SSP UK Legal & Compliance Mock Audit FY17

Q1. Food Safety Risk Question<br>Any issue relating to a breach of SSP food safety policy which is likely to result in an issue with an EHO, fine, prosecution or improvement notice will be recorded here. This includes major failure in temperature monitoring controls / follow up (10% or 6 shifts in 30 days checked), HACCP or major cleaning issues or more than 3 different types of items past their use by date, i.e. chicken, fish, egg.<br>

Q2. Health & Safety Risk Question<br> 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.<br>

Q3. Right to work - legal question?<br>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. If files are not accessible at time of audit, this could also be marked here.<br>

Q4. Is the VAT status correct and are all colleagues asking the eat in and take away questions?<br>The Auditor will check the till set up is correct for eat in and takeaway units, they will additionally check that all colleagues are asking the "eat in and take away" question (minimum of 5 times during visit) along with checking operator performance via the relevant published reporting.<br>

Q5. Premises License procedures<br> The Auditor will check the license 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. If the CCTV is not working and is a condition of the license, this will also be marked as a breach of license procedures, this applies to alcohol & late night licenses. For sites operating a Late Night license, the license must be displayed and conditions adhered to.<br>

Q6. Till Colleague/Manager Set Ups correct as per assigned level and up to date?<br>The Auditor will use the POS configurator to ensure all colleagues are set up at the correct access level assigned to them. No micros cards to be shared or left unattended. All colleagues set up on the tills must be employed at present and set up at the correct level for the current business. In M&S the Auditor will check new POS admin to see that each colleague is set up correctly. Sales Advisor will be advisor restricted access and Team Leaders/Managers will have POS Managers & advisor restricted access too. All Manager codes in M&S will be checked to ensure they have been changed in the last week as per policy.<br><br>

Q7. External Image?<br>Signage clean, external lights working, external furniture clean and in good condition. No litter or external structure damage evident.<br>

Q8. Customer area - walls, floors, ceiling & Customer seating clean? <br>The walls, floors and ceiling should be clean and in good condition, lightbulbs working or logged for replacement. All furniture should be in good condition, clean and in good repair. No chewing gum under tables. Highchairs clean with straps in good condition. Microwaves and bottle warmers used for baby food must be clean and have instructions for use.<br>

Q9. Display Fridge working? <br>The display fridges must be clean, working and lit (where applicable) in order to maximise sales.<br>

Q10. Shelving and Racking clean? <br>All shelving and racking should be clean and in good condition. Ticket stripping must be undamaged and clean, free of sticky tape residue.<br>

Q11. Counter (front and back) clean & good condition? <br>Counters must be clean and undamaged. All counter top equipment must be clean - including sneeze screens, beer taps, coke dispensers. Tongs used on the counter must be clean and undamaged. The back counter/Bar must be clean and uncluttered. Display shelves should be clean and organised. All teabag stands, syrup pumps etc. to be clean. Till points must be clean and tidy. All shelving and fridges under the counter should be clean and not sticky.<br>

Q12. Is the Coffee Machine clean and in good condition and functioning correctly? <br>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. Automatic machines will also be checked.<br>

Q13. Are coffee grinders clean and in good condition and functioning correctly? <br>Coffee grinders must be clean and in good condition. The Chamber will also be checked for cleanliness. Off peak, the coffee in the chamber must be timed for 2 hours. Knock out drawer must also be clean and in good condition.<br>

Q14. Gaming Machines working? <br>The Gaming Machines must be clean and working. <br>

Q15. Is the planogram available and complaint by day part as applicable? <br>A random check of store planograms will be completed to ensure compliance to correct day part.<br>

Q16. Is the correct range and supplier funded "golden key" item(s) on display? <br>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. A colleague will be asked to confirm what the golden key product is.<br>

Q17. Are displays blocked and front faced? <br>All displays must be neatly blocked and products front facing.<br>

Q18. Do all product have SEL pricing available? <br>All products must have a shelf edge ticket or have the price on an menu or tariff (100% compliance). For M&S - by 10am all tickets to be displayed.<br>

