Sec. 36.03.10.10. Table of Organization

A. For the purposes of this regulation, the title used to describe a department head is intended to indicate responsibility for the functions of the enumerated department and does not obligate the facility operator to the use of that particular title.

B. Subject to the requirements of this regulation, a facility operator shall tailor its table of organization to meet its needs and policies.

C. At least 30 days before video lottery terminal or table game operations are to commence, a facility operator shall submit to the Commission for review and written approval a table of organization depicting all direct and indirect reporting lines for:

(1) The chief executive officer required under §E(5) of this regulation;

(2) Mandatory departments required under §E(6) of this regulation;

(3) The cashiers’ cage manager required under §M of this regulation;

(4) Employees authorized to verify credit applications under Regulation .25 of this chapter; and

(5) Employees authorized to extend credit or to approve credit limit increases under Regulation .24 of this chapter.

D. A facility operator may not commence operations until the table of organization submitted under §C of this regulation is approved in writing by the Commission.

E. A facility operator’s table of organization shall include:

(1) A system of personnel and chain of command which permits management and supervisory personnel to be held accountable for actions or omissions within their areas of responsibility;

(2) The segregation of incompatible functions, duties, and responsibilities so that no individual is in a position to both:

(a) Commit an error or to perpetrate a fraud; and

(b) Conceal the error or fraud in the normal course of the individual’s duties;

(3) All functions, duties, and responsibilities of qualified personnel;

(4) Areas of responsibility which are not so extensive as to be impractical for one individual to monitor;

(5) A chief executive officer:

(a) Based for employment purposes at the facility;

(b) Licensed as a principal employee; and

(c) Ultimately responsible for the daily conduct of all operations at the facility; and

(6) The following mandatory departments and supervisors:

(a) A surveillance department supervised by a director of surveillance:

(i) Based for employment purposes at the facility;

(ii) Subject to the reporting requirements of §G of this regulation;

(iii) Licensed as a principal employee; and

(iv) Responsible for the surveillance of all aspects of video lottery terminal and table game operations;

(b) An internal audit department supervised by a director of internal audit:

(i) Based for employment purposes at the facility;

(ii) Subject to the reporting requirements of §G of this regulation;

(iii) Licensed as a principal employee; and

(iv) Responsible for assessing compliance with approved internal controls, applicable laws and regulations, the reliability of financial reporting, deterring and investigating fraud, and the safeguarding of assets;

(c) An information technology department supervised by a director of information technology:

(i) Based for employment purposes at the facility;

(ii) Licensed as a principal employee; and

(iii) Responsible for the quality, reliability, accuracy, and security of all video lottery systems and associated equipment and software utilized by the facility operator regardless of whether the data, software, or systems are located in or outside the facility;

(d) A security department supervised by a director of security:

(i) Based for employment purposes at the facility;

(ii) Licensed as a principal employee; and

(iii) Responsible for the overall security of the facility;

(e) An accounting department supervised by a director of finance:

(i) Based for employment purposes at the facility;

(ii) Licensed as a principal employee; and

(iii) Responsible for all accounting and finance functions including the control and supervision of the cashiers' cage, satellite cages, and count room; and

(f) A gaming operations department supervised by a director of gaming operations:

(i) Based for employment purposes at the facility;

(ii) Licensed as a principal employee; and

(iii) Responsible for the operation and conduct of gaming at video lottery terminals and table games.

F. Nothing in this regulation shall preclude a facility operator from establishing a video lottery terminals and table games department supervised by a director of video lottery terminal operations and a director of table games operation.

G. The director of surveillance and the director of internal audit required under §E(6) of this regulation shall be independent of the chief executive officer regarding matters of policy, purpose, responsibility, and authority and shall report directly to an:

(1) Individual based for employment purposes at the facility with no incompatible functions; or

(2) Audit committee of:

(a) The facility operator; or

(b) A Commission-authorized licensed affiliate of the facility operator.

H. The individual or audit committee to whom the director of surveillance and the director of internal audit report under §G of this regulation shall also control the hiring, termination, and salary of the director.

I. The director of surveillance and the director of internal audit may report to the chief executive officer with regard to daily operations.

J. Mandatory departments and the supervisors over them shall cooperate with, yet perform independently of, all other mandatory departments and supervisory positions.

K. A facility operator may designate more than one individual to serve jointly as the director of a mandatory department required by §E of this regulation.

L. A joint director of a mandatory department under §K of this regulation shall be:

(1) Based for employment purposes at the facility; and

(2) Individually and jointly accountable and responsible for the operation of the department.

M. A department that is not mandatory may operate under, or in conjunction with, a mandatory department where the table of organization is consistent with the requirements of §E of this regulation.

N. A facility operator’s cashiers’ cage manager shall be licensed as a principal employee.

O. Unless another principal employee required by this regulation is present at the facility, on any shift for which the cashiers’ cage manager is not present in the facility, the cashiers’ cage shift manager responsible for the cashiers’ cage shall be licensed as a principal employee.

P. A facility operator may not implement a change in the table of organization approved by the Commission under §D of this regulation without the prior written approval of the Commission.

Q. A facility operator shall ensure that an individual employed at the facility is trained in the policies, procedures, and internal controls relevant to the individual’s function.

R. Vacancy. If there is a vacancy in the chief executive officer position or any mandatory department director position required by §E of this regulation, the following shall apply:

(1) No later than 5 days after the date of a vacancy, a facility operator shall notify the Commission in writing of:

(a) The vacant position;

(b) The date on which the position will become or became vacant; and

(c) The date on which the facility operator anticipates that the vacancy will be filled on a permanent basis;

(2) No later than 30 days after the date of a vacancy, a facility operator shall fill the vacant position on a temporary basis;

(3) No later than 120 days after the original date of the vacancy, a facility operator shall fill the vacant position on a permanent basis; and

(4) No later than 5 days after filling a vacancy, a facility operator shall notify the Commission in writing of:

(a) The vacant position filled;

(b) The name of the individual designated to fill the position;

(c) The date that the vacancy was filled; and

(d) Whether the vacancy has been filled on a temporary or permanent basis.