Cheats & Scams July 20-22 , 20 2 1 Las Vegas, NV
SOUTH TOWE R
Escalator to Las Vegas Ballroom
PACIFIC BALLROOM
Lobby
S ECOND F LOOR
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Offices
Lobby
LAS VEGAS BALLROOM
Convention Service Office
TH I RD F LOOR
Master on Cheats & Scams Commissioner Training July 20 - 22, 2021 Indian Gaming Trade Show & Convention Bally's Las Vegas Ballroom, South Tower,Third Floor Las Vegas, Nevada
Tuesday, July 20
8:00 AM 9:00 AM Breakfast
Whos in the Hot Seat Josh Peukert, Junior Partner, Blue Bird CPA's, Sheryl Ashley, Partner BlueBird CPA's
9:00 AM 10:30 AM
10:30 AM 10:45 AM Break
Human Resources vs. Human Resoursefullness Josh Peukert, Junior Partner, Blue Bird CPA's, Sheryl Ashley, Partner BlueBird CPA's
10:45 AM 12:30 PM
12:30 PM 2:00 PM Lunch
Situation Awareness Billy David Bo-Ca-Pa & Associates
2:00 PM 3:15 PM
3:15 PM 3:30 PM Break
Human Trafficking Billy David Bo-Ca-Pa & Associates Wednesday, July 21
3:30 PM 5:00 PM
8:00 AM 9:00 AM Breakfast
Minimizing/Mitigating Surveillance Departments Billy David Bo-Ca-Pa & Associates
9:00 AM 10:30 AM
10:30 AM 10:45 AM
Break
How to Watch a Game You Never Dealt George Joseph, Worldwide Casino Consulting, Inc .
10:45 AM 12:30 PM
12:30 PM 2:00 PM Lunch
Slot Player Club Scams & Schemes George Joseph, Worldwide Casino Consulting, Inc.
2:00 PM 3:15 PM
3:15 PM 3:30 PM Break
Top 10 Gaming Commission Concerns George Joseph, Worldwide Casino Consulting, Inc Thursday, July 22
3:30 PM 5:00 PM
8:00 AM 9:00 AM Breakfast
Indian Country Jurisdictions Elizabeth Homer, Homer Law CHTD
9:00 AM 10:30 AM
10:30 AM 10:45 AM Break
Gaming Crimes Elizabeth Homer, Homer Law CHTD
10:45 AM 12:30 PM
Please plan to stay for the entire class on each day to get your certificate of completion. Please be on time for sessions
7/13/21
Players’ Club Fraud
Josh Peukert, CFE, CIA Junior Partner
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What the heck is going on?! Who’s in the Hot Seat
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Outline
• Fraud example • How it was identified • How to prevent (or detect sooner)
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Fun Fact
If I ever wanted to commit fraud, I want to work in your Player’s Club.
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Regulatory Requirements
NIGC MICS 542.13(j)(1)(iii) The addition of points to members' accounts other than through actual gaming machine play shall be sufficiently documented (including substantiation of reasons for increases) and shall be authorized by a department independent of the player tracking and gaming machines. Alternatively, addition of points to members' accounts may be authorized by gaming machine supervisory employees if sufficient documentation is generated and it is randomly verified by employees independent of the gaming machine department on a quarterly basis.
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Side Note
• Most reasons documented in the player tracking system are not sufficient.
• The previous requirement is silent regarding free play.
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Regulatory Requirement
NIGC MICS 543.24(d) • (ii) At least monthly, for computerized player tracking systems, perform the following procedures: o (A) Review authorization documentation for all manual point additions/deletions for propriety; o (B) Review exception reports, including transfers between accounts; and o (C) Review documentation related to access to inactive and closed accounts.
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Regulatory Requirement
NIGC MICS 543.24(d) • (iii) At least annually, all computerized player tracking systems must be reviewed by agent(s) independent of the individuals that set up or make changes to the system parameters. The review must be performed to determine that the configuration parameters are accurate and have not been altered without appropriate management authorization Document and maintain the test results.
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0 for 2
• Again…silent on free play
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Hot Seat Promotions
How employees can take advantage of the process…
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Table Games – Ratings Shenanigans
• Table Rating Fraud
• Adding a rating for a player who isn’t even at the table or inflating their rating by increasing their avg. bet, buy-in, time played, etc.
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Gotcha!
• The Casino was doing random Title 31 audits. The pit employee rated someone for more than $3,000 and forgot to log on the MTL….whoops.
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How to Correct/Identify
• Random rating audits are easiest
• Easiest if surveillance performs since they have camera access.
