Clubserv Compliance Assessment vAug24

Information

CLUB NAME (As shown on Venue Licence)
CONDUCTED ON
LOCATION
MAXSERV TRAINING & COMPLIANCE ASSESSOR
- Bevan Newbold
- Julie Oliver
- Tania Pearson
- Jamie Crawford-Flett
- Gaurav Gandhi
- Rachel Stewart
- Amie Reynolds
- Richard Newcombe
- Other
CLUB CONTACT ONSITE

Gaming Room Compliance

Venue Licence Date - Electronic Compliance Display or Display Board/Frame?
Operator Licence Renewal Date? Shown as Expiry Date on the Venue Licence.
If the Operator Licence Renewal Date has expired, check with Club Manager that a Licence Renewal Application has been submitted to DIA.
Check with the Club Manager that the latest Venue Licence is being displayed? Ensure that the Venue Manager recorded on the Venue Licence is correct.
Is the defined Gaming Area on the Venue Licence correct? If NO, then advise the Club Manager that a GC4A Application will need to be submitted to DIA along with an updated and accurate floor plan.
Is the Club meeting the requirements of any Special Condition on their Venue Licence i.e. Access Condition (where applicable)? If required, check full Venue Licence in COMS or on Server.
Electronic Compliance Display is in working order? If NO, please ensure compliance is met in the Gaming Room by alternative methods - Venue Licence, Jackpot Player Instruction Notice & Society/Club Signage.
Club has signage displayed with information on applying for grants (if applicable), how to make a complaint and contact details?
Correct Jackpot Player Information is displayed on the Electronic Compliance Display or in a frame on the wall?
Best Practice: For external funding applications (if applicable), grant applications are available?
Gaming Room has sufficient HPM Posters, Pamphlets, Under 18 & No Syndicate Play Signage?
Jackpot Identification Numbers on all EGMs? If missing, ask Club Manager to log a call with their Service Provider to ensure these are corrected.
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? Record notes for Club Manager to log a call with their Service Provider.
Record Last MPM Date
All EGMs are fixed securely to bases? Recommendation is that all machines are bolted to the bases - if this is not the case please discuss with the Club Manager and recommend for Health & Safety reasons.
Jackpot Controller & Displays are working correctly?
A Jackpot Display is able to be clearly viewed when playing any gaming machine?
Is the Site Controller securely fixed to wall and door locked? Take photo.
If there is a Fire Exit inside the Gaming Room, is the Fire Exit closed to stop direct access from outside?
Is there signage displayed at the entrance to the Gaming Room advising players that Facial Recognition operates on the premises (if applicable)?
Compete visual check of Facial Recognition Cameras - check for any obvious tampering or unusual tilting (if applicable).
CITO Game Rule 24: CITO Player Notices are either affixed to each gaming machine or prominently displayed in the Gaming Area?
Check condition of Equipment - EGMs, Jackpot Displays, Stools, Bases, Facial Recognition Cameras, Signage. Any remedial work required? Record notes for Club Manager.

Resources, Main Workstation & Float Management

RESOURCES

Multiple copies of the Club's Policy for Identifying Problem Gamblers is available? If the Club hasn't updated their policy in line with the new Regulations, discuss with them about doing so.
Club staff have recently read their Policy for Identifying Problem Gamblers? Check with Club Manager. and recommend they do if staff haven't read recently.
Game Rule 8.1(1) & (2): DIA Gambling Equipment Fault / Player Dispute Forms are available in Club resources?
Can Club Staff explain how to deal with an Equipment Fault or Player Dispute? Can they explain when this form should be completed? Ensure that staff understand that any minor fault is recorded by their Service Provider and a report can be provided by them, but faults that affect a customers play or credit must be recorded on this form. The EGM may need to be switched off as well to preserve play data.
Game Rule 8.1(1) & (2): DIA Unpaid Prize Reports are available in the Club resources?
Can Club Staff explain when to use the Unpaid Prize Report? If NO, explain the process.
Club has a Harm Prevention & Minimisation Training Log?
The Club's Harm Prevention & Minimisation Training Log is up to date? Check with Club Manager.
Is there a trained staff member in Harm Prevention & Minimisation on duty at all times that the gaming machines are operating?
REG 13(1): Are there any new staff that have NOT received Problem Gambling Awareness Training? Advise Club Manager that until staff have received Problem Gambling Awareness Training they are NOT permitted to supervise gambling in the course of their duties at the Club. Schedule a date and time for training to be completed and make a note in this report.
REG 13(1): Has the Venue Manager and all gaming staff received Problem Gambling Awareness Training within the last 12 months? If NO, record details of all staff members that require training and schedule a date/time for completion. Training MUST be completed within 12 months to meet regulatory requirements.
Game Rule 7.1: The Club has an up to date Employee Register available?
Compare staff names on Training Log to Club's Employee Register. Confirm that you have completed this task.
- Completed
- Not Completed - Add Reason in Notes
An Exclusion Order Booklet is available in Club Resources and accessible by staff?
Are there any new Self Exclusions or Venue Exclusions that need to be loaded to Concern? Remind Club Staff that these need to be entered as soon as possible.
A copy of The Gambling Act (Class 4) Games Rules 2022 is available in the Club Resources?
Game Rule 14.1: Jackpot Manual is available in Club Resources?
Where CITO is installed, does the Club have access to a User Manual or Operating Instructions & Procedures (electronic or hard copy)?
Where CITO is installed, staff use a Faults Register or their Incident Diary to record all malfunctions of the CITO System?
Is Person of Interest (POI) operating at this Club and are staff viewing exclusion order photos regularly? Add Notes if required.
Does the Club have access to the Concern National Database of Exclusion Orders?
Club has extra Harm Prevention & Minimisation resources onsite i.e Wallet Brochures & Posters?

