase limits, Suspicious transactions, Inventory counts, Training, Records. Use it as-is in InspectLoop, or adapt it to your own standards in minutes.

  • 6 Sections
  • 100 Items
  • 82 Yes / No checks
  • 6 Scored ratings
  • 112 Points

Use this template How audits work

1. ID checks 19 items

  1. The employee at the door or register asked for identification from every customer who appeared under the age set by company policy during the visit Yes / No 1 pt
  2. Identification is requested before any nicotine product is taken down from the back wall Yes / No 1 pt
  3. The point-of-sale system blocks a nicotine sale until a date of birth is scanned or keyed in Yes / No 1 pt
  4. The age-check prompt cannot be bypassed with a generic "over age" key Yes / No 1 pt
  5. An identification scanner is installed at each register Yes / No 1 pt
  6. Each scanner read a test identification correctly during the visit Yes / No 1 pt
  7. Employees compare the photo with the customer, not only the scan result Yes / No 1 pt
  8. Employees asked could list the forms of identification the company accepts Yes / No 1 pt
  9. Expired identification is refused Yes / No 1 pt
  10. Employees asked could point out two security features of the local driver's license Yes / No 1 pt
  11. A current identification checking guide is kept at the register Yes / No 1 pt
  12. Every adult in a group is asked for identification when the purchase appears to be shared Yes / No 1 pt
  13. A customer without identification is refused, including regulars known to the staff Yes / No 1 pt
  14. Identification is checked again at handover for online, phone and curbside orders Yes / No 1 pt
  15. Delivery orders, where offered, require an adult signature with an identification check at the door Yes / No 1 pt
  16. The most recent mystery shop or internal age check at this store was passed Yes / No 1 pt
  17. Date of the most recent mystery shop or internal age check Date
  18. Sales observed during the visit where identification should have been requested and was not Number
  19. Age verification observed at the register Rating
    • Identification requested and examined every time 5 pts
    • Requested but not examined closely 3 pts
    • Sales made without a check 1 pt

2. Purchase limits 15 items

  1. The quantity limit per transaction for nicotine products is posted for employees at the register Yes / No 1 pt
  2. The point-of-sale system warns or blocks when a transaction exceeds the limit Yes / No 1 pt
  3. An override of the quantity limit needs a manager's code Yes / No 1 pt
  4. Employees asked could state the per-transaction limit for disposable vapes Yes / No 1 pt
  5. Employees asked could state the per-transaction limit for e-liquid Yes / No 1 pt
  6. Employees asked said that a customer returning the same day to get around the limit is refused Yes / No 1 pt
  7. Sales by the sealed case or master carton to walk-in customers are not permitted Yes / No 1 pt
  8. Requests to buy for resale are referred to the manager and refused unless the store holds a wholesale authorization Yes / No 1 pt
  9. The online ordering system applies the same quantity limits as the store Yes / No 1 pt
  10. Employee purchases follow the same quantity limits as customer purchases Yes / No 1 pt
  11. Employee purchases are rung up by another employee Yes / No 1 pt
  12. The limit override report for the last 30 days was reviewed by the store manager Yes / No 1 pt
  13. Limit overrides recorded in the last 30 days Number
  14. Transactions above the quantity limit found in a review of yesterday's sales Number
  15. Application of purchase limits Rating
    • Limits enforced by the system and the staff 5 pts
    • Limits known but overrides not reviewed 3 pts
    • Limits not applied 1 pt

3. Suspicious transactions 18 items

  1. Employees asked could describe the signs of a purchase for a minor (an adult taking instructions from young people waiting outside, a minor handing over the money) Yes / No 1 pt
  2. Employees asked confirmed that they refuse a sale when they suspect the product is for a minor Yes / No 1 pt
  3. Each refused sale is entered in the refusal log with the date, the time and the reason Yes / No 1 pt
  4. Refused sales recorded in the last 30 days Number
  5. An employee asked confirmed that management supports employees who refuse a sale Yes / No 1 pt
  6. Cash purchases above the quantity set by company policy are reported to the manager on duty Yes / No 1 pt
  7. Employees asked knew to refuse further service to a customer seen passing product to minors outside the store Yes / No 1 pt
  8. Minors loitering at the entrance are asked to leave Yes / No 1 pt
  9. Minors are refused entry where the store is restricted to adults Yes / No 1 pt
  10. Voided nicotine sales are reviewed weekly for sales re-rung without the age prompt Yes / No 1 pt
  11. Sales rung under a generic or miscellaneous key are reviewed weekly, since they skip the age prompt Yes / No 1 pt
  12. No-receipt refunds of nicotine products need a manager's approval Yes / No 1 pt
  13. Transactions with a manually keyed date of birth are reported by employee and reviewed monthly Yes / No 1 pt
  14. An employee with a manual entry rate far above the store average has been coached, with a record on file Yes / No 1 pt
  15. Discounts given by employees to friends and family are limited to the program set by company policy Yes / No 1 pt
  16. Complaints from parents, schools or neighbors about sales to minors are logged and sent to the district manager Yes / No 1 pt
  17. Percentage of nicotine transactions last month with a manually keyed date of birth (%) Number
  18. Handling of suspicious transactions Rating
    • Recognized, refused and logged 5 pts
    • Refused but rarely logged 3 pts
    • Not recognized by the staff 1 pt

