Dec 11 - 13 , 201 9 NY/NY Hotel & Casino
Las Vegas , N evada
NIGA Seminar Institute Commissioner Certification Training
NATIONAL INDIAN GAMING ASSOCIATION
LEVEL II AGENDA December 11-13, 2019 NYNY, Las Vegas, Nevada
Wednesday, December 11
8:00 AM 9:00 AM
Breakfast to be provided
Journey of Submission Peter Nikiper, Director of Technical Compliance, BMM Test Labs
9:00 AM 10:30 AM
10:30 AM 10:45 AM
Break
Employment Issues for Regulators Charlene Jackson, Jackson Law
10:45 AM 12:15 PM
12:15 PM 1:15 PM
Lunch Break
Licensing: Vendors & Facilities Billy David, Bo-Co-Pa & Associates
1:15 PM 2:45 PM
2:45 PM 3:00 PM
Break
Licensing: Key Employees & Primary Officials Billy David, Bo-Co-Pa & Associates Thursday, December 12
3:00 PM 4:30 PM
8:00 AM 9:00 AM
Breakfast to be provided Effective Regulatory Writing Liz Homer, Homer Law
9:00 AM 10:30 AM
10:30 AM 10:45 AM
Break
Tribal Sovereign Immunity and The Gaming Regulator Liz Homer, Homer Law
10:45 AM 12:15 PM
12:15 PM 1:15 PM
Lunch Break
Internal Auditing-What's Required & How it Should Be Approached Sheryl Ashley, Director of Risk Consulting, Blue Bird CPA's
1:15 PM 2:45 PM
2:45 PM 3:00 PM
Break
Financial Controls & Accounting Standards Sheryl Ashley, Director of Risk Consulting, Blue Bird CPA's Friday, December 13
3:00 PM 4:30 PM
8:00 AM 9:00 AM
Breakfast to be provided
Roles of Surveillance Cheats & Scams George Joseph, Worldwide Casino Consulting, Inc.
9:00 AM 10:30 AM
10:30 AM 10:45 AM
Break
Roles of Surveillance Cheats & Scams George Joseph, Worldwide Casino Consulting, Inc .
10:45 AM 12:15 PM
Please plan to stay for the entire class on each day to get your certificate of completion. Please be on time for sessions
Journey of Submission What happens when a gaming machine is sent to a gaming test lab? February 15, 2017
company confidential
Different laboratories… Do different testing.
Electrical
Safety
Gaming
And many more…
company confidential
General Process
Manufacturersubmits to a lab
The lab tests according to requested standards
The lab issues a report
The TGRA makesa finding basedon the report
company confidential
Submission to the lab 25 CFR 547.5 (c) Submission, testing, and approval – generally. Except as provided in paragraph (b) and (d) of this section, a TGRA may not permit the use of any Class II gaming system, or any associated cashless system or voucher system or any modification thereto, in a tribal gaming operation unless: …
company confidential
Submission to the lab (1) The Class II gaming system, cashless system, voucher system, or modification thereto has been submitted to a testing laboratory;
company confidential
Submission to the lab What does the lab need?
Hardware including peripherals, i.e. BV, printers
Submission letter
Math
Software
Servers
company confidential
Testing (2) The testing laboratory tests the submission to the standards established by: (i) This part; (ii) Any applicable provisions of part 543 of this chapter that are testable by the testing laboratory; and (iii) The TGRA ;
company confidential
Testing Scope of work / Submission management • Each submission is entered into a project tracking system • Kick off meeting – Engineersare assigned to the project
– Resources assigned – Timelineestablished – Any foreseen compliance issues
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Testing Random Number Generators (RNGs) • Source code review • Algorithm implementation • Samples • Analysis against Die-Hard battery
company confidential
Testing
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Testing Math Analysis • Review all combinations / patterns (wins & losses) • Calculate the game cycle • Calculate the game volatility • Calculate the RTP / hold or edge • Calculate the top award odds • Compare with manufacturers math • Emulate combinations on device and verify payouts
company confidential
Testing Functional testing
• Generate list of test scripts to be used • Based on Part 547 & 543 for Class II • Based on GLI-11/NV for Class III • Additional tests based on location or tribe the device will go to.
company confidential
Results of Testing (3) The testing laboratory provides a formal written report to the party making the submission, setting forth and certifying its findings and conclusions, and noting compliance with any standard established by the TGRA pursuant to paragraph (c)(2)(iii) of this section;
company confidential
Results of Testing (4) The testing laboratory’s written report confirms that the operation of a player interface prototype has been certified that it will not be compromised or affected by electrostatic discharge, liquid spills, electromagnetic interference, radio frequency interference, or any other tests required by the TGRA;
company confidential
Results If everything works • Technical reviews of the testing • A draft report is generated
• A regulator and/or client review of the report • Final report issued to both regulator and client
company confidential
Results What happens if issues were found during testing? • Document the problem(s) • Steps to reproduce and/or show frequency • Assign a severity (Low to High) • Resubmission or withdrawal of the submission
company confidential
Final part of a submission (5) Following receipt of the testing laboratory’s report, the TGRA makes a finding that the Class II gaming system, cashless system, or voucher system conforms to the standards established by: (i) This part; (ii) Any applicable provisions of part 543; and (iii) The TGRA.
company confidential
Key Items for Class II • Bingo Patterns • Ball Draw Process • Bingo card distribution / generation • Minimum number of players • Game Ending Pattern • Bingo game type • Disclaimers
company confidential
Key Items for Class III • RNG Review & Analysis • Game Determination
• Game Play • Accounting • Game Recall • Emulation • Security
company confidential
12/3/19
Employment Issues and Gaming Regulators
NIGA Level II Commissioner Training
Charlene D. Jackson
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Objective Generalized overview of employment law Things to consider ◦Jurisdiction ◦Applicability of law ◦Interpretation ◦Regulatory authority Law cannot be read in a vacuum
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Scenario: Edward Employee Edward Employee – resign or be terminated Card dealer, required to stand for long periods of time
Reasonable accommodation requested and granted on paper but not implemented; required to resume normal duties, HR complaint Routine drug test - failed Reinjured back at work; ambulance transported, hospitalized and missed work Resign or be terminated – NC/NS; failed drug test – impact gaming license He says terminated because of union activity
Long term employee and union rep; currently working on increasing wages Hurt on the job when he picked up something heavy Medical care; off work; return to work with limitations and on pain medication Workmen’s compensation paperwork not submitted
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Reading the Law – Important Considerations Mandatory versus Discretionary Terms ◦ Must and shall ◦ May and can Qualifiers ◦ Notwithstanding ◦ Except ◦ Provided, however ◦ Commas ◦ And/or Legislative Intent Definitions
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Some Examples Fry Bread: Combine flour, salt and baking powder Combine flour, salt or baking powder The power of the comma:
Qualifying language: “That’s not something I’m expecting.” “That’s not something I’m expecting right now.”
