BUSINESS SERVICES

The mission of the Administrative Service Unit is to provide administrative services for all units of the Division including the development and implementation of the Division's budget, procurement of all goods and services necessary to accommodate the Division's needs, general fund accounting, regulatory cost recovery from the Connecticut Lottery Corporation and Tribal State Casinos, and supervision of all building and ground maintenance activities.

Listed below are the areas of responsibility for which the Administrative Service Unit is responsible:

• Provides Adminstrative Services for all Units of the Division.
• Develops and Implements the Division's Budget.
• Procures all goods and services necessary to accommodate the Division's needs.
• Maintains general fund accounting.
• Recovers regulatory costs from the Connecticut Lottery Corporation and Tribal State casinos.
• Is responsible for all building and grounds maintenance.

Back to Top

LICENSING SECTION

The mission of the Licensing Section of is to carry out the provisions of the Connecticut General Statutes (Sections 12-574, 12-802a, 12-802b, 12-813 and 12-815a) and Tribal State Gaming procedures or Compact regarding licensing requirements for legalized gaming in order to provide the State of Connecticut and the public assurances that standards will be maintained and integrity will be upheld.

Listed below are the areas of responsibility for administration of all Gaming Policy Board and Division issued licenses for the following activities:

• Casino - All gaming related employees and vendors at Foxwoods and Mohegan Sun.
• Pari-Mutuel and Off-Tracking-Betting (OTB) - All employees and vendors at Plainfield Greyhound Park, Shoreline Star Greyhound Park and Entertainment Complex, and Autotote enterprises, Inc., the operator of the Off-Track Betting System.
• Lottery - All Connecticut Lottery Corporation Employess, vendors, and lottery sales agents.

Back to Top

HUMAN RESOURCES SECTION

The mission of the Human Resources Section is to contribute to the integrity and success of the Division, by administering Labor relations and Personnel Regulations, and providing effective consultation and quality services, thereby assisting the workforce in carrying out the mission the Agency.

The Personnel and Payroll Section administers personnel rules and regulations. In addition, the section provides services to the Agency in the area following areas:

• Employee Benefits
• Payroll Operations
• Labor Relations
• Workers Compensation
• Workplace Health and Safety
• Recruitment Program
• Employee Counseling and Assistance Programs
• Retirement Counseling
• Classification and Staffing
• Employee Compensation
• Collective Bargaining Negotiation and Contract Administration

Back to Top

AFFIRMATIVE ACTION / CONTRACT COMPLIANCE ADMINISTRATOR

The mission of the Affirmative Action Unit is to pursue equal employment opportunity through development and implementation of counseling, training, and recruitment programs. To monitor agency contracts, American for Disability Act and all agency issues as they pertain to Affirmative Action policies, rules and regulations. Also, to serve as liaison between the agency and community base organizations.

• To ensure compliance with Federal and State Equal Opportunity laws, regulations, and guidelines.
• To evaluate Agency personnel hiring and promotional policy and procedures to ensure consistency with Affirmative Action goals and objections.
• To consult and advise Agency officials on relevant program issues.
• Direct the Agency recruitment efforts through community based moniority organizations.
• Development of Agency's Affirmative Action plan.
• Directs the development and implementation of programs, policies, and procedures regarding Affirmative Action including training and employee counseling.
• Conducts and oversees the investigation and resolution of discrimination and unfair treatment claims.
• Monitor Agency contract compliance and set-aside programs.
• Administer the Agency's Employee's Assistance Program.

Back to Top

CHARITABLE GAMES UNIT

The mission of the Charitable Games Unit is to carry out the provisions of Chapter 98 of the general statutes authorizing the conduct of bingo, sealed ticket sales, bazaars and raffles, by qualifying non-profit organizations, through the issuance of registrations and permits, the sale of sealed tickets, the conduct of on-site inspections and audits, and the initiation of administrative action to ensure compliance with statutory and regulatory requirements.