• Can match rating sheet to table games drop as a whole
• Can match rating sheet to MTL
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Here’s Some Points For You
• Employee manually adding promo or ratings to friend's accounts
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How to Identify/Correct
• Manual adjustments require forms and secondary signatures at different levels.
• Perform audits as required by both 542 and 543.
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Long Story
• A Casino offers free-play incentives for you to return after an absence from the property
• A “bounce-back” offer o Offer is based on your play prior to your absence o The more money you spent, the higher your offer
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Long Story
• Super Playmate does not show a trip if a patron uses only free play (on the primary screen when searching) o It also will not show coin-in o You have to look several screens in to see the transactions of the patron
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Get to the Point
• A group figured this out and spent roughly $90,000 in free play related to bounce back offers o Would not have gotten if a trip was registered
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How it was Identified
• Title 31!
• The Casino verifies large ticket redemptions cashed at kiosks to determine whether cards were inserted when tickets were printed (a suggestion by their incredible auditor)
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How it was Identified
• Casino found multiple tickets redeemed in a kiosk over their redemption threshold and found that the card had been pulled just before the ticket was printed.
• This was done multiple times
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How to Fix
• If you use Super Playmate and offer bounce back groups, verify that the higher tier players are not coming back to the Casino.
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For those of you without a Player’s Club
• Do you offer match play vouchers for slots?
• Do you record, track, and audit appropriately?
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For those of you without a Player’s Club
• A Casino without a player’s club offered $10 match play.
• The player would come to the cage, the cage cashier would fill out a voucher which was to be given to the security or slot person along with a $10. Slots would watch patron play substantially all of the money given by the Casino.
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For those of you without a Player’s Club
• The cage cashier was “helping” slots/security by filling out their vouchers most of the time since she knew which machines players preferred.
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For those of you without a Player’s Club
• Cashier was short one day, and never called to find out why she was short o She had a history of being worried when she didn’t balance.
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For those of you without a Player’s Club
• Commission determined that she was short as a result of the theft, terminated her, and then told us about it. o They also mentioned to us that this cashier did substantially more match play vouchers than any other cashier.
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What we determined I thought the last story was long…. • The Cashier was filling out fraudulent 2 match play vouchers and moving money to a different part of her drawer, generally $100 at a time. o Money was folded up, dropped on the floor, and placed in the employee’s sock
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What we determined Policy Violations • This was a violation of the Casino policy. Only slots/security were supposed to complete the match play voucher.
• Patron required to sign a log as receiving the match play. o Signatures were forged by cage cashier
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Sharing the Wealth
• Enrolling friends into free play groups o Groups approved prior to use o Promotional logs audited after event o Random auditing of large FSP automatic uploads
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Scenario
• Player’s Club Rep at a Casino was typing in random player’s club numbers and looking for people who were not from the area and close to archiving (expiration) o Reactivated account o Reset the pin o Reprinted a card o Gave to bf who played the free play.
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How it was Identified
• Casino is fairly small, and surveillance was wondering why the player’s club rep was printing cards when no one was standing at their window.
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How to Correct
• Account reactivation, card reprints, new accounts, and PIN resets audited for fraud by a department separate from Player’s Club.
• Segregate permissions in Super Playmate, CMP, Patron Management, etc. to prohibit one employee from being able to do all functions.
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All in the Family
• Multiple patrons using one patron’s account to gain a higher card status
• Scan the floor for same club account used in multiple machines at the same time.
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Not so Common Sense?
• Abandoned (or lost) club cards used to steal free play
• Do not allow players to select certain PINs (Birth Year, 1234, etc.)
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Risky Business
• Patrons asking for PIN reset or reprint for another Patron
• Patrons must be present at the club window for a reprint or PIN reset
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Key Takeaways
• Include free play in your audits o Not just points because that’s what is required
• Base audits on regulatory requirements AND risk o Do what is required but add in additional risks to the Casino based on your internal policies and permissions.
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Detailed Audit Procedures Sheryl L. Ashley, CIA, CFE, CRFAC, RFI, FCPA, CPA Partner BlueBird, CPAs
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Analyzing What Happened After Fraud Is Found… • How did the fraud occur? • What controls failed? • What controls were overridden? • Why wasn’t the fraud detected earlier? • What red flags were missed by management? • What red flags did internal audit miss? • How can future frauds be prevented or more easily detected? • What controls need strengthening? • What internal audit plans and audit steps need to • be enhanced? • What additional training is needed?
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Understanding… Players’ Clubs To assist the internal auditor in understanding the Casino's club operations, the auditor should perform a walk-through of the operation with management and the employees who perform each function: • From the time the customer inserts his or her card into the machine to the final award payout. • To assess the risks and controls for the various transactions. • It also may be helpful for the auditor to take the information learned from this walk-through and document it in a flowchart for reference during audit planning.