Let’s eat Grandma! Let’s eat, Grandma!
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Companion Reading Constitution ◦ Bill of Rights, Civil Rights, Indian Civil Rights, Tribal Constitutions Treaties Law ◦ Applicable federal law: IGRA and employment laws ◦ Applicable state law ◦ Tribal Codes and Ordinances, including the Gaming Ordinance Case Law Regulatory Agencies and Decisions Administrative and Human Resource Policies Gaming Compacts including Appendices
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Relevant Question: Jurisdiction? Tribal? State? Federal? Regulatory Agency? Concurrent? *Do not assume tribal only jurisdiction Specific applicability
Applicability by terms of a different law, agreement, regulation or policy Interpreted applicability by case law and/or action or facts *Do not assume only tribal law applies *Do not assume state law doesn’t apply
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But I’m a Regulator – I Don’t Need to Know this “HR Stuff” Overlap between HR Issues and Regulatory Issues
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◦ HR – Suitability for employment and job performance within policy (operational) ◦ Commission – Threat to public interest; regulation of gaming; creation of unfair or illegal practices in conduct of gaming (Regulatory) Stay in your lane – but understand your lanes will overlap or cross Awareness is critical
TRIBAL COURT INDIAN COUNTRY, USA
EDWARD EMPLOYEE, Plaintiff, vs.
Case No.: TC-CV-2017-876
COMPLAINT
TRIBAL CASINO, TRIBAL CASINO CEO, in his individual and as CEO, TRIBAL GAMING BOARD MEMBERS and DEFENDANTS 1-6, unnamed spouses in their professional and individual capacities, TRIBAL GAMING COMMISSIONER and DEFEDANTS 7-14, unnamed spouses, in their professional and individual capacities. Defendant
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COMPLAINT - 1
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Federal Employment Laws
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Applicability to Tribes – The General Rule General statutes by their own terms “applying to all persons” includes Tribes and their “property interests.” ◦ Federal Power Commission v. Tuscarora Indian Nation, 362 U.S. 99 (1960) Exceptions: ◦ Exclusive rights of self governance - intramural matters ◦ Application of the law abrogates treaty rights ◦ Proof that Congress intended the law not to apply ◦ Donovan v. Coeur d’ Alene Tribal Farms , 751 F.2d 1113, 1116 (9 th Cir. 1985)
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Title VII of the Civil Rights Act of 1964 42 U.S.C. §§ 2000e – 2000e-17 (2000); Executive Order 11246 Prohibits discrimination due to race, color, religion, gender or national origin Applies to employers with 15+ employees for each working day in 20+ calendar weeks Excludes US, corporations owned by US or Indian Tribes . However, exemption does not extend to enterprises with mixed ownership (Tribe and non-Indian owner) ◦ Myrick v. Devils Lake Sioux Manufacturing Corp ., 718 F. Supp. 753 (D.N.D. 1989)
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Indian Preference Under Title VII Indian preference in hiring is expressly permitted for employers on or near reservations Exceptions: ◦ No preference for members of a particular tribe over other tribes ◦ Dawavendewa v. Salt River Project Agricultural Improvement Power Dist ., 154 Fed.3d 117 (9 th Cir. 1998), See also Dawavendewa v. Salt River Project , 276 F.3d 1150 (9 th Cir 2001) ◦ Note: SRP is not a tribally owned corporation
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Age Discrimination in Employment Act 29 U.S.C. §§ 621-634 (2000) Prohibits discrimination on basis of age Employees/applicants protected if over 40 Liability may be avoided if employer can show bona fide occupational qualification requiring an employee to be younger Silent on applicability to tribes
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Case Law ADEA applies to the tribe “in its capacity as proprietor” of bingo facility, at least when claimant is not a tribal member. ◦ EEOC v. Forest County Potawatomi Community , No. 2:2013mc00061 (E.D. Wis. 2014) ADEA does not apply when dispute ◦ Involves treaty rights ◦ EEOC v. Cherokee Nation , 971 F.2d 937 (10 th Cir. 1989) ◦ Intramural affairs ◦ EEOC v. Fond du Lac Heavy Equipment and Construction Co. , 986 F.2d 246 (8 th Cir. 1993) ◦ EEOC v. Karuk Tribe Housing Authority , 260 F.3d 1071 (9 th Cir. 2001)
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Americans with Disabilities Act of 1990 42 U.S.C. § 12101 et. seq. National mandate with enforceable standards for elimination of discrimination against individuals with disabilities Federal enforcement Invoke congressional authority, including the power of the 14 th Amendment and to regulate commerce to address discrimination Disability specifically defined term
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Nondiscrimination Title I : Employment opportunities and requires reasonable accommodations for employers with 15+ employees ◦ Excludes: US, corporations owned by US or Indian tribes Title II: State and local government - equal opportunity to benefit from programs, services and activities ◦ No mention of tribes but tribal sovereignty may exempt tribes Title III: Public accommodations and commercial facilities that prohibit exclusion, segregation or unequal treatment ◦ Can apply to public accommodations run by a tribe, but cannot be enforced by private person against tribe in non-Indian forum due to sovereign immunity. However compliance can be compelled by US Attorney General. Florida Paraplegic Assoc. v. Miccosukee Tribe of Indians of Florida, 166 F.3d 1126 (11 th Cir. 1999)
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Fair Labor Standards Act 29 U.S.C. §§ 201-219 (2000 and 2016) Standards for minimum wages and terms of payment for overtime No specific mention of tribes 2016 Amendments ◦ Increases minimum salary levels necessary for an employee to be classified as exempt ◦ Rises the highly compensated employee threshold ◦ Automatic updates every 3 years ◦ Effective December 1, 2016
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FLSA Case Law LEO not entitled to protections because tribal law enforcement is traditional governmental function. ◦ Snyder v. Navajo Nation , 371 F.3d 658 (9 th Cir. 2004)
In a case involving tribal consortium to protect native game and fishing rights, the court opted not to apply FLSA as a matter of comity and sovereignty because FLSA would not apply to state or local governments. However, government employees exercising powers of tribal government are exempt from FLSA. ◦ Reich v. Great Lakes Indian Fish and Wildlife Commission, 4 F3d 490 (7 th Cir. 1993)
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More FLSA Case Law FLSA applies to business operated on tribal land and owned by tribal member. ◦ Chao v. Matheson , 2007-WL-1830738, No. C-06-5361 (W.D. Wash., June 25, 2007)
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National Labor Relations Act 29 U.S.C. §§ 141-187 (2000) Authorizes employees to form unions for collective bargaining and engaging in “protected concerted activity” Prohibits employers from prohibiting exercise of rights or engaging in conduct that may have a “chilling effect” Applies to employers with $50,000 in annual business Applies to private employers operating on or near reservations No express applicability or exemption for tribal governments but does exempt the US
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Protected Concerted Activity 2+ people acting together to improve working conditions or wages; also 1 person if
Excludes reckless or malicious behavior – sabotaging equipment, lies about a product, revealing trade secrets may cause action to lose protection May also exclude “hate speech”
he/she involves others before acting or acts on behalf of others Does not require union membership
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Some Examples Social media comments Sharing own confidential information, including wages, corrective actions, etc. Rules restricting criticism of management Rules requiring employees to be respectful or that prohibit an employee from poking fun, denigrate or defame co-works and others Rules prohibiting resistance to proper work related orders or discipline, even though not overt insubordination
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Tribal Challenges Tribal law prohibiting union membership as a condition of employment did not violate NLRA. It is an exercise of sovereign authority of tribe to govern its own territory. ◦ National Labor Relations Board v. Pueblo of San Juan , 276 F.3d 1187 (10 th Cir. 2002) NLRA applies to casino wholly owned and operated by tribe on tribal reservation because the operation of a casino is not an exercise of self-governance or a governmental function. ◦ San Manuel Indian Bingo and Casino v. NL RB, 475 F.3d 1306 (D.C.Cir. Feb. 2007), reh’g en banc denied (D.C. Cir. June 8, 2007)
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NLRA v. Little River Band of Ottawa Indians, No. 14-2239, (6 th Cir. June 9, 2015) Facts: Tribe operates casino under IGRA. Tribe enacted tribal law giving the tribe authority over collective bargaining, including prohibition over certain topics and banned strike activity. NLRB found the tribal law violated the NLRA and issued a cease and desist order. The tribe challenged jurisdiction on basis of sovereignty. 6 th Circuit affirmed the NLRB jurisdiction.