4. Inventory counts 17 items

  1. Shortages of disposable vapes found in the daily count are reported to the manager on duty the same day Yes / No 1 pt
  2. Sales of disposable vapes by employee are reviewed monthly for unusual volume Yes / No 1 pt
  3. The employee who restocks the back wall is not the employee who counts it that day, where staffing allows Yes / No 1 pt
  4. Counts are compared with the point-of-sale on-hand quantity the same day Yes / No 1 pt
  5. Shortages of more than the tolerance set by company policy are investigated with camera footage Yes / No 1 pt
  6. An inspector's count of 10 disposable vape products during the visit matched the system quantities Yes / No 1 pt
  7. Units short across the 10 products counted by the inspector Number
  8. Back stock taken to the sales floor is recorded with the name of the employee who took it Yes / No 1 pt
  9. Special orders above the shelf stock are approved by the manager and recorded with the buyer's name Yes / No 1 pt
  10. Master cartons in back stock are sealed or their remaining units are written on the carton Yes / No 1 pt
  11. Returns to suppliers are counted by a second employee before the carton is sealed Yes / No 1 pt
  12. Products written off as damaged or defective are checked by the manager before the write-off is entered Yes / No 1 pt
  13. Products given to employees as testers or samples, where permitted, are recorded by name Yes / No 1 pt
  14. Transfers to other stores are recorded in the system before the product leaves Yes / No 1 pt
  15. No product leaves through the back door without a transfer or return document Yes / No 1 pt
  16. Trash is taken out under the manager's supervision or in clear bags Yes / No 1 pt
  17. Count accuracy of high-risk nicotine products Rating
    • Counts match the system 5 pts
    • Small differences explained 3 pts
    • Unexplained shortages 1 pt

5. Training 15 items

  1. Every employee completed age verification training before working a register alone Yes / No 1 pt
  2. Training records show the completion date for each employee on today's schedule Yes / No 1 pt
  3. Refresher training was completed within the period set by local regulation or company policy Yes / No 1 pt
  4. Employees hold the seller certification required by local regulation, where one exists Yes / No 1 pt
  5. Each employee signed the company policy on sales to minors Yes / No 1 pt
  6. Employees asked could state the minimum legal age for buying vaping products in this jurisdiction Yes / No 1 pt
  7. Employees asked could state the personal consequences of selling to a minor (penalty, dismissal) in general terms Yes / No 1 pt
  8. Employees asked knew what to do if they suspect an identification is fake Yes / No 1 pt
  9. Employees asked knew that company policy does not require them to confiscate an identification or confront the customer Yes / No 1 pt
  10. New hires practice refusing a sale in a role play, with the exercise recorded Yes / No 1 pt
  11. Results of mystery shops are shared with the whole team Yes / No 1 pt
  12. An employee who failed an age check was retrained before returning to the register Yes / No 1 pt
  13. Training covers online and curbside handover as well as register sales Yes / No 1 pt
  14. Employees on today's schedule without current age verification training Number
  15. Staff knowledge of age and diversion rules Rating
    • All employees asked answered correctly 5 pts
    • Some hesitation or one wrong answer 3 pts
    • Several wrong answers 1 pt

6. Records 16 items

  1. The refusal log is kept at the register and has entries in the last 30 days Yes / No 1 pt
  2. Mystery shop and regulator compliance check results for the last 12 months are on file Yes / No 1 pt
  3. Any failed compliance check has a documented corrective action Yes / No 1 pt
  4. Warning letters or citations from the regulator were sent to head office on the day they were received Yes / No 1 pt
  5. Age verification records from the scanner are retained only as long as privacy rules and company policy allow Yes / No 1 pt
  6. Signed sales-to-minors policies are filed for every current employee Yes / No 1 pt
  7. Sales records showing how the age was checked for each nicotine sale (scan or keyed date) can be produced for a date picked by the inspector Yes / No 1 pt
  8. The list of customers barred for buying for minors is available at the register, where company policy bars them Yes / No 1 pt
  9. The manager reviews the refusal log weekly and initials it Yes / No 1 pt
  10. Camera footage of the registers is retained for the period set by company policy Yes / No 1 pt
  11. Corrective actions from the previous diversion audit have been completed Yes / No 1 pt
  12. Failed mystery shops or compliance checks in the last 12 months Number
  13. Date of the last regulator compliance check Date
  14. Name of the store manager Short text
  15. Overall control of underage and bulk sales Rating
    • ID checks, limits and counts in order throughout 5 pts
    • Gaps in one area, with a correction under way 3 pts
    • Gaps in several areas or sales without an ID check 1 pt
  16. Corrective actions required Comments

About this template

This checklist is part of the InspectLoop template library. Yes / No checks score 1 point when met; ratings score the points shown for each option. The overall score is the percentage of points earned, with N/A answers excluded. In InspectLoop you can add photos, assign corrective actions, require sign-off and compare results across sites.

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