low value orders

8/14/2019 Low Value Orders

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This is the html version of the file http://www.ucop.edu/audit/core/LVPO%20and%20Pro%20Card.doc .Google automatically generates html versions of documents as we crawl the web.

I. Audit Approach

As an element of the Universitys core business functions, Purchasing Card Programs and LowValue Purchase Orders will beaudited once every three to five years using a risk-based approach. The minimum requirements set forth in the general overview andrisk assessment section below must be completed for the audit to qualify for core audit coverage. Following completion of thegeneral overview and risk assessment, the auditor will use professional judgment to select specific areas for additional focus and audit

testing.

II. General Overview and Risk Assessment

At a minimum, general overview procedures will include interviews of department management and key personnel; a review of availablefinancial reports; evaluation of policies and procedures associated with business processes; inventory of compliance requirements; considerationof key operational aspects; and an assessment of the information systems environment. During the general overview, a detailed understanding ofthe management structure, significant financial and operational processes, compliance requirements, and information systems will be obtained (orupdated).

As needed, the general overview will incorporate the use of internal control questionnaires (an example is provided as Attachment I), processflowcharts, and the examination of how documents are handled for key processes.

A. The following table summarizes audit objectives and corresponding high-level risks to be considered during the general overview.

Audit Objective Areas of Risk

Obtain a detailed understanding of significant processesand practices employed forlowvalue purchases utilizing

purchasing cards and lowvalue purchase orders,

specifically addressing the following components:

Management philosophy, and

operating style, and risk assessmentpractices;

Organizational structure, and

delegations of authority andresponsibility;

Positions of accountability for

financial and programmatic results;

Process strengths (best practices),

weaknesses, and mitigating controls;and,

Information systems, applications,

databases, and electronic interfaces.

Poor management communication regarding

expectations for use oflowvalue purchases may

result in inappropriate behavior.

Risk assessment processes forlowvalue purchasing

tools may not identify and address key areas of risk.

Inadequate separation of responsibilities forlow

value purchasing activities may create opportunitiesfor fraud. Additionally, lack of communication andcoordination between the centralized procurementfunction and departments utilizing lowvalue

purchasing tools may also result in creation ofopportunities for fraud.

Inadequate accountability for the achievement of

financial or programmatic results may decrease thelikelihood of achieving results.

Processes and/or information systems may not bewell designed or implemented, and may not yielddesired results, i.e., accuracy of financialinformation, operational efficiency andeffectiveness, and compliance with relevantregulations policies and procedures.

B. The following procedures will be completed as part of the general overview whenever the core audit is conducted.

General Control Environment

1. Obtain and review organizational policies and procedures related to lowvalue purchases utilizing bothpurchasing cards and lowvalue purchase orders.

2. Identify and review relevant University policies and procedures and laws and regulations related to lowvaluepurchases.

3. Obtain an organization chart of the centralized procurement function. WOULD WE WANT THE ORGCHART FOR CENTRAL PURCHASING? Additionally, obtain statistics regarding departmental use of

purchasing cards and lowvalue purchase orders.

4. Interview key personnel associated with the centralized procurement function and a sample of departmentalusers oflowvalue purchasing tools. During all interviews, solicit input on concerns or areas of perceived risk.
http://www.ucop.edu/audit/core/LVPO%20and%20Pro%20Card.dochttp://www.ucop.edu/audit/core/LVPO%20and%20Pro%20Card.dochttp://www.ucop.edu/audit/core/LVPO%20and%20Pro%20Card.dochttp://www.ucop.edu/audit/core/LVPO%20and%20Pro%20Card.dochttp://www.ucop.edu/audit/core/LVPO%20and%20Pro%20Card.doc


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5. Obtain and review documentation of the process flows for purchasing cards and lowvalue purchase ordersincorporating both the centralized procurement function and departmental use of lowvalue purchasing tools.

6. Obtain an understanding of the management reports that are available forlowvalue purchases, both centrallyand at the department level.

7. Evaluate processes for adequate separation of responsibilities. Additionally, evaluate adequacy of the functionaland organizational structure to provide for proper communication and coordination between the centralized

procurement function and departments utilizing lowvalue purchasing tools.

8. If the functional and organizational structures do not appear adequate, consider alternative structures orprocesses to enhance assurance. Comparison to corresponding lowvalue purchasing tools and methods onother campuses may provide value by demonstrating better accountability.

Business Processes

9. Identify all key activities associated with lowvalue purchases for both the centralized procurement function andat the department level, and gain an understanding of the corresponding business processes and positions with

process responsibilities including:

Issuance and cancellation of purchase cards

Vendor selection and pricing

Purchases using purchase cards

Purchases using lowvalue purchase orders

Department monitoring oflowvalue purchases

Centralized monitoring oflowvalue purchases

10. Identify positions responsible for key activities. Document processes via flowcharts or narratives identifyingprocess strengths, weaknesses, and mitigating controls.

11.Conduct walk-throughs of the key activities, using a small sample of transactions. Review documents,correspondence, reports, and statements, as appropriate, to corroborate process activities.

12. Evaluate processes for adequate separation of responsibilities. Evaluate the adequacy of the processes toprovide reasonable assurance that University resources are properly safeguarded.

13. If processes do not appear adequate, develop detailed test objectives and procedures, and conduct detailedtransaction testing with specific test criteria. Consider whether statistical (versus judgmental) sampling would

be appropriate for purposes of projecting on the population as a whole or for providing a confidence interval.

Information Systems

14. Interview information systems personnel to identify all relevant information systems, applications, databases,and interfaces (manual or electronic) with other systems. Obtain and review systems documentation to theextent available. Otherwise, document information flow via flowcharts or narratives, including all interfaceswith other systems, noting the following:

a. Is this an electronic or manual information system?

a. Does the system interface with core administrative information systems? If yes is that interfacemanual or electronic?

b. What type(s) of source documents are used to input the data?

c. What type of access controls and edit controls are in place within the automated system?

d. How are transactions reviewed and approved with the system?