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Understanding… Players’ Clubs • Are club and GM operations employees prohibited from participating? • How much play is required to earn one point or one comp dollar? • What is the value of one point?
• What are the rewards available to players? • What is the procedure for earning rewards?
• What are the procedures and controls for redeeming rewards? • What is the chain of custody for cash-back forms inventory?
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Understanding… Players’ Clubs • Given the audit objectives, what reports are available for management review and audit purposes? • What is the source of the information on the reports? • What controls are in place over system administration and system- parameter changes? • How are changes to system parameters authorized and reported? • What controls are in place to ensure system-parameter changes are valid and authorized?
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Understanding… Players’ Clubs • Which employees have system access to adjust, add, or delete points to an account? • What is the authorization and review process? • Are there access restrictions or levels for viewing and accessing online account information? • Does the system have the capability to show the exact source of transactions? • How are downloadable promotional credits controlled? • How are third-party technicians or service personnel supervised when accessing the system or GM machines?
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Understanding… Players’ Clubs • Unauthorized access or adjustments to dormant, test, and live customer accounts that result in the transfer of award credits to unauthorized accounts. • Extension of complimentary goods and services in excess of policy guidelines. • Computer systemmanipulations such as unauthorized changes to system parameters. • Unauthorized or inappropriate administrative rights, access rights to run customer-sensitive reports, or access rights to import data into common application programs that can be sorted and distributed for fraudulent usage. Understanding… Players’ Clubs • Computer systemmalfunctions, such as awarding unearned credits. • A poorly coordinated system for recording and paying awards for complimentary goods and services, resulting in tracking-system information that is not complete, accurate, and available in real time. • Seed-play manipulation, which is a fraudulent scheme in which a customer obtains a group of club cards on one account and places the cards in various machines so that when someone without a card plays the machine, the seed customer is credited with that play.
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Auditing… Players’ Clubs
• Performing a system query to identify employee addresses, phone numbers, and other data that may be in the GM club database under a name other than the employee. • Reviewing system activity change reports for improper transactions such as unusual name changes, social security number changes, and manual adjustments to award balances. For example, a name change from “Ashley, S." to “Member, A." would require further investigation and validation. • Evaluating the adequacy of the club's policy and procedures regarding controls over master-file changes and system administration controls for adding access authorization. • Validating the master-file or parameter changes in question. Close attention should be paid to accounts that have a material value as well as where the reward was earned prior to the master-file change.
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Auditing… Players’ Clubs • Determining whether change activity is authorized. • Determining whether only employees authorized by management have access rights to make adjustments. • Determining whether adjustments are adequately supported. • Determining whether transfers to dormant accounts are validated.
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Auditing… Players’ Clubs
• Establishing a "test" club account and test playing a sample of machines to the extent that bonus point activity will be awarded. Review system accuracy by recording critical GM meters for coin in, coin out, and number of games played before and after play to compare manually recorded data to what was captured on the system. In most jurisdictions, this test will require regulatory approval before beginning testing activities. • Selecting a random sample of active customer accounts to test the accuracy of point calculations. Test the various components individually — as opposed to recalculations based on a total — because they may be calculated differently. • Reviewing the computer rights report, which lists the functions an employee can access, for appropriate segregation of duties, unauthorized attempts to login, and unauthorized attempts to access menu options.
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Auditing… Players’ Clubs
• Reviewing the system-parameter change report for fields changed — the from/to data fields. Are changes made by authorized employees? Are such changes supported and approved? • Reviewing the controls and authorization process for downloading cashable/non- cashable credits to magnetically encoded cards. Are controls in place to preclude and detect unauthorized downloads, such as controls over physical storage, employee computer rights to download electronic credits to cards, and controls over unissued encoded cards? • Determining the adequacy of procedures used by management to verify download activity for errors and malfunctions. Ensure review procedures are in place, such as determining whether or not credits for comp awards can be cashed out and reviewing for multiple redemptions of the same card — the card number will appear twice on the redemption reports if there is a malfunction.
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Auditing… Players’ Clubs • Determining whether the rules of the club are clearly disclosed to the customer upon opening the account and whether or not rewards acquired through illegitimate means are invalid. • Reviewing GM machine event logs and meters for unusual transactions such as power-downs, excessive drop-door openings, etc. Investigate unusual activity. • Determining whether or not procedures are in place to mitigate the risk of seeding activity, such as policies governing the issuance of multiple cards and requiring government-issued photo identification for cashing out an account.
