Masse Inc (Club) Compliance Assessment vFeb20

• CLUB NAME

• CONDUCTED ON

  Date
• LOCATION
  Address

• AREA MANAGER

  Bevan Newbold

  Julie Oliver

  Steve Stringer

  Other

• TRAINING & COMPLIANCE ASSESSOR

  Rachel Stewart

  Tania Pearson

  Other

• CLUB CONTACT ONSITE

• Venue Licence Date - Reveal Display or Display Board?

  Date

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

  Yes

  No

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

  Yes

  No

• Does the Venue Licence state any club 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

  N/A

• Correct Jackpot Player Instruction Notice Displayed?

  Yes

  No

• HPA Resources including Harm 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 in tact 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

• Time displayed on each EGM is correct?

  Yes

  No

• 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) Any action required?

MAIN ENTRANCE COMPLIANCE

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

  Yes

  No

• Liquor Licence Displayed & Venue Operator matches licensee?

  Yes

  No

RESOURCE COMPLIANCE

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

  Yes

  No

• 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

• Game Rule 28: Jackpot Manual is available electronically in COMs?

  Yes

  No

• Cash Management Software Quick Reference Card in Resource Folder?

  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 work station and accessible by staff?

  Yes

  No

• Is CONCERN/POI operating at this club?

  Yes

  No

• Does the Club use automatic scrolling for CONCERN/POI?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Where CONCERN/POI is not operating, completed Exclusion Orders on file and completed correctly with photo attached?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is there a procedure for processing MVE Requests received by email? If NO, discuss with club about putting a process in place. Record notes on discussion.

  Yes

  No

  N/A

• Does the club have a dedicated email account for receipt of MVE Requests? If NO, does the current club process to manage MVE Requests require one to be set up?

  Yes - No Further Action Required

  No - Venue Manages MVE Requests Well

  No - Gmail Account To Be Set Up & Training Provided

• Are all MVE Requests completed? Check Exclusion Order Register in Dropbox. Ask club to complete any missing Exclusion Order requests.

  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 Resource Folder? Remove any old versions.

  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, a Faults Register is kept at the club 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 CITO Kiosk in line of sight of Club Staff from main workstation?

  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.

• Can you tell me where your Club's Harm Prevention & Minimisation Policy is kept?

  Yes

  No

• Have you read the 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

• Can Club Staff explain what the different forms of exclusions are (Self, Venue Initiated & MVE)?

  Excellent

  Satisfactory

  Needs Improvement

• If a patron asks to exclude themselves from the Gaming Room, can Gaming Staff explain the process to go through to complete an Exclusion Request?

  Excellent

  Satisfactory

  Needs Improvement

• Can you locate the Incident Diary and can you quote a time when you have had to use the diary to record an observation or incident?

  Yes

  No

• Can you explain another situation that you may log into the Incident Diary?

  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

• 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

• Can you tell me if there is a Training Log on site which lists all Staff trained in Harm Prevention & Minimisation and where it is located?

  Yes

  No

• How many excluded patrons at this club?

  Select Don’t Know Less than 10 10-15 15-20 20-25 Over 25

  • Don’t Know
  • Less than 10
  • 10-15
  • 15-20
  • 20-25
  • Over 25

• How often are you reviewing photos of excluded patrons? Best Practice is that photos are reviewed at least once a week.

  Select Every Day 1-3 Days 3-7 Days 7-14 Days Once A Month Never

  • Every Day
  • 1-3 Days
  • 3-7 Days
  • 7-14 Days
  • Once A Month
  • Never

• What processes are in place to supervise the Gaming Room? Select the processes that apply to the club. If answer is “Other” record details.

  Select Regular Sweeps Frequent monitoring of the camera monitors Frequent monitoring of the QEC Unit Other - Note any other processes

  • Regular Sweeps
  • Frequent monitoring of the camera monitors
  • Frequent monitoring of the QEC Unit
  • Other - Note any other processes

• How often are you conducting sweeps of the Gaming Room? Best Practice is every 15 minutes, if not within 30 minutes remind the Club of best practice.

