Information
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Brand
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Site
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Conducted on
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Prepared by
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Store Manager
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Regional Manager
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Due date of response and rectifications
Previous audit/Summary
Previous Audit
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Date of last audit
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Score of last audit
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Major issues identified
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Rectifications not actioned
Executive summary
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Urgent actions identified in audit
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Additional comments on items not contained in audit
Shrink
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Specific areas contributing to shrink
Front of store/registers
Front of Store/Entrance
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Is stock displayed outside e.g. Foyer appropriate?
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- Small items easily stolen and concealed not to be displayed outside
- High theft and or high value items not to be displayed outside. -
Is stock outside adequately secured and monitored?
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- Stock should where possible be chained and secured and displayed so easily seen by staff
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Are door greeters present during nominated hours?
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- Staff member must be present during nominated hours
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Is the door greeter actively engaging with customers?
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- Team Member located suitably at the entrance
- Door greeter to be acknowledging customers upon entry and exit
- Team Member conducting back checks when required -
Are the EAS gates in good working order?
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- Must be plugged in and turned on
- Not broken or damaged
- Test for range and sensitivity -
Are staff responding to EAS alarm activations?
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- Customers must be approached by staff upon activation
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Are baskets and stock stored to close to EAS?
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- Stock and or baskets must be removed from area to ensure no false alarm activations
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Are staff using register closest to the entrance?
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- Register closest to the front door must be used
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Are the front registers being left unattended?
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- Staff member must be present at all times
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Are registers logged out when not in use?
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- Registers are not to be left in sales screen i.e. Blue or Green screen. If not in use, POS must be in yellow screen
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Is there any evidence of staff sharing POS codes?
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- All operators are to use their own codes
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Are the registers free of personal items and lost property?
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- Personal wallets, mobile phones, personal keys must not be stored at the registers
Lost property e.g. credit cards, money, Jewellery needs to be stored securely in the safe until claimed -
Is there loose money outside registers or in draws?
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- All money need to be in the register or secured in the cash office
- All money must be accounted for -
Do register drawers contain any keys that are used in any part of these store?
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- Keys need to be kept secure on person
- Keys used in the store must not be left unattended or easily accessible -
Is there an excess of stock built up at registers?
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- Area should be kept clear and contain minimal stock
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Do rubbish bins contain stock or register receipts?
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- Stock in bins should show evidence of Goods Movements
- Register receipts i.e. Open Cash Draw should not be in the bin -
Are PDAs left unattended at the registers?
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- PDAs are not to be left or stored at the front registers
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Are customer hold asides being actively managed?
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- Hold asides are to be collected within a 24 hour time frame
- Hold asides are not getting damaged by poor storage -
Are all discount vouchers and EOD banking paperwork being removed at close?
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- Used discount vouchers i.e. Scratch and Win must be destroyed and removed from registers.
- EOD paperwork for current day only at the registers -
VIP replacement cards used appropriately?
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- Not to be scanned and used for non-members to obtain discounts
Section summary and Comments
Sales floor
Sales Floor
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Is there at least 1 staff member present per department at all times?
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- Store areas are not to be left unattended
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Are high theft items security tagged?
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- High dollar value items must be security tagged
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Are security tags appropriate for the items
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- Security tags must be appropriate giving maximum security
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Are high theft items merchandised in areas easily monitored?
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- High theft risk items need to be merchandised in areas monitored by staff
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Is stock displayed correctly?
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- Stock displayed on shelves and hooks as designed to do
- Stock is not lying on the floor or on shelves
- Stock should not be being damaged due to poor merchandising -
Is stock stored correctly?
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- Excessive storage of overstocks should not occur
- Stored stock is not be damaged or causing damage -
Are aisles clear of stock and obstructions?
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- Stock must be stored and displayed correctly
- Damages and write offs occurring due to stock being poorly managed -
Is re-packaging being actively managed?
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- No build up in stock for repackaging. Must be done promptly and returned to sale
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Is there excessive build up of write offs or credit claims?
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- Any stock waiting to be written off or claimed needs to be stored appropriately in the allocated back of house areas
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Is the store free from empty packages and swing tags?
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- Possible evidence of thefts and write offs not occurring
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Are staff/storage areas accessible from the sales floor secure?
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- Staff areas must be secure with digi-locks and not easily accessible to the public
- Storage areas off the sales floor and accessible to the public need to be secure
- High value items not to be stored in these areas -
Public toilet is free of stock and empty packaging?
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- Toilet area needs to be checked regularly
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Change rooms are clear of stock
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- Items need to be removed regularly and change room kept clear
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Change room is free of security tags and swing tags?
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- Regular checks for security tags and evidence of theft
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PDAs left unattended?
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- PDAs must not be left unattended e.g. Counters, stock trolleys, fixtures
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Are displayed prices correct?
