Monthly self-assessment checklist
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.
Note: Licensees must use the checklists below for internal control and audit purposes. Do not submit these checklists to the Office of Liquor and Gaming Regulation, unless requested to do so:
- Form 75A: Monthly self-assessment checklist (hotels)
- Form 75B: Monthly self-assessment checklist (clubs).
How to complete 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 good idea to complete your assessment progressively throughout the month, documenting your findings 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 in order to complete the monthly self-assessment will vary from venue to venue. However, your sample should be large enough to show compliance across all transactions of a particular type. Matters to consider when deciding your sample size will include the:
- number of transactions of the type occurring during the month
- 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
- 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.
How to complete 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, a formally-documented assessment can usually 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.
Licensees should be aware of changes that may affect compliance with these more static matters and make the necessary assessments to ensure ongoing compliance when the change occurs.
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