Virtus - Venue Compliance Audit

Title Page

Audit Date
Inspection Commencement Time
Auditor
Venue
Venue Manager
Type of Inspection

Audit Information

This surveillance visit - audit activity and output report has been completed as part of the Client Audit & Compliance Framework 21/22. This program has been developed to assist with facilitating the assessment, prioritisation and management/mitigation of related onsite risk across all operations. The purpose of this report document is to provide summary commentary and a measurement framework on the site adherence and progression to the agreed scope. Any output deficiencies or identified gaps will be summarily reported to enhance accountability and to assist with the tracking of any necessary corrective actions.

Virtus Risk, Training and Security (VRTS) is an independent organisation and its Auditors, Risk Specialists and Analysts develop their viewpoints without control or influence, stating the facts as they see them. VRTS provides analytical independence, accuracy and integrity and through this transparent approach, provides insight and advice uninfluenced by emotions or personal prejudices.

1. Work Health and Safety

1.01 Have all staff undertaken WHS induction training?
1.02 Is WHS an agenda item at the manager's meetings?
1.03 Does the venue have a WHS notice board with current and relevant information?
1.04 Does the venue have relevant PPE onsite including face masks, goggles, gloves for cleaning the beer lines?
1.05 Are all stockholding areas neat and tidy, and all stock items safely stored?
1.06 Are the manual handling and safe cutting procedures being utilised?
1.07 Are all Emergency Exits free of obstructions (internally and externally)?
1.08 Are all accessible areas clear of trip hazards and obstructions?
1.09 Does the venue have WHS relevant signs? i.e. 'Slippery when wet'
1.10 Do all bar areas have non-slip surfaces?
1.11 Are there non-slip surfaces at the entry and exit points?
1.12 Are all electrical cords and wiring appropriately secured?
1.13 Have all electrical products been tested and tagged appropriately?
1.14 Are the managers trained in First Aid?
1.15 Has the First Aid Kit been inspected and appropriately restocked in the past twelve (12) months?
1.16 Does the venue have designated a First Aider and is their certificate current?
1.17 Are all gas cylinders appropriately secured?
1.18 Do all cool rooms where CO2 gas is present have a CO2 alarm attached and in working order?
1.19 Does the venue have a CO2 gas alarm sign located at the entrance to areas with CO2?
1.20 Are chemical bottles stored correctly and clearly labelled?
1.21 Does the venue have an MSDS onsite near the relevant chemical storage area?
1.22 Do employees who drive forklifts hold a current forklift licence?

2. Food Safety

General Requirements

2.01 Have all staff required to undertake or supervise food handling operations completed food safety and food handling training?
2.02 Is there a current food safety supervisor designated?
2.03 Does the venue have its food permit displayed?

Food Handling Controls

2.04 Is there a current register of all food suppliers available onsite?
2.05 Is there a food delivery log and is it current?
2.06 Are staff refusing to accept potentially hazardous food at the temperatures stipulated in the Australian food safety standards?
2.07 Are staff checking that foods intended to be frozen are frozen upon receipt?
2.08 Are food deliveries being held in appropriate containers and in good condition?
2.09 Is food stored in a way protected from contamination and environmental conditions that may affect the safety and suitability of the food?
2.10 Are food storage areas in good condition? i.e. no structural damage, cracks in walls, impervious floors
2.11 Is potentially hazardous food stored under temperature control?
2.12 Is food intended to be frozen stored correctly?
2.13 Is food stored labelled with day dots representing storage date and best before date?
2.14 Are fridge items stored correctly with no cross contamination evident? i.e. Vegetables, Meats and Chicken and Seafood on different levels.
2.15 Is food checked before processing to reflect conditions and temperatures stipulated in the Australian food safety standards?
2.16 Is the food reheating procedure compliant with Australian food safety standards?
2.17 Are there food safety procedures for displaying unpackaged ready-to-eat food?
2.18 Are separate utensils being used for serving different foods?
2.19 Is food on display for sale enclosed in a container, wrapper or other form of protection from contamination?
2.20 Is temperature sensitive food on display stored under temperature controls?
2.21 Have all food handlers been trained in safe food packaging?
2.22 Have all food handlers been trained in safe food transport?
2.23 Is all food for disposal held separately from regular food storage?
2.24 Is all food for disposal clearly labelled in compliance with Australian food safety standards?
2.25 Is there a documented system for the recall of unsafe food and is it available on site?
2.26 Is there a pest control plan in place with monthly inspections documented?
2.27 Is there a cleaning schedule in place for the filters, grease traps and exchange; and is it current?
2.28 Is cooking equipment clean and in good condition?
2.29 Are all cleaning chemicals stored away from food prep areas?
2.30 Is food grade sanitisers being used for all cooking service areas?
2.31 Are chopping boards and food preparation utensils in good condition?
2.32 Is there an infrared thermometer available for temperature checking?
2.33 Are there temperature gauges located in fridges and freezers?
2.34 Are there designated hand washing sinks available with hand soap and paper towels?
2.35 Are kitchen areas free from employees eating on shift and or cigarette smoking?
2.36 Do all kitchens have non-slip surfaces that are also easily cleaned?
2.37 Is the venue using fridge, freezer and cool room temperature control log forms and are they being recorded daily?
2.38 Does the venue have regular grease trap, hood and flue cleaning and removal procedures?
2.39 Has the venue received a health inspection within the last six (6) months?
2.39.1Has the venue completed actions to resolve any breaches?

