Checklist template

Employee theft and point-of-sale exceptions for convenience stores

A ready-to-use checklist with 110 items in 6 sections, covering Voids, No-sales, Refunds, Discounts, Video review, Follow-up. Use it as-is in InspectLoop, or adapt it to your own standards in minutes.

  • 6 Sections
  • 110 Items
  • 88 Yes / No checks
  • 6 Scored ratings
  • 118 Points

Use this template How audits work

1. Voids 19 items

  1. The exception report for the last 7 days was printed or opened on screen for this review Yes / No 1 pt
  2. Each cashier has a personal sign-on to the register (number or fingerprint) Yes / No 1 pt
  3. No cashier was working under another cashier's sign-on at the time of the visit Yes / No 1 pt
  4. A void of a whole transaction after tender requires a manager's code or key Yes / No 1 pt
  5. Manager codes are not written on or near the register Yes / No 1 pt
  6. Each post-tender void of the last 7 days has the original receipt attached to the shift paperwork Yes / No 1 pt
  7. Each post-tender void of the last 7 days carries a written reason Yes / No 1 pt
  8. No post-tender void of the last 7 days was made by a cashier on their own purchase Yes / No 1 pt
  9. Line voids of cigarette packs or cartons in the last 7 days were compared with the tobacco count for the same shift Yes / No 1 pt
  10. Line voids of lottery tickets in the last 7 days were compared with the lottery count for the same shift Yes / No 1 pt
  11. Voided fuel prepays in the last 7 days each match a refund or a re-ring on the same pump Yes / No 1 pt
  12. Sales cancelled with the "clear" or "cancel transaction" key after items were scanned are listed on the exception report Yes / No 1 pt
  13. Cancelled transactions of the last 7 days were reviewed by the manager for cash customers who left with goods Yes / No 1 pt
  14. Suspended transactions are recalled or cleared before the cashier's shift ends Yes / No 1 pt
  15. The void rate of each cashier is compared with the store average on the report Yes / No 1 pt
  16. Post-tender voids in the last 7 days Number
  17. Highest number of line voids by one cashier in the last 7 days Number
  18. Sign-on or name of the cashier with the most voids in the last 7 days Short text
  19. Documentation of voids reviewed Rating
    • Receipt and reason on every void 5 pts
    • Some voids undocumented 3 pts
    • Voids largely undocumented 1 pt

2. No-sales 18 items

  1. The "no sale" key requires the cashier's sign-on, so each drawer opening is attributed Yes / No 1 pt
  2. The register is set to print or record a slip for each no-sale Yes / No 1 pt
  3. No-sales of the last 7 days are listed by cashier on the exception report Yes / No 1 pt
  4. The manager has asked each cashier above the store average to explain their no-sales Yes / No 1 pt
  5. Change for customers (for the air machine, laundry or bus) is made within the rule set by company policy Yes / No 1 pt
  6. The drawer is closed between transactions, as observed during the visit Yes / No 1 pt
  7. No handwritten tally, coins set aside or other counting aid was found at the register Yes / No 1 pt
  8. No cash was found beside or under the register outside the drawer Yes / No 1 pt
  9. Safe drops are made through the register's drop function, not by opening the drawer with a no-sale Yes / No 1 pt
  10. The drawer key is not left in the lock or kept at the register, so the drawer opens only through the register Yes / No 1 pt
  11. Lottery payouts are rung through the lottery payout key, not paid from an open drawer Yes / No 1 pt
  12. Money order or bill-payment transactions are rung before cash is placed in the drawer Yes / No 1 pt
  13. A surprise count of one drawer during the visit was within the tolerance set by company policy Yes / No 1 pt
  14. Drawers over or short beyond tolerance in the last 30 days were each signed by the cashier Yes / No 1 pt
  15. No-sales recorded in the last 7 days Number
  16. Highest number of no-sales by one cashier in a single shift in the last 7 days Number
  17. Difference found in the surprise drawer count (dollars) Number
  18. Control of no-sale drawer openings Rating
    • Attributed and reviewed by the manager 5 pts
    • Recorded but not reviewed 3 pts
    • Not recorded or not attributed 1 pt

3. Refunds 17 items

  1. A refund above the limit set by company policy requires a manager's code Yes / No 1 pt
  2. Each refund of the last 7 days has a refund slip stating the item Yes / No 1 pt
  3. Each refund slip carries the customer's name or signature Yes / No 1 pt
  4. Refunded merchandise was returned to the shelf or entered on the write-off log Yes / No 1 pt
  5. Tobacco refunds follow the company rule (unopened only, or none) Yes / No 1 pt
  6. Lottery tickets are not refunded Yes / No 1 pt
  7. Activated gift cards and prepaid phone cards are not refunded Yes / No 1 pt
  8. Refunds for fuel are issued only against a prepay receipt Yes / No 1 pt
  9. A card purchase is refunded to the same card, not in cash Yes / No 1 pt
  10. Refunds with no receipt in the last 7 days were each approved by a manager Yes / No 1 pt
  11. Refunds rung within minutes of a void or no-sale on the same register in the last 7 days each have a written explanation Yes / No 1 pt
  12. Refunds rung in the last hour before closing or in the overnight hours were reviewed by the manager Yes / No 1 pt
  13. Bottle deposit refunds are paid through the deposit key, where deposits apply Yes / No 1 pt
  14. Employees do not process refunds for their own purchases Yes / No 1 pt
  15. Refunds processed in the last 7 days Number
  16. Cash refunds with no receipt in the last 7 days Number
  17. Support for the refunds reviewed Rating
    • Slip, item and approval on every refund 5 pts
    • Some refunds unsupported 3 pts
    • Refunds largely unsupported 1 pt

