Information
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Audit Title
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Conducted on
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Prepared by
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Location
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Personnel
Module - Stock Management
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SM1 : Show me how your backdoor is secured
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WGLL : Back door is secured, key or code is given only to authorized people.
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Findings :
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SM2 : Walk me through the procedure for receiving high value / risk merchandise
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WGLL : High value merchandise should be fast tracked to a secure location and not left in public uncontrolled area e.g well away from cleaners store of staff room. Lock ups are locked and access to key in limited to a few colleagues who are accountable and know who has. Is SOP followed?
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Findings :
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SM3 : Who is accountable for receiving of directs, how many totes / boxes are outstanding
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WGLL : Sufficient trained and accountable people available who can evidence use of supplier reports to chase outstanding boxes or products not delivered. Is SOP followed?
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Findings :
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SM4 : What is the procedure for maintaining stock levels are accurate and as per stockfile
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WGLL : Planned routine excess counting, check stock figures on the system. Ensure future orders are controlled on these lines to limit stock impact
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Findings :
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SM5 : Show me your returns area and show me how you ensure your store has received all its credit
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WGLL : Distinct area in the stockroom, and a process in the place to clear every week. All paperwork completed and ready for dispatch and/or disposal
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Findings :
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SM6 : What are the standards of housekeeping you expect
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WGLL : Well organized, labeled area for - all categories of fashion, H&B etc. Clear operationally controlled marked, clean and satisfactory standards in place with the store.
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Findings :
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SM7 : How many times have you searched the delivers this month ( where applicable )
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WGLL : Evidence that driver and vehicle searches are completed and delivery is checked upon delivery.
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Findings :
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SM8 : How do you check that all your returns or damaged products are controlled
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WGLL : Returns segregated and in a specific are of the warehouse with paperwork completed and awaiting next step. Damages also segregated and completed as above.
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Findings :
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SM9 : What are the controls on the delivery paperwork
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Findings :
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SM10 : Stockroom standards
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WGLL : Is the floor clear and no stock blocking aisles, is racking labeled correctly, items stored like for like, EAS and pins stored securely, secure are for returns, transfers, customer orders and deliveries.
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Findings :
Module - Sales Floor
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SF1 : What are your fitting room controls
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WGLL : No stock left over after being used, they ate checked for signs of theft etc, number cards used and never left unmanned at any time. Staff present and followed SOP?
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Findings :
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SF2 : What high value / risk area controls do you have
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WGLL : Staffs are aware on all high value / risk areas and are conscious of monitoring the at all times, especially at the busy trade times. Cycle count high value items if possible.
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Findings :
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SF 3 : What is the customer interaction on EAS activation
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WGLL : Staff approach and are aware of correct process for offering good customer service and understand what is the correct process for alarm activation
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Findings :
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SF4 : Are the cash desks clean, tidy and controlled of refunded stock
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WGLL : All tills areas clean and tidy, EAS deactivators are secure and refunded at ok cleaned regularly. No till receipts left on the till point.
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Findings :
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SF5 : Is all stock controlled and on the relevant racks
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WGLL : Stock is kept on correct racks and not left lying around or in boxes untagged and awaiting staff input.
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Findings :
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SF6 : Is all security equipment in full working order
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WGLL : All equipment working and any faults raised to the LP team for repair with 24 hrs.
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Findings :
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SF7 : Have the guarding KPI forms been completed and reviewed with the LPA guarding
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WGLL : Minutes of the meetings and actions agreed for improvements or continued support from external supplier
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Findings :
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SF8 : Has the guarding patrol route been enforced
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WGLL : Guard patrol route in place and reviewed daily by STM
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Findings :
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SF9 : Are staffs aware of the escalation process and how to deter theft
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WGLL : Staffs are aware of local LP contact number. Pro-active customer service to deter theft
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Findings :
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SF10 : How do you reduce the risk of the price swopping of high price items
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WGLL : Items checked discreetly against labels at the POS
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Findings :
Module - Staff
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S1 : What do you do to reduce the risk of internal staff theft in the store
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WGLL : Colleagues understand types of internal fraud / theft and understand what checks / reports manager conduct / review daily. Are staffs aware of LP hotline?
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Findings :
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S2 : Who and how often are staff and locker searches carried out within the store
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WGLL : Conducted as per company SOP standard. Are searches recorded?
