NTGC/R Spring Conference

1. NTGC/R Spring Conference ELECTRONIC LICENSING PROCESS MOHEGAN TRIBAL GAMING COMMISSION

2. Background • Tribal-State of Connecticut Compact signed in 1994 • Compact regulates Class III gaming; Class II gaming left to the Tribe • Section 5 covers licensing of employees • Additional Tribal Ordinances support the Mohegan Tribal Gaming Commission licensing of employees and regulation of gaming • An internal management process had to be created to manage the licensing records for 3,000 (now 10,000) employees

3. Background • There was no electronic component to the licensing process. All steps were manually conducted. • Fingerprints • Photo • Signature • License badge • Personal History Disclosure (PHD - licensing application) • Four types of licenses were issued on Day 1 • Key (Class II) • Gaming (Class IA) • Non Gaming (Class I) • Commission (Class C)

4. Introduction to the Process • The steps taken to get a license • Applicant is interviewed for position by HR • Applicant passes interview and is given a PHD • Applicant completes PHD • Applicant visits a Licensing Specialist to review the PHD • Photo, signature and fingerprints taken; PHD scanned • PHD passed to Commission Investigator for background check • For State license, PHD sent to State of Connecticut for final acceptance • For Commission license, Applicant approved for license by Commission

5. Applicant completes PHD

6. Applicant visits a Licensing Specialist to review the PHD

7. Photo, signature and fingerprints taken; PHD scanned

8. PHD passed to Commission Investigator for background check

9. Employee is granted a license and reports to work

11. You want to avoid this happening to you!!

12. Risk Associated with the Process • Accountability (Loss) of Applicant's record • Skipping over a step – causes process delays • Incomplete Applications • Loss of visibility of an Applicant’s status • Blame Game • State of Connecticut involvement

13. Initial Efforts to Automate • The Turtle database • Licensing Automation System (LAS) • Failure to Launch derivative

14. Initial Efforts to Automate • The Turtle • Pros • Easy to use • Excel database provided basic information on licenses of employees • Cons • No automation of photo and signature • Located employee in Turtle database, then had to locate paper file in filing cabinet • Termed files kept in separate room from active files • Access delayed in obtaining licensing file

16. Initial Efforts to Automate • Licensing Automation System (LAS) • Pros • Automated the photo, signature • Scanned PHDs • Easy access for Investigators & Inspectors • Data available in one place • Cons • Interface lacking with State of Connecticut • Lotus Notes limitations (relational database) • Limitations of custom built application • Cost of system • Development time – initial & follow up

19. Initial Efforts to Automate • The Failure to Launch derivative • Pros • Seamless interface with the casino HR applications • Cons • Very rigid workflow structure • Vendor promised it would be Customizable • Required Applicant to type in personal data • Concerns by State of Connecticut over validity of information in the file • Two year development time line!

20. Description of Chosen Solution • Needed a system that: • user friendly • interface with casino HR database • provide ease of access • be built to reflect our licensing workflow • be changed without major programming • set multiple security levels for display of data • display and control of data

21. Software Selection Process • Tribal Net visit • Document Management System integration • Adaptability to a Document Management System solution • SharePoint consideration • Market Scan • Final Choice

22. License Process Definition

23. Commission License Work Flow

24. Major Steps in the Process • Applicant completes Licensing Application • Interview with Licensing Specialist • Investigator background check • Licensed by Commission OR • Set up for a Hearing with the Commission • Employee starts work/ Employee is rejected

25. State Gaming License Work Flow

26. Major Steps in the Process • Applicant completes Licensing Application • Interview with Licensing Specialist • Investigator background check • Commission holds a Hearing • License forwarded to State of Connecticut for approval/disapproval • Employee starts work/ Employee is rejected

27. Technology Enhancements • Reduction in paperwork – benefit • Time saving on delivery process – streamlined • Physical space issues disappear • Connectivity of users • Case Management capability of the system • Tracking of the licensing files • Quick, professional and accurate work by developer • Confidence by user • Translates to customer satisfaction • Ease of transition to new system • Ability to allow interface with the State of Connecticut • Transparent for all users

28. Timeframe to Implement • Budget implications • Document Management solution window • Needed in 2nd Qtr, FY 2009 • RFP developed • 90 day development period • Project initiated • System activation on March 5, 2009

29. Process Improvements • Location of offices is irrelevant now • Web enabled – allows actions from any PC, anywhere • Staffing flexibility on license applications – not tied to a single Reviewer or Investigator • License processing moves through the critical path quicker • Off site storage expenses can be reduced • Paper license applications can be scanned into this new system • Not dependent upon key person in the link – others can take a file and action it through the process

30. Process Improvements • Benefits of reporting information to users • Can see where the license application is in each step of the process • Statistics on productivity of employees • Alien immigration reporting • License renewal process • Fire, flood and theft • Higher level of security – limitations on who can see what in a file • Future audits will prove more stringent control over the data

31. State of Connecticut Interface • Web enabled solution eliminates separate computer set up at State offices • Reduces faxes and spreadsheets sent from the State of CT to our offices • You have live data not dated data

32. QUESTIONS

33. Screen Shots