Ohio Administrative Code|Rule 3772-10-03 | Casino operator's organization.

                                                
(A) Each casino operator shall maintain
		  an organizational chart depicting the segregation of functions and describing
		  the duties for each position shown, which may be tailored to meet management
		  needs or policies so long as it does not conflict with Chapter 3772. of the
		  Revised Code and the rules adopted thereunder. A copy of the current
		  organizational chart shall be made immediately available to the commission upon
		  request.
(B) Each casino operator's organization charts shall
		  provide for the following:
(1) A system of personnel and chain of command that 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 employee is in a position both to commit an error
			 or perpetrate a fraud and to conceal the error or fraud in the normal course of
			 the employee's duties;
(3) The performance of all functions, duties, and
			 responsibilities in accordance with legitimate financial practices by trained
			 personnel;
(4) The areas of responsibility that are not so extensive
			 as to be impractical for one person to monitor; and
(5) Separate departments and supervisors for surveillance,
			 information technology ("IT"), security, accounting, internal audit,
			 slots, table games, regulatory compliance, and cage.
(C) Alterations to the organizational chart shall be
		  submitted to the executive director for approval.
(D) Each casino operator shall have the following
		  departments and supervisory positions, each of which shall cooperate with, yet
		  perform independently of, other mandatory departments and supervisory
		  positions:
(1) A surveillance
			 department supervised by a director of surveillance located at the
			 casino;
(2) An internal audit
			 department supervised by a director of internal audit. The director of internal
			 audit shall report directly to one of the following regarding matters of
			 policy, purpose, responsibility, and authority, and the following shall also
			 control the hiring, termination, and salary of the director's
			 position:
(a) The independent audit committee of the operator's board
				of directors;
(b) The independent audit committee of the board of directors of
				any holding or intermediary company of the facility manager that has authority
				to direct the operations of the operator;
(c) The internal audit executives of any holding or intermediate
				company if the most senior executive in the reporting line reports directly to
				the independent audit committee of the board of directors of the holding or
				intermediary company; or
(d) Another entity as approved by the executive
				director;
(3) An IT department
			 supervised by an IT director located at the casino;
(4) A slots department
			 supervised by a slot director located at the casino;
(5) A table games
			 department supervised by a table games director located at the
			 casino;
(6) A security department
			 supervised by a director of security located at the casino;
(7) An accounting
			 department supervised by a person who functions as the casinos
			 controller located at the casino. The controller shall be responsible for all
			 accounting functions, including the preparation and control of books, records,
			 and data, the control of stored data, the control of unused forms, the
			 accounting for and comparison of operational data and forms; and
(8) A cashier's cage
			 department supervised by a person located at the casino who functions as the
			 cage manager. The cage manager shall be responsible for the control and
			 supervision of the cashier's cage, satellite cages, count room, and vault.
			 The cashier's cage may be separated into independent operations or
			 satellite cages to facilitate operations and accountability. The cashier's
			 cage department shall be responsible for the following:
(a) The custody and accountability of coin, currency, negotiable
				instruments, documents, and records normally associated with the operation of a
				cage;
(b) Any other functions normally associated with the operation of
				a cage;
(c) The count room;
(d) The vault; and
(e) The control and supervision of gaming cashiers and change
				persons.
(9) A regulatory
			 compliance department supervised by a regulatory compliance officer located at
			 the casino. The regulatory compliance department shall be responsible for the
			 casinos compliance with state and local law, including Chapter 3772. of the
			 Revised Code and this chapter, as well as commission approved internal
			 controls. The regulatory compliance officer shall report directly to one of the
			 following regarding matters of policy, purpose, responsibility, and authority,
			 and the following shall also control the hiring, termination, and salary of the
			 compliance officers position:
(a) The casino operator's corporate chief compliance
				officer; or
(b) Another position or entity as approved by the executive
				director;
(E) The casino operator's personnel shall be trained
		  in all policies, procedures, and internal controls relevant to each
		  employee's individual function. The casino operator shall develop special
		  instructional programs in addition to any on-the-job instruction sufficient to
		  make each member of the department knowledgeable about the requirements and
		  performance of all transactions relating to that employee's
		  functions.
(F) In addition to the department supervisory positions
		  listed in paragraph (B) of this rule, each casino operator shall also employ a
		  casino general manager who shall be the primary individual responsible for the
		  performance of the casino facility. All casino departments may be subject to
		  direct control by the casino general manager except the internal audit
		  department, the compliance department, and the surveillance
		  department.
(G) If a vacancy in any of the casino operator's
		  mandatory department supervisory positions or in the casino general manager
		  position required by this chapter occurs or if written notice is received that
		  such a vacancy will occur in the future, the casino operator
		  shall:
(1) Notify the executive
			 director immediately in writing of the vacant position;
(2) Designate an
			 appropriately licensed person or persons to assume the duties and
			 responsibilities of the vacant position on a temporary basis;
(3) Fill the position on
			 a permanent basis within sixty days after the effective date of the vacancy. An
			 extension of the temporary appointment to the position may be granted at the
			 discretion of the executive director and should not be unreasonably withheld;
			 and
(4) Notify the executive
			 director immediately in writing upon the filling of the vacancy.


Last updated November 23, 2021 at 12:12 PM