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- Bunk tickets and stickers must display correct scanning price to items
- Catalogue signage must align with promoted items
Section summary and comments
Back of store/receiving
Back of store/Receiving
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Is all stock secured in Receiving area?
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- Ensure that there is no stock being left unattended outside of Receiving area and that there is a Team Member monitoring stock if the external doors are open. If possible, the roller doors must be kept down
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Is the storage of stock appropriate?
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- Stock and pallets are to be stacked and stored safely without causing any damage to stock
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Is all goods receipting from Vendor and DC up to date?
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- Receipting to be completed daily
- Check Stock In Transit report for DC, Cross Dock and Consol deliveries, and check invoices for DTS deliveries -
Has the store raised connotes for any empty pallets/CHEP Bins to be collected by the DC?
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- No more than 20 empty pallets are to be kept on site
- Connotes to be raised in SRG 360 the day prior to collection -
Are Credit Claims being raised in a timely manner?
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- Return to Vendor claims are to be processed weekly
- Stock to be returned to vendor/destroyed as soon as the claim is approved -
Are stock write offs being managed in a timely manner?
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- Damaged/Faulty goods that cannot be claimed from the Vendor need to be written off weekly, as per Goods Movements guidelines
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Has all stock that has been thrown in the skip been written off/claimed?
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- Evidence of claim/write off needs to be produced for any stock found in the skip and/or bins.
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Are all skips being locked after hours?
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- Skips must be locked and secure at the end of trade each day
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Are staff exiting the store via the Receiving area?
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- Team Members must only exit the store through the front entry/exit
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Is the Receiving area tidy and accessable?
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- Only wooden pallets are to be stored on the Dexion racking
- Stock is to be stored safely on Pallets and wrapped up in plastic wrap
- There must be clear access to the emergency exits from the internal entry to the Receiving area
- There must be clear and safe access to the desk area -
Is there stock getting damaged due to incorrect storage?
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- Stock is to be stored securely and safely on pallets, trolleys or cages
- Stock is not to be stored/stacked loosely in a way that that causes damage to the product -
Is all high value stock being secured immediately after delivery?
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- Go pro's, fishing reels etc need to be locked up when delivered
- Fridges, Sewing Machines, electrical etc to be brought into Receiving Area as soon as delivered -
Are 100% checks being conducted on all Vendor deliveries?
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- Invoices are to be marked off and claims raised for short supplies
- Adjustments are to be made to reflect correct stock received when Goods Receipting -
Are 100% checks being conducted on all High $ value items?
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- Items to check, but are not limited to are Sewing Machines, Fridges, Eletricial, Go Pros, Fishing Reels (over $100)
Section summary and comments
Office/lay-by
Office/lay-by area
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Office area is tidy and clear of clutter?
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- Area needs to be free of excess stock, credit claims, hold asides, repackaging etc
- Cash Office to be clear of any stock -
Filing done appropriately?
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- Large amounts of paperwork should not be found lying around
- Filing should be up to date -
Are PDAs stored and accounted for?
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- PDAs should be stored and charged in this area
- Missing PDAs need to be accounted for and/or known exact location -
Area is free from personal items I.e. Handbags, wallets including the cash office?
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- All personal items must be stored in provided lockers
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All money's are accounted for and in the safe?
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- No money should be found outside of the safe
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Staff's personal files are securely stored?
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- Staff personal files should be stored in a lockable filing cabinet or manager restricted area i.e. Cash office
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Is there a clear distinction between lay-by, customer holds, recalls, write offs etc?
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- A clear distinction between these areas must be kept
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Archive paperwork stored correctly and destruction time frames adhered too?
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- Paperwork needs to be filed and destroyed appropriately i.e. Confidential bin according to set time frames
- Filing should be neat and filed as per SOPS
Section summary and comments
Security/alarms
Security/alarms
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Alarm codes are up to date with management team?
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- Codes need to be removed and changed on last day of employment
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Alarm callout list is up to date with current key holders?
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- Any staff that has alarm and building access needs to be added to ADT callout list
- Must be updated on last day of employment -
Is there evidence of code sharing?
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- Alarm codes issued to individuals must not be shared with other persons
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2 person rule applying to opening and closing procedures
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- Minimum of 2 staff must be present when opening and closing the store
- Staff not to be alone when entering the building -
PIRs and reed switches in good working order
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- All hardware must be in good working order
- Any not working must be reported and repaired within 24hrs -
PIRs located in appropriate areas and unobstructed?
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- Must be suitably located to maximise effect
- Not to be obstructed in anyway -
Store being entered and exited during nominated open/close times
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- Entry exit should be done during nominated times with exception explainable
- Times may need to be adjusted -
Any isolated alarm zones or reeds?
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- Areas should not be isolated except in extreme circumstances
- Areas needing isolation should be reported and checked within 24hrs -
Emergency exit doors connected to screamers and operations?