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Reasoning and Current Status Court found the the NLRA is a law of general applicability, that no treaty rights were involved, the issue was not one of internal self governance and affirmed NLRB jurisdiction. Petition for Writ of Certiorari denied without reasoning at same time a similar petition involving Saginaw Chippewa was denied
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Far Reaching Effects Year end bonuses for labor members reduced without notice violated NLRA. ◦ Viejas Band of Kumeyaay and United Food and Commercial Workers International , 21-CA-166290, NLRB, October 11, 2016.
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Casino Pauma (9 th Circuit – 2018) NLRA applies to tribal gaming establishment owned and managed by the tribe and operated on tribal land. Violation of NLRA to try to stop distribution of union literature
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Tribal Labor Sovereignty Act Legislation to exclude Indian Tribes from the definition of employer under NLRA
Introduced but no traction
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Family Medical Leave Act 29 U.S.C. §§ 2601-2654 (2000) Employers with 50+ must provide 12 weeks of unpaid leave in a year for family and medical reasons ◦ Birth, adoption, placement of child in foster care ◦ Care of seriously ill child, spouse or parent; or ◦Own serious illness ◦ Return to same or equivalent position upon return Law does not specifically mention tribes – DOL position that the law applies to tribes ◦ Eligible employee requirements ◦ employed for 12 months and 1,250 hours
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FMLA Case Law Exhaustion of tribal court remedies required ◦ Sharber v. Spirit Mountain Gaming, Inc ., 343 F.2d, 724 (9 th Cir. 2003) Tribe has sovereign immunity from suit that is not abrogated by FMLA. Likewise, gaming compacts and tribes policies did not waive immunity, so none would be inferred. ◦ Muller v. Morongo Casino Resort & Spa, ED-CV-14-02308-VAP (KK)(C.D. Cal., July 17, 2015)
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Employee Retirement Income Security Act 29 U.S.C. §§1001 et. seq. Standards for voluntarily established pension or welfare-benefit plans Not applicable to tribal employer benefit plans if the plan covers only tribal employees employed in traditional governmental roles but applicable to tribes engaged in commercial activities (2006 amendment)
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Consolidated Omnibus Budget Reconciliation Act 29 U.S.C. §§ 1161 et seq . (2000) Requires continuation of health insurance coverage for up to 18 months after an employee leaves Not applicable to insurance plans maintained by tribes if ◦Tribal employees employed in traditional governmental roles Insurance plans for commercial tribal enterprises are subject to COBRA
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Workers’ Compensation General Rule: State labor and employment laws do not apply to employers operating solely on Indian reservation ◦ California v. Cabazon Band of Mission Indians, 480 U.S. 202, 208 (1987) Except : 40 U.S.C. § 290 provides state authority to apply workers’ compensation laws to all lands owned or held by the US within the state. Interpretation – state workers’ compensation laws may apply
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The Take Away – When law is silent TRIBAL GOVERNMENT Tribal internal issue Tribal treaty Tribal members with no applicability to non- members Law generally not applicable
COMMERCIAL INTERESTS Effect on non-tribal members Not a governmental function - even though profits will be used to fund government Law probably applicable
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Scenario: Edward Employee Edward Employee – resign or be terminated Card dealer, required to stand for long periods of time
Reasonable accommodation requested and granted on paper but not implemented; required to resume normal duties, HR complaint Routine drug test - failed Reinjured back at work; ambulance transported, hospitalized and missed work Resign or be terminated – NC/NS; failed drug test – impact gaming license He says terminated because of union activity
Long term employee and union rep; currently working on increasing wages Hurt on the job when he picked up something heavy Medical care; off work; return to work with limitations and on pain medication Workmen’s compensation paperwork not submitted
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Charlene Jackson cjackson@cdjacksonlaw.com (480) 785-6196
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DOES YOUR TRIBE REQUIRE YOU BACKGROUND/LICENSE VENDORS? 1. Indian Gaming Regulatory Act 2. Tribal Gaming Ordinance 3. Compact Licensing Requirements 4. Tribal Gaming Authority Gaming Requirements 5. Tribal Council or Other Tribal Ordiances
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LICENSEES
Non-gaming Vendor
Gaming vendor
Specialty Vendors
Who are these guys!
Attorneys
Onetime/Emergency vendor
CPA Firm
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GOVERNING DOCUMENTS: IGRA
Really only referring to Class II management contracts and those individuals and/or companies who are engaging the Tribe in business.
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VENDOR LICENSING: GAMING
Who are your gaming vendors?
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VENDORS: GAMING
• GAMING MACHINE COMPANIES, • BINGO SUPPLIER COMPANIES, • SLOT PAPER COMPANIES, • CAN YOU NAME OTHERS??
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NON-GAMING VENDORS Not all Tribes license/background Non-gaming vendors, make sure you know and understand the Tribes non- gaming vendor regulations/policies
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NON-GAMING VENDORS
Who are your non-gaming vendors? Ø Food vendors, Ø Merchandise vendors, Ø Copier vendor, Ø Electricians, plumbers, carpenters and other construction professionals, Ø Others???
