296 Neb. Admin. Code, ch. 1, § 296-1.001

Current through September 17, 2024

Section 296-1.001

Throughout this title the following definitions shall apply.

1.001.01"Act" means the Nebraska Racetrack Gaming Act.

1.001.02"Administrative Procedure Act" means the Administrative Procedure Act, Neb. Rev. Stat. §§ 84-901 through 84-920 (1987, Cum. Supp. 1992, Supp. 1993).

1.001.03"Affiliate" a person who directly or indirectly controls, or is controlled by, or is under common control with, a specified person.

1.001.04"Affiliated Authorized Gaming Operator" means Gaming Facilities that are attached by a single management entity (like a parent company).

1.001.05 "Agent of the Commission" means an employee or other person authorized by the Commission to act upon its behalf and under its authority.

1.001.06 "Application" means the total written materials, including the instructions, forms, and other documents issued by the Commission for any category of license and to include the following:

(a) the applicant's responses to the questions or requests for information on such forms;

(b) any related attachments supplementing the applicant's answers to the questions on such forms;

(c) and any supplementary responses, documents or materials resulting from requests for information from the Commission related to such forms, all of which comprise the applicant's request for a license.

1.001.07"Authorized Games" means all Gambling Games approved by the Commission for play in a licensed gaming facility.

1.001.08 "Authorized Gaming Operator" as defined in Neb. Rev. Stat. § 9-1103.

1.001.09"Armed Security Personnel" means security personnel who carry firearms as part of their employment duties within a licensed facility.

1.001.10"Chip" means a representation of value approved by the Commission that is redeemable for cash only at the issuing Authorized Gaming Operator for use at table games or counter games at the Operator's Gaming Facility.

1.001.11"Constant Surveillance" means under continuous observation by at least one fixed camera attached to a continuously recording device and subject to human observation.

1.001.12"Control," when used as a noun, means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a Person or to exercise significant influence over management and policies due to financial investment, assumption of debts or expenses, or other monetary or non-monetary considerations extended to the applicant or Authorized Gaming Operator; when used as a verb, "Control" means to exert, directly or indirectly, such power, or to be in a position to exert such power.

1.001.13"Dedicated Coverage" means camera coverage where the sole function is to view and record a specific area whenever activity is occurring in that area.

1.001.14"Executive Director" means the Commission staff member who reports directly to the Commission.

1.001.15"Excluded Person" Any person whose name appears on any exclusion list in the State of Nebraska, or any person whose name does not appear on an exclusion list, but is excluded or ejected from areas where gaming is conducted pursuant to the law.

1.001.16"Gambling Game", means any game approved by the Commission for wagering, including, but not limited to, gambling games authorized by this title.

1.001.17"Gaming Agent" is a Commission employee who is responsible for on-site enforcement of the Act, this title, and other regulatory responsibilities as assigned by the Commission.

1.001.18"Gaming Employee" an employee of an Authorized Gaming Facility Operator who:

(i) is directly connected to the operation or maintenance of Gambling Games; or

(ii) provides security in a Gaming Facility; or

(iii) has access to a restricted area of a Gaming Facility; or

(iv) is connected with the operation of a Gaming Facility; or

(v) is so designated by the Commission.

1.001.19"Gaming Employee License" means a license issued to a Gaming Employee by the Commission.

1.001.20"Gaming Floor" is the portion of the Licensed Racetrack Enclosure where an Authorized Gaming Operator conducts Gambling Games.

1.001.21"Gaming Facility" means the area within a Licensed Racetrack Enclosure that has been set aside for the conducting of Gambling Games by an Authorized Gaming Operators and related activities with limited access to Patrons of twenty-one (21) years of age or older.

1.001.22"Gaming-Related-Vendor" means any person required to be licensed by the Commission to provide goods or services related to the conduct of gaming.

1.001.23"Independent Financial Institution" means a bank approved to do business in the State or an insurance company admitted to transact insurance in the State of Nebraska with an Insurance Rating of "A" or other equivalent rating from an insurance rating company approved by the Commission.

1.001.24"Independent Testing Laboratory" means a laboratory with a national reputation for honesty, independence, competence, and timeliness that is demonstrably competent and qualified to scientifically test and evaluate devices for compliance with the Act and to otherwise perform the functions assigned to it in the Act, which has been certified by the Commission. An Independent Testing Laboratory will not be owned or Controlled by a Racetrack Operator Licensee, the State, or any Manufacturer, supplier or operator of Gaming devices.

1.001.25"Internal Controls" means the internal procedures, administration, and accounting controls designed by the Authorized Gaming Operator, that have been approved by the Commission, for the purpose of exercising control over the gambling operation and its assets.

1.001.26"Key employee" means any executive, employee, agent, or other individual who has the power to exercise significant influence over decisions concerning any part of the operation or a person who has applied for or holds a Gaming Operator, Management Company, or Gaming-Related Vendor license or the operation of a holding company of a person that has applied for or holds a Gaming Operator, Management Company, or Gaming-Related Vendor license, including:

(1) An officer, director, trustee, partner, or an equivalent fiduciary;

(2) An individual who holds a direct or indirect ownership interest of five per cent or more;

(3) An individual who performs the function of a principal executive officer, principal operating officer, principal accounting officer, or an equivalent officer;

(4) Any other individual the Commission determines to have the power to exercise significant influence over decisions concerning any part of the operation.