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e. Who performs reconciliation of the system's output to ensure correct information?

f. Is a disaster/back-up recovery system in place for this system?

g. What is the retention period for source documents and system data?

15. Obtain and review systems documentation, if available.

16. Document information flow via flowcharts or narratives, including all interfaces with other systems. Considertwo-way test of data through systems from source document to final reports, and from reports to original sourcedocuments.

17. Evaluate the adequacy of the information systems to provide for availability, integrity, and confidentiality ofUniversity information resources.

18. If system controls do not appear adequate, develop detailed test objectives and procedures, and conduct detailedtesting with specific test criteria.

C. Following completion of the general overview steps outlined above, a high-level risk assessment should beperformed and documented in a standardized working paper (e.g., a risk and controls matrix). To the extent necessary, asdetermined by the auditor, this risk assessment may address aspects of other areas outlined below (financial reporting,compliance, operational efficiency and effectiveness; and information systems). In addition to the evaluations conductedin the general objectives section, the risk assessment should consider the following: annual expenditures; time since lastreview, recent audit findings; organizational change; regulatory requirements, etc.

III. Financial

A. The following table summarizes audit objectives and corresponding high-level risks regarding financial reporting processes.


Evaluate the accuracy and integrity of financial reporting,specifically addressing the following components:

Purchase card activity reports and

statements;

Lowvalue purchase order activity

reports;

Detailed general ledgers by account,

project and/or cost center; and,

Overdraft reports.

Failure to review financial reports and follow-up on unusual and/orerroneous transactions can result in the following:

Purchasing cards may be used for unauthorized

or inappropriate purchases.

Billing errors on purchase card may go

undetected.

Lowvalue purchase orders may be used for

unauthorized or inappropriate purchases.

Lowvalue purchases may be charged to the

wrong account, project and/or cost center.

Sufficient funds may not exist to pay for low

value purchases.

B. The following procedures should be considered whenever the core audit is conducted.

1. Identify all financial reporting methods in use by the centralized procurement function and individualdepartments related to purchase cards and lowvalue purchase orders. Obtain and review copies of recentfinancial reports.

2. Gain an understanding of the methods used to review reports and follow-up and correct unauthorized orinappropriate purchases, purchase card billing errors, mis-postings oflowvalue purchases, and overdrafts

caused by lowvalue purchases.

3. On a test basis, evaluate the accuracy and reliability of financial reporting. If certain reporting does not appearaccurate and reliable, develop detailed test objectives, procedures, and criteria. Conduct detailed testing as needto determine the impact of financial reporting issues.

IV. Compliance


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A. The following table summarizes audit objectives and corresponding high-level risks regarding compliance with policies and procedures, andregulatory requirements.


Evaluate local compliance with the followingrequirements:

Institutional and UCOP

policies and procedures:

Delegations

andlimitations ofauthority forlowvalue

purchases;

Issuance and

cancellation ofpurchasecards;

Acceptable use

oflowvaluepurchasingtools;

Vendor

selection; and,

Review,

reconciliationandmonitoring oflowvalue

purchasingactivity.

Applicable Federal rules

and regulations relative tolowvalue purchases; and,

Conflict of interest.

Failure to comply with institutional policies and procedures can

result in the following:

Delegations of authority and limitations on dollar amounts of

purchases are exceeded.

Purchase cards are issued to inappropriate individuals.

Purchase cards are not cancelled upon change in job duties or

termination of employees.

All of the risks noted above for financial reporting.

Failure to comply with

regulatory and reportingrequirements could result infines and additionalrestrictions for the institutionand/or specific individuals.

B. The following procedures should be considered whenever the audit is conducted.

1. Determine if the institutions policies, procedures and other published information related to lowvaluepurchases are sufficient to provide reasonable assurance that, if followed, the institutions assets areappropriately safeguarded.

a. Obtain and review policies, procedures and other published information related to the purchasing card programand assess the following:


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1. Are qualifications necessary to obtain a purchasing card clearly stated, and are those qualificationsreasonable?

2. Are purchasing card applications required to be approved by an individual with appropriateorganizational responsibility and authority?

3. Are the types of purchases that can/cannot be made with a purchasing card and related spending andlimits clearly articulated?

4. Are there requirements for monitoring and review of purchasing card transactions in order to assuretheir propriety, both in terms of the nature of the expenditure and the funding source to which theexpenditure is being charged?

5. Are procedures for disputing charges, reporting lost or stolen cards, and canceling cardholderaccounts clearly stated?

b. Obtain and review policies, procedures and other published information related to the low-value purchaseorders and assess the following:

1. Are the individuals who have authority to authorize and approve departmental direct purchasesclearly identified in the policy?

2. Are the types and dollarlimitations for purchases that can be carried out by the departments clearlyidentified in the policy?

3. Are there requirements for monitoring and review oflowvalue purchase orders in order to assuretheir propriety, both in terms of the nature of the expenditure and the funding source to which theexpenditure is being charged?

c. Are issues such as requirements for competition, non-acceptance of gifts and gratuities, inappropriate uses ofinstitutions purchasing power, potential conflicts of interest and other issues that must be considered by

personnel responsible forlowvalue purchasing decisions adequately addressed in the institutions policies andprocedures?

d. Are relevant laws and regulations incorporated into (or referenced) in the policies and procedures?

e. Are the policies, procedures, and other published information related to low-value purchases easy to locate andunderstand. Is the information contained within consistent, and are related documents clearly referenced?

2. Determine if training sufficient to assure an understanding of the compliancerequirements forlowvalue purchases has been provided to personnel who haveresponsibility forlowvalue purchasing activities.

3. By performing detailed testing of transactions determine if institutional policies and procedures related to lowvalue purchasing activities are being adhered to. Suggested programs for detailed testing are contained inAttachment A.

V. Operational Effectiveness and Efficiency

A. The following table summarizes audit objectives and corresponding high-level risks regarding operational effectivenessand efficiency.