The Charitable Games Unit is responsible for oversight of all authorized charitable gaming activities. The activities include:

• Bingo
• Sealed Ticket Sales
• Bazaars
• Raffles

The Executive Director of the Division is the permit issuing authority for the bingo and sealed ticket activities, and the chiefs of police and first selectmen of small towns without established police departments are the permit issuing authorities for the bazaar and raffle activities.

There are 17 unit employees directly involved in the oversight of charitable games. The Division discharges its responsibilities through:

• the administration of registrations and permits
• field oversight of authorized activities
• the review of organization financial statements

The Division is the sole source of legal sealed ticket games. Under the sealed ticket law, nonprofit permittees purchase the games from the Division at ten percent of their resale value. Among other things, the Division is responsible for:

• obtaining a sealed ticket vendor
• designing, developing and procuring sealed ticket games
• maintaining the sealed ticket game inventory
• vendor contract administration
• ticket sales

Connecticut sealed ticket games are manufactured to strict industry standards, and are subject to testing for conformance with specifications, by:

• outside accounting firms
• an independent testing laboratory, and
• the Division's Security and Integrity Assurance staffs

The Division's charitable games staff works with volunteers and attempts to educate them about the State's requirements. When a significant violation occurs, the Division has the authority to require the presence of a permittee at Division headquarters for administrative action (a compliance meeting and/or a “Show Cause” hearing, if warranted). With charitable games, the Division possesses the authority to:

• summarily suspend a permit
• suspend or revoke a registration or permit, or to
• impose a civil penalty up to $200 per violation

The Charitable Games Unit interacts with several Division sections or units, state offices, and municipal officials. Among them:

• the Charitable Games Accounting Section of the Integrity Assurance Unit verifies the financial statements filed by organizations conducting charitable games and addresses regulatory issues with the Charitable Games Unit
• the Division's Administrative Hearings Section manages the agency’s administrative process, including the scheduling and staffing of compliance meetings and “Show Cause” hearings for charitable games
• the Security Section performs background checks in connection with the issuance of registrations and permits
• the Department of Consumer Protection and the Public Charities Unit of the Attorney General's office provide helpful information concerning the registration of charitable organizations, and
• the staffs of the municipal chiefs of police and first selectmen work closely with the Charitable Games Unit on the processing of bazaar and raffle permits

Back to Top

GAMBLING REGULATION UNIT

The overall mission of the Gambling Regulation Unit is to maintain the highest level of integrity for all forms of legalized gambling in the State of Connecticut. This is accomplished by overseeing the various operations to ensure compliance with the appropriate federal and state laws and regulations. The five sections of the Gambling Regulation Unit are:

• Casino/Tribal State Gaming
• Off-Track Betting/Simulcasting
• Greyhound Racing
• Lottery

Back to Top

GAMBLING REGULATION - CASINO/INDIAN GAMING SECTION

The mission of the Casino Section of the Gambling Regulation Unit is to ensure compliance with the appropriate federal and state laws and regulations regarding Class III Tribal State Gaming. In addition the Casino Section must ensure compliance with the compacts between the State of Connecticut and the Tribal Nations engaged in Class III gaming. This mission is accomplished by monitoring the day to day operations of each casino through the presence of on site staff, by observation and audit of the daily counting process, by review of gambling laboratory testing results, and by review of the various logs required to be kept at each casino. In addition the staff ensures that all entities are properly licensed through coordination with the licensing unit. If deemed appropriate we may initiate administrative action to enforce compliance with statues and regulations.

