SSP UK FY16 Legal & Compliance MOCK Audit

Q2: H&S Risk Question: Any issue relating to a breach of health & safety policy which is likely to result in an issue with an EHO, fine, prosecution or improvement notice including but not limited to pest infestation (uncontrolled), danger to employee or customer safety, structural damage etc.

Q3: Right to Work LEGAL: The Auditor will refer to the SSP immigration policy when checking colleague right to work, this will include identification, visa, college letters and associated documentation for student visa working rules, the student visa working hours will also be checked and recorded here. There should no evidence of falsification to documentations, copies are to be taken from originals.

Q4: VAT Status: The Auditor will check the till set up is correct for eat in and takeaway units, they will additionally check that all team members are asking the "eat in and take away" questions on all transactions along with checking operator performance via the relevant published reporting.

Q5: Premises Licence: 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. If the DPS/DPM has changed, a copy of email confirmation should be stored in the licensing logbook.

Q6: Equipment clean & in good condition: Store lighting and counter equipment should all be clean, working and in good condition.

Q7: Display fridge working? The display fridge must be working and lit (where applicable) in order to maximise sales.

Q8: All tills available & in use? The Auditor will observe the customer experience, they will look to ensure steps are in place to have all tills open as required and that team members, leaders and management are reacting to the customer flow in unit.

Q9: Are credit card terminals working, clean and in good condition and used correctly?

Q10: Is the Coffee Machine clean and in good condition and functioning correctly? The Coffee Machine must be turned on, working and in good condition. The overall appearance of the machine must be clean. The Auditor will check the top and underneath the machine, the showers, group handles and steam arms for cleanliness. The Automatic machines will also be checked.

Q11: Are coffee grinders clean and in good condition and functioning correctly? Coffee grinders must be clean and in good condition. The Chamber will also be checked for cleanliness. The coffee beans should be timed for 24hrs. Knock out drawer is clean and in good condition.

Q12: Is the Gaming Machine clean, working, refilled and switched on? The Gaming Machines must be clean and working. The Auditor will check the refill log and that there is sufficient float available in the machine.

Q13: Is the planogram available and complaint by day part as applicable? A check of store planograms will be completed to ensure compliance to correct day part.

Q14: Is the correct range and supplier funded "golden key" item(s) on display? The correct range and supplier funded (golden key) products must be displayed in accordance to the current POS Guidelines available in the UK Operations Community on Connections.

Q15: Are displays block merchandised and front faced? All displays must be neatly blocked and products front facing.<br>

Q16: Does a member of the team know what the Supplier funded product is? The most senior person on shift will be asked what the supplier funded product is as outlined in the current Cascade/POS Guidelines.

Q17: Do all product have SEL pricing available? All products must have a shelf edge ticket or have the price on an menu or tariff (100% compliance).

Q18: Does the TM on duty know what the current promotion is? A Team Member will be asked about current promotions as outlined in the current Cascade/POS Guidelines/Phase Change document.

Q19: Is all POS correctly displayed with product description as required? A check will be completed to ensure all POS is displayed in accordance to the POS Guidelines or Phase Change document (M&S).

Q20: Are Till Toppers in use for perfect partner displays? Till toppers should be in place to remind the team what the current Perfect Partner products are that should be offered.

Q21: Are all products available as per day part, menu and POS? All products should be on display in accordance to the day part, menu and POS displayed. products are available per daypart and production planning in use to ensure this happens.

Q22: Are all disposables available? The full range of disposables for the brand should be available and used correctly. If the branded disposable is not available a white or generic version should be used. No other branded disposables should be used.

Q23: Are all condiments available? The correct condiments should be offered to the customers. This includes sugars, stirrers, napkins and applicable sauces. In brands using a condiment table, these should be fully stocked.

Q24: Are Customers being served in a timely manner? The Auditor will observe that Customer orders are being produced in a timely manner. The team should be seen to adapt to the level of trade and show a sense of urgency in peak times.

Q25: Are customers greeted with a friendly warm welcome? Customers should be greeted with a smile and offer of assistance, apologising if they are kept waiting.