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Evaluate lowvalue purchase activities, specifically addressingthe following areas:

Appropriate balance between policies

and procedures designed to mitigaterisks oflowvalue purchasing activitiesand the related cost of compliance;

Supplier performance;

Customer satisfaction; and,

Purchase card vendor performance.

Cost of complying with policies and procedures

associated with lowvalue purchases may begreater than benefits derived from departments

being able to make certain purchases on theirown.

Vendors who accept purchase cards and/orlow

value purchase orders may not provide the mostadvantageous service and/or prices.

Customers who are not satisfied with lowvalue

purchasing tools may forgo utilizing those toolsin favor of more time consuming and potentiallycostly procurement methods.

Purchase card vendor does not work with the

institution for timely issuance and cancellation ofcards and/or error resolution.

1. Based on the information obtained during the general, financial, and compliance overview, evaluate whether any operationsshould be evaluated further via detailed testing. For example, the following testing should be considered:

1. Obtain and review any internal analyses that have been prepared regarding the cost effectiveness oflowvalue purchasingactivities. If no such analyses are available, consider performing such an analysis in order to determine if the purchasingcard program and department preparation oflowvalue purchase orders is truly cost beneficial to the institution.

2. Consider using audit software to analyze the costs of high volume goods procured using the purchase card and departmentprepared lowvalue purchase orders, versus those under bulk purchasing agreements or other similar arrangements.Additionally, consider a comparison of the length of time from the initial order to receipt of goods under the different

procurement methods.

3. Consider conducting a survey of purchase card holders, department personnel with responsibility for preparing andprocessing lowvalue purchase orders, and personnel responsible for centralized administration oflowvalue purchasing inorder to determine their level of satisfaction with the lowvalue purchasing tools, solicit suggestions for improvement andidentify best practices.

VI. Information and Communication

A. The following table summarizes audit objectives and corresponding high-level risks regarding information systems.

Audit Objective Areas of Risk Evaluate information and communications systems, applications,databases, system interfaces, and records practices, specificallyaddressing the following:

Electronic or manual interfaces with intra-

University systems, applications, and/ordatabases;

Electronic or manual interfaces between

University and third party systems,applications, and/or databases;

Records management policies and practices

for both hardcopy and electronic records.

Security management practices may not

adequately address information assets, datasecurity, or risk assessment.

Application and systems development

processes may result in poor design orimplementation.

The confidentiality, integrity, and

availability of data may be compromised byineffective physical, logical, or operationalcontrols.

Business continuity planning may be

inadequate to ensure prompt and appropriatecrisis response.

Records management practices may notadequately ensure the availability ofnecessary information.

B. The following will be completed each year that the audit is conducted.

1. Identify any significant breaches, failures, or changes to information systems, and corresponding businessprocesses.

2. Evaluate the impact of these to the overall system of internal controls.


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C. In addition, consider two-way test of data through systems from source document to final reports, and from reports tooriginal source documents. Evaluate the adequacy of the information systems to provide for availability, integrity, andconfidentiality of University information resources.

D. Based on the information obtained during the information systems overview, evaluate whether any informationresources should be evaluated further via detailed testing using specific test criteria and procedures.

Attachment A

I. PURCHASE CARDS

Objective A:

Determine if purchasing cardholders meet eligibility requirements to obtain a purchase card, if departments justified, in writing, the need fora purchasing card, and if departments properly certify employees for approval authority and training.

Scope:

Judgmental or statistical sampling can be used at auditors discretion.

Procedures:

1. Obtain a list of University purchasing cardholders, and select a sample of cardholders in accordance with the sampling plandescribed in the scope statement.

2. For each purchasing cardholder included in the sample, determine the following:

a. The cardholder is a University employee in permanent, limited, or temporary status.

b. The department head or designee justified and approved the need for the purchasing card in writing.

c. The cardholder completed training and accepted terms of the Purchasing Cardholder Agreement.

d. The cardholder completed an application to obtain a purchasing card.

e. The cardholder has valid approval authority over the accounts and funds to be used with the purchasing card.

f. Limitations on the purchasing card assigned (e.g., per transaction, monthly spending, merchant code restrictions) areconsistent with University policy.

3. Determine if the home departments for each of the purchasing cardholders included in the testing at (2) above have procedures inplace to monitor the status of cardholders, and immediately notify Material Management in writing of any changes (e.g., transfer,termination, etc.).

Objective B:

Determine if purchasing card expenditures are consistent with University policy with respect to the types of items that can be purchased,properly approved, allowable by the funding source, and have appropriate supporting documentation.

Scope:Judgmental or statistical sampling can be used at auditors discretion.

Procedures:

1. Obtain a list of purchasing card transactions, and select a sample of transactions in accordance with the sampling plan described in thescope statement.

2. For each purchasing card transaction included in the sample, determine the following:

a. Were only non-restricted items per University policy were purchased?

b. Was there evidence that an individual with the necessary level of authority (e.g., principal investigator) pre-approved thepurchase?


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c. Were items purchased allowable by the funding source?

d. Does an individual other than the person placing an order certify that the items ordered were received (i.e., signing anddating the receipt or packing slip)?

e. Has the department maintained appropriate supporting documentation (e.g., documentation of authorization, receivingdocuments and receipts)?

f. Were purchases made within credit limits (including shipping, handling and taxes)?

Objective C:

Determine if purchasing card accounts are appropriately managed at the department level.

Scope:

XXXX

Procedures:

1. Obtain copies of the daily transaction reports related to each of the purchasing card transactions reviewed per (B.2.) above, and

determine the following:

a. Were limitations on the number or dollar amount of transactions per day adhered to?

b. Were any cash advances made on the purchasing cards?

c. Is there evidence that the transaction reports were reviewed and reconciled on a timely basis by someone other than the purchasing cardholder?

d. Was the certification log documenting review of the transaction report properly completed? The log should include theaccount numbers, transaction month, reviewers signature, and the date received.

e. Was the person performing the review and reconciliation independent (i.e., not a subordinate of the cardholder).

f. Were any erroneous charges, returns or adjustments noted on the transaction reports? If yes, is there evidence thatappropriate follow-up and resolution occurred?

