Clubserv Compliance Assessment vApr22_1.2

• Site conducted

  Select

• CLUB NAME (As shown on Venue Licence)

• CONDUCTED ON

  Date
• LOCATION
  Address

• AREA MANAGER

  Select Bevan Newbold Julie Oliver Steve Stringer Tania Pearson Jamie Crawford-Flett Gaurav Gandhi Other

  • Bevan Newbold
  • Julie Oliver
  • Steve Stringer
  • Tania Pearson
  • Jamie Crawford-Flett
  • Gaurav Gandhi
  • Other

• TRAINING & COMPLIANCE ASSESSOR

  Select Rachel Stewart Bevan Newbold Julie Oliver Steve Stringer Gaurav Gandhi Other

  • Rachel Stewart
  • Bevan Newbold
  • Julie Oliver
  • Steve Stringer
  • Gaurav Gandhi
  • Other

• CLUB CONTACT ONSITE

• Venue Licence Date - Electronic Compliance Display?

  Date

• Latest Full Venue Licence Showing? Society / Club Details & Dates Displayed, Venue Manager Correct? If in doubt speak to Club Manager for clarification.

  Yes

  No

• Is the Primary Activity listed on the Venue Licence correct?

  Yes

  No

• Does the Venue Licence state any venue specific Special Conditions i.e. Access Condition?

  Yes

  No

• If YES, confirm that the club is meeting the Special Condition on their Venue Licence?

  Yes

  No

  N/A

• Is the Gaming Area Defined on the Venue Licence? If NO, then discuss with the Club Manager what this means with the Club's Harm Prevention & Minimisation practices.

  Yes

  No

• Club Sign is displayed with correct information regarding applying for grants (if applicable) & how to make a complaint?

  Yes

  No

• Correct Jackpot Player Instruction Notice Displayed?

  Yes

  No

• Best Practice: For external funding applications (if applicable), grant applications are available?

  Yes

  No

  N/A

• HPA Resources including Harm Prevention & Minimisation Pamphlets available & being utilised in the Gaming Area and at the Bar?

  Yes

  No

• Under 18 Signage is displayed in Gaming Area?

  Yes

  No

• No Syndicate Play & No Playing More Than One Gaming Machine Signage is displayed in Gaming Room?

  Yes

  No

• Jackpot Identification Numbers on all EGMs?

  Yes

  No

• All button lights, belly lights & screens in working order? All Hopper Lids are securely fixed? All security Cage Seals are intact and logs are up to date?

  Yes

  No

• Record Last MPM Date

  Date

• All EGMs are fixed securely to bases?

  Yes

  No

• Jackpot Controller working and Jackpot Display is viewable from every machine?

  Yes

  No

• ATM location is compliant? An ATM should NOT be installed inside the Defined Gaming Area of a Club.

  Yes

  No

  N/A

• Is the Site Controller secure i.e. cabinet securely fixed to wall and door locked?

  Yes

  No

• Is there a Fire Exit located inside the Gaming Room?

  Yes

  No

• If YES, is the Fire Exit closed to stop direct access from outside?

  Yes

  No

  N/A

• CITO Game Rule 68: CITO Player Notices are either affixed to each gaming machine or prominently displayed in the Gaming Area?

  Yes

  No

  N/A

• Condition of Equipment (EGMs, Chairs, Bases, Signage, Covid Dividers) Any notable hazard or security issues that require notification to Club Manager?

MAIN ENTRANCE COMPLIANCE

• Latest Full Venue Licence Showing? Society / Club Details & Dates Displayed, Venue Manager Correct? If in doubt speak to Club Manager for clarification.

  Yes

  No

• Liquor Licence Displayed & Venue Operator matches licensee?

  Yes

  No

  N/A

RESOURCE COMPLIANCE

• Correct Clubserv Helpdesk Support Phone Number displayed on QEC Dashboard - 0800 847 0312? If no, phone COMS Systems for it to be corrected.

  Yes

  No

• Clubserv Area Manager's Contact Number displayed next to QEC? If No, add a label/sticker to the top of the QEC screen for easy access by all staff.

  Yes

  No

• QEC/COMS Helpdesk Support - Discuss with staff that first point of contact is their Clubserv Area Manager for QEC/COMS Helpdesk Support. Explain to staff that the QEC/COMS Helpdesk Support number now displayed on the QEC is answered by Clubserv (Maxserv) staff. If Area Manager is unavailable then Maxserv staff will assist and if needed escalate the issue to COMS Systems Ltd.