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Auditing… Players’ Clubs • Reviewing reports designed to disclose potential seeding activity to determine whether or not appropriate follow-up has been performed. Test activity as deemed necessary. • Reviewing a sample of customer accounts for the validity of comp awards. Do the point ratings support the comps extended? Test comp award calculations to determine the accuracy of the constants used to calculate theoretical wins. • Determining the validity of comps that were extended before or after a customer's in-house stay. For example, if a guest was staying in-house, validate comps received several days after hotel check out.
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Auditing… Players’ Clubs • Determining whether or not the system captures comp awards immediately when earned through system interfaces that provide real-time data. Validate this by settling test comps to determine when complimentary goods and services are posted to the test account. An alternate test is to calculate the time elapsed between the settlement of complimentary charges at the point of sale and the time the charges are posted to customer accounts using actual comp data. • Determining whether or not the casino has written procedures in place to address sufficient controls to mitigate club risks and making sure that personnel are trained to follow those procedures.
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Questions?
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5585 Kietzke Lane | Reno, NV 89511 Phone: 775.827.5999 | Fax: 775.827.2104 info@bluebirdcpas.com | www.bluebirdcpas.com Josh Peukert, CFE, CIA Junior Partner jpeukert@bluebirdcpas.com Thank you!
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Sheryl L. Ashley, Partner sashley@bluebirdcpas.com Thank you!
5585 Kietzke Lane | Reno, NV 89511 Phone: 775.827.5999 | Fax: 775.827.2104 info@bluebirdcpas.com | www.bluebirdcpas.com
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Human Resourcefulness Sheryl L. Ashley, CIA, CFE, CRFAC, RFI, FCPA, CPA Partner BlueBird, CPAs
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Common Law 4 Elements of Fraud
• A material false statement. • Knowledge that the statement was false when it was uttered. • Reliance of the victim on the false statement. • Damages resulting from the victim’s reliance on the false statement.
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Who Commits Fraud?
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Fraudsters’ Previous History
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Prior Disciplinary Action
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Behavioral Red Flags Displayed by Perpetrators
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Background Checks?
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Gender & Fraud Losses
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Perpetrator’s Gender
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Perpetrator’s Education Level
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Perpetrator’s Age
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How Long Employee Has Worked…
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Level of Losses
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What Departments?
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Do Fraudsters Work Together?
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Other Misconduct
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Human Resource Issues
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Red Flags
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Red Flags
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Red Flags
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Red Flags
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Punishment?
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Environment Affects Employees
o Tone from the Top o Integrity, ethical values, and competence of the entity’s people o Management’s philosophy and operating style, the way management assigns authority and responsibility, and organizes and develops its people o (Tribal Council, Gaming Commission, Casino Management, CFO, Controller, A/P & Payroll Supervisors)
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Weaknesses – Payroll • Stale Policies and Procedures – Timekeeping System & Payroll Preparation Policies, HR Policies, Payroll Distribution. • Training and Staff Development • PTO Authorization and Perpetual Tracking System • Inadequate Segregation of Duties (ARC-Authorization, Recording, Custody)- HR & Payroll Functions
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Fraud Inquiries – Payroll
Direct questions to the accounting, HR, payroll, and floor employees: • Any Known Fraud? • Undisclosed Benefits (car, insurance, personal expenses, credit cards, memberships and subscriptions, etc.) • Time Keeping Controls / Adjustments? • Wage Adjustments (Shift Differentials, OT, etc.)? • PTO Accruals & Reconciliation?
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Risk Assessment – Payroll Identified Risks (Example): • Overpayment Schemes (Hours, Rates, OT, etc.)
• Diverting Wages or Payroll Taxes • Voluntary Deduction Manipulation • Ghost Employees • Paycheck Theft • Employee Reimbursements & Travel
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Developing Tests – Payroll Vouching: • Compare employees frompayroll to personnel files • Trace hours and pay rates to approved time reports and wage authorizations / employment contracts. • Match voluntary insurance deductions to benefits received (Group Insurance Coverage) • Look for employees with no tax withholding forms, insurance elections, or other employee benefit elections or deductions. • Bonus calculation and authorizations • Verify SSN or Cross Reference Employee to Phone Directory (for meeting or discussion)
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Recent Frauds involve… • Attendant payouts • False cash-out tickets or recycling cash-out tickets • Contests/Promotions
• Cost can be millions in short period of time!
