Checklist template

Receiving dock and vendor shrink controls for retailers

A ready-to-use checklist with 108 items in 6 sections, covering Dock security, Vendor check-in, Piece counts, Seals, Trash and compactor, Records. Use it as-is in InspectLoop, or adapt it to your own standards in minutes.

  • 6 Sections
  • 108 Items
  • 94 Yes / No checks
  • 6 Scored ratings
  • 124 Points

Use this template How audits work

1. Dock security 18 items

  1. Every dock door was closed and locked when no truck was being unloaded Yes / No 1 pt
  2. The receiving door for direct-store-delivery vendors was locked between deliveries Yes / No 1 pt
  3. The dock doorbell or buzzer works Yes / No 1 pt
  4. A camera covers each dock door from the inside Yes / No 1 pt
  5. A camera covers the outside dock apron Yes / No 1 pt
  6. Recorded video of the dock from 7 days ago was retrieved during the visit Yes / No 1 pt
  7. Dock door keys are held only by the positions named in company policy Yes / No 1 pt
  8. The dock door alarm is armed outside receiving hours Yes / No 1 pt
  9. An open dock door is attended by the receiver for the whole time it is open Yes / No 1 pt
  10. Truck drivers stay on the dock or in the drivers' area, not in the stockroom Yes / No 1 pt
  11. Employees' personal vehicles are not parked at the dock Yes / No 1 pt
  12. Employees do not leave the building through the dock doors at the end of a shift Yes / No 1 pt
  13. Personal bags, coats and lunch containers are not kept in the receiving area Yes / No 1 pt
  14. High-value freight is moved from the dock to the locked cage before the next truck is unloaded Yes / No 1 pt
  15. Merchandise is not staged outside the dock door Yes / No 1 pt
  16. The pedestrian door next to the dock closes and latches by itself Yes / No 1 pt
  17. Deliveries outside the posted receiving hours are accepted only with a manager present Yes / No 1 pt
  18. Security of the dock doors during the visit Rating
    • Locked or attended at all times 5 pts
    • One lapse seen 3 pts
    • Doors open and unattended 1 pt

2. Vendor check-in 19 items

  1. Every vendor and driver signs the vendor log on arrival Yes / No 1 pt
  2. The vendor log records the company name Yes / No 1 pt
  3. The vendor log records the time in and the time out Yes / No 1 pt
  4. Vendors wear a visitor badge or the vendor's own identification while in the store Yes / No 1 pt
  5. Vendors enter through the receiving door or the entrance designated by company policy Yes / No 1 pt
  6. Each direct-store-delivery is checked in by the receiver before product goes to the sales floor Yes / No 1 pt
  7. The receiver checks each direct delivery item by item against the invoice or the handheld Yes / No 1 pt
  8. The receiver, not the vendor, scans or keys the quantities received Yes / No 1 pt
  9. Vendor product waits in a marked check-in area until it is received Yes / No 1 pt
  10. Credits for stale or damaged product are counted by the receiver Yes / No 1 pt
  11. Product picked up for credit is scanned by the receiver before the vendor takes it away Yes / No 1 pt
  12. Vendor totes, racks and boxes are checked by the receiver when the vendor leaves Yes / No 1 pt
  13. Vendors do not enter the stockroom or coolers unaccompanied Yes / No 1 pt
  14. Vendors working the sales floor check out with the receiver before leaving Yes / No 1 pt
  15. Deliveries from a vendor not in the system are refused until the office authorizes them Yes / No 1 pt
  16. Invoice costs that differ from the system are flagged to the office, not changed by the receiver Yes / No 1 pt
  17. The receiver does not accept free product, samples or gifts from vendors Yes / No 1 pt
  18. Direct-store-delivery vendors signed in on the day before the visit Number
  19. Check-in of the vendor deliveries observed or sampled Rating
    • Counted item by item by the receiver 5 pts
    • Counted for some vendors only 3 pts
    • Vendor's count accepted 1 pt

3. Piece counts 18 items

  1. The number of pallets or cartons unloaded is counted against the bill of lading before the driver leaves Yes / No 1 pt
  2. The receiver counts without help from the driver Yes / No 1 pt
  3. Shortages are written on the bill of lading Yes / No 1 pt
  4. Damaged cartons are noted on the bill of lading Yes / No 1 pt
  5. The driver signs next to each exception written on the bill of lading Yes / No 1 pt
  6. Cartons with broken or replaced tape are opened and counted Yes / No 1 pt
  7. Mixed pallets from the distribution center are checked carton by carton at the frequency set by company policy Yes / No 1 pt
  8. A detailed audit of one warehouse delivery was done in the period set by company policy Yes / No 1 pt
  9. Date of the last detailed audit of a warehouse delivery Date
  10. Cartons short or over found in that audit Number
  11. High-value cartons (electronics, fragrances, tobacco, razor blades) are counted by unit Yes / No 1 pt
  12. Parcel carrier deliveries are counted by package against the carrier's manifest Yes / No 1 pt
  13. Store-to-store transfers received are counted by unit against the transfer document Yes / No 1 pt
  14. Transfers sent out are counted by a second person before the carton is sealed Yes / No 1 pt
  15. Over-shipments are reported to the distribution center, not kept unrecorded Yes / No 1 pt
  16. A delivery observed or a pallet recounted during the visit matched its paperwork Yes / No 1 pt
  17. Receiving is done by scanning cartons or labels rather than by accepting the load as a whole Yes / No 1 pt
  18. Accuracy of the counts observed or re-checked Rating
    • Counts matched the paperwork 5 pts
    • Differences found and already written on the paperwork 3 pts
    • Differences not recorded, or no count done 1 pt