  Completed

  Not Completed

• Service Provider contact number is handy to QEC or phone? If No, then add a label/sticker to the top of the QEC screen (or another location) for easy access by staff.

  Yes

  No

• Printed Cancel Credit and Hopper Refill dockets from QEC are signed correctly?<br>

  Yes

  No

  N/A

• Club staff understand that should system failure occur with the QEC and/or Printer, then they must revert to a manual system for Cancel Credits and Refills? Staff know where to access these forms?

  Yes

  No

  N/A

• Club has access to the new EMS Website on their computer? I required, update EMS Website URL & Login Credentials?

  Yes

  No

• Game Rule 28: Jackpot Manual is available either electronically in COMs or in Hard Copy?

  Yes

  No

• Game Rule 14(2): DIA Gambling Equipment Fault / Player Dispute Forms in Resource Folder?

  Yes

  No

• Game Rule 14(2): DIA Unpaid Prize Reports in Resource Folder?

  Yes

  No

• Multiple copies of the Club Harm Prevention & Minimisation Policy available in Resource Folder?

  Yes

  No

• Harm Prevention & Minimisation Training Log in Resource Folder and up to date?

  Yes

  No

• Game Rule 13: Club Employee Register in Resource Folder and up to date?

  Yes

  No

• Exclusion Order Booklet available at main workstation and accessible by staff?

  Yes

  No

• Is CONCERN/POI operating at this club?

  Yes

  No

  N/A

• Does this club use automatic scrolling on POI?

  Yes

  No

  N/A

• If automatic scrolling is not activated, check Staff POI Activity Report in COMS (if accessible) for staff interaction. Are staff viewing Exclusions regularly?

  Yes

  No

  N/A

• Is there any new Self Exclusions or Venue Exclusions that need to be loaded to CONCERN/POI?

  Yes

  No

  N/A

• Do club staff know how to record a Breach of an Exclusion Order on the QEC? If No, please provide instructions.

  Yes

  No

• Have there been any known Breach of Exclusion Orders since the last visit? If Yes, record details in notes and ensure Breach has been recorded in POI.

  Yes

  No

• Club has extra HPA Resources onsite i.e Ministry of Health Wallet Brochures, Posters?

  Yes

  No

• Incident Diary available at main work station for staff to use? Take photos of last entries.

  Yes

  No

• A copy of The Gambling Act (Class 4) Games Rules 2017 is available in the Club's Resource Folder?

  Yes

  No

• Where CITO is installed, does the club have access to a User Manual or Operating Instructions & Procedures (electronic or hard copy)?

  Yes

  No

  N/A

• Where CITO is installed, staff use a Faults Register or their Incident Diary to record all malfunctions of the CITO System?

  Yes

  No

  N/A

• Jackpot Displays including Toppers cannot be seen from outside the club?

  Yes

  No

• The word Casino or Jackpots is NOT advertised anywhere in/around the club?

  Yes

  No

• Is Gaming Room Access (all entrances) in direct line of sight to main workstations? Are there any supervision concerns?

  Yes

  No

• Where CITO is installed, is the CRT in line of sight of Club Staff from main workstation?

  Yes

  No

  N/A

• If CRT is not in line of sight of Venue Staff from their main workstation, is there a security camera monitoring activity on the CRT?

  Yes

  No

  N/A

HARM PREVENTION & MINIMISATION

• Record staff member’s name who will answer the next set of Harm Minimisation questions. Where possible arrange for a different staff member from the one recorded on the last Compliance Assessment to complete this section of questions.

• Have you read the Club Harm Prevention & Minimisation Policy?

  Yes

  No

• What does the Club Harm Prevention & Minimisation Policy require you to do? Does the Staff Member speak about any club specific practices i.e. eftpos limits, escalation process etc.

  Excellent

  Satisfactory

  Needs Improvement

• Do you think you and other staff show a Culture of Care at this venue?

  Yes

  No

• If I were to look at a random 30 minute selection of security footage in the gaming room and at the bar what examples of you and staff showing a Culture of Care would I see? Answers should be about actively engaging with their customers and showing signs of monitoring.