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Recent Frauds Defrauding Michigan Casinos of more than 100K • Posed as an elderly man,
• Obtained People’s Identities • Created False Driver’s Licenses
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Recent Frauds Defrauding California Casino of more than 2.9M • CFO and Tribal Administrator used • Credit Cards • Laundered money in Smokeshop • Unauthorized payroll distributions • Took funds fromChildren’s Christmas Fund
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Recent Frauds Defrauding Mississippi Casino of more than 10K
• Banquet Server • Cash Recycler
• Laundered money in Smoke shop • Unauthorized payroll distributions • Took funds fromChildren’s Christmas Fund
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Recent Frauds Defrauding South Carolina Casinos 390K • Paycheck Protection Program • Laundered Money
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Recent Frauds Defrauding Florida Internet Casino $???? • Jamming Devices • Printing Winning Tickets at the machines
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Recent Frauds Defrauding Florida Casino 5M • Tamper with Machines • Printing tickets at the machines • Video Supervisor / Boss / Two Techs
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Recent Frauds Defrauding Canadian Casino 275K • Tour packages • Inflated passenger counts
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Sheryl L. Ashley, Partner sashley@bluebirdcpas.com Thank you!
5585 Kietzke Lane | Reno, NV 89511 Phone: 775.827.5999 | Fax: 775.827.2104 info@bluebirdcpas.com | www.bluebirdcpas.com
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SITUATION AWARENESS FOR THE SURVEILLANCE Department
PRESENTED BY:
BILLY DAVID, OWNER BO-CO-PA & ASSOCIATES BILLY.DAVID90@GMAIL..COM
PH: 541-810-0700
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SITUATION AWARENESS: definition
u SITUATIONAL AWARENESS or SITUATION AWARENESS (SA) is the perception of environmental elements and events with respect to time or space, the comprehension of their meaning, and the projection of their status after some variable has changed, such as time, or some other variable, such as predetermined event.
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SITUATIONAL AWARENESS
u It is also a field of study concerned with understanding of the environment critical to decision-makers in complex, dynamic areas from aviation, air traffic control, ship navigation, power plant operations, military command and control, and emergency services such as fire fighting and policing; to more ordinary but nevertheless complex task such as driving an automobile or riding a bicycle.
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Situational awareness?
u As the world is continually changing so should are approach to how we
deploy training and training concepts to our departments.
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It makes perfect sense!
u Understanding situational awareness allows for our team to be more in control of a emergency or a JDLR
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u The formal definition of SA is broken down into three segments: perception of the elements in the environment, comprehension of the situation, and projection of future status. [
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How do we prepare? u Be aware of what is happening in the vicinity to understand how information, events, and one's own actions will impact goals and objectives, both immediately and in the near future.
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How do we prepare?
u One with an active sense of situation awareness generally has a high degree of knowledge with respect to inputs and outputs of a system, an innate "feel" for situations, people, and events that play out because of variables the subject can control.
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Get prepared
u Lacking or inadequate situation awareness has been identified as one of the primary factors in accidents attributed to human error. u Thus, situation awareness is especially important in work environments where the information flow can be quite high and poor decisions may lead to serious consequences
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Situational understanding
u Situation awareness is sometimes confused with the term "situational understanding. u " situational understanding refers to the "product of applying analysis and judgment to the unit's situation awareness to determine the relationships of the factors present and form logical conclusions concerning threats to the force or mission accomplishment, opportunities for mission accomplishment, and gaps in information". u Situational understanding is the same as Level 2 SA in the Endsley model—the comprehension of the meaning of the information as integrated with each other and in terms of the individual's goals. It is the "so what" of the data that is perceived. 11
Situational assessment
u Situation awareness is viewed as "a state of knowledge," and situational assessment as "the processes" used to achieve that knowledge.
u SA is not only produced by the processes of situational assessment, it also drives those same processes in a recurrent fashion. For example, one's current awareness can determine what one pays attention to next and how one interprets the information perceived.
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Mental models
u Accurate mental models are one of the prerequisites for achieving SA u A mental model can be described as a set of well- defined, highly organized yet dynamic knowledge structures developed over time from experience. u The volume of available data inherent in complex operational environments can overwhelm the capability of novice decision makers to attend, process, and integrate this information efficiently, resulting in information overload and negatively impacting their SA. u In contrast, experienced decision makers assess and interpret the current situation and select an appropriate action based on conceptual patterns stored in their long-term memory as "mental models". u Cues in the environment activate these mental models, which in turn guide their decision making process.
This Photo by Unknown Author is licensedunder CCBY-SA
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Sensemaking
u Sensemaking is
viewed more as "a motivated, continuous effort to understand connections (which can be among people, places, and events) in order to anticipate their trajectories
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Theoretical model: Sa descriptions
u Objects u Frames u Event horizon u Shared SA u Task SA u Transactive SA u Buffering SA
usually focus on one of the three aspects, or on combinations. SA states can be described as:
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Objects
Awareness of various objects in the world, and their current status. Objects and their status may be indicative of particular situations (that they are about to occur, that they are ongoing, etc.). Then they are often referred to as cues.
Examples in the Casino?