  15 Minutes

  15-30 Minutes

  30-60 Minutes

  Over 60 Minutes

• 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

• Does the club have a process to ensure staff share information to provide effective monitoring of patrons?

  Yes

  No

• QUOTE A MYSTERY SHOPPER SCENARIO. Which DIA Mystery Shopper Scenario was used in this exercise?

  Select One Two Three Four Five Six Seven Eight Nine Ten

  • One
  • Two
  • Three
  • Four
  • Five
  • Six
  • Seven
  • Eight
  • Nine
  • Ten

• Ask Club Staff to explain the steps they would take with the scenario presented. Did their response include Interaction, Intervention and Recording?

  Select Interaction Intervention Recording

  • Interaction
  • Intervention
  • Recording

• How well did they respond to the scenario presented?

  Excellent

  Satisfactory

  Needs Improvement

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

  Yes

  No

  N/A

TRAINING REQUIREMENTS

• 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

• Does the Venue Manager have an Induction Process in place to educate & train new staff prior to formal Harm Prevention & Minimisation Training by Maxserv?

  Yes

  No

• What does the Induction Process include when providing Harm Prevention & Minimisation Training to a new staff member (before formal training by Maxserv)?

  Select HPA Resources Resource Folder Reveal Display Incident Diary Exclusion Orders Signs of a Problem Gambler Regular Supervision Person of Interest (POI) System Venue Harm Prevention & Minimisation Policy Other No Process as Yet

  • HPA Resources
  • Resource Folder
  • Reveal Display
  • Incident Diary
  • Exclusion Orders
  • Signs of a Problem Gambler
  • Regular Supervision
  • Person of Interest (POI) System
  • Venue Harm Prevention & Minimisation Policy
  • Other
  • No Process as Yet

• 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 MVE Process?

  Yes

  No

• Have all staff members received EGM training? If NO, record details of staff members who require training and check with Club Manager whether they would like it arranged.

  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

• Have all staff members received Float & Cash Management Software training? If NO, record details of staff who require training.

  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

• Is the cash handled and stored securely during cash up?

  Yes

  No

• Are machines left open at night?

  Yes

  No

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

  Yes

  No

• 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? Best practice is to reconcile daily. Note: Not relevant to CITO clubs.

  Yes

  No

  N/A

• All discrepancies are investigated?

  Yes

  No

• 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

• PRIMARY ACTIVITY The Club has NO concerns regarding Primary Activity and the club is NOT used for mainly gaming i.e. Turnover vs Gaming, Busy Times Gaming vs Club? Check listed Primary Activity on the Venue Licence.

  Yes

  No

• All staff know service company contact number and service time is satisfactory?

  Yes

  No

• DVR & Cameras in working order?

  Yes

  No

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

  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

• Sets of Keys on site - Qty

  1

  2

  3+

• Are the Key Codes recorded in COMS correct? If NO, update details directly in COMS.

  Yes

  No

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

  Yes

  No

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

  Yes

  No

• Is the Club's Fire & Security/Intruder Alarm monitored?

  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

• Have all Health and Safety risks or incidents been reported to Masse relating to Gaming Machines or Auxiliary Equipment owned by Masse? If NO, request an Incident Report Form from the Maxserv Office and report incident/risk to operations@maxserv.co.nz.

  Yes

  No

• Are there further Health & Safety Training requirements at the club? Offer details for Safewise Limited (0800 SAFEWISE).

  Yes

  No

ADDITIONAL NOTES

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

STOCKTAKE

• Stocktake Required. Is COMS up to date listing all Auxiliary Equipment at this club? Please update where applicable.

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 audit?

  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 venue 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 please email operations@maxserv.co.nz with additional requirements.

  Yes

  No

SIGNATURES

• Club Manager Signature

  Sign

• Training & Compliance Assessor Signature

  Sign