Information

  • Compliance Manager Audit

  • Conducted on

  • Prepared by

  • Venue Manager Name

  • Venue Area Manager Name

  • Staff present on day of Audit

  • Previous Audit Date

  • Previous Audit Score + / -

Audit Checklist

Legal/Notices

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

  • Please select action date or deadline 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)

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Was the premises licence AGC or Bingo?

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Are machine ratios correct and consistent with displayed certificate?

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

Team Presentation

  • Were all staff wearing a name badge?

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Were all staff wearing the current Think 25 badges?

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Were all staff wearing the correct company uniform?

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Are all staff carrying a Staff Guard Fob where issued on the venue floor?

  • Recommendation/Action

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

  • Please select action date or deadline date

High Street Bingo

  • Was bingo material displayed in the shop window?

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

Control & Compliance

  • Do all machines have correct signage displayed on them? Category, Machine % , Over 18 sign and Gamcare Information. [Check Gaming Tablets].

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Is the CCTV on, working and + / - 5 mins of GMT?

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select Action Date or Deadline Date

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

  • Recommendation/Action

  • Please select action date or deadline date.

  • Is the First Aid Box adequately stocked and contents In date?

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Has the Venue completed the Attempts by Children and Young Persons to Enter LOG A. Paper and S.E.Tablet?

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Has the Venue completed Customer Interaction and Problem Gambling? LOG B

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • How many Customer Interactions and Problem Gambling Issues have been logged in the last 6 months?

  • How many entries in Log B relate to incidents other than Interaction or Problem Gambling.

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

  • Recommendation/Action

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

  • Please select action date or deadline 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

  • Recommendation/Action

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

  • Please select action date or deadline 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 ]

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Is the Smart Exclusion tablet charged and ready for use with the latest software version.

  • Recommendation/Action

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

  • Please select action date or deadline date.

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

  • Recommendation/Action

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

  • Please select action date or deadline 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?

  • How many times have the police been called?

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

  • Recommendation/Action

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

  • Please select action date or deadline 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 and Log is fully signed.

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Have any current employees Upskill Compliance training expired?

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Has all Safeguarding Upskill Training been completed?

  • Has the venue completed any Money Laundering Incident Reports?

  • How many Money Laundering Incident Reports have been completed in the venue?

  • Have all Money Laundering Incident Reports been reported on the tablet as a matter of urgency?

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

  • Please state the dates of visits and which governing bodies

  • Is the report available in the Compliance folder?

  • 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?

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

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

  • When was the last date the Premises Logs / Log Sheet was signed by the Venue Manager?

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

Play Right

  • Does the Venue have Play-Right installed?

  • Did Play-Right Inform the venue by phone and did staff check breach on the tablet and conclude satisfactorily?

Compliance Training Questions

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

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

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

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

  • If your Venue has [AWP] Tablets [I.e Bar X , G Tab or Bingo Plus] explain why it is important to check these are fully working at all times?

  • If you think a person entering your venue looks under the age of 25, Name the Four acceptable proofs of Identity you would ask to see?

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

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

  • If you are approached by a customer for help with Problem Gambling you must record it where?

  • If an excluded customer enters the Venue and/or plays the machines whilst they are excluded what actions would you take and where would you record the breach?

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

  • Is your Venue AGC or Bingo and where is your premises licence displayed?

  • If you are required to Self Exclude a customer in a Bingo Venue what is the difference from an AGC?

Local Area Risk Assessment

  • Has venue Local Gambling Risk Assessment been reviewed on this visit

  • Information

See comments and action points below

  • Additional points raised by Compliance Manager

  • Would you like to add a Recommendation/Action?

  • Point 1

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Action?

  • Point 2

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

  • Please enter action date or deadline date.

  • Comments on Audit Visit

  • Completed by

  • Signature

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.