Information
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Compliance Manager Audit Checklist
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Conducted on
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Week Number
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Prepared by
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Venue Area Manager Name
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Venue Manager Name
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Venue Number
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Venue Name
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Staff present on day of visit
Audit Checklist
Legal/Notices
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Was the venues BACTA 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 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 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 U18 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 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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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 AGC or Bingo?
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Has the Venue got a copy of the latest liability insurance certificate on public display, correct date, Praesepe Holdings Ltd?
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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 a person attack alarm on the shop floor? (If broken report to Leah Mumford)
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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 in the shop 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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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 category signage displayed on them? B3, Cat C or D
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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 correctly timed? (Report to Emma Burrows - MK if an issue)
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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 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 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 any Cashino Gaming Premises? LOG A
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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 completed Customer Interaction? LOG B
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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 Interactions have been logged in the last 6 months?
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Is there a log in the compliance folder for 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
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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 (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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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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What do the site do with the form when completed? (file and copy to Leah Mumford HQ)
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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 Self Exclusions have been recorded on the SmartExclusion tablet since 6th April 2016?
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Is the SmartExclusion tablet in the yellow box and charged?
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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
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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?
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Total number of employees at the venue?
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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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Have members of staff completed the Compliance Training Questionnaire for dates specified on log?
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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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Have all current employees received training in the last 3 months and signed the log?
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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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Date of most current Staff Training?
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Have all current employees completed Upskill Compliance training?
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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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Have any current employees Upskill Compliance training expired?
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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 Suspicious Activity Report?
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How many Suspicious Activity Report logs (SAR) have been completed in the last 6 months?
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Have all Suspicious Activity Reports been returned promptly to MK 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 6 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 Logs been signed by the Area Manager in the last 8 weeks?
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When was the last date the Premises Logs were signed by the Area Manager?
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Has the Premises Logs been signed by the Venue Manager in the last Month?
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When was the last date the Premises Logs were 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.
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Has the Venue tested Mobile Panic Alarms each month and completed details on 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.
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/Acton?
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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/Acton?
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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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Would you like to add a Recommendation/Acton?
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Point 3
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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/Acton?
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Point 4
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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/Acton?
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Point 5
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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/Acton?
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Point 6
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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/Acton?
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Point 7
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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/Acton?
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Point 8
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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/Acton?
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Point 9
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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/Acton?
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Point 10
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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/Acton?
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Point 11
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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/Acton?
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Point 12
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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/Acton?
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Point 13
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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/Acton?
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Point 14
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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/Acton?
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Point 15
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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/Acton?
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Point 16
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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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Completed by
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Signature