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- Screamers should be working correctly and noise level needs to be adequate
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Is the store key register up to date with current key holders?
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- All store issued keys must be accounted for and reported if missing
- Must be kept up to date as keys are issued and handed back -
Are all store keys accounted for?
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POS codes up to date with current staff?
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- Must be updated on last day of employment
- All codes must be attached to staff names not generic numbers
- Codes not to be shared -
Peephole on cash office and receiving door unobstructed and has clear viewing?
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- Peep holes must function as designed and have clear field of vision
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Detaggers secure and attached to counters?
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- Detaggers need be in good working order
- Must be secure and/or attached to counters to prevent unauthorised use -
Is there enough security tags to cover stock needs?
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- Tags need to be appropriate for the item tagged
- There should be enough to cover all tagging needs -
Is security's tagging appropriate and on high value or highly desirable items?
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- High value and highly desirable items must be tagged
- Must be tagged to maximise the effect of the tag -
Internal door codes up to date?
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- Must be changed on any staff leaving the business on last day of employment
- No changes in staff must be changed biannually -
Safe codes up to date?
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- Must be changed on last day of employment of staff leaving the business
- No staff changes must be changed biannually -
Safes are locked and bolted to the floor
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- Must be bolted to the ground
- Always to remain locked -
CCTV operational and effective
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- All cameras working optimally and have clear vision
- Adequate coverage -
Does management know how to operate the CCTV system?
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- Management team should have knowledge and skills to be able to operate system effectively i.e playback footage, download and copy
Section summary and comments
Staff
Staff
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Staff room/tea room is free from stock?
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- No stock should be stored or be present in the tea room
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Notice board has current posters and information?
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- Required posters and communications must be displayed (safety board, loss prevention poster and store/risk communications)
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Lockers are in good condition?
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- Lockers need to be able to be secured and lockable
- Keys must be available to all lockers -
Staff are using lockers appropriately?
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- Lockers should be locked with personal items in them
- No stock should be found in lockers unless proof of purchase that day -
Staff purchases are removed from store on day of purchase?
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- Purchases must be removed on day of purchase
- Prior arrangement can be made with SM for pick up on later date but must be kept in lay-by office -
Staff are using their staff VIP card when conducting purchases?
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- Staff are required to provide their staff card when making purchases
- New staff without a card will have a manual discount applied and comments updated stating surname of staff member -
Staff purchases are being conducted by a manger or nominated team member?
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- SM to nominate Team Member/s
- List of nominated persons displayed on tea room notice board -
Staff purchases are correctly transacted with appropriate discounts/vouchers?
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- Discounting as per company policy (refer to team member agreement)
- vouchers only to be used according to terms and conditions and eligibility -
Pro deals being conducted as per procedure?
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- Pro deals must be conducted as per guidelines
- Must be signed for when collected by SM -
Staff are having bags checked when leaving shift?
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- Bags must be checked when leaving the store and end of shift or on breaks during work hours
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Staff are arriving and leaving via nominated entry/exit?
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- Where practical staff must enter and leave shift via the front entrance passing through EAS gates
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Staff adhering to staff hold aside policy?
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- No staff hold aside as per team member agreement
- May hold on day of purchase with approval from SM
Section summary and comments
Process/Procedures
Price overrides
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Are all manual price changes/discounts appropriate?
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- Products should not be sold below cost price, unless the markdown has been approved
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Are all clearance stickered items appropriate?
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- All clearance items should scan at the stickered price
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Is the management team actively managing discounts?
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- The store management team should be reviewing the Price Override report daily
- The store management team should be able to justify any excessive discounts -
Are the reason codes provided for markdowns accurate?
Refunds
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Is all refund paperwork filled out correctly?
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- All sections to be filled out correctly and accurately
- A form of ID has been documented for refunds over $150
- All refunds are to be cosigned by a second Team Member -
Are all refunds accurate?
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- Original purchase receipt must be checked to ensure that the refund amount is the same as originally purchased
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Are all refunds legitimate?
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- All refunds are to be linked back to an original purchase in the Surefire transaction journal
- Any tank hire bonds returned under 'deposit' need to be linked back to the original purchase in the Spartys tank hire book -
Is the refund process being managed?
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- Are refunds being checked off daily against the Returns by Operator Report?
Petty Cash
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Are all Petty Cash receipts accounted for?
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- Receipts need to be audited against Surefire Petty Cash Report from the past 3 months
- Each Petty Cash transaction must have a valid receipt and tax invoice -
Are all Petty Cash expenditures appropriate?
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- Petty Cash is only to be used for purchases for the business, unless otherwise approved by Risk or Operations
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Have all transactions being checked against the Surefire Petty Cash report monthly?
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- Petty Cash reports are to be audited each month by the Store Manager
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Have all transactions been approved by a manager, and the in/out receipts signed by 2 Team Members?