  Select Staff walking the gaming room regularly Staff talking to individuals in the gaming room Staff greeting multiple individuals in the gaming room and announcing their presence in the gaming room Staff greeting customers as they enter the venue Staff offering HPM information to players in the gaming room Staff offering HPM information to players at the bar Staff engaging with players at the bar during cash withdrawals Staff viewing security monitors Other No Culture of Care

  • Staff walking the gaming room regularly
  • Staff talking to individuals in the gaming room
  • Staff greeting multiple individuals in the gaming room and announcing their presence in the gaming room
  • Staff greeting customers as they enter the venue
  • Staff offering HPM information to players in the gaming room
  • Staff offering HPM information to players at the bar
  • Staff engaging with players at the bar during cash withdrawals
  • Staff viewing security monitors
  • Other
  • No Culture of Care

• Can Gaming Staff name 3 Strong Signs of a problem gambler?

  Select Gambler tells staff that gambling is causing them problems Shows obvious signs of distress Has an angry outburst towards staff, customers or machines Appearance or hygiene deteriorates significantly Tries to borrow money from customers or staff Gambles from opening to closing Leaves children in car while gambling Friends or family raise concerns about the gambler Gambler goes out of their way to avoid being seen at the venue Cannot list Strong Signs

  • Gambler tells staff that gambling is causing them problems
  • Shows obvious signs of distress
  • Has an angry outburst towards staff, customers or machines
  • Appearance or hygiene deteriorates significantly
  • Tries to borrow money from customers or staff
  • Gambles from opening to closing
  • Leaves children in car while gambling
  • Friends or family raise concerns about the gambler
  • Gambler goes out of their way to avoid being seen at the venue
  • Cannot list Strong Signs

• Can Gaming Staff name 3 General Signs of a problem gambler?

  Select Gambles for long periods Gambles most days Finds it difficult to stop at closing time Becomes angry at or stands over other players Rude to other gamblers or staff Complains to staff about losing Puts large wins straight back into the machine Tries to withdraw money two or more times EFTPOS repeatedly declined Leaves venue to find more money to gamble Tries to play two or more machines at once Plays intensely without reacting to what's goingon around them Plays very fast (high spend per line) Shows fustration Shows some signs of distress Has gambling rituals or superstitions Cannot list any General Signs

  • Gambles for long periods
  • Gambles most days
  • Finds it difficult to stop at closing time
  • Becomes angry at or stands over other players
  • Rude to other gamblers or staff
  • Complains to staff about losing
  • Puts large wins straight back into the machine
  • Tries to withdraw money two or more times
  • EFTPOS repeatedly declined
  • Leaves venue to find more money to gamble
  • Tries to play two or more machines at once
  • Plays intensely without reacting to what's goingon around them
  • Plays very fast (high spend per line)
  • Shows fustration
  • Shows some signs of distress
  • Has gambling rituals or superstitions
  • Cannot list any General Signs

• Can Club Staff explain what is expected if one general sign is observed vs three plus general signs?

  Yes

  No

• What are the 3 types of Exclusion Orders? Response should include (Self, Venue Initiated & MVE).

  Excellent

  Satisfactory

  Needs Improvement

• What are you checking for when conducting a sweep? Select what applies to the club. If answer is “Other” record details.

  Select Signs of Harmful Gambling Underage Patrons Excluded Patrons General Condition of the Gaming Room Other - note other things that are being checked

  • Signs of Harmful Gambling
  • Underage Patrons
  • Excluded Patrons
  • General Condition of the Gaming Room
  • Other - note other things that are being checked

• Why is it important to record observations/incidents in your Incident Diary?

  Select Builds a story about an individuals gambling behaviours/habits Helps decision making between staff/management regarding next steps required DIA may ask for this information Proves staff are regularly monitoring & supervising Does not know

  • Builds a story about an individuals gambling behaviours/habits
  • Helps decision making between staff/management regarding next steps required
  • DIA may ask for this information
  • Proves staff are regularly monitoring & supervising
  • Does not know

• If you found an excluded gambler in the gaming room - what should you do? Response should include asking for ID, asking patron to leave the gaming area, offering support & information, recording in Incident Diary and recording on POI.

  Excellent

  Satisfactory

  Needs Improvement

• Does the club have a process in place to monitor activity of an ATM (if applicable)?

  Yes

  No

  N/A

TRAINING REQUIREMENTS

• Has the Venue Manager received Harm Prevention & Minimisation Training?

  Yes

  No

• Compare staff names on Training Log to Venue Employee Register in Resource Folder. Confirm that you have completed this task.

  Completed

  Not Completed - Add Reason in Notes

• Have all staff members received Harm Prevention & Minimisation Training within the last 12 months including the Venue Manager? If NO, record details of all staff members requiring training and schedule a date/time while onsite.

  Yes

  No

• All previously requested HPM Tests have been completed by staff and there are no outstanding requirements? Complete on the spot tests with any staff available on site.