1.001.27"Key Person" means any of the following entities:

(1) An officer, director, trustee, partner, or proprietor of a person that has applied for or holds an Authorized Gaming Operator license, Gaming Facility license, or supplier license or an affiliate or holding company that has control of a person that has applied for or any such license.

(2) A person that holds a combined direct, indirect, or attributed debt or equity interest of more than 5% in a person that has applied for or holds an Authorized Gaming Operator license, Gaming Facility license, or supplier license.

(3) A person that holds a combined direct, indirect, or attributed equity interest of more than 5% in a person that has a controlling interest in a person that has applied for or holds an Authorized Gaming Operator license, Gaming Facility license, or supplier license.

(4) A managerial employee of a person that has applied for or holds an Authorized Gaming Operator license, Gaming Facility license, or supplier license in this state, or a managerial employee of an affiliate or holding company that has control of a person that has applied for or holds an Authorized Gaming Operator license, Gaming Facility license, or supplier license in this state, who performs the function of principal executive officer, principal operating officer, principal accounting officer, or an equivalent officer.

(5) A managerial employee of a person that has applied for or holds an Authorized Gaming Operator license, Gaming Facility license, or supplier license, or a managerial employee of an affiliate or holding company that has control of a person that has applied for or holds an Authorized Gaming Operator license, Gaming Facility license, or supplier license, who will perform or performs the function of gaming operations manager, or will exercise or exercises management, supervisory, or policy-making authority over the proposed or existing gambling operation, casino operation, or supplier business operations in this state and who is not otherwise subject to occupational licensing in this state.

(6) Any individual or business entity so designated by the Commission or Executive Director.

(7) An institutional investor is not a key person unless it has a controlling interest or fails to meet the standards for waiver of eligibility and suitability requirements for qualification and licensure under these rules.

1.001.28"Kiosk" means an automated device that may be used for voucher processing and other automated functions as approved by the commission. For sports wagering a kiosk is also commonly used for the placement and redemption of sports bets.

1.001.29"Management Company" means an organization retained by an Authorized Gaming Operator to manage a Gaming Facility and provide services such as accounting, general administration, maintenance, recruitment, and other operational services.

1.001.30"Manufacturer" means a Person who is licensed by the Commission as a Gaming-Related-Vendor to manufacture, fabricate, assemble, produce, program, refurbish, or make Modifications to any Gaming Device or Component thereof, or associated Program Storage Device for sale, lease, distribution, use or play by an Authorized Gaming Operator in the State of Nebraska.

1.001.31"Minimum Internal controls Standards (MICS)" the minimum standards adopted by the Commission for the internal controls of an authorized gaming operator.

1.001.32"Patron" is any person, other than an employee or a vendor, who has entered the Licensed Gaming Premises of the Gaming Facility Authorized Gaming Operator for a commercial purpose.

1.001.33"Person" means any individual, partnership, corporation, or other association or entity.

1.001.34"Program Storage Device" means an EPROM (Erasable Programmable Read-Only Memory), hard drive, DVD, CD-ROM or other storage medium which is used for storing program instructions in a Gaming Device, system or other associated equipment.

1.001.35"Progressive Controller" The hardware and software that controls all communications within a progressive game link and its associated progressive meter.

1.001.36"Progressive Game" a computerized system linking electronic gaming devices within one or several Gaming Facilities and offering one or more common progressive payouts based on the amounts wagered.

1.001.37"Provisional License means a restricted license that is given to an individual or entity that has not yet met all the requirements, including a completed background investigation, but allows the person or entity to perform for a limited amount of time as though fully licensed.

1.001.38"Reserve" means an account with an independent financial institution or brokerage firm consisting of cash, qualified investments, or other secure funding method approved by the Executive Director used to satisfy periodic payments of prizes.

1.001.39"Soft Count" means the physical counting of currency after it has been removed from Gaming Device or Kiosk.

1.001.40 "Sports wagering services provider" means a Gaming-Related-Vendor who maintains or operates the software or hardware of a sports wagering system or facilitates sports wagering by providing a service, including data aggregation, risk management, Computerized wagering service, furnishing information, and setting of odds;

1.001.41"Surveillance Operator" a Gaming Employee who has been trained to operate the Authorized Gaming Operator's surveillance equipment. No employee who carries out any duties that are required to be under surveillance may act as a Surveillance Operator.

1.001.42"Voucher" means a printed record, or digital representation thereof, issued by a Gaming Device or Kiosk that may be used to fund a wager or may be redeemable for cash.

1.001.43"Vendor" means a Person who sells or leases non-gaming goods and/or services to an Authorized Gaming Operator.

1.001.44"Wager" means an act of betting a sum of money on a Gambling Game.

1.001.45"Winnings" means the amount due a winning Patron as a result of a legitimate Wager; "Winnings" are based on a single winning transaction on a Gambling Game or other single transaction that entitles the winning Patron to money, a prize, or other award.

296 Neb. Admin. Code, ch. 1, § 296-1.001

Adopted effective 5/16/2022

Amended effective 2/1/2023