Title 31 Program Outline

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Title 31 Program Outline

  1. 1. Eagle Country Gaming Consultants Title 31 Program Overview
  2. 2. Preliminary Title 31 System Review <ul><li>Audit of the Casino’s Title 31 Program: </li></ul><ul><ul><li>Review the Casino’s Title 31 Internal Controls and Procedures </li></ul></ul><ul><ul><li>Review new hire and ongoing management/employee training programs and training documentation retention. </li></ul></ul><ul><ul><li>Review Casino documents used for tracking Title 31 reporting. </li></ul></ul><ul><ul><li>Review filed CTRC & SARC forms for completeness, filing and retention requirements. </li></ul></ul><ul><ul><li>Check if Casino has “Required” Title 31 coordinator and Compliance Committee with minutes maintained. </li></ul></ul><ul><ul><li>Prepare summary of findings including recommendations. </li></ul></ul><ul><ul><li>Provide training systems and support as requested. </li></ul></ul>
  3. 3. Internal Controls & Procedure Development <ul><li>Casino Internal Controls </li></ul><ul><ul><li>Develop controls consistent with Title 31 (CTRC & SARC) in the following areas: </li></ul></ul><ul><ul><ul><li>Employee Training and Testing </li></ul></ul></ul><ul><ul><ul><li>Transaction Tracking </li></ul></ul></ul><ul><ul><ul><li>Obtaining Required Information </li></ul></ul></ul><ul><ul><ul><li>Patron refusal to provide information </li></ul></ul></ul><ul><ul><ul><li>Employee discipline for violations </li></ul></ul></ul><ul><ul><ul><li>Reporting and Filing requirements </li></ul></ul></ul><ul><ul><ul><li>Identify Title 31 Coordinator </li></ul></ul></ul><ul><ul><ul><li>Compliance Committee </li></ul></ul></ul><ul><ul><ul><li>Additional areas as required by law or regulator </li></ul></ul></ul>
  4. 4. Training New Hire and Ongoing <ul><li>Train the Trainer </li></ul><ul><ul><li>Supply the system and materials and then mentor a trainer appointed by the Casino for future management and employee Title 31 trainings. </li></ul></ul><ul><li>New Hire Training </li></ul><ul><ul><li>Develop new hire training and testing system. </li></ul></ul><ul><ul><li>Perform initial new hire training and testing. </li></ul></ul><ul><li>Ongoing Training </li></ul><ul><ul><li>Provide a recommend system for continued training and testing. </li></ul></ul>
  5. 5. Title 31 Tracking Documentation <ul><li>Develop the following Title 31 Tracking Documentation: </li></ul><ul><ul><li>Multiple Transaction Log (MTL). </li></ul></ul><ul><ul><li>Monetary Instrument Log (MIL). </li></ul></ul><ul><ul><li>Slot Taxable / W-2g Log. </li></ul></ul><ul><ul><li>Cage Front Money Log. </li></ul></ul><ul><ul><li>Other Casino Cash handling documentation. </li></ul></ul>
  6. 6. Title 31 CTRC & SARC <ul><li>CTRC & SARC Completing: </li></ul><ul><ul><li>Identify who is to compile documentation and complete required reports. </li></ul></ul><ul><ul><li>Setup second review process to lessen errors and missed filings. </li></ul></ul><ul><li>CTRC & SARC Filing: </li></ul><ul><ul><li>Setup check system to insure filings are timely. </li></ul></ul><ul><ul><li>Log filings and use certified mail with return receipt. </li></ul></ul><ul><li>CTRC & SARC Retention: </li></ul><ul><ul><li>Setup retention system as required by law or Tribal Ordinance. </li></ul></ul>
  7. 7. Compliance Committee <ul><li>Establish a Compliance Committee: </li></ul><ul><ul><li>Committee Members </li></ul></ul><ul><ul><ul><li>Title 31 Coordinator as Committee Chair </li></ul></ul></ul><ul><ul><li>Frequency of Committee Meetings </li></ul></ul><ul><ul><li>Agenda </li></ul></ul><ul><ul><li>Committee Meeting Minutes </li></ul></ul>
  8. 8. Title 31 Audits <ul><li>Title 31 Audit should include: </li></ul><ul><ul><li>Set timeframe. </li></ul></ul><ul><ul><li>Completed by external Auditor </li></ul></ul><ul><ul><li>Areas to be reviewed: </li></ul></ul><ul><ul><ul><li>CTRC/SARC reports </li></ul></ul></ul><ul><ul><ul><li>Tracking Documents review </li></ul></ul></ul><ul><ul><ul><li>New hire and ongoing training </li></ul></ul></ul><ul><ul><ul><li>Compliance Coordinator </li></ul></ul></ul><ul><ul><ul><li>Compliance Committee and minutes </li></ul></ul></ul><ul><ul><ul><li>Internal Control & Procedure review </li></ul></ul></ul>
  9. 9. Eagle Country Gaming Consultants Title 31 Program Overview For more information call 760-801-6029

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