CMP.1.5.060 Licenses for Key Employees and Primary Management Officials
(a) Procedures for Conducting Background Investigations. For the purpose of this section, the following definitions apply:
(1) "Key Employee" means a person who performs one or more of the following functions:
(A) Bingo Caller;
(B) Counting room supervisor;
(C) Chief of security;
(D) Custodian of gaming supplies or cash;
(E) Floor manager;
(F) Pit boss;
(G) Dealer;
(H) Croupier
(I) Approver of credit;
(J) Custodian of gambling devices including persons with access to cash and accounting records within such devices;
(K) If not otherwise included, any other person whose total cash compensation is in excess of fifty thousand dollars ($50,000.00) per year;
(L) If not otherwise included, the four most highly compensated persons in the gaming operation;
(M) If not otherwise included, all security guards, all directors, and auditors; or
(N) Any other gaming employee the Tribe designates.
(2) "Primary Management Official" means:
(A) A person having responsibility for a management contract; and/or any person who has authority:
(i) To hire and fire employees; and/or
(ii) To set up working policy for the gaming operation; and/or
(iii) The chief financial officer or other person who has financial management responsibility.
(iv) Any other gaming employee the Tribe designates.
(b) Application Forms.
(1) The following notice shall be placed on the application form for a key employee or a primary management official before that form is filled out by an applicant:
"In compliance with the Privacy Act of 1974, the following information is provided: Solicitation of the information on this form is authorized by 25 U.S.C. § 2701 et seq. The purpose of the requested information is to determine the eligibility of individuals to be granted a gaming license. The information will be used by the Tribal gaming regulatory authorities and by the National Indian Gaming Commission (NIGC) members and staff who have need for the information in the performance of their official duties. The information may be disclosed by the Tribe or the NIGC to appropriate Federal, Tribal, State, local, or foreign law enforcement and regulatory agencies when relevant to civil, criminal, or regulatory investigations or prosecutions or when pursuant to a requirement by a tribe or the NIGC in connection with the issuance, denial, or revocation of a gaming license, or investigations of activities while associated with a tribe or a gaming operation. Failure to consent to the disclosures indicated in this notice will result in a tribe's being unable to license you for a primary management official or key employee position."
(2) Existing key employees and primary management officials shall be notified in writing that they shall either:
(A) Complete a new application form that contains a Privacy Act notice; or
(B) Sign a statement that contains the Privacy Act notice and consent to the routine uses described in that notice.
(3) The following notice shall be placed on the application form for a key employee or primary official before that form is filled out by an applicant:
"A false statement on any part of your license application may be grounds for denying a license or the suspension or revocation of a license. Also, you may be punished by fine or imprisonment (U.S. Code, Title 18, §1001)."
(4) The Gaming Commission shall notify in writing existing key employees and primary management officials that they shall either:
(A) Complete a new application form that contains a notice regarding false statements; or
(B) Sign a statement that contains the notice regarding false statements.
(5) All application forms shall be accompanied by an application fee paid by the applicant according to a schedule approved by the Board.
(c) Background Investigations.
(1) The Gaming Commission will conduct Background Investigations of key employees and primary management officials as well as felony waiver petitioners. The Gaming Commission shall request from each primary management official, key employee and petitioner for felony waiver (see Section CMP.1.5.050 of this ordinance) all of the following information:
(A) Full name, other names used (oral or written), social security number(s), birth date, place of birth, citizenship, gender, all languages (spoken and/or written);
(B) Currently and for the previous 5 years: Business and employment positions held, ownership interests in those businesses, business and residence addresses, and driver's license numbers;
(C) The names and current addresses of at least three (3) personal references, including one (1) personal reference who was acquainted with the applicant during each period of residence listed under Section CMP.1.5.060(c)(1)(B) above;
(D) Current business and residence telephone numbers, and all cell phone numbers;
(E) A description of any existing and previous business relationships with other Indian Tribes, including ownership interests in those businesses;
(F) A description of any existing and previous business relationships with gaming industry generally, including ownership interests in those businesses;
(G) The name and address of any licensing or regulatory agency with which the person has filed an application for a license or permit related to gaming, whether or not such license or permit was granted;
(H) For each felony for which there is an ongoing prosecution or a conviction, the charge, the name and address of the court involved, and the date and disposition, if any;
(I) For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor traffic violations), within 10 years of the date of the application, the name and address of the court involved and the date and disposition, if any;
(J) For each criminal charge (excluding minor traffic charges), whether or not there is conviction, if such criminal charge is within 10 years of the date of application and is not otherwise listed pursuant to Section CMP.1.5.060(c)(1)(H) or Section CMP.1.5.060(c)(1)(I), the criminal charge, the name and address of the court involved and the date of disposition, if any;
(K) The name and address of any licensing or regulatory agency with which the person has filed an application for an occupational license or permit, whether or not such license or permit was granted;
(L) A current photograph;
(M) Any other information the Tribe deems relevant; and
(N) Fingerprints consistent with procedures adopted by the Tribe according to 25 C.F.R. § 522.2 (h). The Gaming Commission is hereby designated as the law enforcement agency responsible for taking fingerprints and conducting a criminal history check pursuant to Section CMP.1.5.060(d)(1)(E) below.
