Accent Group Loss Prevention Audit

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  Media

• Store

• Audit Number

• Conducted on

  Date

• Loss Prevention

Store Details

• Store Name

• Address
  Address

• Store Manager

• Area Manager

• Photo/s of store

  Media

Previous Audit

• Previous Audit Completed

  Yes

  No

• Date of previous Audit

  Date

• Score of previous Audit

• Loss Prevention who completed Audit

• Major Issues identified in Audit

Executive Summary from this Audit

• Executive Summary

• Additional comments / photo's required for items or issues not contained in this Audit

• Any additional photo/s for items or issues not contained in this Audit

  Media

• Any comments for items or issues not contained in this Audit

Cash Handling

• Cash float at approved level?<br><br>

  Yes

  No

  N/A

• Check float is at designated amount. Fail if float is at incorrect level, or variance of greater than $5

• End of Day Balance Sheet is in use and balanced daily.

  Yes

  No

  N/A

• Check End of Day Balance Sheet for the last 4 weeks.
  Fault also occurs where variance noted on sheet and not rectified and/or reported as per process.

• Register clearances are being conducted.

  Yes

  No

  N/A

• Banking performed daily?

  Yes

  No

  N/A

• Observations of sealed banking bags in the safe, with all required information completed on the bag and also the deposit slip.

• Banking details match

  Yes

  No

  N/A

• Check details in AP21 Fail occurs where there is a difference in the amount and this has not been reported to Banking or Loss Prevention.

• Daily Balance Sheets being used for all Tills in use

  Yes

  No

  N/A

• Check Daily Balance Sheets are in use, and correct information is being completed daily.

• Register variances are reported and followed up

  Yes

  No

  N/A

• Check that all variances over $5 are being followed up with the operator/s. Variances over $20 must be reported to Loss Prevention and Area Manager. Where consistent variances are occurring team retraining or performance management must be demonstrated. Large or often occurring variances are to be investigated.

• Safes are in good condition and operate effectively

  Yes

  No

  N/A

• Check that all safes are operating effectively. Doors should swing freely, locks operate, and code pads work. Safe size should also be appropriate for the size of the store.

• Safes covered by alarm and CCTV system

  Yes

  No

  N/A

• Check that alarm system is effective and detectors not blocked by stock.

• Banking collection/ Drop off occurs as per process

  Yes

  No

  N/A

• Is the two person rule being followed at all times when handling cash and commencement and end of day.

  Yes

  No

  N/A

• Two Team Members must be in attendance when cash is being handled during opening and closing as per procedure
  

• Additional Comments?

• Overall comments regarding Cash Handling within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Refunds

• Refunds / Exchanges checked from the following date range:

• You should access all refund information for the previous month. You should ensure you have receipts for all tills as well as refund reports printed by the store.
  
  Resources -
  - AP21 refund report
  

• Is the Customer Refund Policy on display at the main POS area of the store?

  Yes

  No

  N/A

• Has the Refund Reconciliation Report been printed daily and signed off as being reviewed by the Management Team

  Yes

  No

  N/A

• Check that the Refund Report has been printed off daily and has been signed off by the Manager completing the daily reports. Fault for any day not printed out, fault for more than one occasion that report has not been signed off. Fault for sign off by Management Team where issues haven't been identified (e.g. missing receipts not identified, which would indicate report has not been checked)

• Are all refund/exchange receipts accounted for?

  Yes

  No

  N/A

• Check that all refund/exchange receipts are accounted for. Compare receipts to refund report. Fault if two or more are missing from last 14 days without appropriate follow up from Management.

• Do all refund/exchange receipts have two team member signatures?

  Yes

  No

  N/A

• Check that all refund/exchange receipts have two team member signatures.

• Do all refunds / exchanges have appropriate original transaction details or customer identification present?

  Yes

  No

  N/A

• You should be checking that all refunds/exchanges have the complete original transaction number and date listed. All refunds over $50 should have the original transaction confirmed via original receipt or from the transaction journal from AP21.
  
  Where this is no receipt, you need to establish complete customer details are valid.

• Additional Comments?

• Overall comments regarding Refunds within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Compliance

• Recall stock acted upon by due date and held in appropriate signed area?

  Yes

  No

  N/A

• Fault occurs for any instance of non compliant stock still on selling floor. Fault occurs if more than one compliance instruction has not been completely followed (ie sent back to supplier by due date)
  
  

• Flammable materials area correctly maintained (shoe care)?

  Yes

  No

  N/A

• Lost Property process is correctly actioned.

  Yes

  No

  N/A

• Check to see if Lost Property process has been implemented and is being followed. A Lost Property box and log in place within store. All items are to be listed on log.

• Additional Comments?

• Overall comments regarding Compliance within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Back of House

• Back of House sufficiently set up to ensure efficient delivery receipting and appropriate stock distribution.

  Yes

  No

  N/A

• Is the back of house area free of clutter with clear walkways and stock easily accessible.

• Stock not left outside back of house areas unattended

  Yes

  No

  N/A

• Fault occurs if stock is found left outside of back of house for an extended period of time. Notate times found unattended.