3. General Compliance

3.01 Is the Licensee's name appropriately displayed at the main entrance?
3.02 Is the Plan of Management/RAMP current and in effect?
3.03 Have OLGR checklists been completed at least once a month and the last 3 months kept onsite?
3.03.1 Does the venue have CCTV notification signage displayed?
3.03.2 Is there a sign at the front of the venue displaying name shown on liquor licence, type of licence and licensee name shown on the licence which can be read by a person from outside the premises?
3.03.3 Is Sign 1L (under 18s not to be served alcohol) prominently displayed at the bar or, if no bar, at or close to every public entrance?
3.03.4 If the venue has restricted areas, is Sign 2L (minors not permitted in this area) prominently displayed at or close to the entrance to the restricted areas?
3.03.5 If the venue has minors authorisation areas, is Sign 3L (under 18 authorisation area) prominently displayed at each entrance to a minors authorisation area?
3.03.6 If the venue has a breath analysis instrument, is Sign 4L (breath testing), or a sign containing the same wording, prominently displayed nearby?
3.04. Is the venue incident register compliant and current?
3.04.1 Can all staff access the approved incident register?
3.05 Can all staff (including Security) access the barred persons register?
3.06 Is there a copy of the security Master/Firm Licence onsite?
3.07 Is the Fire Certification current?
3.08 Is the Fire Safety Statement current?
3.09 Is a copy of the licence, licence-related authorisations and conditions available at all times to staff members and security?
3.10 Is the Security/Crowd Controller register current and compliant?
3.11 Are copies of all staff RSA/RCG competency cards in the appropriate register?

Minors

3.12 Are there effective procedures and controls in place to prevent anyone aged under 18 being sold or supplied liquor?
3.13 Are there effective procedures and controls in place to prevent anyone under 18 from consuming or taking away liquor from the venue?
3.14 Are effective procedures and controls in place to ensure that minors do not enter or remain in bar areas or restricted areas of the venue, including areas where gaming machines or tobacco machines are located? and stay with a responsible adult in the authorised areas?

RSA Training and Competency Card

3.15 Does the licensee hold a current recognised RSA certification?
3.16 Do all staff involved in the sale and supply of liquor hold a current recognised RSA certification?
3.17 Do all staff involved in security and crowd control hold a current recognised RSA certification?
3.18 Has the licensee sighted each staff member’s current recognised RSA certification?
3.19 Does everyone involved in liquor promotions on the hotel premises hold a current recognised RSA certification?
3.20 Are all staff able to produce their current physical or digital RSA competency card or interim certificate?
3.21 For any staff working under an interim RSA certificate, is the interim certificate still valid for work?
3.22 Is there a system in place to track and notify management of expiring RSA certifications?

Minimising Intoxication

3.23 Are there procedures and controls in place to detect intoxicated patrons before they enter the venue?
3.24 Are there procedures and controls in place to prevent liquor being sold or supplied to an intoxicated person?
3.25 If an intoxicated person is found in the venue, can the licensee prove all relevant steps were taken to remove the patron from the venue?
3.26 Is drinking water available free of charge to all patrons at all times when liquor is sold or supplied?
3.27 Is food (that is a meal) available at all times?

4. Gaming

4.01 Is there a self-exclusion list readily available and is it current?
4.02 Has the licensee accepted all self-exclusion requests from patrons?

