1 Table of contents 241

12121423 - Level II Training Book

Level II Cover		1
A. Agenda		2
B. Licensing Key Employees		3
Slide 1: Licensing		3
Slide 2: Licensing authority:		4
Slide 3: your documents		5
Slide 4		6
Slide 5: Other Governmental Agencies		7
Slide 6: Enforcement:		8
Slide 7: Licensing: Scope of Authority		9
Slide 8: Governing documents: IGRA		10
Slide 9: Licensing: IGRA		11
Slide 10: IGRA REQUIREMENTS		12
Slide 11: Igra requirements		13
Slide 12: Igra requirements		14
Slide 13: Igra requirements: Application process		15
Slide 14: Igra licensing requirements		16
Slide 15: Igra licensing requirements		17
Slide 16: Igra licensing requirements		18
Slide 17: Igra licensing requirements		19
Slide 18: Igra licensing requirements		20
Slide 19: Igra licensing requirements		21
Slide 20: TRIBAL-STATE PROTOCOLS FOR LICENSING pmo and keys		22
Slide 21: Compact licensing similarities		23
Slide 22: Gaming Ordinance and Regulations. EXAMPLE ONLY		24
Slide 23: EXAMPLE Summary of Licensing Principles		25
Slide 24: Financial Sources		26
Slide 25: Processing Tribal Gaming License Applications		27
Slide 26: Suitability Standard Regarding Gaming Licenses.		28
Slide 27: Tribal ordinance: licensing requirements		29
Slide 28: GAMING ORDINANCE		30
Slide 29: Gaming Commission; Establishment, Administration and Powers		31
Slide 30: Licenses for Key Employees and Primary Management Officials		32
Slide 31: Licenses for Key Employees and Primary Management Officials		33
Slide 32: Licenses for Key Employees and Primary Management Officials		34
Slide 33: TRIBAL GAMING COMMISSION RULES AND REGULATIONS		35
Slide 34: TRIBAL GAMING COMMISSION RULES AND REGULATIONS		36
Slide 35: TRIBAL GAMING COMMISSION RULES AND REGULATIONS		37
Slide 36: TRIBAL GAMING COMMISSION RULES AND REGULATIONS		38
Slide 37: TRIBAL GAMING COMMISSION RULES AND REGULATIONS		39
Slide 38: TRIBAL GAMING COMMISSION RULES AND REGULATIONS		40
Slide 39: TRIBAL GAMING COMMISSION RULES AND REGULATIONS		41
Slide 40: Similarities between the governing docs		42
Slide 41: Similarities		43
Slide 42: Everything starts with licensing		44
Slide 43: Tools of the Trade		45
Slide 44: Purpose and Reason of licensing		46
Slide 45: Case study		47
Slide 46: Case study		48
Slide 47: Case study		49
Slide 48: Case study		50
Slide 49: Case study		51
Slide 50: When should I exercise my licensing authority		52
Slide 51: With great power comes great responsibility		53
Slide 52: Questions????		54
C. Licensing - Vendors & Facilities		55
Slide 1: Facility Licensing		55
Slide 2: Codified in the Federal Process		56
Slide 3: The National Indian Gaming Commission published Facility License Standards in the Federal Register. The Facility Licenses Standards become effective on March 3, 2008, and require tribes to periodically license their gaming facilities and to ident		57
Slide 4: When should I submit a facility license to NIGC?		58
Slide 5: How often must the Tribe renew its facility license?		59
Slide 6: What lands information is required for a new gaming facility?		60
Slide 7: Where do I submit my facility license?		61
Slide 8: What information is required to show that a tribe has identified the laws applicable to its gaming facility? Do tribes need to submit copies of the applicable laws?		62
Slide 9: What kind of submissions do you expect?		63
Slide 10: What if while licensing a facility, I learn that my tribe is not in complete compliance with all its environmental, public health and safety laws?		64
Slide 11: What information must be provided to the NIGC if a change of status occurs at a gaming facility (i.e., a facility closes, or its license is terminated or not renewed)?		65
Slide 12: What information must be provided to the NIGC if a change of status occurs at a gaming facility (i.e., a facility closes, or its license is terminated or not renewed)?		66
Slide 13: What information must be provided to the NIGC in the event of a closure or reopening?		67
Slide 14: What actions may the NIGC take if a Tribe is found to be out of compliance with the Facility License Standards?		68
Slide 15: How does a tribe determine whether a nearby building is a separate "facility" requiring its own license?		69
Slide 16: Is a facility license required for those locations where the extent of the gaming is a few machines in a mini-mart or gas station?		70
Slide 17: Is notification required for expansion of an existing gaming facility?		71
Slide 18: BIG RESPONSIBILITY		72
Slide 19: Additional information on the attestation		73
Slide 20		74
Slide 21		75
Slide 22: And finally		76
Slide 23: Discussion		77
Slide 24: Vendor licensing		78
Slide 25: Does your tribe require you background/license vendors?		79
Slide 26: licensees		80
Slide 27: Governing documents: IGRA		81
Slide 28: Vendor Licensing: Gaming		82
Slide 29: Vendors: Gaming		83
Slide 30: Non-gaming vendors		84
Slide 31: Non-gaming vendors		85
Slide 32: Why perform investigations or licensee vendors?		86
Slide 33: Licensing gaming vendors		87
Slide 34: Licensing processes for gaming vendors		88
Slide 35: GAMING VENDOR PROCESSES		89
Slide 36: Gaming vendor investigation		90
Slide 37: Gaming vendors:		91
Slide 38: Gaming vendors		92
Slide 39: Non-gaming vendors		93
Slide 40: Non-gaming vendors		94
Slide 41: Non-gaming vendors		95
Slide 42: Non-gaming vendor		96
Slide 43: Non-gaming vendors: who are they?		97
Slide 44: Non-gaming vendors		98
Slide 45: Non-gaming vendors		99
Slide 46: What are licensing obstacles?		100
Slide 47: obstacles when licensing vendors: gaming and non-gaming		101
Slide 48: Questions?		102
Slide 49: Thank you!		103
D. Employment Issues for Regulators		104
E. Journey of Submission		122
F. Internal Auditing - What's Required		129
G. Financial Controls & Accounting Standards		149
H. Tribal Sovereign Immunity and The Gaming Regulator		178
I. Effective Regulatory Writing		190-191
J. Creating a New Approach to Surviellence		222
K. Surveillance Cheats & Scams		232

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