Information

  • Compliance Manager Audit

  • Conducted by

  • Venue Area Manager Name

  • Venue Manager Name

  • Staff present on day of Audit

  • Conducted on

  • 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?

  • Action required by Compliance Manager.

  • Was the premises licence AGC or Bingo?

  • Has the Venue a copy of the latest Public 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 B3 machine numbers correct on the venue? : Remind Venue to apply for new 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] / Staff Guard Fobs 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 internal and/or external in the Venue and are such that a customer can reasonably be expected to recognise that it is a premises licensed for the purposes of providing bingo facilities.

  • 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.

  • Does the Venue have tablet gaming? If yes are they unlocked and available for play?

  • 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 [Monthly] and or Staff-guard Fobs [Weekly] are details recorded on the appropriate test 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.

Compliance Folder / Logs

  • 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 on the IHLTablet Age Verification App?

  • 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 received a Check Policy age test in the last 6 Months?

  • Date and Time of Visit

  • Does the Check Policy Visit Appear on the IHL Tablet, Age Verification Section?

  • Please state the name of whos responsibility it is.

  • Recommendation / Action

  • Please select action date or deadline date.

  • Has the Venue completed Customer Interaction and Problem Gambling? - Gambling Related?. IHL Smart Interaction.

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

  • Recommendation/Action

  • Please select action date or deadline date.

  • How many Customer Interactions Gambling Related have been logged in the last 6 months? [ IHL Tablet ]

  • Has the Venue completed Customer Complaints and Disputes? LOG C [Paper]

  • 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 the Self-Exclusion? LOG E [Old style paper Self-Exclusions ]

  • 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 paper Self-Exclusions are still active in the venue.

  • How many Self-Exclusions have been recorded on the IHL tablet by venue and total. [ From 6th April 2016 ]

  • Has the Venue completed any Smart Incidents on the IHL Tablet?

  • 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 ?

  • Were the police called to resolve any recorded incidents?

  • How many times have the police been called?

  • Is the IHL tablet charged and ready for use, and is the Venue Tablet Daily check sheet in use and completed by staff.

  • Recommendation/Action

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

  • Please select action date or deadline date.

Compliance Training UpSkill

  • 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?

  • Do the Essentials of Compliance training dates correspond with Log G training summary and is the Log fully signed?.

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Has all Essentials of Compliance training been completed?

  • Details and Action required.

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

  • Please select action date or deadline date.

  • Has all Safeguarding Training been completed?

  • Details and Action required.

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

  • Please select action date or deadline date.

  • Has all Age Verification Training been completed?

  • Details and Action required.

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

  • Please select action date or deadline date.

  • 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 Log Summary Sheet been signed by the Area Manager in the last 8 weeks?

  • When was the last date the Premises Log Summary was signed by the Area Manager?

  • Has the Premises Log Summary been fully completed and signed by the Venue Manager in the last Month?

  • When was the last date the Premises Log Summary 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 Gambling Risk Assessment

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

  • Comments,

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

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