SSP UK CCA Mock Audit (with guidelines)

Information

Unit Name
Conducted on
Completed By
Unit Manager Name

CCA Legal

No breaches of SSP UK H&FS policy?<br><br>
The Auditor will observe Compliance to SSP Food and Health & Safety Management Systems, this includes: temperature monitoring controls, widespread cleanliness, widespread failure of FIFO procedures (use by dates No more than 3 items should be found past their use by dates), uncontrolled pest activity, structural Issues, hazards present in unit – trip & falls etc, floors being un-fit for purpose and EHO actions must have been completed to timescale.
External Fire Risk assessment on site?
The Auditor will check that an in date copy of the external risk assessment is stored in the fire log book.
All staff legally allowed to work with correct documentation?
The Auditor will refer to the SSP Immigration policy when checking staff files, this will include Identification, National Insurance, Visa, College Letters and associated documentation to student visa working rules, the student visa working hours rule will also be checked here. Note: There must be no evidence of Falsification to documentation, copies must be taken from originals, and biometric front covers / pages of passports can only be on file for biometric passports. All copies must also be legible.
All legal licensing requirements in place?
The Auditor will check this is displayed and also that the authorisation to sell alcohol must be up to date with the current DPS/DPM, if no DPS/DPM on site they must visit and sign into the Shift Planner 3 times per week.
Are all staff asking Eat in / take away, and is the % split between staff similar and realistic?
The auditor will watch at least 5 transactions throughout the audit to ensure each customer is asked in any unit that has dual VAT status additionally the auditor will check the previous weeks VAT report to ensure that all employees are compliant with the VAT rules.

CCA Compliance

External fire risk assessment on site and any site specifics?
The Auditor will check that a current copy of the external risk assessment is stored in the fire log book with all actions and site specific actions implemented signed off and completed within timescale.
Fire log book complete and up to date?
The Auditor will check that all monthly checks have been completed to standard, also that a FRA Checklist has been completed by the UM every 6 months.
FRA checklist reviewed by OM/SMUM, must be reviewed UM has completed diligently every 6 months
The Auditor will check that the log book has been reviewed every quarter and that the FRA Checklist has been reviewed by OM/HOR/SMUM to ensure the UM checks have been completed diligently and controls have been implemented.
Pest control contractor recommendations completed and signed off to timescale?
The Contractor website will be checked to ensure that all actions and recommendations have been completed and signed off online. The Auditor will check that there are no outstanding recommendations. Cleaning/Hygiene issues to be completed within a week, proofing within a month or logged on Agility and awaiting approval.
All Shift Planner checks accurate for current day and over the last 30 days?
The Auditor will review that all sections of the shift planner have been completed for the day, and over the previous 30 days. The checks must be accurate and match finding of the Auditor as the audit is conducted.
Shift Planner: Weekly checks completed to standard, and UM has signed the front page?
The Auditor will check end of week checks are fully completed and the planner is reviewed and signed off on the front page by the UM/AM.
Licensing log book should be completed correctly, each section must be fully completed with 30days
(In MAN airside bars, check to ensure that the local best practice guidelines are in place and that the refusal log has been reviewed weekly). The Auditor will check that the licensing logbook has up to date Licensing training record cards in section 2 for each Team Member. There must also be copies of the licence and plans, personal licence, Licensing risk assessment to be completed by current DPM/DPS and reviewed annually. Refusal log to be used correctly. This is not applicable for airside units in SSP UK, and in Dublin and Northern Ireland.
HR files secure and locked away?
The Auditor will check that all staff files are held in a locked draw/cabinet, a key has to left in a sealed bag in the safe if a manager not present – so that files can be accessed by the Auditor. If no access to files this will be marked in the legal section.
E1 section of the tracker documentation on file, ID signed and certified as applicable?
The Auditor will spot check staff files to ensure that all sections covered by E1 of the HR Tracker are available and completed to standard. ID/NI to be certified “original seen”.
Food safety training all up to date for team members, and food safety training cert on file?
The Auditor will check that all team members should have a food safety certificate on file. An email confirming a pass is acceptable until the certificate is received.
All training including refresher completed and signed off on the TRCs?
The Auditor will check all training completed to timescale, marked, dated and recorded on the relevant TRC for compliance.
The online HR tracker must be fully completed for all staff with no expired items?
All units must have the online HR tracker which must include all hourly paid employees, employees must be allocated to the specific unit they are costed and rostered to on Falcon/Kronos. Each unit must have a dedicated Tracker. The Auditor will check the tracker against the Falcon/Kronos roster. The Tracker must be fully completed with N/A if applicable (no blanks). There should be no expired items without explanation i.e. maternity leave or long term sick.
Appraisals, reviews and job chats completed correctly with smart objectives and to a timescale?
The Auditor will review job chats and appraisals are fully completed to timescale. A Team Member will be asked to confirm their last appraisal and one SMART objective.
Previous actions an has been signed off online - all actions stated?
The previous wave’s action plan must be fully completed and signed off online. The Auditor will review the action plan from the Online System; there should be no more than 3 reoccurring actions. All actions from the previous audit must be complete and for Priority 1 actions these must also be signed off by the Ops Manager.
Correct period review tool has been used and completed correctly on previous month?
The Auditor will check for the previous period to ensure it is fully complete with all applicable detail. They will also check that the document is current and completed as a cumulative document.
Company notices present and correct?
The Auditor will check that all policies and notification are displayed. This will include the current H&S law poster, H&S/FS polices, first aid, fire evacuation, allergies, hand wash and lifting safely. Also to display Challenge 21/25 (licensed units), company address, opening hours, nutritional information for Millies, CCTV & JD wall posters.