Q26: Are TM's upselling as required? The Team Member should offer the Customer an upsell, for example upsell to larger or premium coffee.

Q27: Is the Perfect Partner item offered as an addon sale in a positive way? The Team Member should be seen to offer an appropriate Perfect Partner product as identified on the till topper.

Q28: Are all colleagues and management in correct uniform and smartly dressed? Correct uniform should be worn including name badges. This will also be checked for all team members & leaders. Management team must be smartly dressed.

Q29: Are departing customers given an appropriate farewell? Customers should be thanked and an appropriate parting comment made, in busy times this may be a "thanks" in quieter times a "have an good journey" or "enjoy your meal".

Q30: Do all in house products on display look appealing? The Auditor will check that all products on display are fresh and of good quality.

Q31: Are all specification cards available and current? The Auditor will check that the specification cards are available for products and that they are up to date.

Q32: No damaged products on display. The Auditor will check that there are no broken products on display.

Q33: Is Coffee made correctly? (Temperature, Taste, Milk Quality) A coffee check will be undertaken observing how the coffee is produced and taste tested for temperature and quality of the espresso & milk.

Q34: Product check 1 A product will be checked against its specification and checked that the portioning and build is correct. The product must be packaged, labelled and dated as required to the specification. In retail units, a price check will be completed.

Q35: Product check 2 A product will be checked against its specification and checked that the portioning and build is correct. The product must be packaged, labelled and dated as required to the specification. In retail units, a price check will be completed.

Q36: Product check 3 A product will be checked against its specification and checked that the portioning and build is correct. The product must be packaged, labelled and dated as required to the specification. In retail units, a price check will be completed.<br>

Q37: Product check 4 A product will be checked against its specification and checked that the portioning and build is correct. The product must be packaged, labelled and dated as required to the specification. In retail units, a price check will be completed.<br>

Q38: Do team members know about allergens of a product? Team Members and Management will be tested on their knowledge of allergens in their products.

Q39: Team Member Food Safety knowledge question Team Members and Management will be tested on their knowledge from the bank of questions in relation to Food Safety.

Q40: Are FIFO procedures followed? FIFO procedures should be followed and observed at all times.The Auditor will check that FIFO is followed and check that no items are found past their Best Before or Use by date. More than 3 items found past their Use By date will be marked under breach of food safety.

Q41: Are all colleagues adhering to PPE and Jewellery policy The PPE and Jewellery policy should be observed at all times

Q42: Temperature Monitoring controls (non serious) in place? "All temperature checks should be recorded in the Planner with clear actions and follow ups should temperatures be out of range. <br>Jellies to be in use for temperature monitoring in fridges. All temperature checks to be completed within 15 mins of opening. The Auditor will check current day and previous 30 days."

Q43: Product timing system in place? All products should be timed and dates in accordance with brand or company guidelines.

Q44: Customer utilised areas clean and in good repair? All customer utilised areas should be clean and in good condition. This includes customer seating & condiment tables.

Q45: Customer facing service areas clean and in good repair? All customer facing services areas should be clean and in good condition. This includes the counter, racking, shelving, ticket stripping and service areas.

Q46: Team Member Safety or pest knowledge question Colleagues should be aware who the Pest Contractor is and how to log a call. Team Leader/Manager should be able to log onto the dashboard to pull off any information relating to their unit such as site visits.

Q47: Walls, Floors and Ceilings clean and in good repair All colleagues should be checking that they are clean and in good repair. EHO's follow this approach when conducting their inspections. Colleagues should be seen to be "cleaning as they go".

Q48: Are there any major cleaning issues? The Auditor will observe to determine if there are any major cleaning issues in unit.

Q49: No evidence of Slips, Trips, Falls and Accident / Hazards No hazards should be present in the units for both Colleagues and Customers.

Q50: Has the unit forecasted sales and labour 3 weeks ahead of current week? There must be 3 weeks of realistic forecasting and rostering in Falcon & Kronos which the Auditor will check.

