Clubserv Compliance Assessment vJan24_1.5A

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.
Electronic Compliance Display is in working order? If Electronic Display is not working correctly please ensure the compliance is still met in the Gaming Room relating to Venue Licence, Jackpot Player Instruction Notice & a Society Sign.
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?
Sufficient Harm Prevention & Minimisation Signage and Pamphlets i.e. HPA Resources are available & easily accessible in the Gaming Area?
Sufficient under 18 Signage is displayed in Gaming Area?
No Syndicate Play & No Playing More Than One Gaming Machine Signage is displayed in Gaming Room?
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 secure i.e. cabinet securely fixed to wall and door locked?
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 i.e. EGMs, Stools, Bases, Signage. Any remedial work required? Record notes for Club Manager.

Resources, Payout Area & Float/GMP Management

RESOURCE KIT/FOLDER

Game Rule 8.1(1) & (2): DIA Gambling Equipment Fault / Player Dispute Forms are available in the Club's Resource Kit/Folder?
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's Resource Folder?
Club Staff understand how to use the Unpaid Prize Report? If NO, explain the process.
Multiple copies of the Club Harm Prevention & Minimisation Policy is available in the Club's Resource Kit/Folder?
All gaming staff have recently read the Club Harm Prevention & Minimisation Policy? Check with Venue Manager. If NO, then make arrangements with the Venue Manager and record on the Training Log.
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?
REGULATION 13(1): Are there any new staff that have NOT received Harm Prevention & Minimisation Training? Advise Manager that until that staff member has 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.
REGULATION 13(1): Has the Venue Manager and all gaming staff received Harm Prevention & Minimisation Training within the last 10 months? If NO, record details of all staff members requiring training and schedule a date/time for completion urgently. 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 Resource Kit/Folder 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's Resource Folder?
Game Rule 14.1: Jackpot Manual is available in Resource Kit/Folder?
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?
Check Staff POI Activity Report in COMS for staff interaction. Are staff viewing Exclusions regularly?
Does the Club have access to the Concern National Database of Exclusion Orders to enter Self Exclusions and Venue Exclusions, view their Exclusion Orders, and to record & view breaches?
Club has extra Harm Prevention & Minimisation resources onsite i.e Wallet Brochures & Posters?

MAIN SERVICE COUNTER / BAR / PAYOUT AREA

Review the Cancelled Credit & Hopper Refill Dockets printed over the last week (or handwritten forms) - ensure that the sample set reviewed incudes action from multiple staff members.
Cancelled Credit Dockets or Forms include full name of customer and their signature? If staff are having difficulty obtaining this detail from customers, advise that payment should not be provided until this details is completed by the customer. Payment to the customer can be refused and treated as an Unpaid Prize if the docket is not completed correctly.
Staff are signing all Cancelled Credit Dockets/Forms once the customer has printed their name and signed the docket/form?
Hopper Refill Dockets/Forms are being signed by all staff?
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.
Club Staff know how to accept a new MVE Request on the QEC (if applicable)
Do Club staff know how to record a Breach of an Exclusion Order on the QEC (if applicable)? If NO, provide instructions including ensuring notes are added describing the breach.
Harm Prevention & Minimisation Pamphlets (HPA Wallet Brochure) is available and accessible for customers during transactions at the main service Counter / bar / payout area?
Gambling Area Sweep sheets are available for staff to use?
REGULATION 14(1): Club staff are conducting Gambling Area Sweeps at least 3 times per hour, and at least 10 minutes after the previous sweep while the gambling area is operating? If 'partially compliant' add notes to explain what is required to lift practice.
REGULATION 14(2) & 15: Club staff are monitoring (tracking) gamblers who are observed gambling during 9 or more consecutive Gambling Area Sweeps? If 'partially compliant' add notes to explain what is required to lift practice.
REGULATION 14(2) & 15: Club staff are monitoring (tracking) gamblers who are withdrawing or attempting to withdraw cash from an ATM or EFTPOS device? If 'partially compliant' add notes to explain what is required to lift practice.
REGULATION 15: Club staff, after identifying that a player is exhibiting 1 or more of the signs of the harm, are having a conversation with that player to assist with identifying whether the player is a problem gambler. Check for evidence that this is occurring and record notes.
Club staff are maintaining good records for Gambling Area Sweeps? If 'partially compliant' add notes to explain what is required to lift practice.
Staff use the QEC Incident Diary to record signs of gambling harm? Take photos of last entries.
If not using QEC Incident Diary, an alternative Incident Diary book is available at the main workstation for staff to use? Take photos of last entries.
REGULATION 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. If 'partially compliant' add notes to explain what is required to lift practice.
REGULATION 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? The Venue Manager must be recording the date and time of the review and if any further action was required. NOTE: The Venue Manager's review is to assess whether staff have taken appropriate action following the identification of one or more signs of harm in a player, assess whether further action is required in respect of a player, and to determine whether there are any players who the Venue Manager, or the person acting on their behalf, has reasonable grounds to believe are problem gamblers.
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 Venue 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 & BANKING