CCA Clean & safe

Correct hand washing procedures in place at time of visit, he basins to be used correctly?
The Auditor will observe the 10 steps to hand washing are in place at the time of the visit, and that the Hand wash station is stocked to standard and accessible. All hand washing facilities will be inspected including Toilets and Staff rooms.
No evidence of cross contamination. Sinks used correctly.
The Auditor will check that there is no evidence of cross contamination. This includes using tongs, no cracked tubs, correct use of chopping boards, food transportation, probe wipes available and in use, ice scoop not left in ice machine, raw and cooked food kept separate etc. Sinks should be labelled with their use, and used correctly.
No items should be found past their 'Use By' date.
The Auditor will check that all 'use by' dated products are within their life. If more than 3 items are found to be past their 'use by' dates, this must be marked under the legal section as breach of food safety policy.
No items should be found past their 'Best Before' date.
The Auditor will check that all best before dated products and within their best before date.
'First in, first out' (FIFO) rules followed for all products?
The Auditor will check that all stock has been rotated following the First in first out procedure.
Decanted products stored correctly? Dated/labelled correctly?
Products are stored correctly into lidded containers once opened and dated according to the shelf life policy. The Auditor will check that all food is stored and labelled correctly to company standard.
Fridge and freezer temps checks completed correctly and twice per day
The Auditor will check that the temperature checks are being completed and recorded in the Shift Standards Planner with decimal point. These should match those taken at time of the audit. Jellies must be used to take an accurate temperature check unless monitored by RDM system. A working probe should be available in each unit, all fridges and freezers to be numbered and a Team Member should know each location. Defective equipment or refrigeration units operating at temperatures above specified levels - should be identified and the corrective actions taken at the time recorded in the shift planner for each occasion. The Auditor may ask a question around temperature monitoring.
Cooking , hot holding, delivery & blast chiller temps checks completed correctly. HACCP in placed and reviewed?
The Auditor will check these have been recorded and carried out correctly and the records are a true reflection of the Auditor’s findings. HACCP document to be stored in the unit safety file and is reviewed annually and by current Manager.
Products timed using laminated card, timing stickers, day dots etc?
The Auditor will check that a robust timing system is in use to ensure that all food on display for no longer than four hours or to brand standard.
Aprons and hats worn at all times in the kitchen ?
Staff working the in the kitchen must be wearing hats, aprons and following the jewellery policy. All staff and management must comply with the company standards of appearance without exception.
Sanitizer or D10 used correctly, JD wall poster in use and COSHH assessments in place ?
The Auditor will check Sanitizer, Salad Sanitising Tablets and Chlorine Strips are available and in use. Bottles of sanitizer should be dated with a PTD for 7 days. COSHH assessments should be available for chemicals not covered by JD posters.
Kitchen & prep area walls, floors & ceiling clean and in good condition?
The Auditor will inspect the kitchen(s), Food prep areas to ensure that cleanliness standards are acceptable this includes under and behind equipment.
Food preparation surfaces clean & sanitised?
The Auditor will inspect the food prep areas including chopping boards and that a clean as you go policy is followed.
Equipment clean, in good condition & in working order at the time of the visit?
The Auditor will observe all items of Equipment and cleaning equipment to ensure they are clean, they will also review all procedures such as: hand contact surfaces, knobs clean, fridge seals etc wet floor signs must be available and in use and in clean & good condition. No more than 3 pieces of equipment can be found unclean.
Extraction canopy including filters clean & grease free. Filters must be cleaned daily and the hood/surrounding areas should be cleaned daily.
The Auditor will check the cleanliness of the extraction system and that all filters are in place and they are cleaned daily, current certificates/servicing is available for review.
Storage areas, including dry goods, refuse and equipment stores should be clean & tidy. Shelving should be 15cm off the floor to prevent pest activity. All products should be stored neatly & correctly.
The Auditor will check that shelving is a min of 15cm off the floor. Storage areas must be clean, tidy and product stocked away correctly.
Offices should be clean, tidy & organised. Staff rooms (where applicable) should also be clean & well maintained.
The Auditor will check Offices, staff room; toilets and delivery area and corridors to ensure cleanliness and maintenance are acceptable.
Front of house equipment clean, all areas of the unit clean & in good condition.
The Auditor will check all FOH areas to ensure all areas are clean and well maintained this will include seating areas, lighting etc.
No evidence of potential hazards in the unit, no pests evidence?
The Auditor will check to ensure no hazards are present at the time the audit is completed. A hazard is something that could cause potential injury or accident. Examples would be extension leads unguarded/signed, slip or trip hazard, unsafe working from heights, danger to customers. Unchained CO2, etc.