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Implications
Awareness of objects within frames, of what their current status means in a particular situation. E.g. the implications of the current speed of the aircraft, and the distance to an object on the runway, in a runway incursion situation.
The implications refer to time and space, to an event horizon.
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u An awareness of plans and events in time and space. It includes an awareness of what has happened (useful for diagnosis, to achieve SA, to frame situations). It also includes prognosis, an awareness of what might happen next. That includes on the one hand an awareness both of what might occur based on diagnosis and the current situation, and on the other hand on an awareness of current plans and intentions.
Event horizon
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Endsley's model
u The SA states framework above extends an older (but simpler), theoretical framework of SA, provided by Dr. Mica Endsley (1995b), which has historically been widely used. Endsley's model describes SA states and illustrates three stages or steps of SA formation: perception, comprehension, and projection.
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u The first step in achieving SA is to perceive the status, attributes, and dynamics of relevant elements in the environment. Thus, Level 1 SA, the most basic level of SA, involves the processes of monitoring, cue detection, and simple recognition, which lead to an awareness of multiple situational elements (objects, events, people, systems, environmental factors) and their current states (locations, conditions, modes, actions).
Perception (Level 1 SA)
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Comprehension (Level 2 SA)
u The next step in SA formation involves a synthesis of disjointed Level 1 SA elements through the processes of pattern recognition, interpretation, and evaluation. Level 2 SA requires integrating this information to understand how it will impact upon the individual's goals and objectives. This includes developing a comprehensive picture of the world, or of that portion of the world of concern to the individual.
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Projection (Level 3 SA)
u The third and highest level of SA involves the ability to project the future actions of the elements in the environment. Level 3 SA is achieved through knowledge of the status and dynamics of the elements and comprehension of the situation (Levels 1 and 2 SA), and then extrapolating this information forward in time to determine how it will affect future states of the operational environment.
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Endsley's model
u Endsley's model of SA also illustrates several variables that can influence the development and maintenance of SA, including individual, task, and environmental factors. For example, individuals vary in their ability to acquire SA; thus, simply providing the same system and training will not ensure similar SA across different individuals. Endsley's model shows how SA "provides the primary basis for subsequent decision making and performance in the operation of complex, dynamic systems" (Endsley, 1995a, p. 65). Although alone it cannot guarantee successful decision making, SA does support the necessary input processes (e.g., cue recognition, situation assessment, prediction) upon which good decisions are based (Artman, 2000).
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Endsley's model
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A also involves both a temporal and a spatial component. Time is an important concept in SA, as SA is a dynamic construct, changing at a tempo dictated by the actions of individuals, task characteristics, and the surrounding environment. As new inputs enter the system, the individual incorporates them into this mental representation, making changes as necessary in plans and actions in order to achieve the desired goals.
SA also involves spatial knowledge about the activities and events occurring in a specific location of interest to the individual.
Concept of SA includes perception, comprehension, and projection of situational information, as well as temporal and spatial components.
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In summary, the model consists of several key factors:
u Perception, comprehension, and projection as three levels of SA, u The role of goals and goal directed processing in directing attention and interpreting the significance of perceived information, u The role of information salience in "grabbing" attention in a data-driven fashion, and the importance of alternating goal-driven and data-driven processing, u The role of expectations (fed by the current
model of the situation and by long-term memory stores) in directing attention and interpreting information,
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In summary, the model consists of several key factors:
The heavy demands on limited workingmemory restricting SA for novices and for those in novel situations, but the tremendous advantages of mental models and pattern matching to prototypical schema that largely circumvent these limits,
The use of mental models for providing ameans for integrating different bits of information and comprehending its meaning (relevant to goals) and for allowing people tomake useful projections of likely future events and states,
Pattern matching to schema—prototypical states of the mental model—that provides rapid retrieval of comprehension and projection relevant to the recognized situation and in many cases single-step retrieval of appropriate actions for the situation.
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How do we apply this to us? discussion
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In many systems and organizations, people work not just as individuals, but as members of a team.
It is necessary to consider the SA of not just individual team members, but also the SA of the team as a whole. To begin to understand what is needed for SA within teams, it is first necessary to clearly define what constitutes a team.
In team operations
A team is not just any group of individuals; rather teams have a few defining characteristics. As defined by Salas et al. (1992), a team is:
"a distinguishable set of two or more people who interact dynamically, interdependently and adaptively toward a common and valued goal/objective/mission, who have each been assigned specific roles or functions to perform, and who have a limited life span of membership."