Administrative Staff Responsibilities:

• Monitors licensing and integrity issues
• Reviews changes to procedures to ensure compliance and integrity
• Reviews licensing issues and recommends appropriate action
• Coordinates section efforts with those of the Audit Section
• Coordinates efforts with the Connecticut State Police Casino Unit
• Gives management direction and office support to the field staff

Field Staff Responsibilities:

• Observes daily count and audits video facsimle machine reveneue
• Observes and reports regarding floor procedures and incidents
• Reviews the logs required to be maintained
• Tests video facsimle machines for approved games and computer chips

Back to Top

GAMBLING REGULATION - LOTTERY SECTION

The mission of the Lottery Section of the Gambling Regulation Unit is to ensure compliance with the appropriate federal and state laws and regulations governing lottery activities: by monitoring the day-to-day operation of the Connecticut Lottery corporation and its on-line games vendor, initiating administrative action to enforce compliance with statutes and regulations; ensuring adherence to approved procedures by conducting on-site inspections of lottery agents on a random basis; to ensure the prohibition against sales to minors is adhered to and information pertaining to pathological gambling is posted, and ensuring all entities associated with this activity are properly licensed.

Administrative Staff Responsibilities:

• Coordinates and reviews testing of new instant and on-line games
• Reviews all procedures for integrity issues
• Develops appropriate regulations
• Reviews all denials of lottery agent applications
• Coordinates compliance meetings and appeals of denied licenses

Floating Staff Responsibilities:

• Conducts on-site inspections of lottery computer center and lottery headquarters
• Reviews licensing issues
• Conducts on-site inspections of 3000+ lottery agents to:
  • Review licensing issues and licensing information on file
  • Review prohibition on minors
  • Ensure availability of compulsive gambling literature

Back to Top

GAMBLING REGULATION - OFF TRACK BETTING/SIMULCASTING SECTION

The mission of the Off Track Betting/Simulcasting Section of the Gambling Regulation Unit is to ensure compliance with the appropriate federal and state laws governing off-track betting and simulcasting by monitoring the day-to-day activities of the various associations involved in these activities, by maintaining an on-site presence at the larger simulcast facilities and the totalizator computer room and conducting random visits to the smaller facilities; to ensure no minors are present at any facility and information pertaining to pathological gambling is posted; initiating administrative action to enforce compliance with statutes and regulations; and ensuring that all entities associated with this activity are properly licensed.

Administrative Staff Responsibilities:

• Reviews and approves OTB contracts with tracks and frontons
• Develops regulations
• Monitors licensing and integrity issues
• Monitors Tote problems, manual merges, and commingling
• Coordinates testing and introduction of new wagers and proposition wagers
• Coordinates compliance meetings, show cause and patron re-instatement hearings
• Reviews and approves simulcasting contracts of Pari-mutuel products

OTB/Simulcasting On-site Staff Responsibilities:

• Oversees daily operations of telephone betting and the Sports Haven (New Haven) and Bradley Teletheater (Windosr Locks) simulcast facilities

Judges Responsibilities:

• Ensure the proper close of betting on over 200 horse and greyhound races per day
• Reviews entries of up to 32 tracks per day
• Oversees the operation of the totalizator system

Floating Staff Responsibilities:

• Conduct on-site inspections and oversees daily operation of five (5) OTB non-simulcast branches and six (6) simulcast branches, including privately operated branches.

Back to Top

GAMBLING REGULATION - GREYHOUND RACING

The mission of The Greyhound Section of the Gambling Regulation Unit is to ensure compliance with the appropriate federal and state laws governing greyhound racing by monitoring the day-to-day activities of the various associations involved in this activity; by maintaining an on-site presence; to ensure no minors are present at any facility and that information pertaining to pathological gambling is posted; initiating administrative action to enforce compliance with statutes and regulations; and ensuring that all entities associated with this activity are properly licensed.

