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 customers greeted upon entry into the store?
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Is the cash desk clear of any hidden or stockpiled product? Check drawers and under stock.
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Are employee discount and multi-brand transactions processed with the proper discount code? Review 10 random staff transactions (multi-brand, staff).
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Do employees know the staff purchase guidelines?
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Are all sensor detachers firmly secured to the POS station?
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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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Is the store practicing proper fitting room guidelines and is the numerical system consistently being utilized? Door key(s) in possession of the fitting room attendant and a limit of 5 items per customer. Customers are never allowed to bring in multi-brand items or accessories into the fitting rooms.
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Are the fitting rooms locked when unoccupied? Are the fitting rooms free and clear of any defeated sensor tags, price tags, hangers, and garments? Inspect 2 times during the course of the audit.
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Is the EAS system turned on and functioning properly? If not, has the device been tested by store managment, an Asset Protection Investigator and/or has technician service been requested? Test the performance of the system using an active sensor tag.
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Is the EAS sensor tag compliance exceeding 90%? Inspect sensor tag placement to insure tagging guidelines adhere to standards of the Universal Tagging Guidelines. Randomly audit a minimum of 150 items.
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Are speciality sensor tags in use on high risk product? There must never be any stagnant, unused speciality tags found in the stock room, POS station or other areas of the store. Speciality tags consist of ink, optical, handbag, and alarming sensors.
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Is the manager on duty knowledgeable on the required elements of proof to identify a shoplifter in order to prevent a false accusation? The 6 elements consist of observe, selection, concealment, uninterrupted, observation, exit and identify yourself.
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If and when a theft incident occurs, does the staff know how to report it to Asset Protection? Manager on Duty must email Asset Protection and complete the Theft Report.
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Are employee bags checks being conducted when leaving the store? All bag checks must be conducted in view of the traffic counter camera at the front door. Review one incident for each key holder.
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Is the trash inspected by the Manager on Duty and one other employee before being removed from the store?
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Are all employees personal belongings, including managements, secured in a single designated location such as company provided lockers?
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Is the store's most current shrink figure posted in an area where it is visible to store staff? Question a few employees to confirm they know what shrink is and if they are aware of their stores current shrink figure.
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Is the Asset Protection Tip Line poster distinctly 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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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 all camera access locked?
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ASSET PROTECTION ACTION PLAN
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Action Plan Due By
PHYSICAL SECURITY
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Are all perimeter doors (if applicable) locked and secure? Push on each door to validate that doors are secure. Inspect the roof hatch if applicable.
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Are remote (offsite) stock rooms secured and locked at all times?
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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 all path and walkways in the stockroom or managers office, clear and free of obstruction?
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Have all installed Detex units been tested monthly?
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Is the installed alarm equipment functioning properly? Motion sensors not obstructed by merchandise on mannequins, wiring to all equipment is intact on all devices, and the keypad is working correctly?
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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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Is the manager on duty familiar with the burglar alarm response best practices?
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Are all managers in possession of their store key?
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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 locked and secured during non-operational hours? Doors must be locked prior to opening for business and once the last customer has exited.
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Is the staff entering or exiting the store during operating hours through the main entrance/exit?
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Is all video equipment working properly?
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Are all camera views clear and not blocked by any hanging signs, display items, mannequins, fixtures, and/or grid?
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Is the safe door in a locked, closed and secure position?
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Has the safe code been changed within the past 6 months and/or after the most recent management change?
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PHYSICAL SECURITY ACTION PLAN
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Action Plan Due By
RISK MANAGEMENT
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Are all emergency exits properly signed?
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Are emergency exit doors clear of obstruction? There must never be cartons, trash or fixtures in front of emergency exit doors.
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Are all areas of the store free of tripping or slipping hazards? Look for extension cords, loose flooring, wet floors or sharp edges that are potential hazards.
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Is the store free of electrical hazards? Look for frayed extension/power cords, power outlets missing faceplates, open j-boxes and exposed wiring.
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Is there a minimum of 36" clearance around all electrical panels?
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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 racks, fixtures, stacked boxes and/or merchandise a minimum of 18" below sprinkler heads on a horizontal plane?
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Have all fire extinguishers been inspected by management each month, and, if needed, been serviced within the past 12 months? Inspection tags must include initials and inspection dates by auditing manager.
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Are all fire extinguishers mounted and easily attainable? Check to ensure there are no objects leaning against or blocking the fire extinguisher. The fire extinguisher must not be housed on the floor.
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Is the Emergency Contact Reference (ECR) sheet completed and readily accessible at the POS station and the managers office?
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RISK MANAGEMENT ACTION PLAN
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Action Plan Due By
CASH CONTROLS
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Are Mid-Day counts regularly being conducted?
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Are current merchant ID numbers available at the POS station?
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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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Does every cashier explain the return policy to each customer and circle the policy on the receipt?
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Are all cash returns transactions properly approved per policy? Cashier must enter department and name of person approving the transaction.
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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?
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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? Are cashiers entering in the comment field, the reason for the manual keyed transaction?
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Do cashiers know the Best Practices to identify and prevent financial fraud?
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Are POS variances reported during register reconciliation during the end of day process?
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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 store clear of slush funds? No loose change kept at the POS station or the managers office.
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Are all currency bills removed from every register each night?
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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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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 3 times per week? There can never be more than 3 days worth of deposit bags 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 Retail Operations?
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CASH CONTROLS ACTION PLAN
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Action Plan Due By
INVENTORY CONTROL
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If applicable, has the store reported missing items from their shipment, either from the distribution center or from a store transfer?
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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 items 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