  Yes

  No

• Is there a trained staff member in Harm Prevention & Minimisation on duty at all times that the gaming machines are operating?

  Yes

  No

• Does the Venue Manager have a process in place to support all staff in their Harm Minimisation responsibilities during the day i.e. to provide coaching, club staff are comfortable with systems & processes in place, regular meetings, sharing concerns?

  Yes

  No

• Club Staff understand process with CONCERN/POI should they receive a Self Exclusion, complete a Venue Exclusion or receive a request to exclude from other venues? If NO, explain the process.

  Yes

  No

• Club Staff understand how to use the Unpaid Prize Report?

  Yes

  No

• Can Club Staff explain how to deal with an Equipment Fault or Player Dispute? Can they explain when this form should be completed?

  Yes - exceeds expectations, confidently able to explain a situation and provide examples

  Yes - meets expectations, able to explain a situation with some detail

  Needs Improvement - staff required prompting to be able to explain a situation

  No - requires further training on the use of the Incident Diary

• Are there any Float & Cash Management Training needs for Venue Staff? If yes arrange training in conjunction with Area Manager.

  Yes

  No

FLOAT MANAGEMENT & BANKING

• Is the current Float Level sufficient for Gaming? Ask staff if they ever run out of float and how often.

  Yes

  No

• Does the club have a good and safe process in place for Cash Up? Are they open when they are cashing up?

  Excellent

  Satisfactory

  Needs Improvement

• Are machines left open at night?

  Yes

  No

• Club completes COMS Money Reports, float balancing and reconciliations daily (if applicable)? Add notes if there are any concerns regarding their balancing.

  Yes

  No

  N/A

• Does the club have good processes in place to keep GMP safe i.e bank daily, hold GMP in a safe? Record notes regarding process if any concerns.

  Yes

  No

• Are Club Staff checking GMP reconciliations under Compare EMS to GMP in COMS Cash Management (if applicable)? Best practice is to reconcile daily. Note: Not relevant to CITO clubs.

  Yes

  No

  N/A

• Club balances safe regularly?

  Yes

  No

KEY PERSON CHECK

• Personal details for the Venue Manager have NOT changed i.e. postal address, marital status, contact details? A GC5 Personal Information Form may need to be completed if there are changes. Record details.

  Yes

  No

OTHER CHECKS

• DVR & Cameras in working order?

  Yes

  No

• Club Manager knows how to access DVR System and download footage?

  Yes

  No

• Club has Insurance for Money and is sufficient to cover any risk?

  Yes

  No

• Keys held in secure location including spare set?

  Yes

  No

• Game Rule 12 (4): Venue Manager accounts for keys at beginning & end of day?

  Yes

  No

• All locks & keys in working order?

  Yes

  No

• Game Rule 12: Site Controller Cabinet Key is locked away separately in a secure location?

  Yes

  No

• Does the Club have a Health & Safety Policy in place? If not, offer contact details of Safewise Limited (0800 SAFEWISE) who can assist them with the development of a Policy.

  Yes

  No

• The Club has a clear understanding on what is considered to be appropriate Authorised Purpose Payments i.e. running costs (excluding bar costs), sky tv, club vehicle etc?

  Yes

  No

ADDITIONAL NOTES

• Record other notes/comments/discussions regarding today's Compliance Assessment

HARM PREVENTION & MINIMISATION ASSESSMENT

• Do Club Staff exhibit a CULTURE OF CARE for Gambling Customers?

  Yes

  No

• Have Club Staff responded competently to the Harm Prevention And Minimisation checks in the previous sections of this assessment?

  Yes

  No

• From your assessment, when should Harm Prevention & Minimisation Training be next scheduled for?

  Immediately

  Within 3 Months

  Within 6 Months

  Within 12 Months

• Is the training required for an individual or group? Add note to advise who requires training.

  Individual

  Group

• In your assessment, has the Club given you confidence that they can deliver on their commitment to create a Culture of Care and put into practice the requirements of their Harm Prevention & Minimisation Policy?

  Yes

  No

• The Club's Harm Prevention & Minimisation Policy lists the supervision requirements for this club. Is there a need for additional supervision provisions in their HPM Policy i.e. ATM Supervision, changes in line of sight? If YES, then discuss with Club Manager and if assistance is required please email operations@maxserv.co.nz with additional requirements.

  Yes

  No

SIGNATURES

• Club Manager Signature

  Sign

• Training & Compliance Assessor Signature

  Sign