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Team SA
u Team SA is defined as " the degree to which every team member possesses the SA required for his or her responsibilities " (Endsley, 1995b, p. 39; see also Endsley, 1989). u The success or failure of a team depends on the success or failure of each of its team members. If any one of the team members has poor SA, it can lead to a critical error in performance that can undermine the success of the entire team. u By this definition, each team member needs to have a high level of SA on those factors that are relevant for his or her job . It is not sufficient for one member of the team to be aware of critical information if the team member who needs that information is not aware. u In a team, each member has a subgoal pertinent to his/her specific role that feeds into the overall team goal. Associated with each member's subgoal are a set of SA elements about which he/she is concerned.
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Team SA model
u The situation awareness of the team as a whole, therefore, is dependent upon both u (1) a high level of SA among individual team members for the aspects of the situation necessary for their job; and
u (2) a high level of shared SA between team members, providing an accurate common operating picture of those aspects of the situation common to the needs of each member (Endsley & Jones, 2001). Endsley and Jones (1997; 2001) describe a model of team situation awareness as a means of conceptualizing how teams develop high levels of shared SA across members. Each of these four factors—requirements, devices, mechanisms and processes—act to help build team and shared SA.
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1. Team SA requirements – the degree to which the team members know which information needs to be shared, including their higher level assessments and projections (which are usually not otherwise available to fellow team members), and information on team members' task status and current capabilities. 2. Team SA devices – the devices available for sharing this information, which can include direct communication (both verbal and non-verbal), shared displays (e.g., visual or audio displays, or tactile devices), or a shared environment. As non-verbal communication, such as gestures and display of local artifacts, and a shared environment are usually not available in distributed teams, this places far more emphasis on verbal communication and communication technologies for creating shared information displays.
Team SA model
3. Team SA mechanisms – the degree to which team members possess mechanisms, such as shared mental models, which support their ability to interpret information in the same way and make accurate projections regarding each other's actions. The possession of shared mental models can greatly facilitate communication and coordination in team settings.
4. Team SA processes – the degree to which team members engage in effective processes for sharing SA information which may include a group norm of questioning assumptions, checking each other for conflicting information or perceptions, setting up coordination and prioritization of tasks, and establishing contingency planning among others.
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In time critical decision-making processes
u This approach of integrating situation awareness, workload, signal processing theory, decision theory, etc. tends to subtly change the questions that are asked during the analysis process from quantifying and qualifying the SA to measures of the probabilistic aspects of a decision, such as the number of interrelationships, the certainty and time-lag of the information arriving, risk to desired outcome or effect, etc., together with the processing aspects, to do with the number of signals, accuracy and completeness of the information and importance to the operational context.
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Measurement
While the SA construct has been widely researched, the multivariate nature of SA poses a considerable challenge to its quantification andmeasurement (for a detailed discussion on SAmeasurement, see Endsley &Garland, 2000; Fracker, 1991a; 1991b).
In general, techniques vary in terms of direct measurement of SA (e.g., objective real-time probes or subjective questionnaires assessing perceived SA) or methods that infer SA based on operator behavior or performance.
Direct measures are typically considered to be "product-oriented" in that these techniques assess an SA outcome; inferredmeasures are considered to be "process-oriented," focusing on the underlying processes or mechanisms required to achieve SA (Graham&Matthews, 2000).
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Objective measures
u Objective measures directly assess SA by comparing an individual's perceptions of the situation or environment to some "ground truth" reality. Specifically, objective measures collect data from the individual on his or her perceptions of the situation and compare them to what is actually happening to score the accuracy of their SA at a given moment in time.
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Performance and behavioral measures
Performance measures "infer" SA from the end result (i.e., task performance outcomes), based on the assumption that better performance indicates better SA. Common performance metrics include quantity of output or productivity level, time to perform the task or respond to an event, and the accuracy of the response or, conversely, the number of errors committed. Behavioral measures also "infer" SA from the actions that individuals choose to take, based on the assumption that good actions will follow from good SA and vice versa. Behavioral measures rely primarily on observer ratings, and are, thus, somewhat subjective in nature.
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Process indices
u Process indices examine how individuals process information in their environment, such as by analyzing communication patterns between teammembers or using eye tracking devices. Team communication (particularly verbal communication) supports the knowledge building and information processing that leads to SA construction (Endsley & Jones, 1997). u Psycho-physiological measures also serve as process indices of operator SA by providing an assessment of the relationship between human performance and a corrected change in the operator's physiology (e.g., French, Clark, Pomeroy, Seymour, & Clarke, 2007). In other words, cognitive activity is associated with changes in the operator's physiological states.
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Multi-faceted approach to measurement
u The multivariate nature of SA significantly complicates its quantification and
measurement, as it is conceivable that a metric may only tap into one aspect of the operator's SA. Such a multi-faced approach to SA measurement capitalizes on the strengths of each measure while minimizing the limitations inherent in each.