• Receiving door not left open when area unattended.

  Yes

  No

  N/A

• Fault occurs if Receiving door is found open for an extended period of time. Notate time found open.

• Supplier Returns/claims section clearly marked and maintained

  Yes

  No

  N/A

• Fault occurs if Suppliers Returns/claims area is untidy, spread across multiple areas, or has a lengthy back log.

• Stock is secured adequately

  Yes

  No

  N/A

• Fault if stock is found unattended in boxes or on pallets outside of the back of house area on the selling floor.

• Stock is stored adequately

  Yes

  No

  N/A

• Fault if stock is stored poorly in the storeroom

• Additional Comments?

• Overall comments regarding Receiving Area within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Team

• Team Member purchases are processed correctly

  Yes

  No

  N/A

• Discussion with the Manager to ensure there is some control over Team Member purchases. I.e. not during shift, with designated Manager

• No Team Member Lay-bys/ Hold Asides

  Yes

  No

  N/A

• If found, notify area manager/state manager.

• Team Members are not holding merchandise

  Yes

  No

  N/A

• Look for stock being held by Team Members. You need to check Back of house and POS areas.

• Team Member lockers are correctly maintained

  Yes

  No

  N/A

• Lockers should be able to be locked.

• Store Manager Relief / Takeover checklist has been utilised since last change of Store Manager

  Yes

  No

  N/A

• Team Member bags and personal items are not held at registers /selling floor.

  Yes

  No

  N/A

• Check registers /selling floor for Team Members bags and personal belongings.

• Additional Comments?

• Overall comments regarding Team within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Stock

• Stock required for in store use to have the appropriate stock movement taken.

  Yes

  No

  N/A

• All testers must have correct stock movement applied - Check stock on hand.

• Stock priced with relevant ticketing to product

  Yes

  No

  N/A

• Tickets should be displayed and show accurate for price for the correct product. Select 10 items at random including sale stock

• Permanent price changes actioned by due date

  Yes

  No

  N/A

• EAS Security Tagging guidelines are followed within the spirit of the Tagging Guidelines document and are consistent across ranges of items

  Yes

  No

  N/A

• check for consistency of tagging.

• Damaged merchandise process adhered to

  Yes

  No

  N/A

• Check that items being marked down due to being damaged, that the process is occurring correctly, prices are within guidelines.

• Additional Comments?

• Overall comments regarding Stock within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Building

• The store to display the appropriate Conditions of Entry signage near the entrance of the store

  Yes

  No

  N/A

• Check entry for conditions of entry signage. Sign not to be obstructed by other signs or stock. Sign is to be clearly legible and not damaged.

• All locks and doors have adequate security

  Yes

  No

  N/A

• All locks and doors lock and close correctly.

• All digital keypad locks have had codes changed in the last 12 months, or after a significant incident.

  Yes

  No

  N/A

• Confirm when code was last changed.

• Stores CCTV system is operational and all cameras showing image and monitors are operating

  Yes

  No

  N/A

• Management Team are aware of how to operate the CCTV system to review and burn footage

  Yes

  No

  N/A

• Ask Management Team if they know how to operate CCTV system. If unsure of validity, ask to demonstrate.

• Store to have the appropriate signage relating to the use of CCTV in the store

  Yes

  No

  N/A

• Are two Team Members entering and leaving the store together

  Yes

  No

  N/A

• Discuss with Manager, review rosters and alarm entry times. Check CCTV system if available.

• All alarm equipment is operational and not obstructed by stock?

  Yes

  No

  N/A

• Observations of alarm equipment.

• Alarm walk tests are being conducted quarterly

  Yes

  No

  N/A

• Check when the last alarm walk test was conducted. Check to see if any issues identified in last walk test have been rectified.

• Alarm codes are up to date

  Yes

  No

  N/A

• Check codes in alarm panel. Fault if codes found active for former employees.

• Alarm after hours call out listing is up to date and all numbers are correct.

  Yes

  No

  N/A

• After hours call out listing is current and up to date. Update at the time of the audit.

• Alarm Weekly Open/Close Report being followed up

  Yes

  No

  N/A

• Where a Store has been identified on weekly alarm open / close report, ensure that follow up has occurred. Fault occurs if store is constantly on the report.

• EAS gates are fully operational

  Yes

  No

  N/A

• Test EAS gates. Use hard tag to ensure consistent activation. Fault if issues found that have not been reported.

• EAS deactivators and tag removers are fully operational

  Yes

  No

  N/A

• Test deactivators and detachers to ensure they operate. Fault for issues found that have not been reported.

• Team Members aware of what to do in case of an EAS activation

  Yes

  No

  N/A

• Discuss with Team Members, ask them how they would handle a customer that activates EAS gates.

• Fitting Rooms are operational and clear of stock and tags.

  Yes

  No

  N/A

• Check Fitting Rooms. Fault occurs if excess build up of clothing, hangers, tags or rubbish.

• Off site storage is appropriate and secure

  Yes

  No

  N/A

• Ensure that the off site storage is appropriate for the size of the store, and it can be secured appropriately.