2. Determine if default accounts set-up for each purchasing card are in fact the appropriate accounts for the transactions reviewed per(C.2) above. If not, ascertain whether a Feed Payment Distribution (FPD) documents was used to transfer the expense from thedefault account to the correct account.

3. Review the default accounts for other department purchasing cards not covered in step (D.2) above to determine if they have anylarge/unusual balances. Obtain an explanation for any large/unusual balances noted, and determine whether default accounts are beingcleared in a timely manner.

4. Verify that the department is retaining records related to purchasing card activity (statements, proof of reconciliation and sourcedocuments) for the required period. The required record retention period is typically five years from the transaction date; or in thecase of a contract or grant, five years from the close-out date.

Objective D:Determine if the central Purchasing Card Administrator appropriately manages purchasing card accounts.

Scope:Activities of Purchasing Card Administrator.

Procedures:

1. Determine if the Purchasing Card Administrator personally transmits requests to establish purchasing cards and related cardholderlimits to the issuing bank, after verifying proper approval of the cardholder application by an authorized individual.

2. Determine if the Purchasing Card Administrator receives and reviews daily reports from the bank which list each transaction postedfor that business day, all new accounts, purchasing cardholder transaction violations, and disputed items.


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3. Determine if the Purchasing Card Administrator periodically reviews a listing of purchasing cardholders to ensure that each is still anactive employee of the University.

4. Determine if Accounting & Financial Services is performing sample audits of departmental records periodically to ensure that theappropriate internal control procedures are being followed. The sample audits also must ensure that University purchasing policies,record retention requirements, and purchasing cardholder controls are being observed.

5. Determine if appropriate escalation procedures are in place when abuses of the purchasing card are detected either by the PurchasingCard Administrators review of daily reports and/or periodic audits performed by Accounting and Financial Services.

II. Low Value purchase orders

Objective A:

Determine iflow-value, departmental expenditures are consistent with University policy with respect to the types of items that can be purchased,properly approved, allowable by the funding source, and have appropriate supporting documentation.

Scope:Judgmental or statistical sampling can be used at auditors discretion.

Procedures:

1. Select a sample oflowvalue departmental purchase transactions in accordance with the sampling plan described in the scopestatement.

2. For each transaction included in the sample, determine the following:

a. Were only allowable goods and services per University policy purchased?

b. Was there evidence that an individual with the necessary level of authority approved the purchase?

c. Were items purchased allowable by the funding source?

d. Does an individual other than the person placing an order certify that the items ordered were received (i.e., signing and dating thereceipt or packing slip)?

e. Has the department maintained appropriate supporting documentation (e.g., documentation of authorization, receiving documents andreceipts)?

f. Were purchases made within spending limits ($2,500 to include shipping, handling and taxes)?

g. Were goods or services purchased covered by a primary supply or preventative maintenance agreement? If so, were goods or servicespurchased from the designated vendor? If not purchased from the designated vendor, was the appropriate waiver obtained?

h. If the purchase was for equipment repairs, was it determined that the repair service was not available internally or through anestablished maintenance agreement?

3. For all transactions tested above (A.2), review the initiating departments other transactions for the day to determine ifthere was more than one transaction with the same vendor that in total would exceed the daily limitations, indicatingartificial splitting of purchase orders to avoid the established dollarlimitations.

Objective B:

Determine if direct purchasing privileges are properly managed at the department level.

Scope:

Judgmental or statistical sampling can be used at auditors discretion.

Procedures:

For transactions tested above (A.2), determine the following for the department initiating the transactions:

1. How does the department assure that proper authorization has been obtained for a departmental purchase prior to generating thedepartment purchase order?


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2. Is there an appropriate separation of duties between the individuals who initiate and approve the department purchase orders withinthe financial system and the individual who is responsible for the monthly review and reconciliation of the general ledger accounts?

3. Does the department monitor purchases to ensure that daily limitations on transactions with a single vendor are adhered to?

Objective C:

Determine if direct purchasing activities by departments are appropriately monitored and managed by Central Purchasing.

Scope:

N/A

Procedures:

1. Determine if Central Purchasing has processes in place to monitor department purchases in order to provide assurance that directdepartment purchasing privileges are not being abused.

2. Determine if Central Purchasing has appropriate escalation procedures in place for instances where abuses of direct departmentpurchasing privileges are detected.

TCH Archives >Sunday Business Post>2004/09/05> Retail technology: EPoS technology must be your stock in trade

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Retail technology: EPoS technology must be your stock in trade

Sunday, September 05, 2004

By Caroline Allen

It is estimated that the average grocery retailer now stocks between 3,000 and 4,000

products.For many retailers, it's becoming more and more difficult to keep track of stock.

For some, recent developments in electronic point of sale (EPoS) technology is proving

the perfect solution.

According to Sammy Bedair, managing director of Leaders in Dublin, retailers can choose

from a growing array of cutting-edge EPoS systems designed to automate and simplify

essential processes.
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``New systems are being introduced all the time to the EPoS market,'' Bedair said.

``By implementing some of these new technologies, the retailer can reduce the time

spent checking and reconciling figures, thereby increasing the time available for

customer care and improving the shop's product lines.''

What is EPoS?

EPoS technology allows retailers to integrate data collected at the point of sale with

back-office systems. As part of the EPoS process, all transactions are logged and stored

to facilitate inventory and stock management.

EPoS: the benefits

The potential benefits of a well-implemented EPoS system are manifold and include

much-reduced checkout queues and faster throughput of customers as a result of

electronic barcode scanning and credit card scanning functionality.

EPoS makes it easier for retailers to run promotions and analyse product performance.

It means that, at the touch of a button, retailers can access up-to-the-minute information

on stock levels and product performance as well as pinpoint the busiest times of the day

or week.

Other potential benefits include improved targeting of promotions, the increased visibility

of best-selling products, the availability of itemised customer bills and reduced checkout

errors.

According to networking specialist RGData, the latest EPoS systems on offer also make it

noticeably easier to give customers refunds or perform voids.