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WHY PERFORM INVESTIGATIONS OR LICENSEE VENDORS?
• WHY BACKGROUND OR LICENSING VENDORS? LICENSING VENDORS IN MANY CASES IS A REQUIREMENT PER TRIBAL-STATE COMPACTS OR TRIBAL GAMING ORDINANCES. BUT THIS USUALLY PERTAINS TO THE GAMING VENDORS.
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LICENSING GAMING VENDORS If you are currently licensing gaming vendors what processes do you use? What are tools that can make you efficient at this licensing process? Are you just “shuffling” paperwork? Do you completely understand the application forms and what you are asking from the gaming vendor?
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LICENSING PROCESSES FOR GAMING VENDORS • MANY TIME THE PROCESSES ARE SIMILAR FROM TRIBE TO TRIBE, EACH TRIBE RESERVES THE RIGHT TO REQUEST ANY INFORMATION THEY FEEL NECESSARY. • NORMALLY WE ARE REQUESTING EACH PRINCIPLE OWNER OR KEY EMPLOYEE OF THE COMPANY TO FILL OUT A LENGTHYAND IN-DEPTHAPPLICATION. • WE ASK THAT EACH GAMING COMPANY TO SUBMIT TO THE TRIBE FINANCIAL STATEMENTS, IRS SUBMISSION PROOF, ORGANIZATION CHARTS, OTHER COMPANIES OWNED BY THE VENDOR, SECURITIES HOLDING, BANK ACCOUNT BALANCES….ECT. (EXAMPLE AVAILABLE)
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GAMING VENDOR PROCESSES
• WHEN ALL DOCUMENTS ARE SUBMITTED TO YOUR TRIBE WHAT ARE YOUR PROCESSES? • WHO PERFORMS THE BACKGROUND ON BEHALF OF THE TRIBE? • WHAT DOES THE COMMISSION EXPECT FROM THE BACKGROUND? • DO YOU HAVE DIFFERENT LEVELS OF GAMING LICENSES? EXAMPLES, • HIGH SECURITY, MAJOR PROCUREMENT, MINOR PROCUREMENT, CLASS II, CLASS III AND OTHERS DEPENDING ON THE TRIBES LICENSING REGULATIONS
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GAMING VENDOR INVESTIGATION
• WHEN REVIEWING THE BACKGROUND RESULTS ARE YOU IN COMPLETE UNDERSTANDING OF WHAT THOSE RESULTS TRULY MEAN? (SELF REFLECTION) • ARE YOU PARTICULARLY INTERESTED IN THE CRIMINAL ACTIVITY OF THE APPLICANT? • ARE YOU INTERESTED IN THE BUSINESS ETHICS OF THE APPLICANT? • ARE YOU INTERESTED IN THE FINANCIAL STATUS OF THE APPLICANT? • ARE YOU INTERESTED IN THE OTHER JURISDICTIONS THAT THE APPLICANT IS LICENSED IN AND IF THERE ARE ANY REGULATORY INFRACTIONS TO THE LICENSE?
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WHAT SHOULDWE KNOWABOUT GAMING VENDORS: • EVERYTHING! IT IS YOUR RESPONSIBILITY, • UNDERSTAND WHAT A PUBLICALLY TRADED COMPANY COMPARED TO A NON-PUBLIC COMPANY, • UNDERSTAND WHAT THE FINANCIAL RECORDS ARE AND WHAT TO LOOK FOR WHEN REVIEWING THEM. WE REALLY WANT TO MAKE SURE THAT THE COMPANY IS FINANCIALLY STRONG, ESPECIALLY IF THEY ARE FINANCING THE CASINO PROJECTS OR ARE COMMITTING TO SELLING THE CASINO A LOT OF PRODUCT. • TO STAY IN COMPLIANCE WITH IGRA/NIGC YOU WANT TO MAKE SURE THAT THE COMPANY IS NOT “IN BUSINESS” WITH ANY ORGANIZED CRIME, THIS WILL NORMALLY COME UP IF AN INDIVIDUAL WHO YOU HAVE BACK GROUNDED HAS A CRIMINAL RECORD.
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GAMING VENDORS
• CONSIDER: • IF YOU DON’T BACKGROUND THE ACTUAL INDIVIDUALS THAT COME ON THE PROPERTY THEN YOU MIGHT WANT TO, (DISCUSSION) • MAKE SURE THAT THEY DISCLOSE ANY OTHER JURISDICTIONS THAT THEY ARE CURRENTLY LICENSED IN (ESPECIALLY IN TRIBAL JURISDICTIONS), • IF YOU DO NOT UNDERSTAND A FINANCIAL STATEMENT THEN CONSIDER GETTING TRAINED ON UNDERSTANDING FINANCIAL STATEMENTS,
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FINANCIAL STATEMENTS: 101
• FINANCIAL STATEMENTS REPRESENT A FORMAL RECORD OF THE FINANCIAL ACTIVITIES OF AN ENTITY. THESE ARE WRITTEN REPORTS THAT QUANTIFY THE FINANCIAL STRENGTH, PERFORMANCE AND LIQUIDITY OF A COMPANY. FINANCIAL STATEMENTS REFLECT THE FINANCIAL EFFECTS OF BUSINESS TRANSACTIONS AND EVENTS ON THE ENTITY
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STATEMENT OF FINANCIAL POSITION
STATEMENT OF FINANCIAL POSITION, ALSO KNOWN AS THE BALANCE SHEET, PRESENTS THE FINANCIAL POSITION OF AN ENTITY AT A GIVEN DATE. IT IS COMPRISED OF THE FOLLOWING THREE ELEMENTS: • ASSETS : SOMETHING A BUSINESS OWNS OR CONTROLS (E.G. CASH, INVENTORY, PLANT AND MACHINERY, ETC) • LIABILITIES : SOMETHING A BUSINESS OWES TO SOMEONE (E.G. CREDITORS, BANK LOANS, ETC) • EQUITY : WHAT THE BUSINESS OWES TO ITS OWNERS. THIS REPRESENTS THE AMOUNT OF CAPITAL THAT REMAINS IN THE BUSINESS AFTER ITS ASSETS ARE USED TO PAY OFF ITS OUTSTANDING LIABILITIES. EQUITY THEREFORE REPRESENTS THE DIFFERENCE BETWEEN THE ASSETS AND LIABILITIES .