Gaming Machines

4.03 Does the licensee ensure all gaming machines have intact security seals?

RCG Training and Competency Card

4.04 Does the licensee hold a current recognised RCG certification?
4.05 Do all staff members involved in the conduct of gambling hold a current recognised RCG certification?
4.06 Has the licensee sighted each staff member’s current recognised RCG certification?
4.07 Can all staff members produce their current physical or digital RCG competency card or interim certificate?
4.08 For any staff working under an interim RCG certificate, is the interim certificate still valid for work?

Minors

4.09 Are there procedures and controls in place to ensure anyone aged under 18 does not enter or remain in the gaming areas of the hotel?
4.10 Does the licensee ensure all minors are removed immediately from the hotel’s gaming area?
4.11 Are there procedures and controls in place to prevent minors from playing the gaming machines?

Signage and Resources

4.12 Is the self exclusion form 3G on site and current?
4.13 Is there a gaming self exclusion register onsite and current?
4.14 Is Brochure 4E (problem gambling information) made available in each gaming area at all times?
4.15 Do all managers know how to process a gaming, all venue and bar only exclusion including a cancellation?
4.16 Is Brochure 4 (problem gambling information – translated version) in the relevant community language supplied as soon as possible following a patron’s request?

TAB and Keno

4.17 Is there a self exclusion list for TAB and is it current?
4.18 Are the 'Keno rules' signage displayed prominently at all Keno playing areas?
4.19 Is a complete copy of the Keno rules available for inspection free of charge on request?
4.20 Is the 'TAB Under 18' notice displayed at all entrances to Electronic Benefits Transfer (EBT) areas?

5. Anti-Money Laundering and Counter Terrorism Financing

5.01 Are all payouts 10K and over being reported as per AML Policy
Ask the manager(s) to show you where the payouts are recorded i.e. Folder, Online database...etc - record the response below.
5.02 Are the identities of customers being recorded correctly, and are Customer Due Diligence (CDD) checks being performed as per AML Policy?
Ask the manager(s) what information (including idenification details) do they obtain from the customer and to demonstrate how they perform a Customer Due Diligence check.

Auditor to to test a sample and check the name, address, DOB and signature has been obtained with proper ID validation.
5.03 Are the identity records and documents of customers being appropriately stored and secured?
Auditor to check where the hard copies of customer identification and payout information is located and to comment below on level of security.
5.04 Have all staff undertaken AML/CTF awareness training?
Auditor to test roster of gaming room team currently on duty vs training records
5.05 Is the AUSTRAC AML/CTF awareness poster on display in the venue?
The poster is normally displayed in the back of house area of gaming or in the office.

Auditor to take photo and attach.
5.06 Can the manager(s) demonstrate how to identify Red Flags?
Manager should identify some or all of the following:

• Customers who appear overly concerned about the payout being reported to the authorities;
• Customers who want to pay an additional fee so that they do not have to provide all the information required;
• Payout requests that appear to be made on behalf of someone else;
• Customers who exhibit a low level of cooperation when providing all the customer identity information required by our CDD standards;
• Customers who exhibit a low level of cooperation when providing all the information required regarding a transaction;
• Customers who request payment by cheque made out to third parties or without a specified payee;
• Customer who requests a winnings cheque in a third party's name;
• Customers who break up the payout into smaller transactions below the threshold where ID is collected;
• Customer who requests cheques that are not for gaming winnings; and
• Customer puts money into EGMs and claims accumulated credits as a jackpot win.

If you notice any of these red flags, manager to report this as an incident.
Incident Category - AML/CTF
Incident Type - Red flag in the venue
5.07 Can the manager(s) demonstrate the process for reporting Red Flags and Suspicious Activity?
Red Flags
Manager to report this as an incident.
Incident Category - AML/CTF
Incident Type - Red flag in the venue

Suspicious Activity
The manager on duty is to contact the AML/CTF for guidance where an SMR has the potential to be raised.

6. Cash Management

6.01 Are the onsite cash management procedures as per the Company Policy?
6.02 Have all staff undertaken cash handling training as per Company Policy?
6.03 Is there a 30-minute time delay installed into the main safe?
6.04 Does the physical cash on hand match the float limit as set/approved?
6.05 Are the CRT's being replenished as per the approved float level?
6.06 Is the CRT float physically counted before being returned and replenished?
6.07 Have all cash drops been entered into the Authentic Cash Reconciliation Portal?
6.08 Are appropriate safe counts being conducted at the beginning, change, end of shift and logged in the DTS?

7. Inventory Management

7.01 Is the stock management policy in place and effective?
7.02 Are stocktakes being conducted fortnightly (unless approved otherwise)?
7.03 Are stock on hand value variances within the allowed limits?
7.04 Is wastage being recorded daily?
7.05 Has inventory management / record system been audited and validated in the last 6 months?