MAIN WORKSTATION

HPM Pamphlets are available and accessible for customers during transactions at the main service Counter / bar / payout area?
Club Staff know how to accept a new MVE Request or record a Breach on the QEC (if applicable)? If NO, assist with providing some instructions on how this is done.
Club Staff understand process required if they receive a Self Exclusion, complete a Venue Exclusion or receive a request to exclude from other venues? If NO, advise that Self Exclusions and Venue Exclusions should be entered into the Concern National Database. If they receive a request to exclude from multiple venues, then the customer should be provided with the contact details for local support services/treatment providers.
Cancelled Credit and Hopper Refill Dockets include full name of customer, customers signature and staff signature (as applicable)? Take Photos.
Gambling Area Sweep sheets are available for staff to use?
REG 14(1): Club staff are conducting and recording Gambling Area Sweeps 3 times per hour, and at least 10 minutes after the previous sweep while the gambling area is operating? Add notes if 'partially compliant'. Take photos.
REG 14(2) & 15: Club staff are monitoring (tracking) gamblers who are observed gambling during 9 or more consecutive Gambling Area Sweeps? Add notes if 'partially compliant'. Take photos.
REG 14(2) & 15: Club staff are monitoring and recording gamblers who are withdrawing or attempting to withdraw cash from an ATM or EFTPOS device? Add notes if 'partially compliant'. Take photos.
REG 15: Club staff are having conversations with players who exhibit 1 or more of the signs of gambling harm and recording a summary of the conversation and any action taken? Add notes if 'partially compliant'. Take photos.
REG 16(4): The Venue Manager (or person acting on their behalf) is reviewing records kept by staff to identify signs of harm at least once each week for the previous 7 day period? Add notes if 'partially compliant'. Take photos.
Staff use a QEC Incident Diary or alternative Incident Diary to record signs of gambling harm? Take photos of last entries.
REG 16(3): Club staff are keeping good records of signs of harm observed - name of staff member, date & time, identifying information for the gambler, sign of harm observed, name of staff member that had the conversation with the player, date & time of the conversation, summary of the conversation, and any further action taken in respect of the player. Add notes if 'partially compliant'.
Staff Tab has been activated on the QEC? If NO, check with Venue Manager if they would like to have it activated on the QEC and arrange with COMS Systems 0800 266 797.
If Staff Tab is activated on QEC, complete a review with the Club Manager to ensure staff that are no longer working at the venue are removed, and ensure that each current staff member is listed with their own PIN Number.
Staff Photos are loaded against staff on QEC? NOTE: Important to do so if venue is operating COMS Detect Facial Recognition as this will affect the Time in Venue function if the club decides to turn this feature on in the future. Recommendation is that all clubs have staff photos loaded to assist with future enhancements to the QEC.

FLOAT MANAGEMENT

Is the current Float Level sufficient for Gaming? Ask staff if they ever run out of float and how often.
Does the club have a good and safe process in place for Cash Up and is GMP stored securely overnight?
Club completes Float & Safe Balancing and Cash Reconciliations daily? Add notes

Main Entrance & Other Checks

MAIN ENTRANCE COMPLIANCE

Latest Venue Licence is displayed? Take photo.
Liquor Licence Displayed (if applicable)?

