Asset Protection Remote Compliance Audit

• Conducted on

  Date

• Prepared by

• Store

  Select AA1 AZ2 AZ3 BA1 BO1 CA1 CA3 CA4 CA5 CH1 CH2 CH3 CH4 CH6 CH7 CH9 CO2 CO3 CT1 CT2 DA1 DA2 DC1 DC2 FL2 FL3 FL5 FL6 GA3 GA4 HI2 LA1 LA4 LA7 LA8 LA9 LAB LAD LAE LAF LAG LAH LAJ LAK LAP LAQ LAR LAS LV1 LV3 LV4 MA1 MA2 MA3 MD1 MD2 MD3 MG2 MG3 MI1 MI6 MI7 MN1 MN2 MZ1 NE1 NC2 NJ2 NJ3 NJ6 NO1 NY1 NY3 NY4 NY5 NY6 NY7 NY8 NY9 NYA NYB NYD NYE NYF NYG NYH NYJ NYK NYL NYM NYN NYO NYP NYQ OC1 OC3 OH1 OH2 OH3 OR1 PE1 PH1 PH2 PH3 PO1 PO2 PO3 SC1 SD1 SD2 SD5 SE1 SE2 SE3 SE4 SF1 SF2 SF3 SF4 SF5 SF9 SFA SZ1 SZ2 TN1 TN2 TX1 TX2 TX4 TX5 TX6 UT1 VG1 VT1 WS1 WS2 CA5 LAL OC4

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  • CA5
  • LAL
  • OC4

• Name of store employee or member of management spoke to during the audit.

ASSET PROTECTION GUIDELINES

• 1. Are employee bag checks conducted in view of a camera at the front door when leaving the store? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 2. Are fitting room doors locked and secured when not in use? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 3. Is the fitting room numbering system in use and being used consistently? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 4. Is there evidence of an employee on the sales floor assisting customers? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 5. Does the manager on duty know the stores current shrink percentage or shrink dollars? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Name and position of employee interviewed

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 6. Does the manager on duty know about the Asset Protection Tip Line? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Name and position of employee interviewed

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 7. Are all "STAFF" purchases processed correctly with employee name in the customer field? (Source of Information: RPRO Exception Reports)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 8. Are all "ALLOWANCE" transactions processed correctly with employee name in the customer field? (Source of Information: RPRO Exception Reports)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 9. Are all employees within their "ALLOWANCE" amount for the current season? (Source of Information: RPRO Exception Reports)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 10. When purchasing "Multi-Brand" items is the staff following the company's discount policy? Review the last 30 days? (Source of Information: RPRO Exception Reports)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

PHYSICAL SECURITY

• 1. Is the alarm contact information up to date? (Source of Information: Alarm Log, Workbrain)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 2. Are all stock room or fire exits doors closed during operating hours? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 3. Is the staff entering or exiting the store during operating hours through the main entrance/exit? (Source of Information: Video Review

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 4. Is the sensor detacher secured to the cash desk? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Name and position of employee interviewed

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 5. At opening and closing, is management entering/exiting the store with one other employee through the designated entrance/exit? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 6. Has the store's safe combination been changed in the last six months or after a change in store management? (Source of Information: Asset Protection Key Log Database)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 7. Has the store alarm been set every night at closing? Check the last 14 days of alarm activity. (Source of Information: ADT Online)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 8. According to ADT online alarm activity, are all alarm procedures being followed with no unexpected store entries ,early unexplained openings or late closings in the last 14 days? (Source of Information: ADT Online)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 9. According to ADT online, are all policies being followed pertaining to alarm code sharing? (Source of Information: ADT Online)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 10. Is the store's video equipment recording and functioning properly? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 11. Are all camera views clear and not blocked by any hanging signs, display items,mannequins,fixtures,grids or holiday displays? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 12. Do the key holder agreements on file reflect the current staff in the store? (Source of Information: Asset Protection Key Database)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 13. Is the EAS system turned on and functioning properly? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

CASH CONTROL

• 1. Do all cashiers use the UV light or inspect the OVI (optical variable ink) on U.S currency bills $20.00 or higher?<br>(Source of Information: Video Review)

  YES

  NO

  N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 2. Are all cashiers verifying the customers identification for credit card purchases? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 3. Review the KPI for the last 14 days, is the stores variances lower than the district average? (Source of Information: RPRO Exception Reports)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 4. Are merchant ID numbers and merchant services telephone numbers readily available at the P.O.S. station? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Name and position of employee interviewed

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 5. Are cashiers and members of management able to identify the best practices to prevent the acceptance of fraudulent credit cards? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Name and position of employee interviewed

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 6. Are cashiers and members of management able to identify the best practices to prevent the acceptance of counterfeit currency? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Name and position of employee interviewed

• Details: (Please document dates, times and transaction numbers of any noncompliance issues)

RISK MANAGEMENT

• 1. Are all emergency exits unobstructed with a clear path to exit in the event of an emergency? (Source of Information: Video Review)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• Add media

  Media

• 2. Is the Emergency Contact Reference (ECR) sheet completed and accessible at the P.O.S. station? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Name and position of employee interviewed

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• 3. Are there working flashlights available to the staff at the P.O.S. station in the event of a power outage? (Source of Information: Employee Interview)

  Select YES NO N/A

  • YES
  • NO
  • N/A

• Name and position of employee interviewed

• Details: (Please document dates,times and transaction numbers of any noncompliance issues)

• All audit discrepancies must be corrected immediately. It is the store manager or acting manager's responsibility to submit a written response to this audit for any deficient questions. The response must include 1) an action plan outlining the steps that have or will be taken to correct the problem. 2) issues, concerns and or justification for specific audit questions that you dispute, along with supporting documentation. Your audit follow up must be submitted using the link below.
  Click on link to start follow up.
  
  https://docs.google.com/forms/d/1I_ur_Gitq3zS0nyDw_wXAqQGBhvZQ0OYjbpQk8byk2M/viewform