Table Of Contents

2. Security & Loss Prevention Responsibility as a Management Function


Delegation of Shared Functions

Related Job Functions / Conflicts

Experience, Character & Personality

Developing the Security Function

Description

General & Specific Responsibilities

Authority

The Security Manager’s Image

3. Awareness Programs

Bulletin Board Poster

4. Internal Theft & Fraud

Cost of Internal Theft & Fraud

Memo: Time Theft / Abuse

Why People Steal

Danger Signs

- The High Roller

- The Helpless Type

- The ‘Old Timer’

- The Long-Term Employee

- Misplaced Trust


“The Theft-Prone Employee”

Trouble Signs: What to Look For

Types of Pilferers

Pilferage Targets

Measures of Pilferage Control

Anatomy of a Warehouse Theft

(for Storage Facilities)

How Employee Steal

Phony Contractors & Buyers

Warning Signs to Watch For

Diagnosis of White Collar Crime

5. Internal Controls

Framework of Accountability

Accounting Validity Checks

Segregation of Duties

Audit Trails

Surprise Audits & Inspections

Testing With Deliberate Errors

Techniques for Testing Procedures & Controls

Other Internal Controls
Safeguarding Cash

Handling Cash Receipts

Safeguards for Petty Cash Fund

Accountability of Cash Disbursements

Cashflow Preservation

Check Acceptance Procedures

Credit Card Acceptance Procedures

6. Inventory Controls

Variances Not Directly Caused by Theft

Reliability of Numbers

Book vs. Actual (Physical)

Loss Reporting Procedures

Sample Incident Report Form

Package Inspection & Property Control

Property Control Policy & Form

Employee Purchases

Sample Employee Purchase Guidelines

Memo: Sample Discount Policy

7. Personnel Security

Identifying People Vulnerabilities & Controlling Them

Employee Qualification Criteria

Critical Knockout Questions

The Weighted Application Blank

Screening techniques

Review of the Employment Application

Immigration Laws

Completion of Screening

Authorization to Conduct Background Search

Sample, Authorization & General Release Form

Prohibition of Polygraph

New Legislation Summary

The Structured Selection Interview

Paper & pencil Honesty Testing

Human Resources re:

Security & Loss-Prevention effort

Informing Your Employees

Supervisory Enforcement

Memo: Complaints & Grievances

Notice of Unacceptable Activities

8. Physical Security

Physical Security: A Brief History

Perimeter Defenses

Locks & Keys

Keying Systems & Key Control

Lock & Key Control Survey

Sample Lock & Key Control Procedures

Guidelines for Key Control

Electronic Security Systems

Access Controls

After Hours Access

Intrusion Detection

Fire, Heat & Smoke Detection

Water Detection

Security Lighting

Quick Way to Determine Need

Lighting Requirements Checklist

9. Information Systems Security

Characteristics of Computer Room Policies

Computer Invasion Precautions Policies

Emergency Recovery Plan

Organization & Operating Controls

Security Policies & Procedures

Security Controls for Contractors

Security Controls for Service Providers

Security Controls for Operational Data

Computer Access & Usage Controls

Systems Software Security Controls

Applications Systems Software Controls

Operational Processing Controls

Teleprocessing Network Security Controls

Data Center Physical Protection Controls

Emergency & Recovery Planning

Procedures & Controls

Computer Operations Controls and Procedures Manual

How to Establish Better EDP Accountability

10. Safeguarding Proprietary Data

Confidential vs. Proprietary

What is Secret data?

Common Sense Application

Basic Procedures for Information Protection

Storage & Protection of Media

Controlling Report Distribution

Are Company Secrets Going Out With the Trash?

Information Safeguards

11. Vendor Kickbacks

Internal Controls: Purchasing

Internal Controls: Accounts Payable

Gratuities

Conflicts of Interest

Corporate Conduct Policy

Security Policy

Purchasing Procedures

Sample Conflicts of Interest Policy

Investigations

Right to Audit Vendor’s Records Clause

Investigative Audits

Standardized Audit Clauses

What to Look For

Ownership Interest in Vendor

Gifts of Vehicles

Time & material Contracts

12. Substance Abuse in the Workplace

Scope & Nature of Problem

Memo: Cost to Company

Statement of Policy (2 choices)

Alcohol & Drug Use Policy

Identifying the Abuser

Companies at Risk

Telltale Signs of Drug Abuse

Instituting an Employee Assistance Program (EAP)

How to Determine Extent of Problem

13. Developing Internal Intelligence

Selecting an Undercover Agency

Info Checklist for Undercover Agency

Purchase test Investigation

Agency Selection and Use Criteria

Exit Interviews

Positive Parting

Lasting Impression

Suggested Questions for Exit Interviews

14. Insurance Fidelity Bonds

Soft vs. Hard Approach

Prosecution & Legal Considerations

Discovery & Recovery

Considerations Checklist

Worker’s Compensation Fraud

15. Shipping, Receiving & Cargo Security

Warehouse Procedures

Theft & Collusion Involving Drivers

Sample Control Procedures

Overnight Truck Cargo Security

Shipping Department Audit

Shipping & Receiving Department

Security Guidelines

16. External Threats

Shoplifting

Burglary Checklist

Armed Robbery

Procedures for Employees

Procedures for Robbery Prevention

Night Call Cautions

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