Information
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Key Controls Assessment
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Site Name
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Report conducted by
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Conducted on
PIKC_19_01
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Is the Site Float secure and correct?
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How: Count the site float and record date:
> The site float consists of all money in the safe, till and server floats and ATM
> All monies must be secure in either the safe, till, floats or ATM machine
> Does the value of float held on site agree with CBD (Audit only: Check Float against Oracle)
Guide: Count the actual float and record on the safe handover sheet (Appendix 1 FPM). To be completed with the person the safe is being handed over to and both parties must sign at the time the count is completed. Tip - do not pre sign the safe sheet
Scoring: If either 10% or >£25 of the float is short then the question will be scored as a Fail -
Comments/Findings
PIKC_19_02
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Is there a full safe check being completed at all safe handovers?
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How: Review the current and previous 14 days of safe handover checks (each shift per day) and record dates checked:
> All safe contents must be handwritten in ink on the company standard safe check sheet
> Safe contents must be counted and recorded at each check and not pre-populated or pre-signed
> Contents include cash, shift pay ins, prepared banking, leisure vouchers, guest valuables and charity monies.
> All safe handover checks must include the signatures of the incoming and outgoing manager and all signatures must be aligned to the person responsible for the safe -
Comments/Findings
PIKC_19_03
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Has the banking log / RPI to restaurant transfer log been fully completed and signed off. For Solus & CoLo hotels, do all logs have the collection receipts attached? Is the hotel banking in line with company policy for cash and cheques?
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How: Review the current and previous 3 weeks bank logs for:
> All cheques must be banked 3 weeks in advance of the guests arriving.
> Monies must be banked as per number of collection your hotel receives.
> Change banking must be re banked within 7 days.
Review the current and previous 3 weeks bank logs & CBD.
> All banking's must be made up daily, recorded on CBD & the banking log completed in full.
> All banking's must be handed to the cash collector on the hotels collection days.
> The inner bags recorded on the log must match the collection receipt left by the collection company.
> The receipt must be attached to the relevant week log.
> All manual collection receipts must have the full inner and outer banking bag number recorded. -
Comments/Findings
PIKC_19_04
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Have all CNP transactions selected for review been correctly authorised?
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How: Review a minimum of 10 CNP transactions:
> All transactions must be correctly authorised. -
Comments
PIKC_19_05
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Have all team members been paid for their actual hours worked? Are all team members on the payroll analysis report currently employed? **Critical Control**
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How: Check the last month's payroll analysis report for accuracy of payments:
> A minimum of 10 Team Members must to be checked (the selection must include at least one team member from each department);
> Do all team members on the payroll analysis report appear on a rota;
> See payroll guidance documents for full list of payroll reasons. -
Comments
PIKC_19_06
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Is all Team and Guest Data secure? **Critical Control**
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How: Team Member & Guest Data must be securely stored:
> Team member’s data refers to the contents of the important document wallet and all personal and sensitive information such as Name, Employee Number, Contact Details, Right to Work ID, Ethnic Origin, Wage/Salary Details, CVs, References, etc.;
> This must be in a locked filing cabinet regardless of whether the cabinet is located in a locked office, access restricted to Management only;
> The Key to the cabinet must be kept securely;
> Security of data also applies to archived Team Member Data.
> Guest data refers to all personal and sensitive information such as Name, Contact Details and Payment details;
> Check and record the location of all Guest data ;
> Guest data must only be accessible to members of the Management team and Ground Floor team members. -
Comments
PIKC_19_07
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Do all team member files checked contain the correct Right to Work documentation? **Critical Control**
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How: Review either 10 files or 20% of files in larger hotels:
> Ensure the selection contains the most recent starters and existing team members
> RTW documentation must meet requirements as set out in HR policies
> RTW documentation must be correctly validated
> In smaller hotels the same files do not need to be checked every month - only new starters -
Comments
PIKC_19_08
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Has payroll been processed in line with company policy?
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How:
> Has the Payroll Analysis Report been printed, reviewed and signed by the HM within 7 days of pay date?
> Has the pay been processed correctly for team members on dual rates of pay?
> Are team members set-up in SD Worx and paid for the job role they are employed to do ?
> Does back pay over 20 hours for a team member have e-mail authorisation from the ROM attached to the payroll analysis report?
> Ensure payments have not been made using the Team Leader supplement line?
> Have holidays been taken and paid in line with policy?
> Have any other bonus, incentive payments, etc. been authorised by the ROM and e-mail attached to the payroll analysis report?
> See payroll guidance document for a full list of the scoring criteria. -
Comments
PIKC_19_09
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Have the discount transactions been logged by the team member completing them? Have all logs been signed off by a member of the Management team?
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How: Review 10 discounted transactions that have been processed in the previous 2 months:
> The log must be signed within 7 days by a member of the site management team declaring that all discounts completed are valid and have supporting documentation
> For Whitbread discounts run the refund and discount report for last 6 weeks and check that the employee details have been captured correctly in BART. -
Comments
PIKC_19_12
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Is all Petty Cash expenditure in line with company policy?
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How: Review the previous 14 days Petty cash expenditure and document all spend on the working tab:
> Is all non PI WOW petty cash spend in line with policy
>Is there written ROM authorisation for any single item or weekly Petty Cash expenditure exceeding £50
> PI WOW spend must be logged on the control sheet for purchases below £3 where a receipt is not available
> Is all petty cash including PI WOW over £3 supported with a valid receipt
> Has all petty cash expenditure been processed correctly on CBD -
Comments