4. Seals 18 items

  1. The seal number of each sealed trailer is compared with the number on the bill of lading before the seal is cut Yes / No 1 pt
  2. The receiver or a manager, not the driver, cuts the seal Yes / No 1 pt
  3. The seal is checked for signs of tampering before it is cut Yes / No 1 pt
  4. The seal number is written in the receiving log Yes / No 1 pt
  5. A trailer arriving with a missing, broken or mismatched seal is reported to the distribution center before unloading Yes / No 1 pt
  6. A load with a seal exception is counted in full Yes / No 1 pt
  7. Cut seals are kept for the period set by company policy Yes / No 1 pt
  8. Multi-stop trailers are re-sealed after this store's freight is unloaded Yes / No 1 pt
  9. The new seal number is written on the driver's paperwork Yes / No 1 pt
  10. Unused seals are kept in a locked drawer or the office Yes / No 1 pt
  11. Unused seals are counted against the seal log Yes / No 1 pt
  12. Outbound trailers (returns, transfers, pallets and totes) are sealed by the store Yes / No 1 pt
  13. The driver verifies the outbound seal number and signs for it Yes / No 1 pt
  14. A trailer left at the dock overnight is locked or sealed Yes / No 1 pt
  15. Totes of high-value product arrive with intact tote seals Yes / No 1 pt
  16. Broken tote seals are recorded with the tote number Yes / No 1 pt
  17. Trailers received with a seal exception in the last 4 weeks Number
  18. Seal control on inbound and outbound trailers Rating
    • Checked, recorded and kept 5 pts
    • Checked but not recorded 3 pts
    • Not checked 1 pt

5. Trash and compactor 17 items

  1. The compactor chute or door is locked when not in use Yes / No 1 pt
  2. The compactor key is held by a manager or the position named in company policy Yes / No 1 pt
  3. A manager or key holder is present when trash is loaded into the compactor Yes / No 1 pt
  4. Cardboard boxes are flattened before they go into the baler, so that no merchandise leaves inside them Yes / No 1 pt
  5. Trash bags are clear, so the contents can be seen Yes / No 1 pt
  6. A check of 3 trash bags or bins waiting at the dock found no merchandise Yes / No 1 pt
  7. Trash is not taken out through the dock by one employee alone after closing Yes / No 1 pt
  8. The outside dumpster is locked or inside a locked enclosure Yes / No 1 pt
  9. No merchandise or emptied packaging was found around the dumpster or enclosure Yes / No 1 pt
  10. Damaged merchandise is scanned out before it is destroyed or discarded Yes / No 1 pt
  11. Destruction of damaged merchandise is witnessed by a second person Yes / No 1 pt
  12. Merchandise marked for donation is logged before it leaves by the dock Yes / No 1 pt
  13. Empty pallets, totes and bread racks returned to vendors are checked for hidden product Yes / No 1 pt
  14. Baled cardboard is stored inside or in a secured area until pickup Yes / No 1 pt
  15. The camera view of the compactor or baler area is unobstructed Yes / No 1 pt
  16. Return-to-vendor merchandise is held in a marked, locked area until it is picked up Yes / No 1 pt
  17. Control of trash, compactor and baler Rating
    • Locked and supervised 5 pts
    • Supervised some of the time 3 pts
    • Open and unsupervised 1 pt

6. Records 18 items

  1. The receiving log is filled in for every delivery of the last 7 days Yes / No 1 pt
  2. Each bill of lading is signed by the receiver Yes / No 1 pt
  3. Each bill of lading shows the date and time received Yes / No 1 pt
  4. Direct-store-delivery invoices are entered in the system on the day of delivery Yes / No 1 pt
  5. Receiving paperwork is filed by date Yes / No 1 pt
  6. Receiving paperwork is kept for the period set by company policy Yes / No 1 pt
  7. Shortage and damage claims are sent within the claim deadline Yes / No 1 pt
  8. Claims sent to the distribution center or to vendors in the last 4 weeks Number
  9. Vendor credits are matched to the credit slips signed by the receiver Yes / No 1 pt
  10. Last week's direct-store-delivery receiving exception report carries the office's initials or notes Yes / No 1 pt
  11. Return-to-vendor shipments have a signed pickup document Yes / No 1 pt
  12. The dock door key holder list is current Yes / No 1 pt
  13. The receiver and the backup receiver have completed the company's receiving training Yes / No 1 pt
  14. Date of the last dock audit by district loss prevention Date
  15. Actions from the last dock audit are closed Yes / No 1 pt
  16. Name of the receiver on duty Short text
  17. Overall control of dock and vendor shrink Rating
    • Doors secured, deliveries counted by the receiver and seals recorded 5 pts
    • Doors secured, but counts or seal records incomplete 3 pts
    • Doors unattended or vendor counts accepted 1 pt
  18. Corrective actions required Comments

About this template

This checklist is part of the InspectLoop template library. Yes / No checks score 1 point when met; ratings score the points shown for each option. The overall score is the percentage of points earned, with N/A answers excluded. In InspectLoop you can add photos, assign corrective actions, require sign-off and compare results across sites.

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