Profit Protection Compliance Audit

• Audit Site

• Conducted on

  Date

• Audit Conducted by

• Store Manager

Floor Security

• Staff are actively displaying a customer service priority over store based tasks?

  Yes

  No

  Partial

• Floor stock should meet SPPM standards

  Yes

  No

  Partial

• No empty dumpbins

• No empty endcaps

• Store has been recovered from previous day?

• Access to security devices are restricted to staff only

  Yes

  No

  N/A

• No keys left in alarm boxes

• No alarm cabinets left open with access to security behind it

• Where possible alarm boxes are out of sight

• Stock room and staff only area doors are closed and secured

  Yes

  No

  N/A

• High value stock secure?

  Yes

  No

  Partial

• Incoming stock is not left on shop floor to be recieved

• No stock greater than $50, including stock and customer repairs behind the counter or in draws or bins/boxes

• Are staff responses to alarm sensor activations timely and correct

  Yes

  No

  N/A

• Do staff check for missing stock, and the cause of the alarm activation

• Do staff understand how to use the alarm boxes

• Bag check proccess

  Yes

  No

  N/A

• Is the manager on duty checking staff bags at the front door camera

• Is the manager getting someone to check their bag at the front door

• Are red locks being used appropriatly?

  Yes

  No

  N/A

• Counter tops clean and tidy

  Yes

  No

  N/A

• Cash register key locks are obstructed to prevent removal/theft

  Yes

  No

  N/A

Product Security

• Have all question criteria been meet in this section?

  Yes

  No

  N/A

• Cabinet security

  Yes

  No

  Partial

• All cabinets locked and secured

• All metal plates are in place preventing the removal of glass

• All are fixed to the gondola preventing removal of stock from the back of the cabinet

• GPS/Laptop/Camera/ Display Security

  Yes

  No

  Partial

• All GPS alarmed - including endcaps

• All cameras alarmed including endcaps

• Daily security check has been completed and is signed off

• AL SLR Lenses alarmed - including endcaps

• Tabs have been cut to prevent the removal of stock for GPS/MP3 devices

• All laptop cradles are tight and secure/Alarms fitted and working/adhesive lockdowns fitted - including endcaps

• All Pro-Loc decouplers secured to the counter/bench in back room

  Yes

  No

  N/A

• Electronic security devices security

  Yes

  No

  N/A

• All sensors have lights on - indicating equipment is working and powered

• All alarm boxes are active and not plugged into dummies - spot check electronic security yo confirm they are working

EAS Compliance

• EAS Gates are functioning correcty

  Yes

  No

  N/A

• EAS tags or EAS security is attached to all items over $50

  Yes

  No

  Partial

• Spider wrap security

  Yes

  No

  N/A

• Spot check high end items over $150 are spider wrapped

• Spot check to ensure no loose spider wraps

• Security releasers are secured and isolated from customer access

  Yes

  No

  N/A

• EAS deactivators are turned on and functioning correctly

  Yes

  No

  N/A

• EAS labels are secured and stored away from deactivators

  Yes

  No

  N/A

• Observe if staff respond to all EAS gate activations

  Yes

  No

  Partial

Cash Handling

• Have all criteria meet in this section?

  Yes

  No

  N/A

• Daily banking is secured and stored appropriately

  Yes

  No

  N/A

• Check to ensure POD's are not being counted on the shop floor and are being carried outback in an appropriate and secure manner

  Yes

  No

  N/A

• No one enters or exits the store when money is being counted at cash up (Spot check 3 different days)

  Yes

  No

  N/A

• Registers balance

  Yes

  No

  N/A

• Change floats balance

  Yes

  No

  N/A

• Armaguard cash collection form is filled out correctly

  Yes

  No

  N/A

• Store safe is closed and locked

  Yes

  No

  N/A

• Front door is closed and locked during cashing up (Spot check 3 different days)

  Yes

  No

  N/A

• Is there only one person doing the cash pick up in the office

  Yes

  No

  N/A

• Cheques have store number endorsed on the back and are banked correctly, Cheque banking process followed correctly

  Yes

  No

  N/A

• All cash and POD's in the safe match the takings summary and there is no excess/unaccounted for cash in the safe

  Yes

  No

  N/A

Back Room Security

• Secure cage/room/cabinets are locked at end of day

  Yes

  No

  N/A

• High value or at risk stock is secured in cage/room/cabinets

  Yes

  No

  N/A

• IMEI register and staff property register has been implemented

  Yes

  No

  N/A

• Safe combination has been changed - 6 monthly or if a management change has been done

  Yes

  No

  N/A

• CCTV

  Yes

  No

  N/A

• No cameras are out

• All angles are correct

• Quality of picture is clear

• Motion detection at night/ night vision is good

• External doors are secured and access limited

  Yes

  No

  N/A

• Are rubbish checks being completed regularly

  Yes

  No

  N/A

• Incoming stock is held separate to other stock and is processed in a timely manner

  Yes

  No

  N/A

Administration

• Are cash variances over $50 reported to Loss Prevention

  Yes

  No

  N/A

• Refund/Exchanges

  Yes

  No

  Partial

• All refunds are signed by the authorising manager

• All refunds are signed by the customer

• Spot check 3 days of refunds to ensure the totals match the daily e-report

• All refunds have an original or reprinted receipt attached - if a reprint has been done check why

• Check any purchases from other DS stores - ensure refunded total is correct

• Legitimate customer details are entered - not "refused" etc.