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Training
u This situation awareness training aims to avoid losing SA and provide pilots cognitive resources to always operate below the maximum workload that they can withstand. u This provides not only a lower probability of incidents and accidents by human factors, but the hours of operation are at their optimum efficiency, extending the operating life of systems and operators.
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Law enforcement
On-the-job examples
u
u Law enforcement training includes being situationally aware of what is going on around the police officer before, during, and after interactions with the general public while also being fully aware of what is happening around the officer in areas not currently the focus of an officer's immediate task. u In the law enforcement context, situation awareness involves keeping eyes and ears open and evaluating what is happening on the way to a specific task, remaining fully aware of one's surroundings during the commission of a task, and retaining one's awareness when exiting a specific task. Situational awareness in a law enforcement setting seeks to ensure that a police officer does not become focused and engrossed on a specific task or problem to the exclusion of being aware of approaching potential hazards or to the exclusion of being aware of other tasks of higher priority. Situational awareness is a 24/7 process and policy laid down in officer training.
Cybersecurity threat operations
u
u In cybersecurity, consider situational awareness, for threat operations, is being able to perceive threat activity and vulnerability in context so that the following can be actively defended: data, information, knowledge, and wisdom from compromise. Situational awareness is achieved by developing and using solutions that often consume data and information from many different sources. Technology and algorithms are then used to apply knowledge and wisdom in order to discern patterns of behavior that point to possible, probable, and real threats. u Situational awareness for cybersecurity threat operations teams appears in the form of a condensed, enriched, often graphical, prioritized, and easily searchable view of systems that are inside or related to security areas of responsibility (such as corporate networks or those used for national security interests). Different studies have analyzed the perception of security and privacy in the context of eHealth, network security, or using collaborative approaches to improve the awareness of users.
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u Crowdsourcing, made possible by the rise of social media and ubiquitous mobile access has a potential for considerably enhancing situation awareness of both, responsible authorities and citizens themselves for emergency and crisis situations by employing or using "citizens as sensors". For instance, analysis of content posted on online social media like Facebook and Twitter using data mining, machine learning and natural language processing techniques may provide situational information. u A crowdsourcing approach to sensing, particularly in crisis situations, has been referred to as 'crowdsensing'. Crowdmapping is a subtype of crowdsourcing by which aggregation of crowd-generated inputs such as captured communications and social media feeds are combined with geographic to create a digital map that is as up-to-date as possible [ that can improve situational awareness during an incident and be used to support incident response.
Methods of gaining situational awareness
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u 1. Not Monitoring the Baseline. If you are not monitoring the baseline, you will not recognize the presence of predators that cause a disturbance u 2. Normalcy Bias. Even though we may sense a concentric ring that could be alerting us of danger, many times we will ignore the alert due to the desire for it NOT to be a danger. u 3. The third interrupter of awareness is what we define as a Focus Lock. This is some form of distraction that is so engaging, that it focuses all of our awareness on one thing and by default, blocks all the other stimulus in our environment..
Three Obstacles in Situational Awareness
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Three Effective Techniques
u 1. Monitor the Baseline. At first, this will require conscious effort. But after a while, I find that I can monitor the baseline subconsciously. u 2. Fight Normalcy Bias. This requires you to be paranoid for a while as you develop your ability. Look at every disturbance to the baseline as a potential threat. This will allow you to stop ignoring or discounting concentric rings and begin making assessments of the actual risk. But as you learn, people will think you are jumpy or paranoid. That is OK. It’s a skill that will save your life or protect your property. u 3. Avoid using the obvious focus locks in transition areas. It is ok to text while you are sitting at your desk or laying in bed. But it’s NOT ok to text as you walk from your office to the parking garage. u Any time you’re drawn to a concentric ring event, do a quick assessment of that ring, then stop looking at it (the event) and scan the rest of your environment to see what you’re missing. u Developing awareness is a skill. At first it will seem very awkward and self-conscious, but with practice, it will become seamless and subconscious. You will start to pick up on more and more subtle rings of disturbance and more complex stimuli. Eventually, people may think you are psychic as they notice how you seem to sense events before they unfold.
to Stay Aware
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u Perceive. Process. Plan. Perform. u The first step is to perceive . You must not only look around you, but you must see what is around you and then process what you’ve seen. What does the information you perceive tell you in relation to the context of your environment? Establish the baseline and determine if there is an anomaly. The plan is the decision to act based on the processing . On a deeper level, the plan is also the pre-event training and practice that anyone who carries a concealed weapon should be doing on a regular basis. The last step is to perform the plan. Whether you decide to run, fight, or call the cavalry, you can do nothing until you are aware that you need to do something.
The Four P’s: By Rich Nable
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