The monthly self assessment checklist
The checklist can be accessed from these links:
The self assessment forms part of a licensee’s gaming-related compliance program. It does not replace the need for other processes used to achieve and maintain compliance, such as ongoing training of employees engaged in gaming functions and day-to-day monitoring of adherence with legislative requirements.
Part A
Many of the items in part A of the self assessment checklist relate to frequently occurring transactions. For these items, it is a sound and sensible practice for the gaming nominee/eligible licensee to complete their assessment progressively throughout the month, documenting their findings for inclusion in the monthly self assessment checklist. For example, on a weekly basis sample transactions for the previous week may be reviewed to ensure they have been completed as required. Advantages of this method of assessment include:
- The time taken to complete the assessment can be spread over the month.
- Issues will be identified earlier, enabling immediate action to prevent them from reoccurring throughout the month.
The number of transactions that should be reviewed for the purpose of completing the monthly self assessment will vary from venue to venue.
The sample should be of sufficient size that there is a high level of confidence the review provides a sound indication of the venue's compliance across all transactions of that type. Matters that need to be considered in deciding the sample size will include:
- The number of transactions of the type occurring during the month.
- The number of different staff undertaking transactions of that type. If a large number of staff perform the transactions, it will be necessary to ensure the sample is sufficient to identify whether each staff member completing the function is meeting the legislative requirement.
- The proven skills of staff/volunteers performing transactions. It is likely that a greater number of transactions would be reviewed for a staff member/volunteer that is inexperienced in performing the relevant transaction. For new or inexperienced staff/volunteers it is expected that reviews of their work would be undertaken periodically during the month.
Part B
The items included in part B of the checklist are more static in nature. Although licensees should be mindful of these requirements and ensure they are met on an ongoing basis, it is considered reasonable that a formally documented assessment of them be completed on a less frequent basis.
Although compliance with these matters is less likely to change from month to month, certain events can lead to such a change. For example:
- Refurbishment of the gaming area may result in signage being removed and not replaced.
- Replacement gaming machines may be installed that are not secured with a seal or not properly bolted to console bases.
Accordingly licensees should be aware of changes that may affect compliance with these more static matters and make the necessary assessments, when the change occurs, to ensure ongoing compliance.
Last reviewed 26 May 2010