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?
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.
Club balances safe regularly?
Club Staff are reconciling gaming float money and GMP daily?

Main Entrance Compliance & Other Club Checks

MAIN ENTRANCE COMPLIANCE

Latest Venue Licence is displayed?
Liquor Licence Displayed (if applicable)?
Licensee listed on Liquor Licence matches Venue Operator on Venue Licence?

OTHER CLUB 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 correctly show the legal description of the venue? If NO, then advise the Venue Manager that an amended Floor Plan should be provided to DIA by way of a GC4A Application to licensing.
Is the defined Gaming Area on the Venue Licence correct? If NO, then advise the Venue Manager that an amended Floor Plan should be provided to DIA by way of a GC4A Application to licensing.
Does the Floor Plan on the Venue Licence show the correct and compliant location of the ATM? If NO, then advise the Venue Manager that an amended Floor Plan should be provided to DIA by way of a GC4A Application to licensing.
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.
REGULATION 5A: Confirm that Gaming Machines including Toppers, CANNOT be seen from outside the the legal description of the Club (except intermittently when an external door is in use)?
REGULATION 4: Confirm that Jackpot Advertising IS NOT visible or audible from outside the Club?
REGULATION 5: Confirm that the use of the words Casino or Jackpot is NOT advertised anywhere in/around the Club?
Where CITO is installed, if the CRT is not in line of sight of Club Staff from their main workstation, is there a security camera monitoring activity on the CRT?

Harm Prevention & Minimisation, Training and Key Persons

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? Check to see how recently this was read and recommend re-reading if required.
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.
Why are Club Staff required to conduct Gambling Area Sweeps? Staff should be able to advise that it is a requirement of the Gambling (Harm Prevention and Minimisation) Amendment Regulations 2023, and that it is to observe player behaviour, signs of harm and underage gambling.
How often are you required by law to complete a Gambling Area Sweep per hour? Remind staff that Gambling Area Sweeps must be no less than 10 minutes apart.
- 0
- 1
- 2
- 3
- 4 or more
Can you talk me through you process when completing a Gambling Area Sweep? Staff member should at a minimum advise that they must physically walk the Gaming Area to observe player behaviour and monitor for Signs of Harm. Staff should also talk about when it is necessary to have a conversation with a player and what information they must record to complete the process.
There are 26 signs that are considered to be Signs of Gambling Harm. Of these there are 7 Signs of Harm that have been selected as they are strong evidence-based indicators of gambling harm, can be easily identified by Club Staff, and reduce the need for subjective judgement. Can you name 3 of the 7 Signs of 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.
When are Club Staff required to have a conversation with a player? Staff member should advise that a conversation is required when one sign of harm is observed, if a player has been observed gambling during 9 consecutive gambling area sweeps, if a gambler is observed making two withdrawals from an ATM or EFTPOS, and when there is sufficient concern that Club staff consider it necessary to approach a player to have a conversation.
When a Sign of Harm is identified in a player what information must be recorded? Response should include the name of the Club Staff Member who identified the Sign of Harm, the date and time that it was identified, information that would help Club Staff to identify the player, which sign of harm was identified, the name of the Club Staff Member who had the conversation with the player, a summary of the conversation and any further action taken.
What are the 3 types of Exclusion Orders? Response should include (Self, Venue Initiated & MVE).

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

REGULATION 16(6): All records are retained for 3 years from the date they are recorded? These records do not need to be kept at the Club, but must be accessible within 10 days of being requested by DIA. Is the Club confident that they can provide all records as and when requested by DIA i.e. documents are filed in an organised and accessible system.
All gaming records including information about players/gamblers is being collected and stored securely to meet obligations under The Privacy Act?
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.