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- Any Petty Cash transaction needs to be approved by a manager
- Each POS Petty Cash receipt must have 2 signatures recorded -
Has the Petty Cash declaration spreadsheet been submitted to Finance by the 10th of each month?
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- Petty Cash Schedule needs to be sent to Finance each month outlining all Petty Cash transactions
Goods Movements
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Is the Goods Movements process being followed?
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- The Goods Movements folder will be checked to ensure that each day a Goods Movement is performed, the Goods Movement report is printed and signed the Store Manager and a Team Leader
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Are Goods Movements appropriate?
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- Products need to be legitimate and written on/off under the correct reason codes
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Are written off items being destroyed by an authorised person?
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Are Credit Claims being raised for faulty products?
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- Faulty stock must be claimed from the Vendor unless the stock is supplied by the DC
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Is demo stock well managed and not excessive?
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- A reasonable amount of stock to be kept aside for demos
- And demo stock is to be written off as store use
Layby
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Are all Lay-bys up to date?
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- The overdue report must show that any overdue lay-bys have had reminder letters sent to the customer
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Layby cancelations and RTS being actioned?
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- The layby area will be checked for any overdue lay-bys that have already been or awaiting to be cleared out of the system
- Layby maintenance will be checked to ensure that all RTS has been completed for any overdue lay-bys that have had reminder letters sent out and not been responded to -
Team Member lay-bys appropriate?
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- There must be no excessive or multiple extensions and staff lay-bys will be audited against the receipt
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Is the layby audit being completed monthly?
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- Previous months audits will be reviewed. These should be stored in a folder with all other admin folders
Product Recalls and Withdrawals
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Is the recall folder up to date?
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- Recalls/Withdrawals sign offs will be reviewed to check that correct action has been taken
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Have all recalls been actioned correctly?
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- Stock on hand will be checked through the Virtual PDA to ensure all goods movements have been completed
- Checks will be completed to ensure recall instructions have been followed (stock returned to vendor or destroyed)
SOPS Folder
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Is the SOPS folder up to date?
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Have SOPS been read and signed by current management team within the past 12 months?
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- Sign off is to be kept at the front of the SOPS folder
Shop at Home
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Is shop at home paperwork filled out correctly?
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- Paperwork needs to be kept for sales where customers purchase items over the phone
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Paperwork does NOT have customers credit card details kept on file?
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- Credit Card information is to be destroyed as soon as the sale has been processed
- Credit Card details are not to be kept on file
E-parcel
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Are all addresses for sent items legitimate?
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- Deliveries to the same names/address multiple times will be checked to ensure deliveries are legitimate
Cash Handling and Paperwork
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Is the 2 person cash handling procedure being followed?
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Is the cash office door closed and secure when cash is being handled?
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- As per SOPS
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Are safe combinations being changed annually?
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- Safe codes are to be changed minimum once a year
- Safe codes are to be changed whenever there is a change in management -
Are all banking bag records being documented on the Credit Listing book and on the Armaguard pickup slip?
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Are all variances $20 or over being reported, investigated by the store and followed up?
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- Evidence of follow up will need to be provided
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Is there currently any variance in the Bank Deposit screen?
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- Bank Deposit screen should always be balanced at $0 before end of day balancing commences
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Is the change float at the approved amount?
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Is the change float being counted by 2 people each morning and night?
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- There must be 2 signatures on the float count sheet each time the change float is counted (twice a day)
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Are any variances in the change float being reported?
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Are all Daily POS Balance Sheets being filled out correctly?
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Is the Open Cash Drawer Reported being checked off and followed up daily?
Social Club
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Are all signatories on the Social Club account current?
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- There must be a minimum of 3 signatories for the account
- All 3 signatories must be current employees -
Is there no more that $100 in cash kept in the store safe?
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- A maximum of $100 is allowed to be kept in the store safe
- Any additional cash must be banked into the social club account -
Is the Social Club Ledger in use with all receipts attached?
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- The ledger is to be updated each time a deposit/withdrawal is made
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Are all bank account statements on file?
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- All bank statements are to be filed in the social club folder
Stock Rotation
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Are all products with use by/best before dates being rotated correctly, with older stock at the front of the shelves?
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Is there any evidence of stock passed the best before date marked down for quick sale?
Custom Made (Spotlight Only)
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What is the stores total amount of debt?
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Review consultant error rates. What are these errors costing the store? (Remakes, fitter payments etc.)
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How are consultant errors being managed by the store?
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Are claims against workrooms/suppliers being raised where required?
Section summary and comments
Sign off
Store Sign Off
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I acknowledge that I have fully read and understand the information outlined in this audit
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Store Manager/Team Leader Name and Signature
Risk Manager Sign Off
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Risk Manager Name and Signature
