Information
-
Key Controls Assessment
-
Site Name
-
Duty Manager/Team Member
-
Conducted on
-
Prepared by
PIKC_01
-
Is there a float variance?
-
Action: Count the float. Does the float value on site agree with CBD?
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_02
-
Are all monies secure, and is there a full safe check being completed at all safe handovers using the standard check sheet & is the safe check completed in full?
-
Action: Review the current and the previous 27 days of safe handover sheets to ensure that all safe contents have been recorded. This includes cash, shift pay ins, prepared banking (including the full banking bag number recorded), guest valuables and charity monies.
Are all monies secure in either the till, floats or ATM machine.
Guide: Using appendix 1 from the FPM, a safe handover must be completed every time the accountability for the safe changes hand.
All the contents of the safe must be counted and the handover sheet signed by both parties at the time of the count.
Tip - the safe count sheet must not be pre signed or prepopulated with safe content information. Evidence of the sheet being pre signed will result in a fail
Scoring: If the money is not secure or more than 9 safe checks are incomplete, then the question will be a fail. Any safe checks found pre signed or prepopulated with safe content information will be a Fail. -
Comments/Findings
PIKC_03
-
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?
-
Action: Review the current and previous 3 weeks bank logs to CBD.
All banking's must be made up daily, recorded on CBD & the banking log.
Guide: Using appendix 8/9 of the FPM, the banking log must be completed in full and in an RPI hotel signed by the restaurant management team at the time the cash is handed over to them.
Tip - ensure the log is signed at the time the banking is handed to the restaurant team..
Scoring: The form must be 100% correct. -
Comments/Findings
PIKC_04
-
Is the hotel banking in line with company policy for cash and cheques?
-
Action: Review the current and previous 3 weeks bank logs.
All cheques must be banked 3 weeks in advance of the guests arriving.
All banking's must be made up daily and 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 banking bag number recorded.
Guide: Using appendix 8/9 of the FPM, the banking log must be completed in full and signed by the person compiling the banking and also the person who hands the monies over to the collection company.
Tip - on the mornings of collections reconcile the banking log to the bankings in the safe that are waiting for collection.
Scoring: The form must be 100% correct. -
Comments/Findings
PIKC_05
-
Is all petty cash expenditure a legitimate business expense, inline with policy & supported with a valid receipt?
-
Action: Review the previous 28 days & ensure that all spend is compliant with the FPM - section 2
Guide: Review CBD petty cash spend at the end of each week and ensure that there is a receipt for all purchases & that they are all in line with company policy.
Tip - all petty cash must be claimed via CBD and not personal expenses.
Scoring: Non-adherence to policy or unsupported petty cash spend = Fail -
Comments/Findings
PIKC_06
-
Select 10 Card Not Present (CNP) transactions to check for authorisation - are all CNP transactions correctly authorised?
-
Action: Review a minimum of 10 CNP transactions.
Guide: A form of authorisation must be held before any CNP transactions can be charged, so that any disputed transactions can be defended.
Tip - all CNP transactions processed can be identified in the EFT reports in BART, under front Desk reconciliation.
Scoring: Compliance check - all or nothing -
Comments/Findings
PIKC_07
-
Is the hotel banking in line with company policy for charity banking?
-
Action: Review the previous 28 days & ensure that all spend is compliant with the FPM - section 2
Guide: Review CBD petty cash spend at the end of each week and ensure that there is a receipt for all purchases & that they are all in line with company policy.
Tip - all petty cash must be claimed via CBD and not personal expenses.
Scoring: Non-adherence to policy or unsupported petty cash spend = Fail -
Comments
PIKC_10
-
Are the Payroll Analysis Reports reviewed for accuracy of payments, signed by the OM and securely filed? Using the same files checked for RTW, do they all have signed Terms & Conditions?
-
Action: Check the last months payroll analysis reports for accuracy of payments and the holiday accruals.
The reports must all be signed off by the OM and securely filed.
For the files checked - have all the T&C's been signed off. For new starters since the 13th January 2016 - are their T&C's completed on the new documentation
Guide: Run the payroll analysis report within 5 working days of the pay date and review all columns to ensure the payments are accurate.
Tip - check the end column with the holiday accruals to ensure that team members have not taken more holidays than they will accrue in the year.
Terms & Conditions should be completed on day 1 of employment.
Tip - complete a check of T&C's when completing the checks for RTW documentation.
Scoring: Compliance check - all or nothing. Any evidence of AM sharing ID's will score a Fail.