Q19. Is all POS correctly displayed with product description as required? Are team aware of current promotions? <br>A check will be completed to ensure all POS is displayed in accordance to the POS Guidelines or Phase Change document (M&S). The team member confirm what promotions are in place.<br>

Q20. Are all products available as per day part, menu and POS? <br>All products should be on display in accordance to the day part, menu and POS displayed. Production planning in use to ensure this happens. For M&S gaps to be managed and have an out of stock sticker. For 5 random out of stock products the gap scan report will be checked to see evidence the process has been followed. Check OPT report for minimum 86% excellence score.<br>

Q21. Are all disposables & condiments available? <br>The full range of disposables for the brand should be available and used correctly. No other branded disposables should be used. This includes sugars, stirrers, napkins and applicable sauces. In brands using a condiment table, these should be fully stocked.<br>

Q22. Are Customers being served in a timely manner & warm welcome given? <br>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. Customers should be greeted with a smile and offer of assistance, apologising if they are kept waiting. In a M&S one in eight customers will receive a CSAT receipt, this should be explained to the customer. <br>

Q23. Are TM's upselling as required? <br>The Team Member should offer the Customer an upsell, for example upsell to larger or premium coffee & a Perfect Partner product. Till toppers should be in place as a prompt for the team. <br>

Q24. Are all colleagues and management in correct uniform and smartly dressed? <br>Correct uniform should be worn including name badges. This will also be checked for all team members & leaders. Management team must be smartly dressed.<br>

Q25. Are departing customers given an appropriate farewell? <br>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".<br>

Q26. Do all in house products on display look appealing? <br>The Auditor will check that all products on display are fresh and of good quality.<br>

Q27. Are all specification cards available and current? <br>The Auditor will check that the specification cards are available for products and that they are up to date.<br>

Q28. No damaged products on display. <br>The Auditor will check that there are no broken products on display.<br>

Q29. Is Coffee made correctly? (Temperature, Taste, Milk Quality) <br>A coffee check will be undertaken observing how the coffee is produced and taste tested for temperature and quality of the espresso & milk. <br>

Q30. Product check 1 <br>A product will be checked against its specifications 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>

Q31. Product check 2 <br>A product will be checked against its specifications 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>

Q32. Allergens Matrix & knowledge check <br>The unit must have an up to date Allergens Matrix in place. A member of the team (including management) will be asked allergens related question.<br>

Q33. Knowledge based Food Hygiene question <br>A member of the team (including management) will be asked a food safety related question.<br>

Q34. Hand Washing procedures adhered to <br>The Auditor will observe that all colleagues are washing their hands correctly following the 10 steps. The HWB must be fully stocked with soap, hand sanitiser, paper towel & hot water.<br>

Q35. Sanitizer Solution available, used and made to specification <br>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.<br>

Q36. No evidence of cross contamination <br>The Auditor will ensure that there is no evidence of cross contamination in unit, tongs, scoops, separate prep area, boards not touching, containers in good condition. Raw and ready to eat food must be segregated and separate utensils used for their preparation.<br>

Q37. Opened ingredients in tubs, food covered <br>Once opened, products must be decanted into a lidded tub and given a discard date if required, refer to manufacturer label or SSP guidelines. Food must be covered. <br>

Q38. All food within Use by & Best before dates <br>Checks will be made to ensure there is no food which is out of date (use by & best before products).<br>

Q39. FIFO procedures followed <br>The Auditor will check that all products are rotated and FIFO followed (first in, first out).<br>

Q40. PPE and Jewellery policy followed <br>PPE should be in good condition and in use. Hair must be covered when preparing food. Jewellery policy should be followed by colleagues and management.<br>

Q41. Temperature Monitoring controls (non serious) <br>Temperature checks will be reviewed for current day, and previous 30 days, temperatures should be taken twice a day with clear actions taken & recorded when temperatures are outside the acceptable level. In M&S the alarm panel will be checked & Temperature log sheet & daily temperature cross checks sheet will be checked for current day and previous 30 days. <br>

Q42. HACCP and Due Diligence Document completion <br>HACCP document should be available in unit, signed annually by the current manager and HACCP procedures followed. The following records should also be completed and available for review: Cooking records, Hot Holding records, Blast Chilling temperature checks. In M&S the daily & weekly HACCP checks sheets will be reviewed for 30 days.<br>