EPoS technology has been found to reduce internal theft.

At the end of each day, it takes just minutes to reconcile cash drawers with the day's

sales.

EPoS also uses shelf labels, rather than individual price stickers, allowing retailers to saveon label costs.

Deliveries can be scheduled automatically. This means that retailers can avoid

overstocking or understocking products.

The cost of EPoS

According to Sean Kenna, managing director of CBE Software in Mayo, recent

developments in the EPoS field have led to increased speed, allowing retailers to respond

rapidly to customer sales and industry pricing trends.

For many retailers, however, the cost of implementing an up-to-the-minute EPoS system

can prove prohibitive with some high-grade software systems costing 5,000 and

hardware requirements coming in at 30,000.

However, for those retailers who choose to take the financial plunge, the benefits are

soon realised. Subsequent cost-savings arise from increased in-store productivity,

heightened security and stock traceability.

The future of EPoS

Recent developments in EPoS technology mean that retailers can issue mobile phone

top-ups directly from their tills. CBE recently partnered with electronic payment specialist
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PostPoint to develop an integrated system for mobile phone top-ups.

Both CBE and Leaders have worked with electronic transaction specialist Alphyra to

develop systems allowing retailers to operate directly from tills without the use of the

terminals normally used by Alphyra to process credit and debit card transactions.

``This saves retailers hours of work,'' said Kenna.

According to Bedair, this option is also more secure and frees up much-needed counter

space.

In some cases, retailers are also using advances in electronic technology to link tills to

cigarette dispensing machines.

``New laws are coming in next year which won't allow cigarettes to be dispensed at

checkouts. Cigarette manufacturers are already supplying cigarette dispensing

machines, which will dispense them automatically - we have linked our till systems to

this,'' said Kenna.

Such cutting-edge connectivity is crucial to the bottom line as it highlights discrepancies

between products scanned through the till and products dispensed from the wall-

mounted dispenser - spelling an end for disappearing stock, explained Bedair.

CBE recently developed an integrated fuel system for forecourts. This combines shop

and fuel sales, providing links to wholesalers and facilitating the control of both wetstock

and drystock.

PDAs with wireless capabilities are proving increasingly popular with a growing number

of retailers keen to utilise their barcode scanner and touch-screen facilities.

``These are no larger than a mobile phone and will provide the retailer with full Windows

PC power in a portable form,'' said Bedair.

Wireless networks are also doing away with the need for cables to connect PC-based tills

to the back office.

``The till can be moved from one area in the shop to another, depending on the retailer'srequirements,'' said Bedair.

E-mail is also providing its own benefits. Leaders recently launched OrderTM, an e-mail

ordering package that allows deli bars and other food service retail outlets, to receive

orders by e-mail.

Broadband connectivity means that retailers can connect directly to their shop's main

computer from anywhere in the world to view reports or simply work on the back-office

system, said Bedair.

Web stores are also proving increasingly popular.

According to Gerry Lyons of Microsoft Gold Certified Partner Mentec, one of the main

benefits of the Microsoft retail management system is its web store.

The system uses SQL technology to poll, replicate and transmit information from store to

head office.

Its Weblinx functionality allows retailers to set up an online web store, which is then

linked to the existing EPoS system in minutes.

This can be integrated with various PDA, mobile and wireless solutions.


13/24

It can track serial numbers and offers support for emerging technologies such as chip 'n'

pin.

Business Post Archives Home| Business Post Website

Simple Search| Advanced Search |Date Search

The Sunday Business Post, 2005, Thomas Crosbie Media TCH

Uniwell EPOS & sQuid cashless at Bolton University

Uniwell EPOS System Installed At The Ruby Lounge

Traders Arms select Uniwell PurePOS System

Uniwell Launches PurePOS Brand

J2 650 PCPOS Terminal Launched

PT6200HR Exclusive

iX-15 Intel PCPOS Terminal Launched

Uniwell EPOS Systems on Display at Northern Restaurant and Bar 2009

Uniwell.net Stockman Launched

QX8000 Cash Register Launched

Search

Home

About Uniwell

How to Buy & Advice

For Resellers

EPOS Catalogue

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EPOS System - Benefits

EPOS systems will probably pay for themselves within 18 months if you have a high turnover busbe longer for businesses with medium revenues however it will still deliver considerable business tools and information to make informed business decisions and grow your business.

For small operations a cash register will probably meet your needs for considerably less money. Min anEPOS system from the outset, often because they have reaped the benefits before, or becausethey can build upon.

In the long term a good POS system can save you money, increase productivity and save you time forward. No matter how small a business is, an EPOS system is rarely unnecessary as it will bring

better reports, faster transaction times or better stock management.

However, your EPOS system wont run all by itself, so the big question is how soon you can makebenefits a EPOS can bring and how it can help you.

Save time and money

Increase transaction speed and quality of service

Faster transactions can be achieved by using a touch screen POS t

operate, in retail adding a barcode scanner will make the checkout fa

Easy to use touch screen EPOS allow products to be found quicker, o

times are often reduced.
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Advanced Product Search

Site Map

Quick stock searches and level checks prevent customers from wa

Hand held order terminals like Orderman DON andOrderman MAX

boost productivity and up-sell extra items. Fancy a glass of port with

Queue busting and faster ordering can all be achieved by implem

Accurate billing - If an item is ordered its in the POS system so youagain.

More efficient transactions - customers will get served quicker an

Improve business efficiency and productivity

Take control - Back of house tools likeEPOS Office and EPOS-MS wil

quick and timely changes to products, retail prices and menus.

Retailers can run targeted promotions such as happy hours, mu

and maintain different price files for different outlets, days of the wee

Faster order processing for restaurants and quick service operatio

kitchen order printersorkitchen display systems.

Better staff productivity - Orders are automatically relayed to a ki

wireless order pad, leaving staff with more time to interact with custo

Manager alerts Managers can be alerted or paged directly from th

bar or attend to customers. SeeEPOS Alert

Reduced Paperwork- Use your POS system to reduce paperwork a

Hand held stocktaking - Retail and Hospitality operations may cons

Stockman to speed up stocktaking and delivery procedures or introdu

Reduce fraud and shrinkage

Shrinkage is the general term applied to the inventory that goes mis

restaurant. It may be simply unreported wastage or theft, and emploprovides free drinks to friends.