CCA Financial controls

Micros cards are only being used by the assigned employee - no sharing.
The Auditor will check all colleagues on duty are using their own card. Spot checks may be done measuring previous Micros card usage to Kronos rotas to ensure this is the case.
Check that the cards have the correct permission - manager v team member ?
The Auditor to check all colleagues on duty including management to ensure user levels are correct. A Team Member should not have Manager/Team Leader till access if a Mgr/TL is on duty.
Are the micros cards being taken home each night and not left in the unit?
The Auditor will check that all cards are taken home by colleagues. They must not be left in the unit. Any un-used/new cards should be secured with access restricted to the Manager.
Do end of week Lynx sales, match the Micros gross sales figure?
The Auditor will check that the sales reported in Micros balance to the sales entered in Lynx. The previous week and a further random 2 weeks will be checked.
Is micros BOH accessed using individual password, does each user have their own?
The Auditor will request that any management / team leaders on duty log in to Micros cash management, Lynx and Citrix to show that they are using an individual log in.
Are all keys signed for and a log kept?
The auditor will check that any keys have been signed in and signed out with accurate records historically.
No tills being shared, if there are any un-assigned till drawers.
The Auditor will expect that colleagues will not be using the same till when other till drawers are not in use.
Are the correct amount of till checks being carried out each week?
The Auditor will check that the correct numbers of till checks are being completed for the number of tills available. The previous 7 days will be checked. Refer to the Shift Planner for guidelines around number of checks required.
Are all till variances +/- £2 followed up with a Till Variance Report? Repeat offenders must have clearly documented action plans in place to resolve.
The Auditor will check till variance sheets have been fully completed and that follow up action has happened. The previous 7 days will be checked.
Is the drop safe banking log being used correctly?
The Auditor will check that the drop safe sheet in use is the company standard sheet, that it is fully completed and signed where needed, including witness signatures.
Are CCTV checks completed weekly and recorded in the Shift Standards Planner?
The Auditor will check that CCTV checks have been completed weekly and are recorded. The CCTV must be in full working order, if not evidence of maintenance reporting will be required.
Does the time on the CCTV system match the Micros PC. CCTV must be inside a locked cabinet.
The Auditor will check the cabinet is locked and check that time and date is correct on the system. The date and time on the CCTV should also be matched to the time on the tills.
Check colleague understand of PCI DSS compliance rules.
The Auditor will ask all colleagues what their understanding of this is, this needs to include any colleagues who handle the credit card slips not just those who take card transactions. The Auditor will complete spot checks in files to check the policy has been signed.
Is the cash retained (value of unit safe) inline with unit trade level? (See guidelines below)
The Auditor will complete a full cash retained check. The cash retained should never be more than 125% of weekly revenue or £50k. A copy of the cash retained will be sent to Head of Business Controls.
Check for safe variances?
The Auditor will check the last 4 weeks in Lynx to see if any safe variances have been entered and if so who authorised these. The Auditor will check that the safe checks have been completed and recorded 3 times a day.
Does the unit have any unreceipted invoices?
The Auditor will use the period to date unreceipted report for any breach of process.
Has the unit any OOP cost in the current period, if so why?
The Auditor will check for any out of period costs and investigate why invoices are not being processed as required.
Is the stock holding in line with the level of business?
The Auditor will calculate the stock days in the unit. The company target for stock holding is 10 days in a unit that does not sell news.
Have the stock levels increased over the last 3 months, use trended stock report?
The Auditor will expect to find valid reasons why stock levels are increasing, line checks will be done to ensure stock counts are accurate and the increase is not due to poor ordering or any other underlying issues. If the increases are not explained or the gain is over 4 months the Auditor will complete a stock verification.
Is vulnerable stock such as alcohol and tobacco stored securely and are counts in place for Vulnerable stock?
The Auditor will check that all high value stock items are locked away and also check the recording of daily vulnerable stock checks are completed correctly for previous 7 days.
Is there any evidence of unrecorded wastage?
The Auditor will check that all products wasted during the audit are recorded correctly.
Is the unit checking the COS Vendor report on Fox?
The Auditor will require evidence that these checks are in place either a digital or paper copy must be available for review for the period. Units who only receipt transfers from Stores MUST still check that all inbound goods are accurate and reflect Lynx.
Does the unit have any parked invoices?
The Auditor will check if the unit has had any parked invoices in the last period and if so they will investigate why the invoicing process was not followed.
CASP on file for all colleagues? (Latest copy)
The Auditor will check staff files to ensure a copy has been signed & dated and that all processes are followed.