Administrative Staff Responsilbities:

• Coordinates collection and deposit of pari-mutuel taxes
• Provides support and direction to field staff
• Investigates complaints by the public
• Interprets regulations and statutes
• Coordinates the testing of pari-mutuel computer systems
• Reviews simulcasting activities for compliance with federal and state regulations
• Reviews promotional activities for regulatory compliance
• Reviews and approves wagering rules
• Reviews criminal background history for license applicants, referring for revocation or denial
• Conducts administrative hearings on licensing issues
• Acts as liaison with association officials on regulatory matters

Field Staff Responsibilities:

• Assures operations are conducted in accordance with rules of racing
• Checks tattoos and physical characteristics for proper identification of racing greyhounds
• Reviews entries against national registry for verification of greyhound ownership
• Oversees the draw of entries for each racing program
• Collects specimens for laboratory analysis, maintaining chain of custody
• Conducts administrative hearings for regulatory violations, assessing fines
• Judge races to determine "Official" order of finish
• Presides on board of administrative judges
• Inspects kennels
• Coordinates with Division veterinarian and Department of Agriculture as necessary
• Checks all persons associated with racing for appropriate licensure
• Responds to inquiries from the public and resolves or refers complaints
• Assures that minors and ejectees are not in attendance

Back to Top

INTEGRITY ASSURANCE/TECHNICAL SERVICE

The mission of the Integrity Assurance/Technical Services Unit is to ensure that the wagering, financial reporting and internal control systems used by entities and organizations involved with legalized gambling within the state of Connecticut and the federally recognized Tribal Nations within the State operate with probity, in support of the Division of Special Revenue’s overall mission. We accomplish our mission by providing a range of services designed to support the Division’s monitoring and educational objectives, including audits and financial reviews; tests of wagering systems; accounting and financial reporting; and information systems, including program development, network administration, Web site development, maintenance, and operations. We assure public confidence in the wagering and financial systems of each legalized gaming entity and the highest quality benefit to the State.

The Integrity Assurance/Technical Services Unit has three basic functions, integrity assurance, revenue accounting and information systems. The unit’s sections contribute to these functions in a variety of ways:

• Integrity Assurance
  • Audit Sections
    • Casino Audit

      This section reconciles information provided by each casino’s auditing department to information obtained by on-site Division staff (members of the Gambling Regulation Unit) regarding monies removed from slot machines and the on-line accounting system. Staff spends two to three days a month on-site auditing each casino and audits the support documentation regarding deductions from the gross slot machine win.

      Reviews applications for licenses and license renewals for Class II licensees and gaming service enterprises, including financial information and tax returns. Also reviews various financial filings as required by the tribal agreements, including the annual audit reports of each casino’s independent auditors. Reviews independent gaming laboratory reports on video facsimile machines.

      Reviews changes to the casinos' standards of operation and management as submitted by each tribe's gaming commission.

    • Lottery/Pari-mutuel Audit Sections

      These sections review financial information for licensees, including kennel owners, and perform compliance and financial audits for Division licensees. These audits include annual audits of the three association licensees, which are the off-track betting (OTB) operator and the two greyhound racing tracks.

      The members of these sections also test the Lottery and OTB computer systems and the pari-mutuel totalizator system when new systems, games, wagers, etc. are introduced. They assist in Division and Connecticut State Police investigations of licensees.

  • Accounting Sections
    • Charitable Games Accounting

      Charitable Games Accounting accounts for registration and permit fees, sealed ticket revenue, bingo regulation fees and the verification of financial documents submitted by permitees.

    • Pari-mutuel Accounting

      On a daily basis, the Pari-mutuel Accounting Section ensures that the state is receiving the proper tax payments from the OTB operator and greyhound racetracks. This section also ensures that payments are made to the state's General Fund, to each municipality that has a pari-mutuel facility within its borders and to the Chronic Gamblers Treatment program.

• Technical Services
  • Network Administration
    • Network and Desktop Support

      Network Administration oversees the Division's computer network and provides support for all users' computer hardware, including desktops, laptops, and printers. This section also supports DOSR employees who are located in the field (e.g., at the casinos, at Sports Haven, etc.) to provide access to e-mail, the Internet and the Division’s computer network.