• Lockable cabinets in selling areas and POS are secured

  Yes

  No

  N/A

• Check cabinets are all locked. Fault for any cabinets left unlocked. For cabinets missing or have defective locks, fault would occur if high risk / high priced items are in a cabinet that can't be locked.

• Is the Key Register maintained and up to date

  Yes

  No

  N/A

• Check Key Register. Must be up to date.

• Additional Comments?

• Overall comments regarding the Building within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Payroll, Training and People

• Have all Team Members completed the necessary induction / training

  Yes

  No

  N/A

• Ask Manager to bring up world manager to see what the overall completion rate for the entire team. Fault for under 90%, pass for above.

• Have the Management Team conducted the necessary induction / training

  Yes

  No

  N/A

• Check Management Induction records, fault for extended non compliance to the training.

• Additional Comments?

• Overall comments regarding Payroll, People and Training within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

POS Register Process

• All registers logged out when not in use

  Yes

  No

  N/A

• Check all registers at various times throughout audit. Fault occurs where a register is found to be logged in without a Team Member present.

• Operator details are current and accurate in AP21

  Yes

  No

  N/A

• Bring up names on Operator Details in AP21. Look for names of past Team Members or numbers only that are active in the system. Fault occurs for any former Team Member still active in system. If unsure of names have Manager run through list during audit.

• Team Discounts received by appropriate persons

  Yes

  No

  N/A

• Look at discount report. Review transactions with 40% off to ensure that team Identification has been presented and correct fields have been completed i.e. team member name

• Suspended Sales not Resumed Report printed and appropriately followed up

  Yes

  No

  N/A

• Check that report has been printed if suspended transactions have occurred. Evidence of follow up should be demonstrated.

• Voided Transaction / Voided items receipts obtained, signed and archived correctly

  Yes

  No

  N/A

• Check voided transaction receipts ensure notes/reasons for void are provided on the receipt and the receipt signed.

• Daily Cash Up completed as per process

  Yes

  No

  N/A

• Petty Cash Process followed correctly and appropriately authorised

  Yes

  No

  N/A

• Check Petty Cash usage for last two months. All receipts must be accounted for, and appropriate use of Petty Cash must be established. You may need to speak to Area Manager to confirm authority of spend. Fault for any Petty Cash not accounted for.

• Missfoot code usage is appropriate

  Yes

  No

  N/A

• Check weekly dashboard report. Fault would occur for high usage of dump codes without follow up with the Team.

• Additional Comments?

• Overall comments regarding POS Register Process within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Stock Movement

• Is there outstanding items on the Stock In Transit Report

  Yes

  No

  N/A

• Review Stock In Transit report. Fault occurs for items in transit for significant periods of time without constant follow up.

• Goods receipting is up to date

  Yes

  No

  N/A

• Ensure that Goods Receipting is up to date. Review cartons received vs what is outstanding. Fault would occur if cartons have been accepted and distributed without actually being receipted.

• Goods Receiving Log being used correctly

  Yes

  No

  N/A

• Review log and ensure that it is being used correctly and is up to date.

• Negative Stock On Hand Report reviewed and followed up

  Yes

  No

  N/A

• Fault occurs for reports that clearly haven't been followed up regularly. View NSOH report via AP21, separate customer orders - items remaining are fault.

• Supplier returns/claims are being actioned in a timely manner

  Yes

  No

  N/A

• Review Supplier Claims / Returns area. It should be maintained in a neat and tidy manner. Items should be followed up within a reasonable time frame. Items should have paperwork with dates attached. Check a number and fault occurs if items have been there for an unreasonable time frame.

• Store transfers are being processed correctly

  Yes

  No

  N/A

• This will show on the Stock In Transit Report. Fault occurs where items outstanding for an unreasonable period of time

• Is all stock leaving from the Receiving area with the appropriate paperwork

  Yes

  No

  N/A

• Ask the Receiving Team what the process if for stock leaving back door. Make observations throughout the day.

• Additional Comments?

• Overall comments regarding Stock Movement within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Incidents

• Are stores reporting incidents through to Loss Prevention

  Yes

  No

  N/A

• Based on information sent through or communicated to Loss Prevention against known incidents that have occurred within the store. Fault occurs if incidents haven't been recorded.

• Is the store aware of their shrinkage hot items/SKU's

  Yes

  No

  N/A

• Stores should be able to talk about where their shrinkage hot items are within the store. Fault occurs if store have very little idea where there area of losses occur.

• Additional Comments?

• Overall comments regarding Incidents within this store

• Follow Up?

• Follow up required

  Yes

  No

• Who is responsible:

• Action required by:

  Date

Sign Off

• This audit has been discussed with the Store Manager/2IC. Areas of improvement have been discussed and actions on how to rectify.

  Yes

  No

• Store Manager/ 2IC

• Will be followed up via

  Phone Call

  Re Visit

  Email

• Will be followed up by

  Date

• Loss Prevention

  Sign

• Loss Prevention Comments

• Store Manager / 2IC

  Sign

• Store Manager/ 2IC comments