Staff ID buttons (Dallas key ori-button) help reduce shrinkage, by uoperators, allowing you to report on individual staff members.

Visibility - Make staff aware that stock levels are being carefully mo

the staff room, shrinkage will miraculously dwindle.

Line checks quick and random line checks are often more effective

CCTV integration allows transaction data to be overlaid on top of C

the point of sale.

Search CCTV footage by transaction events such as corrections, vo

allow you remote access to the CCTV.

Better cash control

Know your position At any time during the day, a POS system can

cash drawer or how many of a particular product you have sold today

Manager only functions for voids or refunds prevent staff misuse

End of day cash declarations on your POS system can force staff t

the cash drawer, making variances easier to trace.

Cash Lifts Set warning levels to alert you when to make a cash lift

Improve stock management
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Minimize stock variances with regular weekly and monthly stock c

Reduce working capital and interest by optimizing stock holding

Faster stock taking can be achieved by using hand held stocktakin

Stock Alerts - Automatic stock re-ordering triggers can compile and

Stock analysis - Detailed reports make it much easier to keep the r

exactly what trends affect them find a few surprises once they have t

Identify slow stock items, spot sales trends, and use historical dat

Build intelligence to grow profits

Fast and accurate reports from your POS system to support busine

Get reports anywhere anytime and stay in touch with fast moving

access reports via the internet or have them automatically emailed to

Better margins - Detailed sales mix reports help you focus on highe

promoting under-performing dishes in a restaurant can help you boos

Monitor promotions and discounts to make sure youre not just giv

Manage staff hours to maximize profits. Rotas, clock in/out and lab

Compare performance against other stores, days, weeks months a

performing.

Improve customer loyalty and retention

Build a list of your customers - collect their contact details and ge

Targeted advertising offer incentives to your customers so they r

your POS system or loyalty cards, gift cards and vouchers.

CRM Customer relationship management tools can be used to com

emails to be sent out.

Point of purchase advertising can be used to draw attention to itemay even be able to generate revenue from 3rd party advertising.

Its important to remember that to realize many of the benefits of an EPOS system requires dedicatgenerated, it wont do all the work by itself. Without suitable training or ongoing analysis, even theregister.

If you would like us to help you choose your EPOS system you can call us on 0845 602 4347 or sias soon as possible.

Back to EPOS Buyers Guide

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ISO 9000 series of standards

ISO 9000 includes the following standards:

ISO 9000:2005 Quality management systems Fundamentals and vocabulary describes

fundamentals of quality management systems, which form the subject of the ISO 9000 family, and definesrelated terms.

ISO 9001:2008 Quality management systems Requirements is intended for use in any

organization regardless of size, type or product (including service). It provides a number of requirementswhich an organization needs to fulfill to achieve customer satisfaction through consistent products andservices which meet customer expectations. It includes a requirement for continual (i.e. planned)improvement of the Quality Management System, for which ISO 9004:2000 provides many hints.

This is the only implementation for which third-party auditors can grant certification. It should be noted that certification is not described as anyof the 'needs' of an organization as a driver for using ISO 9001 (see ISO 9001:2000 section 1 'Scope') but does recognize that it may be used forsuch a purpose (see ISO 9001:2000 section 0.1 'Introduction').

ISO 9004:2000 Quality management systems - Guidelines for performance improvements

covers continual improvement. This gives you advice on what you could do to enhance a mature system.This document very specifically states that it is not intended as a guide to implementation.

There are many more standards in the ISO 9001 series (see "List of ISO 9000 standards"from ISO), many of them not even carrying "ISO 900x"numbers. For example, some standards in the 10,000 range are considered part of the 9000 group: ISO 10007:1995 discusses Configurationmanagement, which for most organizations is just one element of a complete management system. ISO notes: "The emphasis on certificationtends to overshadow the fact that there is an entire family of ISO 9000 standards ... Organizations stand to obtain the greatest value when thestandards in the new core series are used in an integrated manner, both with each other and with the other standards making up the ISO 9000family as a whole".

Note that the previous members of the ISO 9000 series 9002 and 9003 have been integrated into 9001. In most cases, an organization claiming tobe "ISO 9000 registered" is referring to ISO 9001.

[edit] Contents of ISO 9001

ISO 9001 certification of a fish wholesaler inTsukiji

ISO 9001:2008 Quality management systems Requirements is a document of approximately 30 pages which is available from the nationalstandards organization in each country. Outline contents are as follows:

Page iv: Foreword
http://www.iso.ch/iso/en/CatalogueListPage.CatalogueList?ICS1=3&ICS2=120&ICS3=10&scopelist=http://www.iso.ch/iso/en/CatalogueListPage.CatalogueList?ICS1=3&ICS2=120&ICS3=10&scopelist=http://en.wikipedia.org/w/index.php?title=ISO_9000&action=edit&section=2http://en.wikipedia.org/wiki/Tsukijihttp://en.wikipedia.org/wiki/Tsukijihttp://en.wikipedia.org/wiki/File:ISO_9001_in_Tsukiji.jpghttp://en.wikipedia.org/wiki/File:ISO_9001_in_Tsukiji.jpghttp://www.iso.ch/iso/en/CatalogueListPage.CatalogueList?ICS1=3&ICS2=120&ICS3=10&scopelist=http://www.iso.ch/iso/en/CatalogueListPage.CatalogueList?ICS1=3&ICS2=120&ICS3=10&scopelist=http://www.iso.ch/iso/en/CatalogueListPage.CatalogueList?ICS1=3&ICS2=120&ICS3=10&scopelist=http://en.wikipedia.org/w/index.php?title=ISO_9000&action=edit&section=2http://en.wikipedia.org/w/index.php?title=ISO_9000&action=edit&section=2http://en.wikipedia.org/w/index.php?title=ISO_9000&action=edit&section=2http://en.wikipedia.org/wiki/Tsukijihttp://en.wikipedia.org/wiki/Tsukijihttp://en.wikipedia.org/wiki/Tsukiji


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Pages v to vii: Section 0 Introduction

Pages 1 to 14: Requirements

Section 1: Scope

Section 2: Normative Reference

Section 3: Terms and definitions (specific to ISO 9001, not specified in ISO 9000)

Pages 2 to 14

Section 4: Quality Management System

Section 5: Management Responsibility

Section 6: Resource Management

Section 7: Product Realization

Section 8: Measurement, analysis and improvement

In effect, users need to address all sections 1 to 8, but only 4 to 8 need implementing within a QMS.