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INCOME STATEMENT INCOME STATEMENT, ALSO KNOWN AS THE PROFIT AND LOSS STATEMENT, REPORTS THE COMPANY'S FINANCIAL PERFORMANCE IN TERMS OF NET PROFIT OR LOSS OVER A SPECIFIED PERIOD. INCOME STATEMENT IS COMPOSED OF THE FOLLOWING TWO ELEMENTS: • INCOME : WHAT THE BUSINESS HAS EARNED OVER A PERIOD (E.G. SALES REVENUE, DIVIDEND INCOME, ETC) • EXPENSE : THE COST INCURRED BY THE BUSINESS OVER A PERIOD (E.G. SALARIES AND WAGES, DEPRECIATION, RENTAL CHARGES, ETC) • NET PROFIT OR LOSS IS ARRIVED BY DEDUCTING EXPENSES FROM INCOME.
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CASH FLOW STATEMENT
CASH FLOW STATEMENT , PRESENTS THE MOVEMENT IN CASH AND BANK BALANCES OVER A PERIOD. THE MOVEMENT IN CASH FLOWS IS CLASSIFIED INTO THE FOLLOWING SEGMENTS: • OPERATING ACTIVITIES : REPRESENTS THE CASH FLOW FROM PRIMARY ACTIVITIES OF A BUSINESS. • INVESTING ACTIVITIES : REPRESENTS CASH FLOW FROM THE PURCHASE AND SALE OF ASSETS OTHER THAN INVENTORIES (E.G. PURCHASE OF A FACTORY PLANT) • FINANCING ACTIVITIES : REPRESENTS CASH FLOW GENERATED OR SPENT ON RAISING AND REPAYING SHARE CAPITAL AND DEBT TOGETHER WITH THE PAYMENTS OF INTEREST AND DIVIDENDS.
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STATEMENT OF CHANGES IN EQUITY STATEMENT OF CHANGES IN EQUITY , ALSO KNOWN AS THE STATEMENT OF RETAINED EARNINGS, DETAILS THE MOVEMENT IN OWNERS' EQUITY OVER A PERIOD. THE MOVEMENT IN OWNERS' EQUITY IS DERIVED FROM THE FOLLOWING COMPONENTS: • NET PROFIT OR LOSS DURING THE PERIOD AS REPORTED IN THE INCOME STATEMENT • SHARE CAPITAL ISSUED OR REPAID DURING THE PERIOD • DIVIDEND PAYMENTS
• GAINS OR LOSSES RECOGNIZED DIRECTLY IN EQUITY (E.G. REVALUATION SURPLUSES) • EFFECTS OF A CHANGE IN ACCOUNTING POLICY OR CORRECTION OF ACCOUNTING ERROR
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WHY IS ALL THAT IMPORTANT TO ME • LETS DISCUSS
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NON-GAMING VENDORS
• DO YOU LICENSE NON-GAMING VENDORS?
DISCUSSION
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NON-GAMING VENDORS
• DO YOU TREAT NON-GAMING VENDORS THE SAME AS THE GAMING VENDORS WHEN PERFORMING LICENSING PROTOCOLS?
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NON-GAMING VENDORS
Ø Depending on the jurisdiction non-gaming vendors are sometimes required to fill out the same application as gaming vendors. Ø In some cases we only require non-gaming vendors to apply for an application only if they surpass a certain dollar amount of business with the Casino.
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NON-GAMING VENDOR
What is a non-gaming vendor?
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NON-GAMING VENDORS: WHO ARE THEY?
In most cases a “non-gaming vendor” is usually determined by some type of Gaming Commission regulation. Normally a non-gaming vendor is a vendor who does not qualify for a gaming license per the governing documents licensing regulations. They don’t usually have any benefit to the gaming activities of the gaming operation
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NON-GAMING VENDORS
Ø What are the benefits of licensing non-gaming vendors?
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NON-GAMING VENDORS 1. Gets the non-gaming vendor under the authority of the regulatory commission, 2. Protects the Tribes interest in the gaming operation, 3. What are others benefits?
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WHAT ARE LICENSING OBSTACLES?
What are some of the issues that we face when we are licensing our vendors? Discussion
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• NON-COMPLIANCE ISSUES, USUALLY COMES FROM NON-GAMING VENDORS, • PRESSURE FROMMANAGEMENT TO GET THE VENDOR LICENSED ASAP, • FAILURE TO COMPLY WITH DEADLINES, • FAILURE TO COMPLETE THE DOCUMENTS AS REQUESTED, OBSTACLESWHEN LICENSING VENDORS: GAMING AND NON-GAMING
• FAILURE TO PAY ANY ASSOCIATED FEES, • STORING ALL SUBMITTED PAPERWORK? • OTHERS?
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FACILITIES LICENSE
• DO YOU LICENSE THE FACILITY?
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• THIS SOMETIMES IS A TOUGH ONE…….WHO DOES LICENSE THE FACILITY?
AUTHORITY
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GOVERNING DOCS
• WHERE IS IT AT IN YOUR GOVERNING DOCS…..
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FACILITIES LICENSE • WHAT SHOULD THE APPLICATION LOOK LIKE? • WHAT PURPOSE DOES A FACILITY LICENSE HAVE? • WHO IS RESPONSIBLE FOR FILLING OUT THE APPLICATION?
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FACILITIES LICENSE HOW DO YOU GET THE AUTHORITY TO ENFORCE A FACILITY LICENSE?
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FACILITIES LICENSE
• ENVIRONMENTAL PUBLIC HEALTH AND SAFETY (EPHS) DISCUSSION AND REVIEW CHECKLIST
• DISCLAIMER: MAKE SURE YOU FOLLOW YOUR APPROVED TRIBAL GUIDELINES AS WELL AS MAKE SURE EVERYTHING IS UP TO DATE AND IN ACCORDANCE WITH TRIBAL, FEDERAL AND WHERE APPLICABLE STATE LAW.
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ELEMENTS THAT SHOULD BE FOUND IN A INDEPTH FACILITY LICENSE APPLICATION/PROCESS
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SAFETY PROCESSES OF THE OPERATION • ENVIRONMENTAL HEALTH, • BUILDING CODES, • FIRE PROTECTION (STRUCTURAL/WILDFIRE) • WATER, • SEWAGE, • FOOD SAFETY, • MAINTENANCE (PREVENTATIVE)
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SAFETY PROCESSES OF THE OPERATION • ACTIVE SHOOTER, • HUMAN TRAFFICKING, • POLICING AGREEMENT (IF NEEDED) • CYBER SECURITY, • UPDATED MANUALS, • ETC…
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FACILITY LICENSE
• MANY TIMES OPERATIONS AND SOMETIMES LEADERSHIP DOES NOT SEE THIS AS A VALUE ADD, MAKE SURE YOU CAN JUSTIFY THIS PROCESS. • BE PROACTIVE, WORK WITH ALL ENTITIES. • THIS IS ABOUT PROTECTING THE TRIBES MILLION-DOLLAR INVESTMENT.
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SENARIOS
• GAMING VENDOR • GAMING CONSULTANT • NON-GAMING VENDOR • FACILITY LICENSE DISAGREEMENT
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QUESTIONS????
