Spotlight retail group loss prevention audit

Template Information

Group risk management

Category: general

Template Questions

  • Store Name
  • Store Number followed by Store Name (i.e. 011 Launceston Spotlight)
  • Address Address
  • Store Manager
  • Regional Manager
  • Photo/s of store
  • Previous Audit
  • Executive Summary
  • Executive Summary from this Audit
  • Cash Handling
  • Check float is at designated amount. Fail if float is at incorrect level, or variance of greater than
  • Check Change Float Balance Sheet for the last 4 weeks. Partial fault for one count missing, fault for
  • Access Surefire BOS for the last 14 days and check daily cash amounts on each till. Notate any amount
  • Check clearance receipts for two signatures, and amounts written onto the clearance receipt. This fig
  • Observations of sealed banking bags in the safe, with all required information completed on the bag a
  • Check details in Surefire BOS (daily cash banking figure) that the amount matches the deposit slips t
  • Check Daily POS Balance Sheets are in use, and correct information is being completed daily. Forms sh
  • Check that additional tills in safe have floats within them, and that they contain the standard float
  • Check that all variances over $5 are being followed up with the operator/s. Variances over $20 must b
  • Check that all safes are operating effectively. Doors should swing freely, locks operate, and code pa
  • Check door throughout the day and note times where door has been left open, or when safe accessed wit
  • Check that alarm system is effective and detectors not blocked by stock.Anaconda - Cash Office to be
  • Check that the Armaguard collection has occurred correctly. Office door is closed. Paperwork complete
  • Spotlight only question. Two Team Members must be in attendance when cash is being handled in the Cas
  • Spotlight - nominal amount held in safe, bank account held with minimum of two signatories. No EFTPOS
  • Refunds / Exchanges checked from the following date range:
  • You should access all refund information for the previous month. You should ensure you have receipts
  • Refunds
  • Anaconda - the customer refund pamphlet is to be displayed and available for customers to take at the
  • Check that the Refund Report has been printed off daily and has been signed off by the Manager comple
  • Check that all refund/exchange receipts are accounted for. Compare receipts to refund report. Fault i
  • Check that all refund/exchange receipts have two team member signatures. Fault for three or more non
  • You should be checking that all refunds/exchanges have the complete original transaction number and d
  • Compliance
  • Spotlight - check the Compliance folder for recent compliance notices to ensure they have been acted
  • Anaconda question only. Spotlight N/APartial fault occurs if only one sign up, or signage damaged or
  • Spotlight question only. Anaconda N/A.Signage should be clearly displayed on paint cage. Signage shou
  • Anaconda question only. Spotlight N/A.Bait fridge should not have excess build up of frost/ice. Bait
  • Anaconda question only. Spotlight N/A.Check random products to ensure that they are within date. Area
  • Fault occurs if area is not maintained correctly (e.g. blocked by stock etc) This does not necessaril
  • Anaconda question only. Spotlight N/A.Check to see if Lost Property process has been implemented and
  • Receiving Area
  • This is more about how the Receiving area is setup rather than poor design of a building etc.
  • Fault occurs if stock is found left outside for an extended period of time. Notate times found unatte
  • Fault occurs if Receiving door is found open for an extended period of time. Notate time found open.
  • Fault occurs if Forklifts / WAVES / Walkie Stackers found with keys in them unattended.
  • Fault occurs if Suppliers Returns/claims area is untidy, spread across multiple areas, or has a lengt
  • Fault if stock is found unattended in boxes or on pallets outside of the storeroom on the selling flo
  • Fault if stock is stored poorly in the storeroom
  • Team
  • Anaconda question only.Discussion with the Store Manager to establish the process for pro deals withi
  • Discussion with the Manager to ensure there is some control over Team Member purchases. I.e. not duri
  • All Team Member lay-bys must be processed correctly. If found, packages should be checked for accurac
  • Look for stock being held by Team Members. You need to check Tea Room, Offices and POS areas.
  • Anaconda question only.Check that there is process in place for Team Rentals. Check book to ensure th
  • The should be enough lockers to cover the number of Team Members in the store at peak times. Lockers
  • Anaconda question only.Store should be able to present last checklist if Store Manager has changed si
  • Check Tea Room for general tidiness. Check fridge, microwave, sandwich press for cleanliness. Fault f
  • Check registers / counters / receiving /selling floor for Team Members bags and personal belongings.
  • Look for items hat have been sent to stores and should be displayed in the Tea Room and Noticeboards.
  • Stock
  • Check areas: Bike workshop and Spartys. Anything used for in store use must be adjusted.
  • Anaconda - check spare parts area in storeroom. Area should be tidy, all items should be adjusted. Di
  • Check at least 100 items from a single department. Tickets should be displayed and show accurate for
  • Check current ticketing to ensure that the tickets are in line with current promotion. Fault occurs f
  • Review Store Notes / Weekly Comms for recent permanent price changes. Check at least 10 price changes
  • Anaconda - check for consistency of tagging. Check TSG, Shoes, Power Inverters.Spotlight - N/A
