Retail SOP Audit Checklist

Confirm the audit location, date, shift, auditor, and business areas included in scope.

Verify the store is using the current approved SOP library and no obsolete versions remain in use.

Confirm every operational SOP has a named process owner and scheduled review date.

Check that store-specific SOP variations are formally approved and documented.

Verify critical SOPs are accessible to employees during all operating hours.

Confirm previous SOP audit findings and overdue actions have been reviewed before starting this audit.

Verify the opening checklist is completed within the approved time window before trading starts.

Confirm opening duties are assigned to named employees and verified by a supervisor.

Check that all critical opening blockers are resolved or formally escalated before customer entry.

Verify routine shift checks are completed at the scheduled frequency throughout the day.

Confirm shift handover notes clearly record open issues, pending tasks, stock concerns, and customer commitments.

Verify the closing checklist covers cash, stock, systems, housekeeping, security, and final lockup.

Observe whether staff greet customers within the time and manner defined by the service SOP.

Verify staff follow the approved needs-discovery process before recommending products or services.

Confirm product information, claims, warranties, and service commitments are communicated accurately.

Check that upselling and cross-selling practices follow approved scripts without misleading or pressuring customers.

Verify queue management and customer handoff procedures are followed during busy periods.

Confirm complaints and service recovery cases follow the approved acknowledgement, ownership, resolution, and escalation process.

Verify each POS user operates with an individual account and the correct role permissions.

Observe whether cash opening, float verification, and till assignment follow the approved process.

Confirm discounts, price overrides, voids, and cancellations require the correct authorization.

Verify return and refund transactions follow eligibility, proof-of-purchase, approval, and customer identity rules.

Check that cash drops, safe transfers, and end-of-shift reconciliation follow dual-control requirements.

Confirm unresolved till variances are investigated, assigned, and escalated within the required SLA.

Verify deliveries are checked against purchase orders, quantities, condition, and receiving documentation.

Confirm damaged, expired, returned, or quarantined stock is identified and physically segregated.

Check that stock transfers between locations or departments follow approval and system-recording rules.

Verify cycle counts and stock counts are completed according to the approved schedule and method.

Confirm high-value, high-shrink, and controlled products receive the required additional safeguards.

Verify inventory adjustments and write-offs have valid reasons, evidence, and approval.

Verify the current visual merchandising guide and campaign instructions are available to the store team.

Confirm product placement, zoning, adjacencies, and display sequence match the approved planogram or layout.

Check that shelf labels and displayed prices match the product and POS selling price.

Verify promotional signage, dates, mechanics, exclusions, and qualifying products are correct.

Confirm out-of-stock products, substitutions, and unavailable promotional items are handled according to SOP.

Verify expired campaign materials and outdated price communication are removed promptly.

Verify emergency exits, escape routes, fire equipment, and safety signage are accessible and compliant.

Confirm opening, closing, key, alarm, and access control procedures follow dual-control requirements where applicable.

Check that employees can explain emergency response, evacuation, and incident notification procedures.

Verify hazards are contained immediately and recorded with location, severity, evidence, and owner.

Confirm workplace incidents, customer injuries, theft, and security events are documented and escalated correctly.

Verify CCTV, panic alarms, EAS, and other security systems are tested at the defined frequency.

Verify cleaning routines are completed for customer, staff, sales floor, stockroom, and service areas.

Confirm equipment start-up, operation, cleaning, and shutdown procedures are followed.

Check preventive maintenance tasks are completed within schedule and evidence is retained.

Verify defects and repair requests are logged with priority, owner, SLA, and business impact.

Confirm utilities, temperature, lighting, ventilation, and other operating conditions remain within approved limits.

Verify contractor work, permits, isolation, and handover follow approved control procedures.

Verify scheduled employees are present, clocked in correctly, and assigned to required roles.

Confirm employees have completed mandatory SOP training and required assessments.

Observe whether staff grooming, uniform, name badge, and protective equipment meet role standards.

Verify supervisors conduct pre-shift briefings covering targets, risks, promotions, service priorities, and assignments.

Confirm employees know where to find SOPs and how to report uncertainty, hazards, or process failures.

Verify shift handover includes pending work, open incidents, customer commitments, equipment issues, and accountability.

Classify every SOP deviation by process, severity, customer impact, financial impact, and recurrence.

Assign each corrective action to a named owner with a due date, required evidence, and escalation path.

Confirm critical deviations receive immediate containment and management notification.

Verify completed actions address the root cause and include sufficient closure evidence.

Review repeat deviations, overdue actions, low-performing stores, and systemic SOP gaps.

Record the final SOP compliance status, residual risks, approver decision, signature, and next audit date.