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THANK YOU!
Billy David, Owner Bo-Co-Pa & Associates Phone: 541-810-0700 Email: billy.david90@gmail.com www.bo-co-pa.com
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1
YOUR SPEAKER
• BILLY DAVID, OWNER
BO-CO-PA & ASSOCIATES, LLC
BILLY.DAVID90@GMAIL,.COM 541-810-0700
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LICENSING AUTHORITY: • WHERE DOES IT COME FROM?
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YOUR DOCUMENTS The governing documents of licensing regulations: 1. Indian Gaming Regulatory Act 2. Tribal Gaming Ordinance 3. Compact Licensing Requirements (if applicable) 4. Tribal Gaming Authority Gaming Requirements
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WHAT YOU SHOULD REALLY KNOWREGARDING THE LICENSING PROCESS?
1. UNDERSTAND EVERYONE'S ROLES AND RESPONSIBILITIES: I. GAMING COMMISSION/ERS II. TRIBAL COUNCIL/GOVERNMENTS
III. GAMING MANAGEMENT/DEPARTMENTS IV. CASINO/BUSINESS BOARD OF DIRECTORS V. OTHER GOVERNMENTAL AGENCIES
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UNDERSTANDING EVERYONE'S ROLE • GAMING COMMISSIONS/ERS Ø LICENSING AUTHORITY Ø ENFORCEMENT Ø PROMULGATE RULES AND REGULATIONS
Ø APPROVE AND DEVELOP INTERNAL CONTROLS Ø HIGHER APPROPRIATE COMMISSION STAFF
Ø CONDUCT HEARING (SOME TRIBAL PROPERTIES HAVE ANOTHER ENTITY CONDUCT HEARINGS) Ø ACT AS THE OFFICIAL TRIBAL AUTHORITY AS PRESCRIBED IN THE TRIBAL GAMING ORDINANCE Ø PROTECT THE FAIRNESS, INTEGRITY, SECURITY, AND HONESTY OF THE TRIBAL GAMING OPERATION (F.I.S.H) Ø CONDUCT OR OVER SEE INTERNAL INVESTIGATIONS
Ø ENSURE COMPLIANCE WITH ALL REQUIRED REGULATING DOCUMENTS Ø AMONGST OTHER REQUIRED DUTIES, BUDGETS, FINANCIAL TRACKING ETC.
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UNDERSTANDING EVERYONE’S ROLE • TRIBAL COUNCILS: Ø ULTIMATELY RESPONSIBLE FOR THE WHOLE CASINO OPERATIONS. Ø APPROVE TRIBAL GOVERNING DOCUMENTS Ø MEET WITH STATE AND FEDERAL AGENCIES REGARDING GAMING COMPACTS, ORDINANCES AS WELL AS OTHER APPLICABLE LAWS Ø APPOINTING OR HIRING COMMISSIONERS Ø ANY OTHER REQUIREMENTS AS DICTATED BY TRIBAL LAW(S)
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UNDERSTANDING EVERYONE’S ROLE • GAMINGMANAGEMENT/DEPARTMENTS Ø HIRE ALL QUALIFIEDCASINO STAFF Ø FOLLOWTHE CASINOBUSINESS PLAN Ø WRITE AND IMPLEMENT DEPARTMENT POLICY Ø WRITE AND IMPLEMENT DEPARTMENT PROCEDURES Ø ENSURE THAT COMPLIANCE IS ACHIEVEDBY ALL REQUIREDDEPARTMENTS Ø GENERATE REVENUE TOBE DISTRIBUTED TO THE TRIBE PER THE GAMINGORDINANCE, REVENUE ALLOCATION PLAN OR
OTHER TRIBAL LAWDICTATINGHOWGAMING REVENUE IS TOBE HANDLED. Ø ANY OTHER REQUIREMENTS PER THE GAMINGBOARDOF DIRECTORS
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UNDERSTANDING EVERYONE’S ROLE
• CASINO/BUSINESS BOARD OF DIRECTORS
Ø DEVELOP AND IMPLEMENT THE BUSINESS PLAN Ø HIGHER APPROPRIATE CASINOS CEO, GM. CFO ETC Ø APPROVE CERTAIN POLICY AND PROCEDURES
Ø HOLD UPPER MANAGEMENT ACCOUNTABLE FOR DAILY, QUARTERLY AND ANNUAL FINANCIAL STATEMENTS Ø ASSURE THE TRIBE THAT THE BUSINESS IS BEING OPERATED IN A MANNER THAT GENERATES REVENUE FOR THE TRIBE.
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OTHER GOVERNMENTAL AGENCIES
• NATIONAL INDIAN GAMING COMMISSION • STATE DEPARTMENT OF GAMING
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WHEN SHOULD I EXERCISE MY AUTHORITY
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WITH GREAT POWER COMES GREAT RESPONSIBILITY
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ENFORCEMENT LICENSING:
• YOU ARE NOT LAW ENFORCEMENT (UNLESS TRIBAL ORDINANCE GIVES YOU THAT AUTHORITY) • YOU ARE AN ADMINISTRATIVE ENFORCEMENT OFFICER. • WORK WITHIN YOUR SCOPE OF AUTHORITY: DISCUSSION
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LICENSING: SCOPE OF AUTHORITY
• WHAT IS YOUR RESPONSIBILITY WITH LICENSING? • GAMING COMMISSION, • GAMING COMMISSION STAFF, • MANAGEMENT, • POTENTIAL LICENSEE
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GOVERNING DOCUMENTS: IGRA
Most licensing regulations must comply with the Federal licensing standards.
Those standards are found in the Indian Gaming Regulatory Act 1988
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LICENSING: IGRA
Important items to know about IGRA
Not all licensing regulations need to comply with IRGA
National Indian Gaming Commission can only enforce their own standards
The Tribal licensing authority is responsible to ensure that the Tribe is in compliance with all licensing documents
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IGRA REQUIREMENTS 25 CFR Part 556 – Addresses Background Investigations – Addresses Licensing for Key and PMO. • Changes were published in the CFR January 25, 2013 with a compliance date of February 25, 2013. for Key and PMO. • 25 CFR Part 558.
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IGRA REQUIREMENTS
556.8 and 558.6 “Compliance with this part” both state: – All tribal gaming ordinances and ordinance amendments approved by the Chair prior to the February 25, 2013 and that reference this part, do not need to be amended to comply with this part. All future ordinance submissions, however, must comply.
