Information
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Audit Title
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Document No.
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
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All audit discrepancies, especially those involving life safety issues must be corrected immediately. The store manager or acting manager of responsibility must submit a written response to this audit for any deficient topic. 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. The written response must be submitted to the appropriate district manager (where applicable), the Retail Operations and Asset Protection Directors within two weeks of the audit.
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Region
- New York
- Los Angeles
- Florida
- Chicago
- Texas
- Boston
- New Jersey
- North East States
- South East States
- Mid Atlantic States
- Mid West
- Philadelphia
- San Francisco
- Orange County
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District Sales Manager
ASSET PROTECTION
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Are all employee's personal belongings, including management, secured in a single designated location such as company provided lockers?
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Is POS desk area clear of any stashed or hidden product? (check drawers and under stock)
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Is a manager and at least one other employee involved in trash removal? Contents of trash must be viewed by a manager before exiting the store. As the bags are placed into the dumpster they must be torn open and contents exposed.
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Are employee bags checks conducted when leaving the store? Review one incident for each key holder. All bag checks must be conducted in view of a camera at the front door.
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Is the store's most current shrink figures posted in an area where they are visible to store staff? Question a few employees to verify they know what shrink is and they are aware of their store's current shrink figure.
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Are fitting room doors locked when not in use? Are fitting rooms free and clear of any defeated sensor tags, price tags, hangers, and garments? (inspect two times during the course of the audit)
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Is the fitting room numbering system in use and being used consistently? (limit of 5 garments per customer allowed)
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Are all customers greeted upon entry into the store?
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Is the EAS system turned on and functioning properly? If not, has service been requested? (check functionality of the system using an active sensor tag)
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Is the store's EAS sensor tagging compliance exceed 90%? (randomly audit a minimum of 150 garments). Inspect sensor tag placement to ensure tagging guidelines are meeting standards according to the Universal Tagging Guidelines found on the intranet.
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Is the Asset Protection Tip Line poster prominently displayed either in the stock room or office area where store staff may easily view the poster?
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Is the store staff aware of the purpose of the Tip Line and how to use it? (randomly ask staff to obtain their general knowledge of the Tip Line)
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Is the camera and POP printer stored in the store safe when not in use?
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Is the manager on duty able to identify the 6 steps to handle a shoplifter? (Observe, Selection, Conceal, Uninterrupted Observation, Exit, Identify yourself)
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Are the proper coupon codes used during staff purchases? Review 10 random staff transactions (allowance, multi-brand, staff).
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Are sensor tags removed from garments that are RTF or store to store transfers? (inspect cartons that contain either a RTF or transfer)
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Is the sales floor in a clean and organized manner? No merchandise out of place, scattered or stashed in corners, between shelves or closets on the sales floor? Are there empty packages, loose price tags or defeated sensor tags found on the sales floor? (the purpose of this question is to identify if a store is a target for shoplifting due to their condition of the sales floor)
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ASSET PROTECTION ACTION PLAN
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Action Plan Due By
PHYSICAL SECURITY
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Are all sales floor perimeter doors (if applicable) locked and secure? Push on each door to validate the doors are secured. Inspect the roof hatch where applicable.
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Have all installed Detex units been tested monthly?
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Are all stock room or fire exit doors closed during operating hours? No door is to be open providing access to the store from the outside.
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Are remote (offsite) stock rooms secured? Door locks function properly and staff is properly securing doors when work is being performed in the stock room as well as during periods when there are no staff in the stock rooms.
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Is the installed alarm equipment functioning properly? Motion sensors not obstructed by merchandise of mannequins and wiring to all equipment is intact on all devices and the keypad is working properly?
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Is the alarm contact information up to date? Phones numbers must be current and former employees deleted from the list of alarm code holders.
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At opening and closing, is management entering/exiting the store with one other employee through the designated entrance/exit? (review one occurrence per key holder on video)
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Are doors properly secured before opening and after closing? Doors must be locked prior to opening for business and once the last customer has exited.
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Is all video equipment working properly? (verify the the system is recording)
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Are all camera views clear and not blocked by any hanging signs, display items, mannequins, fixtures, grid, holiday or seasonal displays?
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Interview the manager on duty, is he/she familiar with the burglar alarm response best practices?
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Is the safe door in a closed position, locked and secure and has the safe code been changed sometime in the past six months or after the last change in management?
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Are all managers in possession of their store keys? If store keys are not in the possession of management at the time of the audit are they in a secure place within the store, such as a locked desk drawer, locked cabinet or locker?
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Is the staff entering or exiting the store during operating hours through the main entrance/exit?