Q43. FOH Product timing system using laminate sheet / stickers <br>The Auditor will check that a robust timing system is in use to ensure that all food on display is for no longer than four hours or to brand standard.<br>

Q44. BOH timing system <br>The Auditor will check that there is a robust timing system in place for hot holding items in the kitchen.<br>

Q45. Knowledge based Safety or Pest related question <br>A member of the team (including management) will be asked a safety or pest related question.<br>

Q46. Specialist equipment clean and in good condition <br>The Auditor will check that any equipment not mentioned separately, or specialized for the brand is clean and in good condition, for example- tomato tamers, onion slicer etc.<br>

Q47. Walls, Floors and Ceilings clean and in good repair <br>The Auditor will inspect the kitchen / Food prep areas to ensure that cleanliness standards are acceptable this includes under and behind equipment.<br>

Q48. Cooking equipment clean <br>The Auditor will check that all ovens, grills, griddles, microwaves, armana, fryers are clean and in good condition.<br>

Q49. Are all fridges and freezers clean? Are all seals clean and intact? <br>The Auditor will check that all fridges are clean including base, shelving and seals. The seals must also be intact with no sign of damage. There should be no build up of ice in freezers.<br>

Q50. Are all legs or wheels on equipment clean and grease free? Touch point clean. <br>The Auditor will check that all legs and wheels on equipment are clean and grease free. The Auditor will also check all touch points are clean, this includes door handles and knobs to equipment, doors and cupboards. <br>

Q51. Is the pot wash area clean with no offensive odours? Is the dishwasher clean and in good condition? <br>The Auditor will check that the pot wash area is clean, including under the sinks, the dishwasher and any racking. There should be no evidence of dirt or mould in the dishwasher and no offensive odour.<br>

Q52. Is the ice machine clean and scoop kept in a labelled dry container? <br>The Auditor will check that the ice machine is clean and that the scoop is kept separate in a container.<br>

Q53. Are all sinks labelled with their usage? Is this compliant at time of visit? <br>The Auditor will check that all sinks are clearly labelled with their use, i.e. hand, equipment or food wash. The Auditor will check that the sinks are being used for this use only while on site.<br>

Q54. Extraction clean, filters in place and documents available <br>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.<br>

Q55. Dry stores, cellar & delivery area <br>The Auditor will check that the cellar is clean and swept, stock well organised to allow for easy access to change barrels or find stock to replenish the bar. Dry stores should be clean and tidy, shelving in good condition. No stock on floor. Delivery areas to be kept clean and tidy.<br>

Q56. Staff areas & offices <br>The Auditor will check that all offices and staff areas are clean and in good condition. Lockers should be used for team belongings. There must be no daisy chain or block extension leads in use or temporary heaters.<br>

Q57. No Pest activity observed <br>No evidence of pest activity observed (widespread activity will result in being marked as breach of H&S). Insectutors working. Fly screens in place for open windows. Bristle strips in good condition, actions taken to prevent pest presence as far as reasonably practicable. M&S - daily/weekly pest control sheet should be completed (check 30 days).<br>

Q58. Fire Log Book completion <br>The fire log book should be available for review with all checks completed each period, and signed off by OM (quarterly). All colleagues should have an up to date fire TRC, with fire evacuation practice & refresher test completed 6 monthly. The FRA checklist should be completed by the current Manager and reviewed by the OM 3 months later.<br>

Q60. Daily and Management planner checks in place and accurate <br>The shift planner will be checked for current day and previous 30 days for completion and follow up of issues. All applicable checks to be completed to standard and reviewed at the end of the week and signed off in the front of the planner.<br>

Q61. Company Notices displayed <br>The following notices should be displayed in all units and will be checked: H&S law poster, safety policy, employers liability, 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 plaque & BOH poster (if applicable).<br>