8. Human Resources

8.01 Is there a process in place for validating employee sign on/off, and is it working?
8.02 Has there been a staff training matrix review in the past three (3) months and all staff currently up to date?
8.03 Have all staff members correctly filled in the employment pack forms? i.e. Employment Application, Tax Forms, ID details...etc.?
8.04 Are reference checks being conducted for new hires?
8.05 Are police checks being conducted for new hires prior to 1 month tenure? (Managers and persons with keys only)

9. Security

9.01 Is there a current Security Management Plan in place and is it in effect?
9.02 Has a site security survey been conducted in the last six (6) months?
9.03 Are security personnel inducted to site prior to commencement?
9.04 Is the security incident register being utilised as per legislative requirements?
9.05 Is there a procedure for verifying and documenting visitors and contractors?
9.06 Are the contracted security personnel operating in accordance with any imposed conditions? i.e. Liquor Licence, DAs?
9.07 Are the contracted security personnel operating in accordance with relevant security acts and legislation?

10. CCTV & Alarms

10.01 Has a CCTV coverage audit been conducted within the past twelve (12) months?
10.02 Is the alarm system in good working order?
10.03 Is the duress system in good working order?
10.04 Is the CCTV system in a secure area?
10.05 Is the CCTV system password protected?
10.06 Does the CCTV system meet the stipulated 9-12 Frames Per Second requirements?
10.07 Does the CCTV system meet the stipulated 30-day storage requirements?
10.08 Does the venue have a CCTV register?
10.09 Is the access key/swipe register current and regularly audited?
10.10 Do security codes match current employee list?
10.11 Is there a process for the changing security codes when a manager has left the business?
10.12 Is there a process for changing time delay safe codes when employees have left the business?

11. Emergency Management

11.01 Is the evacuation diagram clearly displayed for all staff and contractors?
11.02 Are the assembly areas clearly marked and easily identifiable?
11.03 Is the Fire Control Panel/Room easily accessible?
11.04 Are all emergency exits clearly visible to all staff and contractors?
11.05 Is the Emergency Management Plan current?
11.06 Have all staff participated in a site evacuation exercise in the past twelve (12) months?
11.07 Are all staff aware of their roles and responsibilities during an emergency?
11.08 Is there a post-incident debrief and support procedure in place?

12. Information Security

12.01 Are all staff with access with network devices trained in Cyber Security awareness?
12.02 Is the social media use policy adhered to?
12.03 Does the venue have a Information Security policy and procedure?
12.04 Are all business related OS/Apps up to date?
12.05 Is there a procedure for reporting suspicious activity or breaches?
12.06 Can venue management correctly locate and explain the Company Privacy Policy?
12.07 Can the venue manager explain the process needed for customers to access their personal information?

13. Accommodation

13.01 Are there appropriate security measures in place with regards to access to the guest management system? i.e. password protected, user access levels and permissions...etc.
13.02 Have guests been made aware of the privacy policy in relation to the storage of their personal information?
13.03 Do you accept mobile payment options i.e when guests aren’t present to pay by card of eftpos in person, and if so is there a credit card authorisation process?
13.04 Are there emergency evac plans available to guests in their rooms.?
13.05 Are smoke detectors present in all rooms and reception?
13.06 Are cash payments being accepted for room stays? (Not Scoreable)
Is ID still being requested and a cash bond taken
13.07 Are there COVID safety procedures in place i.e signing in of all guests? Also is there a covid safety plan for accommodation?
13.08 Are any stairs and handrailing well maintained (no trip hazards)?
13.09 Are doors and locks in good working order?
13.10 Are any power leads and other cords secured where possible?
13.11 Does the venue have spare keys for all accommodation rooms?
13.12 Does the venue have a documented plan for managing evictions from accommodation?

Virtus - Venue Compliance Audit

Go digital today!

Convert your paper checklists into digital forms

General Requirements

Food Handling Controls

Minors

RSA Training and Competency Card

Minimising Intoxication

Gaming Machines

RCG Training and Competency Card

Minors

Signage and Resources

TAB and Keno

Related checklists

Virtus - Venue Compliance Audit

Free Virtus - Venue Compliance Audit Checklist

Go digital today!

Convert your paper checklists into digital forms

General Requirements

Food Handling Controls

Minors

RSA Training and Competency Card

Minimising Intoxication

Gaming Machines

RCG Training and Competency Card

Minors

Signage and Resources

TAB and Keno

Related checklists