CASHINO COMPLIANCE MANAGER AUDIT - 2017 JULY

• Compliance Manager Audit

• Conducted on

  Date

• Prepared by

• Venue Manager Name

• Venue Area Manager Name

• Staff present on day of Audit

Legal/Notices

• Was the venues BACTA certificate on display and correct date displayed?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was a No Smoking sign clearly displayed at the entrance, in a window or door?

  Yes

  No

  N/A

• Recommendation/Action

• Please select action date or deadline date.

  Date

• Please state the name of who's responsibility it is.

• Was a No Alcohol sign clearly displayed on the door of the entrance? (AGC only)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was the correct Under 18 sign displayed on the entrance door or window?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was the correct Think 25 signage on display in the venue?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Were Gamcare and Citizen Card leaflets available? (Including Toilets)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was the premises licence correct and on display? Name, Operator, HQ?

  Yes

  No

  N/A

• Was the premises licence AGC or Bingo?

  AGC

  BINGO

• Has the Venue a copy of the latest liability insurance certificate on public display,

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are machine ratios correct and consistent with displayed certificate?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are the Complaints & Disputes leaflets available? (stored in office or Compliance folder)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

Team Presentation

• Were all staff wearing a name badge?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Were all staff wearing the current Think 25 badges?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Were all staff wearing the correct company uniform?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are all staff carrying mobile panic alarms [MPAs] on the venue floor?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are all staff carrying a Staff Guard Fob where issued on the venue floor? (If broken report to Emma Burrows)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is

• Please select action date or deadline date

  Date

High Street Bingo

• Was bingo material displayed in the shop window?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Were the correct rules/charges to play notices on display?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Where appropriate was Bingo Express clearly announced via the venues microphone?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was the wipe clean Bingo Display Board in use? (Bingo License - Rainbow Bingo Sales)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Is Paper Bingo being played as advertised in the venue?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are all shutter boards clean and in working order and numbers visible?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

Control & Compliance

• Do all machines have correct signage displayed on them? B3, Cat C or D, Machine % , Over 18 sign and Gamcare Information.

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Is the CCTV on, working and + / - 5 mins of GMT? (Report to Emma Burrows - MK if an issue)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has the Venue tested working Mobile Panic Alarms each month and completed details on MPA form?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select Action Date or Deadline Date

  Date

• Do the staff know where the Accident Book and First Aid Box are?

  Yes

  No

  N/A

• Recommendation/Action

• Please select action date or deadline date.

  Date

• Are the contents of the First Aid Kit : In Date and Fully Stocked

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Do the members of staff know where the Compliance & Social Responsibility folder is?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are the contents of the folder complete and up to date?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has the Venue completed the Attempts by Children and Young Persons to Enter LOG A

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many Attempts by Children and Young Persons been logged in the last 6 months?

• Has the Venue completed Customer Interaction? LOG B

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many Customer Interactions have been logged in the last 6 months?

• Is there a log in the compliance folder for Customer Complaints and Disputes? LOG C

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many Customer Complaints and Disputes been logged in the last 6 months?

• Has the Venue completed Customer Incidents Requiring Police Assistance? LOG D

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many incidents have been logged in the last 6 months?

• How many incidents have been logged in the last 6 months which required Police Assistance?

• Has the Venue completed the Self Exclusion? LOG E [Old style paper Self Exclusion ]

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are self exclusion forms up to date on the self exclusion log? (up to 5th April 2016)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many Self Exclusions have been recorded on the SmartExclusion tablet by venue and total.

• Is the SmartExclusion tablet in the yellow box and charged with the latest software version.

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has the Venue completed Incidences Relating to Aggressive Customers and Alcohol? LOG F

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many incidents have been logged in the last 6 months Relating to Aggressive Customers and Alcohol?

• Were the police called to resolve Aggressive Customers and Alcohol?

  YES

  NO

• How many times have the police been called?

• Has the venue completed the training log for Staff Training? LOG G

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Total number of employees at the venue?

• Have all current employees completed Upskill Compliance training and do the dates correspond with Log G training summary.

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Have any current employees Upskill Compliance training expired?

  YES

  NO

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has the venue completed any Money Laundering Incident Reports?

  YES

  NO

  N/A

• How many Money Laundering Incident Reports have been completed in the venue? [If Applicable]

• Have all Money Laundering Incident Reports been returned promptly to Byron Evans as a matter of urgency?

  Yes

  No

  N/A

• Has the site received a visit from the Gambling Commission/Local Authority/Police in the last 12 months?

  YES

  NO

  N/A

• Please state the dates of visits and which governing bodies

• Is the report available in the Compliance folder?

  Yes

  No

  N/A

• Have any issues (if any) been resolved and by whom?

• Has the Premises Logs been signed by the Area Manager in the last 8 weeks?

  Yes

  No

  N/A

• When was the last date the Premises Logs were signed by the Area Manager?

  Date

• Has the Premises Logs been signed by the Venue Manager in the last Month?

  Yes

  No

  N/A

• When was the last date the Premises Logs were signed by the Venue Manager?

  Date

• As Compliance Manager, was I asked to produce ID and sign the visitors book?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

Compliance Tablet

• Does the Venue have PlayRight installed?

  Yes

  No

  N/A

• Did PlayRight Inform the Venue by phone and did staff check breach on the tablet and conclude satisfactorily?

  Yes

  No

  N/A

• Does the Venue have the AML reporting App on the tablet and is it working and ready for use?

  Yes

  No

  N/A

Compliance Training Questions

• Were staff able to explain the company complaints procedure? [ADR] [IBAS]

  Yes

  No

  N/A

• Were staff able to explain procedures for Money Laundering [POCA]

  Yes

  No

  N/A

• Were staff able to explain the 3 Licencing Objectives [Gambling Act 2005]

  Yes

  No

  N/A

• Were staff able to explain which stickers/decals are required on machines (AWP's) by Law?

  Yes

  No

  N/A

• Were staff able to explain what proof of age documents are acceptable?.

  Yes

  No

  N/A

• Were staff able to explain what happens if an underage person actually plays the machines?

  Yes

  No

  N/A

• Were staff able to explain the procedures for identifying and dealing with vulnerable people?

  Yes

  No

  N/A

• Were staff able to explain what to do if someone is acting suspiciously?

  Yes

  No

  N/A

• Open Question

  Yes

  No

  N/A

Local Area Risk Assesment

• Has venue Local Area Risk Assessment been reviewed on this vist

  YES

  NO

• Information

See comments and action points below

• Additional points raised by Compliance Manager

• Would you like to add a Recommendation/Action?

  YES

  NO

• Point 1

• Please state the names of who's responsibility it is.

• Please enter action date or deadline date.

  Date

• Would you like to add a Recommendation/Acton?

  YES

  NO

• Point 2

• Please state the names of who's responsibility it is.

• Please enter action date or deadline date.

  Date

• Would you like to add a Recommendation/Acton?

  YES

  NO

• Point 3

• Please state the names of who's responsibility it is.

• Please enter action date or deadline date.

  Date

• Would you like to add a Recommendation/Acton?

  YES

  NO

• Point 4

• Please state the names of who's responsibility it is.

• Please enter action date or deadline date.

  Date

• Would you like to add a Recommendation/Acton?

  YES

  NO

• Point 5

• Please state the names of who's responsibility it is.

• Please enter action date or deadline date.

  Date

• Completed by

• Signature

  Sign