Q51: Are rosters up, completed and planned to agreed forecasted hours? The Auditor will check that the correct rosters are up with the right dates, and will check that the hours on the rosters are reflective of the hours in Kronos.

Q52: Is there a live business plan to action any Sales and Wages overspend to QF / Budget? The Auditor will check that the proposed actions are being followed within the timescales set out in the Action/Business Plan. If there has been any local agreements in regard to overspend within unit, the Manager must provide evidence to the Auditor to this effect.

Q53: Does Micros Revenue equal Lynx revenue daily? The Auditor will check that the cash office sales in Lynx match to the weekly ops summary in Micros.

Q54: Are Cash Variances followed up if over target? There must be a till variance form completed for each till variance of + or - £2 (Retail is £1). These must be fully completed and held in staff files, actions should be taken to address these.

Q55: Is unit completing a minimum of 5 vulnerable stock checks per day? 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 30 days.

Q56: Is the Manager completing Random till checks in line with policy? The Auditor will check that there are records and evidence of random till checks completed in unit as per company standard for the previous 30 days.

Q57: Are all transfers up to date?  The Auditor will check that transfers between units have been entered on to Lynx daily or at the time of transfer and that a signed transfer document is available in the transferring unit.

Q58: Are all Micros users setup correctly. CASP/PCI followed. The Auditor will use the POS configurator to ensure all colleagues are set up at the correct access level assigned to them. All high value stock must be secured. A key list must be in place for the unit. Keys allocated to team or Management must be signed for. If keys are left overnight in another unit, these must be signed in and out. PCI/DSS policy to be followed.

Q59: Is Manager completing a weekly check of CCTV carried out to ensure system is operational and in working order? Shift planner checked for time of check & signature, CCTV to be viewed by Auditor to confirm that the time of check registered in planner is correct.

Q60: Is manager completing a monthly check of CCTV to ensure it is in full working order and able to record footage to USB/Disk Confirm with manager through them giving you a demonstration of a recording for one minute of footage, that the system is indeed able to record and there are at least 30 days available.

Q61: Is Manager completing adhoc staff searches? Staff searches must be completed in line with the policy. Check shift planner for confirmation and confirm these by the back up checklist which should be on the personnel file.<br>

Q62: Team Member Food Safety knowledge question Team Members and Management will be tested on their knowledge from the bank of questions in relation to Food Safety.

Q63: Hand washing procedures adhered to? Colleagues should be aware of the 10 steps to handwashing and our 20 minute handwashing policy. The Auditor will observe that handwashing is happening to standard and in between tasks. The HWB must be fully stocked with paper towels, soap, sanitiser and hot water.

Q64: No evidence of cross contamination? There must be no evidence of cross contamination in unit. All tubs/tongs/lids should be in good condition with no cracks or damage. Raw and cooked foods to be kept separate. No scoops to be left in ingredients.

Q65: Are all fillings held in lidded containers? All products that have been decanted, need to be stored in lidded containers with the a discard date.

Q66: Are all surfaces are clean and sanitised? The Auditor will check all surfaces are clean and sanitised using D10 which has a 30 second surface contact time to work.

Q67: Are FIFO procedures followed? The Auditor will check that FIFO procedures are followed. No items to be found past their Best Before or Use dates in the BOH areas. More than 3 items past their Use By Date will be marked as a food safety critical.

Q68: Are all colleagues adhering to PPE and Jewellery policy The PPE and Jewellery policy should be observed at all times. Hair must be covered when preparing food.

Q69: Temperature Monitoring controls (non serious) in place? The Auditor will check all BOH fridges have a jelly in use for temperature monitoring, or small air temp readers (M&S only). All temperature checks should be recorded in the Planner with clear actions and follow up if temperatures are out of range.

Q70: HACCP and Due Diligence Document completed correctly? HACCP to be reviewed and signed by the current Manager and stored in the Safety folder. HACCP must be followed. Hot holding, blast chill and cooking records will be checked for current and previous 30 days.