Pages 15 to 22: Tables of Correspondence between ISO 9001 and other standards

Page 23: Bibliography

The standard specifies six compulsory documents:

Control of Documents (4.2.3)

Control of Records (4.2.4)

Internal Audits (8.2.2)

Control of Nonconforming Product / Service (8.3)

Corrective Action (8.5.2)

Preventive Action (8.5.3)

In addition to these, ISO 9001:2008 requires a Quality Policy and Quality Manual (which may or may not include the above documents).

[edit] Summary of ISO 9001:2008 in informal language

The quality policy is a formal statement from management, closely linked to the business and marketingplan and to customer needs. The quality policy is understood and followed at all levels and by allemployees. Each employee needs measurable objectives to work towards.

Decisions about the quality system are made based on recorded data and the system is regularly auditedand evaluated for conformance and effectiveness.

Records should show how and where raw materials and products were processed, to allow products andproblems to be traced to the source.

You need to determine customer requirements and create systems for communicating withcustomers about product information, inquiries, contracts, orders, feedback and complaints.

When developing new products, you need to plan the stages of development, with appropriate testing ateach stage. You need to test and document whether the product meets design requirements, regulatoryrequirements and user needs.

You need to regularly review performance through internal audits and meetings. Determine whether the

quality system is working and what improvements can be made. Deal with past problems and potentialproblems. Keep records of these activities and the resulting decisions, and monitor their effectiveness(note: you need a documented procedure for internal audits).

You need documented procedures for dealing with actual and potential nonconformances (problems

involving suppliers or customers, or internal problems). Make sure no one uses bad product, determinewhat to do with bad product, deal with the root cause of the problem and keep records to use as a tool toimprove the system.
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[edit] 1987 version

ISO 9000:1987 had the same structure as the UK Standard BS 5750, with three 'models' for quality management systems, the selection of whichwas based on the scope of activities of the organization:

ISO 9001:1987 Model for quality assurance in design, development, production, installation, and servicing

was for companies and organizations whose activities included the creation of new products.

ISO 9002:1987 Model for quality assurance in production, installation, and servicing had basically the same

material as ISO 9001 but without covering the creation of new products.

ISO 9003:1987 Model for quality assurance in final inspection and testcovered only the final inspection of

finished product, with no concern for how the product was produced.

ISO 9000:1987was also influenced by existing U.S. and otherDefense Standards("MIL SPECS"), and so was well-suited to manufacturing. Theemphasis tended to be placed on conformance with procedures rather than the overall process of managementwhich was likely the actualintent.[citation needed]

[edit] 1994 version

ISO 9000:1994 emphasized quality assurancevia preventive actions, instead of just checking final product, and continued to require evidence ofcompliance with documented procedures. As with the first edition, the down-side was that companies tended to implement its requirements bycreating shelf-loads of procedure manuals, and becoming burdened with an ISO bureaucracy. In some companies, adapting and improving

processes could actually be impeded by the quality system.[citation needed]

[edit] 2000 version

The Portuguese ISO 9001 certification image

ISO 9001:2000 combines the three standards 9001, 9002, and 9003 into one, called 9001. Design and development procedures are required onlyif a company does in fact engage in the creation of new products. The 2000 version sought to make a radical change in thinking by actually

placing the concept of process managementfront and center ("Process management" was the monitoring and optimizing of a company's tasks andactivities, instead of just inspecting the final product). The 2000 version also demands involvement by upper executives, in order to integratequality into the business system and avoid delegation of quality functions to junior administrators. Another goal is to improve effectiveness via

process performance metrics numerical measurement of the effectiveness of tasks and activities. Expectations of continualprocessimprovementand tracking customer satisfaction were made explicit.

The ISO 9000 standard is continually being revised by standing technical committees and advisory groups, who receive feedback from thoseprofessionals who are implementing the standard.[1]

[edit] 2008 version

ISO 9001:2008 only introduces clarifications to the existing requirements of ISO 9001:2000 and some changes intended to improve consistencywith ISO 14001:2004. There are no new requirements. Explanation of changes in ISO 9001:2008. Aquality management systembeing upgraded

just needs to be checked to see if it is following the clarifications introduced in the amended version .[1]Practical Guide to Implementing ISO9001:2008

[edit] Certification

ISO does not itself certify organizations. Many countries have formed accreditation bodies to authorize certification bodies, which auditorganizations applying for ISO 9001 compliance certification. Although commonly referred to as ISO 9000:2000 certification, the actual standardto which an organization's quality management can be certified is ISO 9001:2000. Both the accreditation bodies and the certification bodiescharge fees for their services. The various accreditation bodies have mutual agreements with each other to ensure that certificates issued by one ofthe Accredited Certification Bodies(CB) are accepted worldwide.

The applying organization is assessed based on an extensive sample of its sites, functions, products, services and processes; a list of problems("action requests" or "non-compliances") is made known to the management. If there are no major problems on this list, or after it receives asatisfactory improvement plan from the management showing how any problems will be resolved, the certification body will issue an ISO 9001certificate for each geographical site it has visited.