Q62. Has the unit forecasted sales and labour for the current week and 2 weeks ahead? <br>Falcon sites - there must be 3 weeks forecasting and scheduling in Kronos and Lynx. (M&S Kronos only) Lynx BM - Including the current week, there must be 3 weeks of realistic forecasting and scheduling in Lynx BM which the Auditor will check. (Current week, next week and week after next.)<br>

Q63. Are schedules completed and published for two weeks (Current week and Next Week)? <br>There must be 2 weeks of rosters on display. Lynx BM - The Auditor will check that the correct schedules are up with the right dates, and reflect the team member names and schedules in Lynx BM.<br>

Q64. Are scheduled hours in line with target? <br>The Auditor will check that the hours on the published schedules are reflective of the hours target in Lynx BM. This question will be N/a for sites not yet using Lynx BM.<br>

Q65. Have any adjustments to target been made? <br>For any adjustment to Target in Lynx BM, managers must produce evidence that this has been agreed with their OM. This question will be N/a for sites not yet using Lynx BM.<br>

Q66. Is there any risk in terms of contracted hours and team stability? <br>Auditor to check contracted hours recorded on Lynx BM versus schedules and ask to review Flexibility Matrix to ensure that all team members have been or are being consulted with.  This question will be N/a for sites not yet using Lynx BM.<br>

Q67. Does the Manager have a completed Action Plan that reviews their BSP performance and details any corrective action agreed with targets, timescales and responsibility? <br>Falcon sites /M&S - there should be an action plan in place for any overspend. In M&S check trade adjusted labour forecast in template (if not on Lynx BM). Lynx BM - The Auditor will check that any proposed BSP actions are being implemented and reviewed within the timescales set out in their Action Plan. <br>

Q68. Does Micros Revenue equal Lynx revenue daily? <br>The Auditor will check that the cash office sales in Lynx match to the weekly ops summary in Micros for previous closed week. Two other weeks will be checked at random.<br>

Q69. Does Micros Revenue equal Lynx revenue daily? <br>The Auditor will check that the cash office sales in Lynx match to the weekly ops summary in Micros for previous closed week. Two other weeks will be checked at random.<br>Cash Retained check to be at the agreed level for unit The Auditor will complete a full cash retained check. Level of cash retained should be calculated based on the cash retained report sent out weekly from the Centre.<br>

Q70. Cash Retained check to be at the agreed level for unit <br>The Auditor will complete a full cash retained check. Level of cash retained should be calculated based on the cash retained report sent out weekly from the Centre.<br>Check for Safe Variances The Auditor will check the last 4 weeks in Lynx to identify if any safe variances have been entered & if so who authorised them. Safe checks to be reviewed to ensure these have been carried out 3 times a day - AM Open/Handover/PM Close<br>

Q71. Are Cash Variances followed up if over target? <br>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. If completed in absence of Manager these should be locked away until staff files are available. These will be checked for the previous week.<br>

Q72. Is unit completing a minimum of 5 vulnerable stock checks per day? <br>The discrepancy report must be used to identify single/whole products e.g. a bottle, which have shown losses/gains and these should be used for the daily vulnerable stock checks for the following week. Vulnerable checks must be fully completed and reconciled to till sales. In M&S the Auditor will check that the previous period ambient counts have been completed and any high variances investigated.<br>

Q73. Is the Manager completing Random till checks in line with policy? <br>The Auditor will check that there are records and evidence of random till checks completed in unit as per company standard for the previous closed week. For M&S there must be a minimum 5 per week.<br>

Q74. Is the Drop Safe Sheet fully completed  <br>The Auditor will check that the drop safe sheet in use, is the company standard sheet and it is fully completed and signed where required. <br>

Q75. Checked for understanding of PCI DSS  <br>The Auditor will ask all colleagues on duty what their understanding of PCI DSS is, including all those colleagues who handle slips post transaction, where applicable. There will be a check on files for those on duty and some adhoc ones to check policy has been signed.<br>

Q76. Latest Version of CASP on file & being followed <br> The Auditor will check on staff files that the most current version of CASP has been signed , dated and processes are being followed during the audit.<br>