    • Web Site

      The Web Section oversees the Division's external and internal Web sites. It updates and adds information to these sites as directed by the Division's Web Site Committee.

  • Applications
    • Database Administration

      The Database administer manages all facets of the Division's databases. The most prominent parts of the database are the Licensing system and Charitable Games permitting system.

    • Systems Developer Section
      

      The Systems Developer Section writes computer programs for use by Division employees. It supports the Licensing and Charitable Games permitting systems.

    • Client Service Center

      The Client Service Center receives requests from users regarding problems they are having with the computer system and either handles the issues or directs them to an IT professional.

Back to Top

ADMINISTRATIVE HEARINGS SECTION

The mission of the Administrative Hearings section is to ensure that the Division’s hearing process is conducted in accordance with all applicable statutes, regulations, and Tribal-State agreements.

We accomplish our mission by affording all individuals and entities entitled to a compliance meeting or hearing due process through a fair and objective forum. We provide all parties the opportunity to present evidence and testimony addressing statutory and regulatory violations to determine suitability of applicants, licensees, permittees and patrons, resulting in a fair and reasonable determination of the matter.

By abiding by these principles, we guarantee the highest degree of integrity in the hearing process. We serve an integral role in the Division’s regulation of all forms of legalized gambling in the State, ultimately protecting the gaming public.

Administrative Hearings Section Role:

• Provide day-to-day legal advice to the Executive Director and Deputy Executive Director and other units to assure agency action is in compliance with our own regulations and state and federal statutes.
• Freedom of Information requests responses and providing information under staturoty requirements.
• Assuring license applicants or licensees, and Division permittees, guaranteed due process and the opportunity to be heard in a fair and impartial forum through:
  • Compliance Meetings
  • Show Cause Hearings
  • Gaming Policy Board Appeals
• Assuring compliance with the Uniform Administrative Procedures Act
• Interpretation for the agency and in response to Freedom of Information requests of Indian gaming issues in accordance with the Tribal-State compacts and procedures.

Back to Top

SECURITY SECTION

The mission of the Security Unit is to continuously monitor, review and aggressively regulate operations of all legalized gaming venues in the State, through focusing efforts on overt and covert surveillance, intelligence gathering, uncompromising enforcement of Federal/State Statutes and regulations, coordinating investigative/ background investigation efforts with State Organized Crime Investigative Task Force and the Casino Unit of the Connecticut State Police, in addition to providing timely responses to complaints, allegations and incidents.

Objectives:

• Foster gaming integrity through continuing surveillance, regulation, and enforcement.
• Safeguard personnel, equipment, facilities, materials and documents against threats, theft, or damage.
• Immediate response to complaints thereby maintaining public confidence in legalized gaming operations.
• Assurance that all gaming license applicants are free from any financial, criminal, or other entanglement that could pose a security risk, or be "Inimical" to the mission of the Division of Special Revenue and to legalized gambling within the State of Connecticut.

Duties:

• Initiate surveillance and intelligence gathering operations to detect illegal or prohibited activities in and around gaming venues.
• Perform overt and covert investigations associated with the full range of complaints involving legalized gambling operations.
• Oversee all lottery related drawings.
• Conduct background investigations on all gaming applicants and coordinate efforts with other law enforcement agencies to determine applicants suitability for gaming license.
• Perform random inspections of all gaming facilities and lottery retailers.

Unit Interaction:

• All units within the Agency
• Connecticut State Police
  • Organized Crime Task Force
  • Casino Unit
  • Background Investigation Unit
• Chief State's Attorney's Office
• Attorney General's Office
• Judicial Courts
• Local Police Departments
• State and Local Tax Departments
• Liquor Control Commission
• Consumer Protection
• Secretary Of State
• U.S. Postal Inspectors
• U.S. Federal Bureau of Investigation (F.B.I.)
• Law enforcement agencies from other U.S. States and Canada

Back to Top