Q71: Is the office and Colleague facilities back of houseclean and in good repair? Check any toilets (for cleanliness, if they are broken etc.) Ensure there is somewhere to put personal belongings which doesn't include any food areas. Corridors, storerooms, offices and delivery bays will also be checked for cleanliness and good repair.

Q72: Team Member Safety or pest knowledge question A Team member will be asked a question regarding H&S from the Question bank.

Q73: Sanitizer Solution available, used and made to specification D10 sanitiser has a 7 day shelf life in all formats, after which it should be thrown away. Bottles need to be dated. Salad Sanitising tablets including correct measurement labels in sinks to be available and chlorine strips in use.

Q74: Walls, Floors and Ceilings clean and in good repair The Auditor will check that all walls, floors & ceilings are clean and in good repair. Colleagues should be following clean as you go. EHO's follow this approach when conducting their inspections.

Q75: Are there any major cleaning issues? The Auditor will observe to determine if there are any major cleaning issues in unit.

Q76: Extraction clean, filters in place and documents available All filters should be in place and cleaned daily. Any service/ repairs/ certification info should be available (either hard copy or on Agility).

Q77: No evidence of Slips, Trips, Falls and Accident / Hazards No hazards should be present BOH for both colleagues and customers.

Q78: Has the fire book been completed correctly? All sections of the Fire Log book should be completed.

Q79: Are the Daily and Management planner checks in place and accurate? All planners should be completed correctly and relevant checks signed off by Managers. This includes shift checklists, probe calibration, end of week and management sign off in the front of the Planner.

Q80: Are Company Notices displayed correctly? The following notices should be displayed in all units and will be checked: H&S law poster, H&S/FS polices, fire evacuation, allergies, and hand washing. Also to display Challenge 21/25 (licensed units), Tobacco signage, company address (Euston), opening hours, nutritional information for Millies, and CCTV (if applicable)

Q81: Are fridges all working correctly and clean? The Auditor will check that all BOH fridges and freezers are clean and in good condition with no damaged seals.

Q82: Is the Ice Machine working correctly and clean? The ice machine must be working correctly and clean. Ice scoops should not be left in the ice machine and need to kept in a sanitised tub.

Q83: Are all microwaves and Armana's clean and working correctly? All Microwaves and Armana ovens should be working correctly and clean.

Q84: Is saleable waste entered into Micros at time of waste? All saleable waste should be entered into the till at the time of waste and not held back for any reason.

Q85: Are units segregating waste correctly? Team members are aware that waste must be segregated into the correct receptacles and are labelled accordingly (Food Waste, Recyclable Waste and General Waste).

Q86: Are control gap disciplines in place? Unit must have an action plan to evidence control gap actions.

Q87: Are all actions completed and signed off? All actions must be signed off as required from previous audits, there must be no more than 3 reoccurring actions on the Legal & Compliance Action Plan.

Q88: Has the licensing log book been completed correctly? 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 photocards. The licensing risk assessment is 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 & Eire.

Q89: HR Files documentation and content correct? The colleague files will be spot checked to ensure all documents are present, this will include all items noted on the HR tracker (section E1). ID must be certified "original seen" signed and dated.

Q90: Training Record Card and training completed correctly? The training record card will be checked to ensure that it is completed to timescale, signed by both the employee and manager (person conducting training) and dated.

Q91: Training Documentation completed correctly? Evidence of training completed and refresher papers will be checked to ensure completion. These must be clearly marked and dated. This includes fire refresher tests & H&S certificates on file.

Q92: Food Safety Training completed correctly? Food Safety training to be completed to timescale, copy of certificate on file and signed off on the TRC

Q93: Licensing Training completed correctly? Licensing training will be checked to ensure it is complete, signed off and refresher papers completed as required.

Q94: Appraisals completed correctly? First and annual appraisals should be available for review, to timescale and objectives set. Competencies must also be documented.

Q95: HR Tracker completed correctly? The HR tracker must be fully updated with no expired items or gaps. The Auditor will also check files against the tracker completion. All colleagues must be present on the units tracker.

Q96: Are HR files should be secured? HR Files should be accessible to internal and external inspections at all times, key should be held on site as per policy.<br>