An ISO certificate is not a once-and-for-all award, but must be renewed at regular intervals recommended by the certification body, usuallyaround three years. In contrast to theCapability Maturity Modelthere are no grades of competence within ISO 9001.
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[edit] Auditing

Two types ofauditing are required to become registered to the standard: auditing by an external certification body(external audit) and audits byinternal staff trained for this process (internal audits). The aim is a continual process of review and assessment, to verify that the system isworking as it's supposed to, find out where it can improve and to correct or prevent problems identified. It is considered healthier for internalauditors to audit outside their usual management line, so as to bring a degree of independence to their judgments.

Under the 1994 standard, the auditing process could be adequately addressed by performing "compliance auditing":

Tell me what you do (describe the business process)

Show me where it says that (reference the procedure manuals)

Prove that this is what happened (exhibit evidence in documented records)

How this led to preventive actions was not clear.

The 2000 standard uses the process approach. While auditors perform similar functions, they are expected to go beyond mere auditing for rote"compliance" by focusing on risk, status and importance. This means they are expected to make more judgments on what is effective, rather thanmerely adhering to what is formally prescribed. The difference from the previous standard can be explained thus:

Under the 1994 version, the question was broadly "Are you doing what the manual says you should be

doing?", whereas under the 2000 version, the question is more "Will this process help you achieve your

stated objectives? Is it a good process or is there a way to do it better?".

TheISO 19011 standard for auditing applies to ISO 9001 besides other management systems like EMS ( ISO 14001), FSMS (ISO 22000) etc.

[edit] Industry-specific interpretations

The ISO 9001 standard is generalized and abstract. Its parts must be carefully interpreted, to make sense within a particular organization.Developing software is not like makingcheeseor offeringcounselingservices; yet the ISO 9001 guidelines, because they are businessmanagement guidelines, can be applied to each of these. Diverse organizationspolice departments (US), professional soccerteams (Mexico)and city councils (UK)have successfully implemented ISO 9001:2000 systems.

Over time, various industry sectors have wanted to standardize their interpretations of the guidelines within their own marketplace. This is partlyto ensure that their versions of ISO 9000 have their specific requirements, but also to try and ensure that more appropriately trained andexperienced auditors are sent to assess them.

TheTickIT guidelines are an interpretation of ISO 9000 produced by the UK Board of Trade to suit the

processes of the information technology industry, especially software development.

AS9000 is the Aerospace Basic Quality System Standard, an interpretation developed by major aerospace

manufacturers. Those major manufacturers include AlliedSignal, Allison Engine, Boeing, General ElectricAircraft Engines, Lockheed-Martin, McDonnell Douglas, Northrop Grumman, Pratt & Whitney, Rockwell-

Collins, Sikorsky Aircraft, and Sundstrand. The current version isAS9100.

PS 9000 is an application of the standard for Pharmaceutical Packaging Materials. The Pharmaceutical

Quality Group (PQG) of the Institute of Quality Assurance (IQA) has developed PS 9000:2001. It aims toprovide a widely accepted baseline GMP framework of best practice within the pharmaceutical packagingsupply industry. It applies ISO 9001: 2000 to pharmaceutical printed and contact packaging materials.

QS 9000 is an interpretation agreed upon by major automotive manufacturers (GM, Ford, Chrysler). It

includes techniques such as FMEAandAPQP. QS 9000 is now replaced by ISO/TS 16949.

ISO/TS 16949:2002 is an interpretation agreed upon by major automotive manufacturers (American and

European manufacturers); the latest version is based on ISO 9001:2000. The emphasis on a processapproach is stronger than in ISO 9001:2000. ISO/TS 16949:2002 contains the full text of ISO 9001:2000and automotive industry-specific requirements.

TL 9000 is the Telecom Quality Management and Measurement System Standard, an interpretation

developed by the telecom consortium,QuEST Forum. The current version is 4.0 and unlike ISO 9001 or theabove sector standards, TL 9000 includes standardized product measurements that can be benchmarked.In 1998 QuEST Forum developed the TL 9000 Quality Management System to meet the supply chainquality requirements of the worldwide telecommunications industry.

ISO 13485:2003 is the medical industry's equivalent of ISO 9001:2000. Whereas the standards it replaces

were interpretations of how to apply ISO 9001 and ISO 9002 to medical devices, ISO 13485:2003 is astand-alone standard. Compliance with ISO 13485 does not necessarily mean compliance with ISO9001:2000.
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ISO/TS 29001 is quality management system requirements for the design, development, production,

installation and service of products for the petroleum, petrochemical and natural gas industries. It isequivalent to API Spec Q1 without the Monogram annex.

[edit] Debate on the effectiveness of ISO 9000

The debate on the effectiveness of ISO 9000 commonly centers on the following questions:

1. Are the quality principles in ISO 9001:2000 of value? (Note that the version date is important: in the 2000version ISO attempted to address many concerns and criticisms of ISO 9000:1994).

2. Does it help to implement an ISO 9001:2000 compliant quality management system?

3. Does it help to obtain ISO 9001:2000 certification?

[edit] Advantages

It is widely acknowledged that proper quality management improves business, often having a positive effect on investment, market share, salesgrowth, sales margins, competitive advantage, and avoidance of litigation.[2][3]The quality principles in ISO 9000:2000 are also sound, accordingto Wade,[4]and Barnes,[3]who says "ISO 9000 guidelines provide a comprehensive model for quality management systems that can make anycompany competitive." Barnes also cites a survey by Lloyd's Register Quality Assurance which indicated that ISO 9000 increased net profit, andanother by Deloitte-Touche which reported that the costs of registration were recovered in three years. According to the Providence BusinessNews[5], implementing ISO often gives the following advantages:

1. Create a more efficient, effective operation

2. Increase customer satisfaction and retention

3. Reduce audits

4. Enhance marketing

5. Improve employee motivation, awareness, and morale

6. Promote international trade

7. Increases profit

8. Reduce waste and increases productivity

However, a broad statistical study of 800 Spanish companies[6] found that ISO 9000 registration in itself creates little improvement becausecompanies interested in it have usually already made some type of commitment to quality management and were performing just as well beforeregistration.[2]

[edit] Problems

A common criticism of ISO 9001 is the amount of money, time and p