LBO Compliance Audit 2016

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• Select date

  Date

• Duty Manager:

• CSA 1:

• CSA 2:

All Entrance Doors

• Opening and Closing signs (001/002)

  Yes

  No

  N/A

• Responsible Gambling window cling (RESPWC)

  Yes

  No

  N/A

Near Entrance Doors

• Security Notice (No U18's, No Smoking, No Alcohol, cash on premises) (006)

  Yes

  No

  N/A

• CCTV Notice (007)

  Yes

  No

  N/A

• Responsible Gambling leaflets (024)

  Yes

  No

  N/A

• Responsible Gambling leaflet dispensers (025)

  Yes

  No

  N/A

Shop Floor

• Fair Deal Rules (BR16P1 / BR16P2)

  Yes

  No

  N/A

• Multi - Operator Self - Exclusion leaflets (SE2050216)

  Yes

  No

  N/A

• Crimestoppers leaflets (028)

  Yes

  No

  N/A

Gaming Machines

• Responsible Gambling leaflets (024)

  Yes

  No

  N/A

• Responsible Gambling leaflet dispensers (025)

  Yes

  No

  N/A

• Multi - Operator Self - Exclusion leaflets (SE2050216)

  Yes

  No

  N/A

Counter Area

• CitizenCard Leaflets (026)

  Yes

  No

  N/A

• Think 21 stickers (Bandit Screens) (CLING21)

  Yes

  No

  N/A

Behind Counter

• Think 21 A5 Poster (Visible to customers) (031)

  Yes

  No

  N/A

• Complaints and Disputes leaflets (must be available at all times) (034)

  Yes

  No

  N/A

• The Summary of Terms and Conditions of a Premises Licence + Shop Plan (Framed)

  Yes

  No

  N/A

• Gambling Commission Manual (GCMAN16)

  Yes

  No

  N/A

• Completed Local Gambling Risk Assessment (GCM2016 - Filed in Gambling Commission Manual)

  Yes

  No

  N/A

• Good Neighbour Cards (NEIGHBOUR)

  Yes

  No

  N/A

• Distance Learning Workbooks completed and filed

  Yes

  No

  N/A

Behind Counter - Monitored Customers

• Does each log only contain the business of one single customer?

  Yes

  No

  N/A

• Could any log names or details contained within the log be seen as offensive, these are to be renamed with appropriate name?<br>(Self-Excluded data added to notes, if any)

  Yes

  No

  N/A

Behind Counter - Yellow Box File

• Customer Self Exclusion & Interaction Pad (March 2015) ENSURE THEY INCLUDE FORMS WITH BARCODES

  Yes

  No

  N/A

• Copies of all Self-Exclusion forms covering the shop

  Yes

  No

  N/A

• Original Incident Report Forms - reported RGI and SE Breaches KEPT IN THE FILE INDEFINITELY

  Yes

  No

  N/A

• Spare Multi - Operator Self - Exclusion Leaflets (SE2050216)

  Yes

  No

  N/A

• Multi - Operator Self - Exclusion Envelopes

  Yes

  No

  N/A

• Spare Responsible Gambling Leaflets (024)

  Yes

  No

  N/A

• Information for SE Customers leaflets (030)

  Yes

  No

  N/A

Behind Counter - Red Box File

• Completed Daily totals Reports (previous 6 weeks)

  Yes

  No

  N/A

• Completed Incident Report Forms (all except SE Breach and RGI) KEPT IN THE FILE INDEFINITELY

  Yes

  No

  N/A

• Blank Daily Total Reports and Incident Report Forms

  Yes

  No

  N/A

• Spare Crimestoppers leaflets (028)

  Yes

  No

  N/A

• Spare CitizenCard leaflets (026)

  Yes

  No

  N/A

LBO Colleague Training and Knowledge

• Discuss - New / Existing Large spending customers -
  1. Are all relevant OTC customers monitored?
  2. Have these customers been interacted with - where required?
  3. GM customers - have they been interacted with or considered for interaction where required?
  4. Any concerns regarding money sources, potential AML / PoCA?

• Discuss the quality of RGI reports and follow up requirements - Is there potential need for additional support and training?

• Discuss the MOSES & WH self-exclusion process. Does the shop team understand the difference between both processes? (Form completion, SE review process and management of active exclusions)
  Is there evidence that the yellow box is being checked at the beginning of every shift?
  Is there evidence of any breaches in personal data? (Customers forms/information being kept on notice boards, left in view of customers or non WH staff)

• Compliance reporting levels;
  Does the team understand the importance of recording accurate information on the DTR? (How to correct errors)?
  Are all team member aware of what incidents require an IRF and how to complete?
  
  Discuss Cat A / Cat B / Successful Challenges Ratio
  Are the team aware of reporting levels in the shop?
  Do they reflect the business levels within the shop, local area?
  Discuss recent IRFs;
  Are they written in a way that is detailed enough to explain what happened, if you knew nothing about the incident?
  Do any of the forms contain personal comments or assumptions about the customers that could be seen to be offensive?

• Good Neighbour;
  Are the team aware of their responsibilities and management of the scheme?
  Discuss any current or potential issues within the shop

• Compliance Training - Are all team members consistently trained on compliance reporting processes?

• AOB / Notes: