Guide to undertaking local gambling risk assessments

Introduction

This guide can be used by gambling operators when undertaking and preparing their local (premises) risk assessments. This guide is intended for all gambling operators and has not been designed with a specific gambling sector in mind.

A risk based approach provides a better understanding of, and enables a proportionate response, to risk. This approach includes looking at future risks and thinking about risks in a probabilistic way. Risk is not necessarily related to an event that has happened. Risk is related to the probability of an event happening and the likely impact of that event. In this case it is the risk of the impact on the licensing objectives.

This guide provides a framework for the local risk assessment process that will assist you in complying with the requirements of the Gambling Licence Conditions and Codes of Practice (LCCP).

Local risk assessments will also assist the Council and other responsible authorities and interested parties when considering new and variation applications under the Gambling Act 2005. A well thought out and complete risk assessment will benefit gambling operators in the process of applying for new and varying existing premises by reducing the need for additional information or possibly the imposition of conditions.

All Gambling operators are required to undertake a risk assessment for all of their premises. Operators must also undertake a review of these assessments if significant changes in local circumstances occur.

Please refer to the Statement of Licensing Policy (Gambling Act 2005) and the Local Area Gambling Profiles for Plymouth for more information at: www.plymouth.gov.uk/licensingandpermits/gamblinglicencesandpermits/gamblingpolicy.

Part B, Section 12 (page 28) of the Statement of Licensing Policy has detailed information on what Plymouth Licensing Authority expect Gambling Operators to consider when completing their risk assessments and gives examples of when these risk assessments should be reviewed.

The Council consider that local risk assessments are a key component of the overall assessment and management of the local risks. The Council will assist gambling operators in this process by providing specific information on its concerns surrounding gambling premises within the City and the impact that premises can have on the licensing objectives.

Operators should also refer to the Local Area Gambling Profiles for Plymouth when completing and reviewing their risk assessments.

The local area profile is an assessment of the key characteristics of Plymouth in the context of gambling related harm. This resource brings together a number of indicators of gambling related harm and presents them at a neighbourhood level. The information will help Gambling operators to understand the types of people that are at risk of being vulnerable to gambling related harm, where they are located and any current or emerging problems that may increase that risk. This will assist the operator when preparing their local premises risk assessment.

These risk assessments are not the same as other forms of risk assessment undertaken by gambling operators such as Health and Safety at Work, Fire Safety and Food Hygiene. These local risk assessments are specific to the potential harm that gambling premises can have on one or more of the licensing objectives under the Gambling Act 2005. They are specific to the premises, the local area and the local community.

Undertaking a local risk assessment

A local risk assessment of gambling premises should be carried out through a step-by-step approach. Gambling operators may first assess the local area and identify the relevant risk factors, then assess the gambling operation, and finally assess the premises design, both internal and external. Once the risk factors have been identified, the control measures to mitigate the risks should be considered. These control measures will either already be in place or will need to be implemented.

In order to assist gambling operators in this process the Council has developed a local risk assessment form that encompasses the step-by-step approach to the assessment. This can be found in Annex A to this guide.

The form also enables the assessor to identify actions such as the installation or production of control measures, the individual made responsible for carrying out those actions, and to record when those actions were completed. This form is not mandatory and gambling operators can develop their own assessment forms to suit their own business.

Who should undertake the assessment?

It will be the responsibility of the gambling operator to assign the assessor for assessing the local risks for their premises. The person assigned as the assessor must be competent to undertake this role as failure to properly carry out this function could result in a breach of the provisions of the LCCP. The assessor must understand how the premises operates or will operate, its design and where it is located. The assessor will need to understand the local area and can use staff or area managers to assist in gaining an understanding of that local area.

Step 1: The local area

Operators should start by identifying the local risk factors surrounding the premises. The risk factors will differ from location to location so an understanding of the specific characteristics of the local area and the people who live, work or visit that area is important.

Please refer to Plymouth City Council’s Gambling local area profiles which set out the demographic profile of areas of the city and the specific concerns and risks that the Licensing Authority has identified in relation to gambling in those areas.

The list below is a small example of some of the risk factors that may be present in an area where gambling premises are located:

• The type of premises and their operation in the local area surrounding these premises
• The footfall in the local area, for example, does it predominately comprise residents, workers or visitors, is it family orientated area, popular with children and young people.
• Socio-economic makeup of the area
• Prevalence of dependant or addictive gambling in an area, including information from self-exclusion data
• Transport links and parking facilities
• Educational facilities
• Community centres
• Hospitals, mental health or gambling care providers
• Homeless or rough sleeper shelters, hostels and support services
• The ethnicity, age, economic makeup of the local community
• Significant presence of young children
• Crime rates and types
• Unemployment rates
• Presence of alcohol or drug support facility
• Presence of a pawn broker/pay day loan business in the vicinity
• Presence of other gambling premises in the vicinity

Step 2: Gambling operation and physical design

In assessing the risk factors associated with a gambling operation the assessor should consider how that gambling operation may affect that risk.

The assessor as a minimum must consider:

• How the operator conducts its business
• What gambling products it provides in the premises
• The facilities to enable gambling within the premises
• The staffing levels within the premises throughout different times of any day
• The level and requirement for staff training
• Whether loyalty or account cards are used or not
• The policies and procedures it has in place in relation to regulatory requirements of the Act or to comply with the LCCP
• The security and crime prevention arrangements it has in place
• How it advertises locally and on the premises
• The marketing material within the premises
• The display and provision of information, etc.
• The opening hours of the premises and the possible interaction of the gambling premises with any surrounding night time economy.
• Support and early intervention engagement with customers
• Issues of lone working and staff working with closely with children.

The internal and external design of the premises

The design and layout of the premises is a key consideration as this could have a significant impact on the risk to the licensing objectives. The design, both internal and external should be considered and specific risk factors identified and noted. For example:

• The ability to view all parts of the gambling area and entrances, whether directly or via aids such as mirrors /CCTV
• The ability for children and young people to look into the premises and see gambling taking place
• Nature and number of advertising materials present, particularly those viewable externally
• Position of various gambling activities
• The means to segregate various gambling activities

The physical design of the premises is a key consideration as this could have a significant impact on the risk to the licensing objectives. In assessing the risk factors associated with the premises design and layout, reference is needed to the local area risk factors already identified to ensure the design doesn’t add to that risk. The design, both internal and external should be considered and specific risk factors identified and noted.

Step 3: Control measures

Once the risk factors have been identified, the assessor should seek to identify control measures that would mitigate the identified risks. Such control measures will relate to one of the three categories of control measures mentioned above (systems, design and physical). Some risk factors may require a combination of control measures to adequately mitigate the risk.

Adequate management arrangements must be in place to ensure any control measures are in operation and licensees should record these checks as part of any due diligence defence.

Step 4: Action Plan

Once the assessment has been carried out an action plan should be completed so that any identified actions are documented and a deadline for completing the required piece of work is set and agreed.

Completed assessment

The control measures must be implemented on the premises and, if applicable, staff on the premises should be trained in their use or trained on the new policy or procedure.

A copy of the local area risk assessment must be kept on the licensed premises and made available for inspection by Licensing, Trading Standards or the Police. All staff should be made aware of the contents of the local risk assessment, including any additional control measures identified in the assessment.

The Licensing Authority will assess the risks identified and the measures implemented to mitigate those risks. When a completed assessment is provided with a new application or with a variation application, the authority will consider the assessment in the course of determining whether to grant the application or not. Some control measures identified in the assessment may be put forward as conditions to be attached to the licence to address any significant local concerns.

The risk assessment should be reviewed when there has been any change to your business/local area and at least every 12 months.

ANNEX 1 Local Gambling Risk Assessment Template

Notes for completing this form

This risk assessment must be completed for all new premises or when the premises licence is varied. The assessment must also be reviewed when there are any significant changes to either the local circumstances and/or the premises.

Who should complete this assessment?

The person assigned as the assessor must be competent to undertake this role as failure to properly carry out this function could result in a breach of the provisions of the LCCP. The assessor must understand how the premises operate or will operate, its design, and where it is located.

Risks: Area of consideration that may impact on one or more of the licensing objectives.

Local Risks: These are the identified factors that may pose a risk to the licensing objectives by virtue of the provision of gambling facilities at the premises or in the local area.

Licensing Objectives: these are the three licensing objectives under the Gambling Act 2005 to which the risk factors have been identified as potentially impacting.

Control Measures: These are measures that the operator can put in place to mitigate the risk to the licensing objectives from the risk factors. These control measures are split into three categories, systems, design and physical.

Frequency of Review

Operators will need to specify the time period in which a review of this risk assessment should be carried out. The frequency will be up to the gambling operator but it is recommended that the risk assessment is reviewed when there has been a change to your business/local area and at least every 12 months.

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