Asset Protection Store Audit 2.0 2015

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• 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.

• Region

  Select 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

  • 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

• District Sales Manager

ASSET PROTECTION

• Are all employee's personal belongings, including management, secured in a single designated location such as company provided lockers?

  Yes

  No

  N/A

• Is POS desk area clear of any stashed or hidden product? (check drawers and under stock)

  Yes

  No

  N/A

• Is the manager on duty 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.

  Yes

  No

  N/A

• Are employee bags checks conducted when leaving the store? Review one incident for three random days. (Video Review) All bag checks must be conducted in view of a camera at the front door.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

• Is the fitting room numbering system in use and being used consistently? (limit of 5 garments per customer allowed and no accessories allowed in the fitting rooms)

  Yes

  No

  N/A

• Are all customers greeted upon entry into the store?

  Yes

  No

  N/A

• Is the EAS system turned on and functioning properly? If not, has AP been notified and has service been requested? (check functionality of the system using an active sensor tag)

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• Are specialty tags (Ink,Optical, Alarming & Bag Tags) constantly being utilized?

  Yes

  No

  N/A

• Is the Asset Protection Tip Line poster prominently displayed either in the stock room or office area or any employee only designated area where store staff may easily view the poster?

  Yes

  No

  N/A

• 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)

  Yes

  No

  N/A

• What are the proper steps to report a theft incident?

  Yes

  No

  N/A

• Is the store complying to POS policies? (I.e.employee transactions, Multi-Brand & return transactions)

  Yes

  No

  N/A

• Are sensor tags removed from garments that are being shipped out?

  Yes

  No

  N/A

• 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)

  Yes

  No

  N/A

• Are staffs personal files (I.e. Employee's application & folder) kept in secured location?

  Yes

  No

  N/A

• ASSET PROTECTION ACTION PLAN

• Action Plan Due By

  Date

PHYSICAL SECURITY

• 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.

  Yes

  No

  N/A

• Have all installed Detex units been tested monthly?

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• 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? If not functioning is the store securing perimeter doors properly.

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• Is the alarm contact information up to date? Phones numbers must be current and former employees deleted from the list of alarm code holders.

  Yes

  No

  N/A

• 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)

  Yes

  No

  N/A

• 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.

  Yes

  No

  N/A

• Is all video equipment working properly? (verify the the system is recording)

  Yes

  No

  N/A

• Are all camera views clear and not blocked by any hanging signs, display items, mannequins, fixtures, grid, holiday or seasonal displays?

  Yes

  No

  N/A

• Is the camera system "video review" locked?

  Yes

  No

  N/A

• Interview the manager on duty, is he/she familiar with the burglar alarm response best practices?

  Yes

  No

  N/A

• Is the key roster up to date and do we have key holder agreements signed by each keyholder?

  Yes

  No

  N/A

• Does the store have additional store keys? If yes, we're are those keys located at?

  Yes

  No

  N/A

• Does the management know the procedure to request additional keys?

  Yes

  No

  N/A

• Are all door, locks, handles, gates, roof hatches, windows in proper working order?

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

• 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?

  Yes

  No

  N/A

• Is the staff entering or exiting the store during operating hours through the main entrance/exit?

  Yes

  No

  N/A

• PHYSICAL SECURITY ACTION PLAN

• Action Plan Due By

  Date

RISK MANAGEMENT

• Are emergency exit doors unobstructed? (no boxes, trash or fixtures in front of doors blocking ease of access in the event of an emergency)

  Yes

  No

  N/A

• Are there working flashlights available to the staff in the event of a power outage?

  Yes

  No

  N/A

• Is the first aid kit easily accessible to the staff? (ask random employees if they know the location of the first aid kit)

  Yes

  No

  N/A

• Does the store first aid kit contain bandages, gauze, medical tape, first aid cream, eye wash, and no expired items?

  Yes

  No

  N/A

• Are all emergency exits properly signed?

  Yes

  No

  N/A

• 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. Are mats and carpets in good condition?

  Yes

  No

  N/A

• Are their any holes or divots that could be hazardous?

  Yes

  No

  N/A

• Have all fire extinguishers been serviced within the last 12 months and are they inspected by management every month? (All fire extinguishers meter gauges must be in green, inspection tags must contain initials and inspection dates by management)

  Yes

  No

  N/A

• Is there a minimum of 36" clearance around all electrical panels?

  Yes

  No

  N/A

• Are all fire extinguishers mounted and unobstructed? Check to ensure there are no objects leaning against or blocking the fire extinguisher. The fire extinguisher must not be positioned on the floor.