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IGRA REQUIREMENTS
• 25 CFR 502.14 AND 502.19 DEFINES KEY EMPLOYEE AND PMOMINIMUMS • • TRIBES ABLE TO EXPAND KEY AND PMO DEFINITIONS THROUGH ORDINANCE • – “ANY OTHER PERSON DESIGNATED BY THE TRIBE AS A PMO” • • ENSURE 556 AND 558 REGULATIONS APPLY TO KEY AND PMO EMPLOYEES
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IGRA REQUIREMENTS: APPLICATION PROCESS 556.4 (1 – 14) Sets forth what the application must contain: Privacy Notice, False Statement Notice, name, social security number, address, employers, business relationships, previous gaming licenses, references, criminal history photograph and fingerprints (results).
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IGRA LICENSING REQUIREMENTS
• 556.2 PRIVACY NOTICE. • • 556.3 NOTICE REGARDING FALSE STATEMENTS. • – CHANGES INCLUDED REPLACE ALL LANGUAGE REFERRING TO HIRINGAND FIRINGAND REPLACING IT WITH LICENSING LANGUAGE. • – EXACT LANGUAGE CAN BE FOUND IN CFR 556 AT NIGC.GOV • – ALL FORMS MUST BE UPDATE BYAUGUST 2013.
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IGRA LICENSING REQUIREMENTS
• FOR EVERY PRIMARY MANAGEMENT OFFICIAL OR A KEY EMPLOYEE, A TRIBE SHALL: • • CREATE AND MAINTAIN AN INVESTIGATIVE REPORT ON EACH BACKGROUND INVESTIGATION. AN
INVESTIGATIVE REPORT SHALL INCLUDE ALL OF THE FOLLOWING: • – STEPS TAKEN IN CONDUCTING A BACKGROUND INVESTIGATION; • – RESULTS OBTAINED; • – CONCLUSIONS REACHED; AND • – THE BASIS FOR THOSE CONCLUSIONS .
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IGRA LICENSING REQUIREMENTS • REGULATION’S REQUIRE A TWO-PART SUBMISSION • – A NOTICE OF RESULTS (NOR) OF BACKGROUND INVESTIGATIONS, 25 CFR 556 • – A NOTICE OF LICENSING DETERMINATION, 25 CFR 558 • • NOTIFICATIONS SUBMISSION METHODS. • – ENCRYPTED EMAIL TO THE REGIONAL OFFICE. • – FAX. • – MAIL. • • THE TWO PART SUBMISSIONS MUST NOT BE MADE AT THE SAME TIME
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IGRA LICENSING REQUIREMENTS • A TRIBE MUST NOTIFY NIGC OF THE RESULTS OF THE BACKGROUND INVESTIGATION WITHIN 60 DAYS OF AN INDIVIDUAL BEGINNING WORK. • – A TRIBE SHALL CONDUCT AN INVESTIGATION SUFFICIENT TO MAKE AN ELIGIBILITY DETERMINATION
• • NOR MUST INCLUDE: • – APPLICANTS NAME • – DOB • – SOCIAL SECURITY NUMBER
• – DATE ON WHICH THEY WILL BEGIN WORK • – COPY OF THE ELIGIBILITY DETERMINATION
• • AN ELIGIBILITY DETERMINATION IS TO MAKE A FINDING CONCERNING THE ELIGIBILITY OF A KEY EMPLOYEE OR PRIMARY MANAGEMENT OFFICIAL FOR GRANTING OF A GAMING LICENSE, AN AUTHORIZED TRIBAL OFFICIAL SHALL REVIEW THE RESULTS OF A PERSON'S INVESTIGATION TAKING INTO CONSIDERATION A PERSON CRIMINAL HISTORY, REPUTATION, HABITS, AND ASSOCIATIONS.
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IGRA LICENSING REQUIREMENTS
• A SUMMARY AND LISTING OF THE INFORMATION PRESENTED IN THE INVESTIGATIVE REPORT MUST BE INCLUDED IN THE NOR: • – PREVIOUSLY DENIED LICENSES • – REVOKED LICENSES • – CRIMINAL CHARGES BROUGHT WITHIN 10 YEARS OF THE APPLICATION • – EVERY FELONY CONVICTION OR ON-GOING PROSECUTION • • A DEFERRED SENTENCE IS CONSIDERED AN ONGOING PROSECUTION.
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IGRA LICENSING REQUIREMENTS
• A TRIBE SHALL RETAIN THE FOLLOWING FOR INSPECTION BY THE CHAIR OR HIS OR HER DESIGNEE FOR NO LESS THAN THREE YEARS FROM THE DATE OF
TERMINATION OF EMPLOYMENT: • – APPLICATIONS FOR LICENSING; • – INVESTIGATIVE REPORTS; AND • – ELIGIBILITY DETERMINATIONS
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TRIBAL-STATE PROTOCOLS FOR LICENSING PMO AND KEYS
This will differ and is subject to each individual State and Tribal negotiations. There are similar differences that can be found in many Tribal-State Compacts.
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COMPACT LICENSING SIMILARITIES
Many similarities would include: • Definition of how Class III licenses will be handled in the State • Who will the Tribe have to submit information to within the State • Who from the State will have availability to Tribal licensing records
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TRIBAL ORDINANCE: LICENSING REQUIREMENTS
In many Tribal Gaming Ordinances there are criteria that the Tribe has lined out for the regulatory authority has outlined.
Do you know what your Tribal licensing standards are??? Discussion
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TOOLS AND TIPS TO HELP UNDERSTANDING LICENSING STANDARDS
To be an effective and productive licensing authority you need to understand not only the licensing regulations used by the Tribe, NIGC and your State but you need to know the internal details used by your licensing/background department.
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TIPS AND TOOLS: 1. Learn your internal processes I.
The different regulatory/law enforcement agencies you will have to work with II. Timelines for submission to all regulatory agencies involved with the licensing processes III. What your Tribal standards are for denials and revocations 2. Understand the vocabulary of the industry: Fingerprint results, law enforcement reports for the different jurisdictions, 3. Don’t be ashamed to ask questions 4. Network with your fellow Commissioners 5. Be knowledgeable of what technology your background/licensing department utilizes 6. Be respectful, confidential and ethical
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LICENSING AND BACKGROUNDING
Licensing and back grounding potential PMOs and/or Key casino employees could be one of the most single important directives of a regulatory authority. Be diligent and through DISCUSSION
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LICENSEES
Primary Management Official
Key Employee
High Security
Help!!
Dual License
Low Security
Class III
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DEVELOP TRACKING PROCESSES:EXAMPLE
Name
Position
Id Number/Classification Application Date Received
Date Submitted for Approval
Date submitted to NIGC/State
Joe schmoo Blackjack dealer 13-012/Key
10/2/13 04/2/12
Judy schmoo T.G. Director
12-001
6/5/12
6/10/12
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SCENARIOS
• DISCUSSION
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#1 • PMO HAD A SPOUSE PASS AWAY FROM CANCER. SHE BATTLED IT FOR YEARS AND IT COSTED THEM DEARLY. MEDICAL COSTS FOR FIVE YEARS EXHAUSTED THEIR SAVINGS, EXHAUSTED KIDS COLLEGE SAVINGS, MAXED OUT THEIR CREDIT, AND THEY LOST THEIR HOME. • IN THE END HIS SPOUSE PASSED AWAY AND HE LITERALLY LOST EVERYTHING HE HELD DEAR. THE ONLY THING HE HAD WAS HIS OWN HEALTH, COLLEGE DEGREE AND HIS GAMING EXPERIENCE. • WHAT ARE THE ISSUES AS YOU SEE IT?