Q77. Are all transfers completed in a timely manner  <br>The Auditor will check that transfers between units have been entered on to Lynx daily where applicable and not weekly or at the time of transfer and that a signed transfer document is available in the transferring unit where transfers have taken place. M&S - the Auditor will check Store Stock Summary for any transfers that have been completed. Any transfers to stores, or for redistribution, should have a matching transfer form. <br>

Q78. Micros BOH - Secure with unique passwords <br>The Auditor will check through request to Manager /team leader on duty, to log in to Micros Cash Management, Lynx & Citrix to ensure they are using their own passwords. N/A for M&S<br>

Q79. VAT Status correct <br>The Auditor will check the till set up is correct for eat in & takeaway units via the weekly report.<br>

Q80. Key & Alarm lists up to date? <br> 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. No keys to be left unattended. <br>

Q81. Is stock secure? <br>All high value stock should be secured. <br>

Q82. Is Manager completing a weekly check of CCTV carried out to ensure system is operational and in working order, and secure. <br>The shift planner will be reviewed for time of check & signature. CCTV to be viewed by Auditor to confirm that the time of check registered in planner is correct. CCTV DVR locked in cabinet with key secure ( with most senior member on duty or sealed in safe with access ) The date and time on CCTV must match time and date on the tills.<br>

Q83. Is manager completing a monthly check of CCTV to ensure it is in full working order and able to record footage to USB/Disk <br>The Auditor will ask the Manager (or most senior person on shift) to give them a demonstration by recording one minute of footage and to see that the system is indeed able to record and there are at least 30 days available.<br>

Q84. All cases of fraud have been logged on PRIME <br>The Auditor will ask the Manager if there has been any dismissals & if so have they been logged on PRIME.<br>

Q85. Is Manager completing adhoc staff searches? <br>Staff searches must be completed in line with the policy. The shift planner will be checked for confirmation and checklists reviewed, these should be stored in the personnel files.<br>

Q86. Is saleable waste entered into Micros at time of waste? <br>All saleable waste should be entered into the till at the time of waste and not held back for any reason. For M&S the auditor will check that the reduction policy is followed. The previous weeks waste and data sheet should match CSSM DEF and Quality waste adjustments. <br>

Q87. Are units segregating waste correctly? <br>Team members are aware that waste must be segregated into the correct receptacles and are labelled accordingly (Food Waste, Recyclable Waste and General Waste) in line with client requirements.<br>

Q88. Are control gap disciplines in place? <br>The Auditor should be shown documented evidence to show actions taken to reduce gap as per daily disciplines. For example, documented variances on the stock count highlighted with actions taken. In M&S the Auditor will check that the store stock summary has been fully completed & signed off by day, check current & previous week.<br>

Q89. Portion Control Checks in Place <br>Auditor will check for documentation in planner to show taking place and action taken where out of tolerance.<br>

Q90. Are all actions completed and signed off? <br>All actions must be signed off as required from previous audits, there must be no more than 5 reoccurring actions on the Legal & Compliance Action Plan.<br>

Q91. Gaming machine working & float refilled? <br>The Auditor will check the refill log and that there is sufficient float available in the machine.<br>

Q92. Has the licensing log book been completed correctly? <br>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. For Late night license sites, there should be a copy of both parts of the license & plan available.<br>

Q93. HR Files documentation and content correct? <br>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.<br>

Q94. Training Record Card and training completed correctly? <br>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.<br>

Q95. Training Documentation completed correctly? <br>Evidence of training completed and refresher papers will be checked to ensure completion. These must be clearly marked and dated. <br>

Q96. Health & Food Safety Training completed correctly? <br>Health & Food Safety training to be completed to timescale, copy of certificate/certificates must be on file and signed off on the TRC.<br>

Q97. Licensing Training completed correctly? <br>Licensing training will be checked to ensure it is completed to standard, marked with a score of 100% and recorded. <br>

Q98. Appraisals completed correctly? <br>Last review/appraisal should be available for review and completed to timescale. SMART objectives and competencies must also be documented.<br>

Q99. HR Tracker completed correctly? <br>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.<br>

Q100. Are HR files should be secured? <br>HR Files should be accessible to internal and external inspections at all times, key should be held on site as per policy. If files are not accessible at time of audit, this will be marked as a breach of legality to work.<br>