4. Discounts 19 items

  1. Price overrides require a manager's code above the limit set by company policy Yes / No 1 pt
  2. Price overrides of the last 7 days are listed by cashier on the exception report Yes / No 1 pt
  3. Each price override on tobacco or alcohol in the last 7 days has a written reason Yes / No 1 pt
  4. The employee discount, where one exists, is applied only with the employee's own number Yes / No 1 pt
  5. The employee discount is not applied to lottery, tobacco, fuel or other excluded items Yes / No 1 pt
  6. Employee purchases are rung by another employee or a manager Yes / No 1 pt
  7. Employee purchases carry the receipt with the item until the employee leaves the store Yes / No 1 pt
  8. Free employee drinks or food allowed by company policy are rung with the employee meal key Yes / No 1 pt
  9. Manufacturer coupons in the drawer match coupon tenders rung, on a check of one shift Yes / No 1 pt
  10. Tobacco multipack or buydown discounts are triggered by scanning, not keyed by hand Yes / No 1 pt
  11. A loyalty card or phone number used on more than the number of transactions per day set by company policy is flagged for review Yes / No 1 pt
  12. No loyalty card is kept at the register for the cashier to scan on customers' purchases Yes / No 1 pt
  13. Fuel discounts earned through loyalty are redeemed only with the customer's own card or number Yes / No 1 pt
  14. Items are scanned rather than rung under an open department key, on observation of 5 transactions Yes / No 1 pt
  15. Open-department "miscellaneous" rings of the last 7 days were reviewed by cashier Yes / No 1 pt
  16. Markdowns on short-dated food are rung with the markdown key against a stickered item, not as a price override Yes / No 1 pt
  17. Price overrides recorded in the last 7 days Number
  18. Transactions on the most-used loyalty number in the last 7 days Number
  19. Control of overrides and discounts Rating
    • Coded, listed and reviewed 5 pts
    • Listed but not reviewed 3 pts
    • No control in use 1 pt

5. Video review 18 items

  1. A camera covers each register from above, showing the drawer and the scanning surface Yes / No 1 pt
  2. A camera view shows the tobacco back-bar Yes / No 1 pt
  3. A camera view shows the lottery ticket dispensers Yes / No 1 pt
  4. The image from the register camera is sharp enough to tell which item is in the cashier's hand Yes / No 1 pt
  5. The recorder clock agrees with the register clock, so a transaction on the report can be found on video Yes / No 1 pt
  6. Register transaction text is overlaid on or linked to the video, where the system provides it Yes / No 1 pt
  7. The manager reviewed video of at least the number of flagged transactions per week set by company policy Yes / No 1 pt
  8. Each video review is noted in a log with the date, register, time and result Yes / No 1 pt
  9. Video of 3 voids or no-sales picked from the report was watched during this visit Yes / No 1 pt
  10. In the clips watched, a customer was present for each refund Yes / No 1 pt
  11. In the clips watched, each item bagged was scanned Yes / No 1 pt
  12. In the clips watched, no merchandise left the store with an employee without a receipt Yes / No 1 pt
  13. Cameras over the registers are not blocked by signs, displays or hanging merchandise Yes / No 1 pt
  14. Access to recorded video is limited to the manager and loss prevention Yes / No 1 pt
  15. Cashiers cannot switch off or redirect a camera Yes / No 1 pt
  16. Flagged transactions reviewed on video by the manager in the last 30 days Number
  17. Date of the manager's most recent logged video review Date
  18. Result of the clips watched during the visit Rating
    • No concern 5 pts
    • Procedure errors, no loss 3 pts
    • Suspected theft 1 pt

6. Follow-up 19 items

  1. Employee bags and coats are kept in the back room or lockers, not at the register Yes / No 1 pt
  2. Employee package checks are done at the end of the shift, where company policy provides for them Yes / No 1 pt
  3. Each cashier flagged in the last 30 days was checked again on the following week's exception report Yes / No 1 pt
  4. A cashier under review is not told which transactions or cameras are being watched Yes / No 1 pt
  5. Receipts, reports and saved video for an open case are kept locked in the office Yes / No 1 pt
  6. Alerts sent to the store by loss prevention or the head office in the last 30 days each have a written reply from the manager Yes / No 1 pt
  7. Activations of gift cards and prepaid cards in the last 7 days each match a paid sale Yes / No 1 pt
  8. The manager discussed the exception report with each cashier flagged in the last 30 days Yes / No 1 pt
  9. Each such conversation is recorded on a coaching note signed by the cashier Yes / No 1 pt
  10. Cases of suspected theft were sent to loss prevention rather than handled by the store alone Yes / No 1 pt
  11. New cashiers signed the cash handling policy before working a register Yes / No 1 pt
  12. Sign-ons of employees who left the company have been deleted from the register Yes / No 1 pt
  13. The district manager initialed the exception report at the last visit Yes / No 1 pt
  14. The ethics or loss prevention hotline number is posted in the back room Yes / No 1 pt
  15. Cashiers flagged on the exception report in the last 30 days Number
  16. Cases sent to loss prevention in the last 12 months Number
  17. Name of the manager who reviews the exception report Short text
  18. Overall control of point-of-sale exceptions Rating
    • Reviewed weekly with documented follow-up 5 pts
    • Reviewed without follow-up 3 pts
    • Not reviewed 1 pt
  19. 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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