Information

  • Compliance Manager Audit Checklist

  • Conducted on

  • Week Number

  • Prepared by

  • Venue Area Manager Name

  • Venue Manager Name

  • Venue Number

  • Venue Name

  • Staff present on day of visit

Audit Checklist

Legal/Notices

  • Was the venues BACTA 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 state the name of who's responsibility it is.

  • Please select action date or deadline date.

  • 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 U18 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 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?

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Was the premises licence AGC or Bingo?

  • Has the Venue got a copy of the latest liability insurance certificate on public display, correct date, Praesepe Holdings Ltd?

  • 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 a person attack alarm on the shop floor? (If broken report to Leah Mumford)

  • 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 category signage displayed on them? B3, Cat C or D

  • 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 correctly timed? (Report to Emma Burrows - MK if an issue)

  • 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 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 any Cashino Gaming Premises? LOG A

  • 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? 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 have been logged in the last 6 months?

  • 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 (up to 5th April 2016)

  • 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.

  • What do the site do with the form when completed? (file and copy to Leah Mumford HQ)

  • 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 SmartExclusion tablet since 6th April 2016?

  • Is the SmartExclusion tablet in the yellow box and charged?

  • 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?

  • Total number of employees at the venue?

  • 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.

  • Have members of staff completed the Compliance Training Questionnaire for dates specified on log?

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Have all current employees received training in the last 3 months and signed the log?

  • Recommendation/Action

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

  • Please select action date or deadline date.

  • Date of most current Staff Training?

  • Have all current employees completed Upskill Compliance training?

  • 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 the venue completed Suspicious Activity Report?

  • How many Suspicious Activity Report logs (SAR) have been completed in the last 6 months?

  • Have all Suspicious Activity Reports been returned promptly to MK as a matter of urgency?

  • Has the site received a visit from the Gambling Commission/Local Authority/Police in the last 6 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 were 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.

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

  • Recommendation/Action

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

  • Please select action date or deadline date.

See comments and action points below

  • Additional points raised by Compliance Manager

  • Would you like to add a Recommendation/Acton?

  • 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/Acton?

  • Point 2

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 3

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 4

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 5

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 6

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 7

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 8

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 9

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 10

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 11

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 12

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 13

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 14

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 15

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

  • Please enter action date or deadline date.

  • Would you like to add a Recommendation/Acton?

  • Point 16

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

  • Please enter action date or deadline date.

  • Completed by

  • Signature

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