Information
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Compliance Manager Audit
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Conducted by
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Venue Area Manager Name
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Venue Manager Name
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Staff present on day of Audit
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Conducted on
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Previous Audit Date
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Previous Audit Score + / -
Audit Checklist
Legal/Notices
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Was the venues BACTA / Bingo Association certificate on display and correct date displayed?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Was a No Smoking sign clearly displayed at the entrance, in a window or door?
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Recommendation/Action
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Please select action date or deadline date.
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Please state the name of who's responsibility it is.
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Was a No Alcohol sign clearly displayed on the door of the entrance? (AGC only)
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Was the correct Under 18 sign displayed on the entrance door or window?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Was the correct Think 25 signage on display in the venue?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Were Gamcare and Citizen Card leaflets and Posters available? (Including Toilets)
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Was the premises licence correct and on display? Name, Operator, HQ?
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Action required by Compliance Manager.
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Was the premises licence AGC or Bingo?
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Has the Venue a copy of the latest Public liability insurance certificate on public display,
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Are machine ratios correct and consistent with displayed certificate?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Are the Complaints & Disputes leaflets available? (stored in office or compliance folder)
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
Team Presentation
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Were all staff wearing a name badge?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Were all staff wearing the current Think 25 badges?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Were all staff wearing the correct company uniform?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Are all staff carrying mobile panic alarms [MPAs] where issued on the venue floor?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Are all staff carrying a Staff Guard Fob where issued on the venue floor?
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Recommendation/Action
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Please state the name of who's responsibility it is
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Please select action date or deadline date
High Street Bingo
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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.
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Were the correct rules/charges to play notices on display?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Where appropriate was Bingo Express clearly announced via the venues microphone?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Was the wipe clean Bingo Display Board in use? (Bingo License - Rainbow Bingo Sales)
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Is Paper Bingo being played as advertised in the venue?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Are all shutter boards clean and in working order and numbers visible?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
Control & Compliance
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Do all machines have correct signage displayed on them? Category, Machine % , Over 18 sign and Gamcare Information. [Check Gaming Tablets].
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Is the CCTV on, working and + / - 5 mins of GMT?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Has the Venue tested WORKING Mobile Panic Alarms each month and completed details on the MPA monthly test form?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select Action Date or Deadline Date
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Do the staff know where the Accident Book and First Aid Box are?
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Recommendation/Action
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Please select action date or deadline date.
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Is the First Aid Box adequately stocked and contents In date?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
Compliance Folder / Logs
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Do the members of staff know where the Compliance & Social Responsibility folder is?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Are the contents of the folder complete and up to date?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Has the Venue completed the Attempts by Children and Young Persons to Enter LOG A Paper and IHLTablet? [ From 6th July 2018 ]
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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How many Attempts by Children and Young Persons been logged in the last 6 months?
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Has the Venue received a Check Policy age test in the last 6 Months?
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Date and Time of Visit
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Does the Check Policy Visit Appear on the IHL Tablet, Age Verification Section or Log A if the visit was before 9th July 2018?
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Please state the name of whos responsibility it is.
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Recommendation / Action
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Please select action date or deadline date.
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Has the Venue completed Customer Interaction and Problem Gambling? LOG B [1] - Gambling Related
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Please state the name of who's responsibility it is.
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Recommendation/Action
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Please select action date or deadline date.
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How many Customer Interactions Gambling Related have been logged in the last 6 months?
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Has the Venue completed Customer Incidents. LOG B [2] - Not Gambling Related
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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How many Customer Incidents Not Gambling Related have been logged in the last 6 months?
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Has the Venue completed Customer Complaints and Disputes? LOG C
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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How many Customer Complaints and Disputes been logged in the last 6 months?
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Has the Venue completed Customer Incidents Requiring Police Assistance? LOG D : Paper and IHL Tablet? [ From 1st Oct 2018 ]
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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How many incidents have been logged in the last 6 months?
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How many incidents have been logged in the last 6 months which required Police Assistance?
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Has the Venue completed the Self-Exclusion? LOG E [Old style paper Self-Exclusions ]
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Are Self-Exclusion forms up to date on the Self-Exclusion log? (up to 5th April 2016)
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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How many paper Self-Exclusions are still active in the venue.
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How many Self-Exclusions have been recorded on the IHL tablet by venue and total. [ From 6th April 2016 ]
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Is the IHL tablet charged and ready for use with the latest software version.
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Has the Venue completed Incidences Relating to Aggressive Customers and Alcohol? LOG F : Paper and IHL Tablet? [From 1st Oct 2018 ]
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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How many incidents have been logged in the last 6 months Relating to Aggressive Customers and Alcohol?
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Were the police called to resolve Aggressive Customers and Alcohol?
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How many times have the police been called?
Compliance Training UpSkill
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Has the venue completed the training log for Staff Training? LOG G
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Total number of employees at the venue?
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Do the Essentials of Compliance training dates correspond with Log G training summary and is the Log fully signed?.
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Has all Essentials of Compliance training been completed?
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Details and Action required.
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Has all Safeguarding Training been completed?
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Details and Action required.
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Has all Age Verification Training been completed?
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Details and Action required.
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
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Has the venue completed any Money Laundering Incident Reports?
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How many Money Laundering Incident Reports have been completed in the venue?
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Have all Money Laundering Incident Reports been reported on the tablet as a matter of urgency?
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Has the site received a visit from the Gambling Commission/Local Authority/Police in the last 12 months?
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Please state the dates of visits and which governing bodies
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Is the report available in the Compliance folder?
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Have any issues (if any) been resolved and by whom?
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Has the Premises Log Summary Sheet been signed by the Area Manager in the last 8 weeks?
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When was the last date the Premises Log Summary was signed by the Area Manager?
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Has the Premises Log Summary been fully completed and signed by the Venue Manager in the last Month?
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When was the last date the Premises Log Summary was signed by the Venue Manager?
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As Compliance Manager, was I asked to produce ID and sign the visitors book?
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Recommendation/Action
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Please state the name of who's responsibility it is.
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Please select action date or deadline date.
Play Right
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Does the Venue have Play-Right installed?
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Did Play-Right Inform the venue by phone and did staff check breach on the tablet and conclude satisfactorily?
Compliance Training Questions
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Were staff able to explain the Four stages of the company complaints procedure? [ADR] [IBAS]
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Were staff able to explain procedures for Money Laundering [POCA]
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Were staff able to explain the 3 Licencing Objectives [Gambling Act 2005]
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Were staff able to explain which stickers/decals are required on machines (AWP's) by Law?
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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?
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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?
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Were staff able to explain what happens if an underage person actually plays the machines?
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Were staff able to explain the procedures for identifying and dealing with vulnerable people?
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If you are approached by a customer for help with Problem Gambling you must record it where?
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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?
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Were staff able to explain what to do if someone is acting suspiciously?
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Is your Venue AGC or Bingo and where is your premises licence displayed?
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If you are required to Self Exclude a customer in a Bingo Venue what is the difference from an AGC?
Local Area Risk Assessment
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Has venue Local Gambling Risk Assessment been reviewed on this visit
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Comments,
See comments and action points below
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Additional points raised by Compliance Manager
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Would you like to add a Recommendation/Action?
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Point 1
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Please state the names of who's responsibility it is.
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Please enter action date or deadline date.
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Would you like to add a Recommendation/Action?
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Point 2
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Please state the names of who's responsibility it is.
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Please enter action date or deadline date.
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Comments on Audit Visit
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Completed by
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Signature