  Yes

  No

  N/A

• 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. Are their any liquids near electrical components that could be hazardous?

  Yes

  No

  N/A

• Are racks, fixtures, stacked boxes and or merchandise a minimum of 18" below sprinkler heads on a horizontal plane?

  Yes

  No

  N/A

• Are bathrooms well maintained and is there any American Apparel product in the bathroom?

  Yes

  No

  N/A

• Are mats and/or carpets available to prevent falls or trips?

  Yes

  No

  N/A

• Are cleaning supplies clearly labeled?

  Yes

  No

  N/A

• Are stairs in employee only areas equipped with handrails that are secured properly and are stairs lined with grip tape?

  Yes

  No

  N/A

• Is the Emergency Contact Reference (ECR) sheet completed and accessible at the POS station as well as the Manager's office?

  Yes

  No

  N/A

• RISK MANAGEMENT ACTION PLAN

• Action Plan Due By

  Date

CASH CONTROLS

• Is the safe detail counted at minimum two times per day? Audit two days for each member of management.

  Yes

  No

  N/A

• Are all returns or exchanges processed with a gift card or other forms of payment?

  Yes

  No

  N/A

• Is the current return policy posted at each register and is it clearly visible?

  Yes

  No

  N/A

• 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)

  Yes

  No

  N/A

• Does every cashier explain the return policy to each customer and circle the policy on the receipt?

  Yes

  No

  N/A

• 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)

  Yes

  No

  N/A

• Do cashiers and management know the procedure for manual keyed credit card transactions? Are manual imprints taken of all keyed credit card transactions?

  Yes

  No

  N/A

• Are cashiers and members of management able to identify at least three best practices to prevent the acceptance of fraudulent credit cards?

  Yes

  No

  N/A

• Are POS variances reported during register reconciliation during the end of day process? No slush funds at the register or the manager office allowed.

  Yes

  No

  N/A

• Are merchant ID numbers and merchant services contact information available at the POS Station?

  Yes

  No

  N/A

• Are cashier variances being addressed per company policy?

  Yes

  No

  N/A

• Is the bank deposit prepared each day and deposit bag sealed and secured in the safe?

  Yes

  No

  N/A

• Is the deposit log completed daily and match the deposits that are in the safe at the time of the visit?

  Yes

  No

  N/A

• 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 5 days of deposits found in the store safe?

  Yes

  No

  N/A

• Are all deposits logged into the armored carrier deposit log and or safe count form?

  Yes

  No

  N/A

• Do petty cash expenditures have supporting documentation (receipts) and is petty cash frequently reimbursed by Corporate? Do you have any petty cash pending?

  Yes

  No

  N/A

• Are all currency bills removed from all registers each night and are drawers left open with bill clips up?

  Yes

  No

  N/A

• Are middays being conducted at this location?

  Yes

  No

  N/A

• CASH CONTROLS ACTION PLAN

• Action Plan Due By

  Date

INVENTORY CONTROL

• Do the contents of an outbound transfer match the transfer slip? (Audit two shipments)

  Yes

  No

  N/A

• Are all damage and defective tags completed properly and frequently? Inspect all tags found and ensure they match the merchandise they are attached to and each line is accurately completed.

  Yes

  No

  N/A

• Is there any un-received shipments at the store? If so, has this been reported to Inventory Control and/or Neil Popkin?

  Yes

  No

  N/A

• Are loose price tickets researched and properly adjusted properly every 48 hours?, if the physical inventory is not found?

  Yes

  No

  N/A

• Are 3+ day discrepancies at RFID locations at or below 100 units? Are 3 and 7 day unknowns at zero?

  Yes

  No

  N/A

• Is the store correcting voucher issues (I.e. duplicated or incorrect quantities) by reversing the voucher? Does the voucher screen show all, S.O. - F.O. - and LP Serial numbers?

  Yes

  No

  N/A

• Are all sunglasses, watches and jewelry RFID tagged?

  Yes

  No

  N/A

• Is the store sending daily adjustments? (This affects shrink in a positive and negative manner) <br>How to check - Main Server - Memos - Select Store

  Yes

  No

  N/A

• Is the store restroom clear of any loose price tickets and merchandise?

  Yes

  No

  N/A

• INVENTORY CONTROL ACTION PLAN

• Action Plan Due By

  Date

MANAGER REVIEW

• 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.

• Was the audit reviewed with a Manager on Duty

  Yes

  No

• Audit completion time

  Date

• Manager on Duty signature

  Sign