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#2 • A POTENTIAL PMOWAS AFFECTEDBY THE RECESSION IN 2008; • JOBS CLOSED AND SHE LOST HER JOB AFTER 20 YEARS. SHE HAD A DIFFICULT TIME GETTINGBACK INTO THE JOBMARKET WITH LIMITED JOBS AVAILABLE. HERHUSBAND LOST HIS JOB ASWELL, THEY LOST THEIRHOME AND SAVINGS. • THEY ACCEPTED JOBS AT A LOWER PAY RATE AND LIVEDOFF OF THEIRCREDIT FOR SEVERAL YEARS UNTIL THEIRCREDIT DRIEDUP. • THEY ARE APPLYING FOR A DIRECTOR POSITION, ONE OF THE JOBDUTIES IS APPROVING PURCHASES ANDDEVELOPING BUDGETS, • THIS POTENTIAL LICENSEE IS A TRIBAL MEMBER, • WHAT CONCERNSWOULD YOU SEEWITH LICENSING THIS PMO?
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#3 • KEY EMPLOY APPLIED FOR TABLES DEALER POSITION. • SHE FILLED OUT HER APPLICATION IN THE OFFICE AND SHE LOOKED STRESSED OUT, SHAKING, CRYING, ETC. SHE LEFT OUT PORTIONS OF HER RESIDENCY IN THE UNITED STATES AND VIETNAM. • THIS PROMPTED YOUR BACKGROUND PERSON TO SIT DOWN AND ASK ME TO VISIT WITH HER TO SEE WHAT WAS GOING ON WITH HER. SHE HAD A FEELING THAT SHE WAS HOLDING BACK BUT DID NOT KNOW HOW TO APPROACH HER. SO YOU SET THERE WITH HER IN SILENCE FOR 5 MINUTES AND ALLOWED HER EMOTIONS TO POUR THROUGH HER. YOU HAND HER TISSUES AND WATER AND SAY SOFTLY, IT’S OK TO SPEAK OPENLY ABOUT YOUR PAST. YOU ASK IF THERE WAS SOMETHING IN HER PAST THAT GAVE THE IMPRESSION THAT SHE WAS TIED TO ORGANIZED CRIME, • ASSOCIATED WITH BY DEFAULT, MARRIAGE OR RELATIONSHIP IN ANY SHAPE OR FORM. SHE WAS CRYING REALLY HARD AND TALKED ABOUT HER RELATIONSHIP WITH ONE OF THE LEADERS FROM THE TRAN ORGANIZATION. HER LAST NAME WAS TRAN, VENTED ABOUT HER EXPERIENCE AND HOW SHE GOT CAUGHT IN THE MIDDLE OF SOMETHING THAT SHE DID NOT WANT TO GET CAUGHT UP IN. • CONCERNS???
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#4
• KEY EMPLOYEE APPLIED FOR A GAMING LICENSE. WHEN THE FBI RESULTS CAME BACK, SHE CAME UP AS DECEASED. • SHE WAS A FALSE POSITIVE AND THERE WAS AN ERROR ON THE FBI DATABASE. • WHAT CONCERNS WOULD YOU HAVE WITH THIS APPLICATION?
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THANK YOU!
Billy David, Owner Bo-Co-Pa & Associates Phone: 541-810-0700 Email: billy.david90@gmail.com www.bo-co-pa.com
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EffectiveWritten Communication
1
Why do we write?
• The first question before setting pen to paper or fingers to keyboard: What is my motivation for writing? • To convey factual information? • To seek information?
• To persuade a course of action? • To demand a course of action?
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Why DoWeWrite?
• DeterminingWHY we write enables us to determine: • The format for the writing • The tone of the writing • The style of the writing • All of which are critical to the effectiveness of the writing.
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ToWhom am I writing?
• The second question before setting pen to paper or fingers to keyboard is: To whom am I writing? • Authority figure? • Peer? • Subordinate? • Member of the Public? • License applicant? • Licensee? • Governmental official?
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RegulatoryWritings
Gaming Regulators utilize many different types of writings: • General Correspondence • Memoranda • Budget Justifications • Reports • Legal findings & conclusions • Notices • Orders • Guidance documents • Regulations
• Information • Investigative
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RegulatoryWritings
• Each category of document types will have subcategories. • For example, general correspondence may include letters to:
• Members of the public • Government agencies
• The media • Businesses
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RegulatoryWritings
• Regardless of the type of writing, the overall objective is that it be EFFECTIVE. • And, reflect favorably on the agency’s credibility and professionalism.
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EffectiveWriting
• Effective writing has a logical flow of ideas and is cohesive. This means it holds together well because there are links between sentences and paragraphs. Writing which is cohesive works as a unified whole and is easy to follow because it uses language effectively to maintain a focus and to keep the reader “on track”.
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Effective writing is achieved through the use of both MACRO and MICRO writing devices.
Macro • the presence of a clear thesis statement; • the use of clear sentence structure; • the logical flow of information in the text; • the focus the text has maintained on the subject.
Micro • the repetition of key subject words and key descriptive words throughout the text; • clearly focused sentences; • the use of connective words and transition signals.
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Logic and Coherence
• The main sections of the text should develop the material in a logical and coherent manner, reflecting the structure outlined in the introduction or the topic sentence of the piece of text. • Make sure you include: • Clear statements on the relationships between topics; and • The order you then go on to present your points (using legitimate paragraphs) follows the order of these initial statements • This allows the logical sequence of the text to be clearly visible to the reader.
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Logical flow within paragraphs
• The move from one sentence to another within a paragraph should be logical. The order in which information is presented needs to keep the reader centered on the focus of the paragraph, developing points upon this topic in a sequenced way.
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Micro Elements of Paragraphing
• A paragraph is one of the basic units of organization in writing. A paragraph is a related group of sentences, arranged in a logical manner which develop one main idea. This idea is generally expressed in one sentence known as the 'topic sentence'. The topic sentence usually occurs as the first sentence in the paragraph. • In addition to the topic sentence, a paragraph contains other sentences that support the point the topic sentence made. They might do this by elaborating or further explaining the point made in the topic sentence, providing supporting details or giving evidence. • A paragraph may also contain a concluding sentence, or sentencesthat provide a transition to the following paragraph.
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