If the updated T&C's form has not been used for a new starters then this will be scored as a Fail -
Comments
PIKC_11
-
Are all team members files secure?
-
Action: These must be in a locked filing cabinet regardless of whether the cabinet is located in a locked office. The security of files applies to leavers as well as current team members.
Guide: All team members files must be secure in the filing cabinet with the key held by the OM and a spare key kept in the safe which is checked at each safe handover.
Tip - ensure all new starter files are complete on day 1 and not left in trays waiting for documents to be completed and signed off.
Scoring: Compliance check - all or nothing - Critical Control -
Comments
PIKC_12
-
For the team member files checked do they all contain the correct ID in prevention of illegal workers?
-
Action: Review either 10 files or 20% of files in larger hotels. Ensure the selection contains the 5 most recent starters.
The ID in the files must be fully compliant with the RTW documentation.
In smaller hotels the same files do not need to be checked every month - only new starters.
Guide: Once the team member has been offered employment a copy of their RTW ID must be taken and held on file. Tip - ensure the ID is obtained on day 1 of employment.
Scoring: Compliance check - all or nothing - Critical Control -
Comments
PIKC_13
-
Have all Management and Team Members signed the FPM?
-
Action: Review the FPM acknowledgement form against the current payroll report.
Guide: All managers & team members who are cash handlers must have signed the manual within 2 weeks of their start date.
All managers & team members who are required to sign the manual but are not cash handlers must do so within 8 weeks of starting.
Members of the house keeping management team must sign.
Any maintenance team with safe access must also sign the manual.
Tip - include the FPM sign off as part of the team members induction plan.
Scoring: Compliance check - all or nothing -
Comments
PIKC_15
-
Have the cash refund transactions been logged by the team member completing them & signed off by a member of the management team. Are all cash refunds within company policy?
-
Action: Review all cheque or leisure voucher refund transactions in the previous 2 months.
The log must be signed daily by the manager on duty declaring that all refunds completed are valid and have supporting documentation.
Any processed outside of policy will score as a Fail
Guide: Using appendix 5 of the FPM, complete the form in full with all the necessary details for any cash refunds completed.
Tip - all refunds for cash, cheques, leisure vouchers must be logged - including any payment swaps
Scoring: Compliance check - all or nothing -
Comments
PIKC_15
-
Have the daily discount transactions been logged by the team member completing them & signed off by a member of the management team?
-
Action: Review 10 days of discounted transactions that have been processed in the previous 2 months.
The log must be signed by the manager on duty declaring that all discounts completed are valid and have supporting documentation
Guide: Using appendix 6 of the FPM, complete the form in full with all the necessary details for any discounts completed.
Tip - ensure that lines 398 & 399 are also reviewed and logged.
Scoring: Compliance check - all or nothing -
Comments
PIKC_16
-
Has the OM refund & discounts declaration form been completed and signed off as a minimum at the end of each trading week?
-
Action: Review the previous 4 weeks documents.
The validity of the document must be checked for accuracy & signed by the OM (not countersigned) as a minimum at the end of the trading week.
During holidays / sickness this must be signed off for the person responsible for the hotel.
Guide: Using appendix 4 of the FPM, all columns must be completed by the OM.
The OM is signing to declare that all refunds and discounts that have been processed have been done so in line with company policy and that they all have valid supporting documentation.
Tip - the form must be completed and signed by the OM and not team members.
Scoring: Compliance check - all or nothing -
Comments
PIKC_17
-
Is all guest data securely stored and only accessible to the management team & ground floor team members?
-
Action: Check and record the location of all documents and who has access to them.
The documents must only be accessible to members of the management team.
Guide: The data must be securely stored a.s.a.p. after the transaction has been processed and only be accessible to members of the management team & any groundfloor team members who handle guest information on a daily basis.
Tip - remember scanned pdf's can now be accepted for company bookings but must not contain the 16 digit card numbers. All data stored in the Refund & Discount log must be secure.
Scoring: Compliance check - all or nothing - Critical Control -
Comments
PIKC_18
-
Are ready rooms clean and vacant?
-
Action: Perform a visual check of a minimum of 5 rooms.
Guide: Run Arrivals / Departs list in BART to obtain the ready rooms for the previous night and check all rooms that are recorded as Ready are Ready.
If any of the rooms have been used then further investigations will need to be completed.
Tip - ensure all nights team members are aware of how to transfer a room in BART. Quite often used Ready rooms are due to the nights team transferring a guest but they are not aware of how to process this in BART.
Scoring: If any rooms have been used and the reason is unexplainable then this will be scored as a Fail -
Comments