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PHYSICAL SECURITY ACTION PLAN
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Action Plan Due By
RISK MANAGEMENT
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Are emergency exit doors unobstructed? (no boxes, trash or fixtures in front of doors blocking ease of access in the event of an emergency)
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Are there working flashlights available to the staff in the event of a power outage?
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Is the first aid kit easily accessible to the staff? (ask random employees if they know the location of the first aid kit)
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Does the store first aid kit contain bandages, gauze, medical tape, first aid cream, eye wash, and no expired items?
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Are all emergency exits properly signed?
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Are all areas of the store free of all tripping or slipping hazards? Look for extension cords, loose flooring, wet floors or sharp edges that are potential hazards.
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Is there a minimum of 36" clearance around all electrical panels?
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Have all fire extinguishers been serviced within the last 12 months and are they inspected by management every month? (inspection tags must contain initials and inspection dates by management)
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Are all fire extinguishers mounted and unobstructed? Check to ensure there are no objects leaning against or blocking the fire extinguisher. The fire extinguish must not be positioned on the floor.
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Is the store free of electrical hazards? Look for frayed extension / power cords, light switches and outlets missing faceplates, open j-boxes and exposed wiring.
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Are racks, fixtures, stacked boxes and or merchandise a minimum of 18" below sprinkler heads on a horizontal plane?
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Is the Emergency Contact Reference (ECR) sheet completed and accessible at the POS station as well as the Manager's office?
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RISK MANAGEMENT ACTION PLAN
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Action Plan Due By
CASH CONTROLS
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Are there two full service cash tills in use during business hours?
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Is the safe detail counted at minimum once per day? Audit two days for each member of management.
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Are all returns or exchanges processed by the manager on duty?
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Is the current return policy posted at each register and is it clearly visible?
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Are returns being tendered as a RETURN not a SALE transaction type? (exchanges are to be tendered as a SALE transaction type where the returned item is a negative quantity and the purchased item is a positive quantity)
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Are return transactions being processed to a gift card? Review previous KPI to identify return tender value type.
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Does every cashier explain the return policy to each customer and circle the policy on the receipt?
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Do all cashiers use the UV light or inspect the OVI (optical variable ink) on U.S. currency bills $20.00 or higher? (no counterfeit pens)
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Do cashiers and management know the procedure for manual keyed credit card transactions? Are manual imprints taken of all keyed credit card transactions?
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Are cashiers and members of management able to identify at least three best practices to prevent the acceptance of fraudulent credit cards?
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Are POS variances reported during register reconciliation during the end of day process? No slush funds at the register or the manager office allowed.
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Are current merchant ID numbers available at the POS station?
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Review cashier over/short variances for the last 2 weeks, are there fewer than 8 variances or an absolute value less than $100?
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Is the bank deposit prepared each day and deposit bag sealed and secured in the safe?
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Are bank deposits picked up by an armored carrier or taken to the bank by management at least three days per week? There must not be more than 3 days of deposits found in the store safe?
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Are all deposits logged into the armored carrier deposit log and or safe count form?
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Do petty cash expenditures have supporting documentation (receipts) and is petty cash frequently reimbursed by Corporate?
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Are all currency bills removed from all registers each night?
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CASH CONTROLS ACTION PLAN
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Action Plan Due By
INVENTORY CONTROL
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Review store fulfillment screen, are all outstanding orders less than 24 hours old?
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Do the contents of an outbound transfer match the transfer slip?
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Are all damage and defective tags completed properly? Inspect all tags found and ensure they match the merchandise they are attached to and each line is accurately completed.
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Are there zero intransit vouchers? Review any outstanding vouchers and research the vouchers with the inventory team at the store.
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Is the store correcting voucher issues (duplicated or incorrect quantities) by reversing the voucher? Voucher issues are not to be corrected through an inventory adjustment.
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Are loose price tickets researched and properly adjusted on a weekly basis, if the physical inventory is not found?
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Are 3+ day discrepancies at RFID locations at or below 100 units?
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Is the display inventory on hand units current and below 250 units?
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Review the current week inventory scans, are there any unknown inventory items that have not been resolved within the past 7 days?
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Is the store restroom clear of any loose price tickets?
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INVENTORY CONTROL ACTION PLAN
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Action Plan Due By
MANAGER REVIEW
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The results of the audit must be reviewed with the staff and items that were found in need of correcting must be addressed and corrected within 14 days of the completion of this audit. The Store Manager must submit their response to the appropriate District Manager, Asset Protection Department, and Director of Retail Operations.
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Was the audit reviewed with a Manager on Duty
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Audit completion time
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Manager on Duty signature