  • Spotlight question only. Check that items being marked down due to being damaged, that the process is
  • Anaconda question only.All items $300 and over are to be removed nightly from cabinets on selling flo
  • Building
  • Spotlight only question. Check entry for conditions of entry signage. Sign to be not blocked by other
  • All locks and doors lock and close correctly.
  • Confirm when code was last changed.
  • Discuss with Manager, review rosters and alarm entry times. Check CCTV system if available.
  • Observations of alarm equipment.
  • Check when the last alarm walk test was conducted. Check to see if any issues identified in last walk
  • Check codes in alarm panel. Fault if codes found active for former employees.
  • Confirm from ADT Select that after hours call out listing is current and up to date. Update at the ti
  • Test Sensormatic gates. Use soft tag, hard tag and source tag to ensure consistent activation. Fault
  • Test deactivators and detachers to ensure they operate. Fault for issues found that have not been rep
  • Discuss with Team Members, ask them how they would handle a customer that activates EAS gates.
  • Anaconda question only.Check Fitting Rooms. Fault occurs if excess build up of clothing, hangers, tag
  • Ensure that the off site storage is appropriate for the size of the store, and it can be secured appr
  • Check cabinets are all locked. Fault for any cabinets left unlocked. For cabinets missing or have def
  • Anaconda question only. High risk cage must be locked at all times. Appropriate items should be locat
  • Check Key Register. Must be up to date and should account or all master keys for store.NOTE: Anaconda
  • Does store have Climbing Pinnacle and/or Kayak Pool
  • Payroll, Training and People
  • Timesheets should be checked to ensure that they are being filled in correctly. Look for not being fi
  • Check the last two weeks exception reports against timesheets. Speak to Team Members to see if there
  • Anaconda - ask Manager to bring up Campfire to see what the overall completion rate for the entire te
  • Anaconda - N/ASpotlight - check Management Induction records, fault for extended non compliance to th
  • POS Register Process
  • Check all registers at various times throughout audit. Fault occurs where a register is found to be l
  • Bring up names on Operator Details in Surefire BOS. Looks for names of past Team Members or numbers o
  • Observed at POS. If customer does not want receipt, receipt should be destroyed and placed in bin. Fa
  • Look at discount report. Review transactions with 15% off to ensure that staff discount card has been
  • Check that report has been printed if suspended transactions have occurred. Evidence of follow up sho
  • Check that report has been printed if voided transactions / voided items have occurred. Evidence of f
  • Check that report has been printed. Evidence of follow up should be demonstrated for all price overri
  • The following reports must be printed daily: price override report, void report, suspends report, ope
  • Check Petty Cash usage for last two months. All receipts must be accounted for, and appropriate use o
  • Ensure cheques have been entered correctly within Surefire BOS, and have been banked correctly. They
  • Spotlight question only. Check weekly dashboard report. Fault would occur for high usage of dump code
  • Lay-by / Shop at Home / Online Transactions
  • Check the lay by area to ensure that it is neat and tidy. Fault for areas that are very untidy. Ensur
  • Print off the Overdue layby report from Surefire BOS. Fault occurs for five or more laybys overdue by
  • Review Shop at Home paperwork. ensure that credit card information has been destroyed/removed. Fault
  • Ensure that the Shop at Home process if occurring correctly.
  • Anaconda question only - The Team Members who are preparing and putting through Online orders are app
  • Anaconda question only - Check the online orders are being processed within 24 hours of receiving the
  • Anaconda question only - check that there is an appropriate area for the gathering and processing of
  • Stock Movement
  • Review Stock In Transit report. Fault occurs for items in transit for significant periods of time wit
  • Ensure that Goods Receipting is up to date. Review pallets received vs what is outstanding. Fault wou
  • Spotlight question only - review log and ensure that it is being used correctly and is up to date.
  • Spotlight question only - Review Negative Stock on Hand figures on weekly dashboard. Fault occurs of
  • Review Supplier Claims / Returns area. It should be maintained in a neat and tidy manner. Items shoul
  • This will show on the Stock In Transit Report. Fault occurs where items outstanding for an unreasonab
  • Anaconda question only - Store should be completed DC overs and unders adjustments weekly. Fault occu
  • Ask the Receiving Team what the process is for stock leaving back door. Make observations throughout
  • Incidents
  • Based on information sent through or communicated to Risk Management against known incidents that hav
  • Check Adjustments Report for write offs. Fault occurs if items are not adjusted on at least 50% of th
  • Stores should be able to talk about where their shrinkage hot spots are within the store. Fault occur
  • Comments regarding local crime issues
  • Mandatory section to complete. From discussions with Team Members, Management or your own local knowl
  • Sign Off
  • Risk Manager
  • Risk Manager Comments
  • Management Team Member / Store Representative
  • Management Team / Store Representative comments
  • Once complete, a copy of the Loss Prevention Audit is to be sent to the following people:TO:- Store M