OTHER CHECKS

Club has access to the EMS Website on their computer?
ATM location is compliant? An ATM available in the Club must be in line of sight of staff at the main bar area of the Club or, if the Club does not have a bar area, the main customer service area of the Club.
Does the Floor Plan on the Venue Licence show the location of an ATM onsite, the defined gaming area, and the legal boundary of the property (if required)? Add notes - any amendments required to the Floor Plan should be provided to DIA by way of a GC4A Application to licensing.
REG 5: Confirm that the use of the words 'Casino' or 'Jackpot' is NOT advertised anywhere in/around the Club?
REG 5A: Confirm that gaming machines including toppers, cannot be seen from outside the the legal boundary of the Club, AND that Jackpot Advertising is not visible or audible from outside the venue?

Problem Gambling Awareness, Key Person Check, Other Checks

PROBLEM GAMBLING AWARENESS - KNOWLEDGE ASSESSMENT

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.
Can you explain what the purpose is of the Club's Policy for Identifying Problem Gamblers and what is expected of Club Staff?
Can you explain the purpose of conducting Gambling Area Sweeps?
Can you explain what is required when completing a Gambling Area Sweep, as well as the procedures you must follow?
Can you identify 3 of the 7 deemed Signs of Gambling Harm, which have been identified as strong evidence-based indicators of gambling harm? Check staff knowledge on identifying other Signs of Gambling Harm.
- Withdrawing or attempting to withdraw cash from an ATM or EFTPOS device on two or more occasions in one day to use for gambling at the Club.
- Gambling during 9 or more consecutive gambling area sweeps.
- Attempting to borrow money from staff or other Club customers to use for gambing.
- Leaving children in a car or otherwise unattended at the Club.
- Waiting to gamble as soon as the Club opens.
- Refusing to stop gambling at the Club when the Club is closing, or otherwise appearing unable to stop gambling.
- Appearing visibly distressed or angry either during or after gambling (for example crying, holding their head in their hands, or hitting a machine).
- Needs Improvement - Unable to answer correctly or in full.
What processes are there to monitor players for Signs of Gambling Harm when there is a shift change, and how is the information shared with other venue personnel, i.e. gambling area sweep records, cash withdrawals, new exclusions, and other concerns?
Can you explain the process Club Staff must follow when a Sign of Gambling Harm is identified in a player?
Can you confidently explain the process required if you receive a Self Exclusion request, a request to exclude from other venues, or need to complete a Venue Exclusion?
Your QEC alerts you to a Person of Interest (POI) or you identify an Excluded Person in the Gaming Room - explain what action you should take?
Do you know how to accept a new MVE request and record a breach on the QEC? Tell me how this is done.
Can you explain the process for recording and following up Equipment Fault and Player Disputes?

KEY PERSON CHECK

Check for any changes in Club Key Persons that may be different to what is currently recorded with DIA i.e Venue Manager, Club Governance? Record changes in notes and ensure Club Manager understands that email notification should be sent to gambling@dia.govt.nz, followed by a formal application (GC4).
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.

OTHER CHECKS

REG 16(6): Club is ensuring that all records are retained for 3 years from the date they are recorded and are stored securely to meet Regulations under the Privacy Act? These records do not need to be kept at the Club, but must be accessible within 10 days of being requested by DIA.
Security System and Facial Recognition System (if applicable) is in working order? Record any issues below and ensure Club Manager is aware.
Club Manager knows how to access DVR System and download footage?
Club has Insurance for Money and is sufficient to cover any risk?
Game Rule 2.1 (1): Keys held in secure location including spare set and only made available to authorised personnel for necessary tasks related to the day to day operation?
Game Rule 2.1 (4): Venue Manager accounts for keys at beginning & end of day?
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?

Additional Notes, HPM Assessment and Signatures

ADDITIONAL NOTES

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

HARM PREVENTION & MINIMISATION ASSESSMENT

Do Club Staff exhibit a good Host Responsibility towards their Gambling Customers and the requirements of The Gambling Act & Games Rules?
Have Club Staff responded competently to the Harm Prevention And Minimisation checks in the previous sections of this assessment?
From your assessment, when should Harm Prevention & Minimisation Training be next scheduled for?
Considering the demographics of the customers at this Club is there a need for further Harm Prevention & Minimisation Resources that may support host responsibility at this venue i.e. language?
- Chinese
- Hindi
- Korean
- Other - please add notes
- No Extra Requirements
Are there any recommendations for the Club to consider with either their Harm Prevention & Minimisation Policy or practices. Note your recommendations below.