• Store Registers - Safe Folder

  Yes

  No

  N/A

• Key register fully updated

• Out of hours alarm contacts list updated

• POS authority report has levels appropriate to staff position

  Yes

  No

  N/A

• Merchant copies of credit card transactions are endorsed correctly

  Yes

  No

  Partial

• Key Register Compliance

  Yes

  No

  N/A

• being used daily to sign in and out keys

• All sets are hard tagged to prevent theft

• All keys are accounted for (6 for small, 10 for large)

• Check keys are staying in store and not being taken home at night

• Expiration stock is reviewed and rotated regularly

  Yes

  No

  Partial

• Price variance report compliance

  Yes

  No

  Partial

• Are all warranty sales within reasonable discounting rules

• Is the store manager reviewing markdowns with staff

• Are all red deal explanations valid

• Day end paper work compliant

  Yes

  No

  Partial

• E-Reports signed off daily and no overdue reports

• Negative stock report has no items over 7 days old

• Negative write ons are valid and being investigated (Spot check to ensure SOH is not being inflated)

• There are no unfinalized transfers or transactions over 14 days without explanation

• Loan stock and customer orders are upto date and accounted for and follow up evidence is present at least weekly

  Yes

  No

  N/A

• Profit Maximisation Board compliant

  Yes

  No

  N/A

• Is the latest Loss figure updated

• Is the latest Red Alert on display

• Is the Profit Maximistiaon Poster on display

• Have all previous audits and visit actions been completed and filed

  Yes

  No

  Partial

• Cyclic counts are completed correctly and are up to date with all variances identified and investigated

  Yes

  No

  N/A

• Is the visitors register being utilised

  Yes

  No

  N/A

• Daily item report compliant

  Yes

  No

  Partial

• Three daily item reports spot checked and up to date

• All daily item reports filed appropriately and no reports are missing

• Petty cash usage compliant

  Yes

  No

  Partial

• Store is using stationary supplier where possible

• Petty cash processing is done with the appropriate cash in/cash out process and text

• all petty cash transactions have invoices/receipts attached

• Team are not serving themselves when processing a petty cash refund

• Solvup jobs are processed and shipped with no excess jobs left in backroom and no stock with "needs repair" notes left on it

  Yes

  No

  N/A

• Returned customer repairs booked in and evidence of customer contact and follow up can be sighted

  Yes

  No

  N/A

• WR1 products are appropriately consolidated and the required paperwork attached.

  Yes

  No

  N/A

• Finance contracts are faxed/sent appropriately and filed

  Yes

  No

  N/A

External Security/Safety & Environment

• All door locks are functional

  Yes

  No

  N/A

• Trellis door/roller door/entry door track and locks are functional and clear of debris

  Yes

  No

  N/A

• Lighting is sufficient for staff safety and security after hours

  Yes

  No

  N/A

• Safety documentation is compliant

  Yes

  No

  N/A

• Health and Safety policy current and displayed

• Rehabilitation policy current and displayed

• Safety reporting line poster displayed

• Employee support line poster displayed

• Store emergency contacts up to date

• Safety pack completed, signed and filed appropriatly

• Condition of entry signs and CCTV in operation signs are in good condition and clearly visible on entry

  Yes

  No

  N/A

• Stock room organisation compliance

  Yes

  No

  Partial

• No heavy items on top shelves

• Aisles are clear and accessable

• Stockroom is organised for easy access

• Fire regulation compliance

  Yes

  No

  N/A

• Fire extinguisher tests are in date

• Fire equipment are unobstructed and clear

• Fire exits are clear and unobstructed

• Fire exit signs are in place an illuminated

• Meeting points have been assigned

• Evacuation plans are up to date

Stock Integrity

• Is the Area Manager and Loss Prevention aware of all stock loss over $150 or of secure items

  Yes

  No

  N/A

• Price integrity compliant

  Yes

  No

  N/A

• 10 random price tickets valid

• Missing gaps are less than 10 items

• Missing tickets are less than 10 items

• No expired promotional tickets are on display

• No expired redemption signage is on display

• Is scan the gaps being completed at least once a week

  Yes

  No

  N/A

• Memory product compliant

  Yes

  No

  N/A

• All mobile phones are sealed with quality assured stickers if previously opened

• All hard drives are sealed with quality assured stickers if previously opened

• Quarantine section is setup and being used

• Stock Integrity compliant (Count 5 lines to check SOH is correct)

  Yes

  No

  N/A

• Requisites use compliant

  Yes

  No

  N/A

• J Cat consumables written off to REQ not SCA

• SET used for security write offs

• CA1/CA2 used for capital expenditure items

• No refunds are being transacted to sundries, all refunds have active CAT codes

  Yes

  No

  N/A

Team Understanding

• Does the SM/DM know their YTD loss result, and last years final YTD loss result

  Yes

  No

  N/A

• Do the team have an understanding of how the store is tracking YTD (good or bad? Above target or below?)

  Yes

  No

  N/A

• Can team members demonstrate an appropriate understanding of profitable deals

  Yes

  No

  Partial

• Can staff demonstrate an appropriate understanding on the returns process

  Yes

  No

  N/A

• Do team members whom book in stock understand how to process a TLR/DDI?

  Yes

  No

  N/A

• Do staff know required ID requiements

  Yes

  No

  N/A

• Prepaid mobile phones (Sighted current ID

• Refunds ( Verbal name, address and phone number where able)

• Sales over $1000 (Verbal name, address for tax)

• Finance (Valid photo ID)

• Customer Orders (Verbal name, address, phone number)

• Cheques (Valid photo ID, name, postal address verified in white pages, valid land line)

• Stolen goods complaint

  Yes

  No

  Partial

• Do managers know how to write on recovered items

• Do staff know how to deal with and report stolen items

General Comments

• Signed by Store Manager

  Sign

• Signed by auditor

  Sign