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Findings :
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S3 : Explain to me the staffs search procedure, when was the last time you or the management team were searched
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WGLL : Adherence to company SOp
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Findings :
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S4 : How is the safe and contents controlled and deposited with the CCC or at the back
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WGLL : Two people at the all times and full adherence to SOP
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Findings :
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S5 : How are the store keys controlled
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Refer to SOP and checked by operations manager on every visit
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Findings :
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S6 : Explain to me the cash refund and advantage / gift card procedures are controlled in store
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WGLL : Full explanation of the process adherence
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Findings :
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S7 : Where is staff shopping kept and how is it checked
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WGLL : Isolated area in the stockroom that is regularly checked by STM and signed off for purchase, i.e no sale or promotion stock should be kept in the locker, items checked against receipt before staff leave store
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Findings :
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S8 : Where do staff sign in, declare monies and how is it monitored
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WGLL : Are all staff and visitors accounted for either at the front door or back door and signed IN and OUT for H&S / security purposes
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Findings :
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S9 : What is the petty cash used and how is it monitored
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WGLL : Reviewed and checked by the STM daily and by operations manager on each visit
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Findings :
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S10 : Where does the lost and found get kept and what is the procedure
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WGLL : Store in adherence to company
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Findings :
Module - Operational Process
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OP1 : Show me how you use your reports
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WGLL : Evidence of checking individual reconciliation claims, transfers and regular check of big credit number
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Findings :
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OP2 : What do you do to make sure your busiest till operators are well trained
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WGLL : Management team knows who the operators are and checks regularly the knowledge of these people for all till processes, also checking their performance for fraud
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Findings :
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OP3 : Take me through your process for the induction of the new colleagues
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WGLL : Training records in personal files, document detailing what training in done by who by when, a minimum of 4 hours of till training and subsequent impact of stock results. Have managers attended the LP manager training workshop?
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Findings :
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OP4 : How do you deal with price changes
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WGLL : Demonstration of checks in place to show that price increases / decreases have been activated on the correct day. Evidence that stock files are checked for price decrease lines and price override are controlled to aim
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Findings :
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OP5 : Take me through how you clean up inventory of reduced to clear and discontinued stock
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WGLL : Limited volume of discontinued or RTC stock - in a clearly marked are of stock room, obvious accuracy of paperwork for returning to depot or disposal
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Findings :
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OP6 : Can you show me how you ensure that lines are claimed for written off
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WGLL : Previous paperwork will be accurately completed with the relevant sign off and full follow up for credit being received
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Findings :
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OP7 : How do you deal with excess stock
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WGLL : Review stockroom and ensure that excess stock is correct on the stockfile and brand team are aware of current situation
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Findings :
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OP8 : What are your processes for controlling cash deposits and pickups
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WGLL : Evidence of full adherence to SOP on cash collection and depositing in the bank and pickups from tills
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Findings :
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OP9 : Show me how you manage returns and recalls
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WGLL : Is the returns are clean and tidy, check the last 3 months returns have all been completed and the relevant credit received and stockfile is clear of the stock
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Findings :
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OP10 : Show me how you control Alshaya Card, Advantage card and vouchers that are submitted. Are these cards controlled
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WGLL : Check paperwork for counter signatories and that manager has checked these are legitimate transactions, noting cashiers with high amounts of these transactions
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Findings :
Module - Leadership
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L1 : Demonstrate the process you use to check that your store is ready for control of shrinkage each day
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WGLL : System of routine start of day for tagging in place, alarms working, security guard briefed etc. stockroom / P.O.S checks ( Tidy, Controlled & Secured)
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Findings :
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L2 : Show me the LP notice board or information, where applicable
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WGLL : Board is up to date, last stock result is displayed, clear actions displayed and who owns the process. Staff are aware of LP updates
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Findings :
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L3 : Show me that you monitor overages, price overrides, refunds, voids ....etc
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WGLL : Managers can personally show how the report is used and the names of those he/she has personally spoken to and the records of the discussions on paperwork control..etc
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Findings :
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L4 : What was the topic of your shrinkage (LP) control briefings this week
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WGLL : Agenda and briefing notes available, shrink pledges / pr personal actions can be described by individual colleagues
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Findings :
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L5 : Who is accountable in your store for key process
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WGLL : Named people in place to manage all cash and stock processes
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Findings :
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L6 : What are the main drivers of losses in the store
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WGLL : Managers and staff can demonstrate an understanding on the main drivers of loss within their store and are doing to reduce the risks
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Findings :
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L7 : Show me what your shrink champion is focused on this week
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Shrink champion can described action plan and what support he needs to complete it ( if any)
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Findings :
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L8 : Talk me through the end of day checklist and how it is done
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WGLL : who managers it and ensures that all is completed each day and checked each week to ensure compliance
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Findings :
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L9 : Show me the store Stockloss action plan
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WGLL : Action plans clearly show activities are focused on the main loss drivers, completion targets and milestones are set and are reviewed as agreed
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Findings :
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L10 : What are you doing to keep shrinkage controls followed in your store
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WGLL : The team is focused on agreed actions within the store, and individual are able to talk about what they are doing and how this impacts on loss within the store operation
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Findings :