(2) The Gaming Commission shall conduct an investigation sufficient to make a determination under Section CMP.1.5.060(d) below. In conducting a background investigation, the Tribe or its agent shall promise to keep confidential the identity of each person interviewed in the course of the investigation.
(3) The Gaming Commission will follow the procedures outlined in the Section CMP.1.5.060(d) below, in conducting investigations.
(4) When a primary management official or key employee is employed by the Tribe, a complete application file, containing all of the information listed in Section CMP.1.5.060(c)(1) above, shall be maintained.
(d) Procedures for Conducting Background Investigations.
(1) The Gaming Commission, acting through its Executive Director, shall employ or engage an investigator to conduct a background investigation of each applicant for a primary management official or key employee position. The investigation must be sufficient to allow the Gaming Commission to make an eligibility determination under Section CMP.1.5.060(f) below, of this ordinance. The investigator shall:
(A) Verify the applicant's identity through items such as a social security card, driver's license, birth certificate or passport;
(B) Contact each personal and business reference provided in the license application, when possible;
(C) Conduct a personal credit check;
(D) Conduct a civil history check for past or outstanding judgments, current liens, past or pending lawsuits, and any other information deemed to be relevant;
(E) Conduct a criminal history records check by submitting the applicant's fingerprints to the NIGC or to another law enforcement agency for forwarding to the FBI to perform a criminal history records check utilizing the FBI's data base;
(F) Based on the results of the criminal history records check, as well as information acquired from an applicant's self-reporting or from any other source, obtain information from the appropriate court regarding any past felony and/or misdemeanor convictions or ongoing prosecutions within the past 10 years;
(G) Inquire into any previous or existing business relationships with the gaming industry, including with any tribes with gaming operations, by contacting the entities or tribes;
(H) Verify the applicant's history and current status with any licensing agency by contacting the agency; and
(I) Take other appropriate steps to verify the accuracy of the information, focusing on any problem areas noted.
(e) Investigative Reports.
(1) The Tribe shall create and maintain an investigative report for each background investigation of a primary management official or key employee.
(2) Investigative reports shall include all of the following information:
(A) Steps taken in conducting the investigation;
(B) Results obtained;
(C) Conclusions reached; and
(D) The basis for those conclusions.
(f) Eligibility Determination.
(1) Before a license is issued to a primary management official or key employee, the Gaming Commission shall make a finding concerning the eligibility of that person for receiving a gaming license by reviewing the applicant's prior activities, criminal record, if any, and reputation, habits and associations.
(2) If the Gaming Commission, in applying the standards adopted in this ordinance, determines that licensing the person poses a threat to the public interest or to the effective regulation of gaming, or creates or enhances the dangers of unsuitable, unfair or illegal practices, methods and/or activities in the conduct of gaming, he or she shall not license that person in a key employee or primary management official position.
(3) Copies of the eligibility determination shall be included with the notice of results that must be submitted to the National Indian Gaming Commission before the licensing of a primary management official or key employee.
(g) Notice of Results of Background Investigations.
(1) Before issuing a license to a primary management official or key employee, the Gaming Commission shall prepare a notice of results of the applicant's background investigation to submit to the National Indian Gaming Commission.
(A) The notice of results must be submitted to the National Indian Gaming Commission no later than 60 days after the applicant begins working for the Tribe.
(2) The notice of results shall include the following information:
(A) The applicant's name, date of birth, and social security number;
(B) The date on which the applicant began, or will begin, working as a primary management official or key employee;
(C) A summary of the information presented in the investigative report, including:
(i) licenses that have previously been denied;
(ii) gaming licenses that have been revoked, even if subsequently reinstated;
(iii) every known criminal charge brought against the applicant within the last 10 years of the date of the application; and
(iv) every felony offense of which the applicant has been convicted or any ongoing prosecution; and
(D) A copy of the eligibility determination made in accordance with Section CMP.1.5.060(f) above.
(h) Granting Licenses for Key Employees and Primary Management Officials.
(1) All primary management officials and key employees of the gaming operation must have a gaming license issued by the Tribe.
(2) The Gaming Commission is responsible for granting and issuing gaming licenses to primary management officials and key employees.
(3) The Gaming Commission may license a primary management official or key employee applicant after submitting a notice of results of the applicant's background investigation to the National Indian Gaming Commission, as required by Section CMP.1.5.060(g) above.
(4) The Gaming Commission shall notify the National Indian Gaming Commission of the issuance of a license to a primary management official or key employee within 30 days of issuance.
(5) The Tribe shall not employ an individual in a primary management official or key employee position who does not have a license after 90 days of beginning work at the gaming operation.
(6) The Gaming Commission must reconsider a license application for a primary management official or key employee if it receives a statement of itemized objections to issuing such a license from the National Indian Gaming Commission, and those objections are received within 30 days of the National Indian Gaming Commission receiving a notice of results of the applicant's background investigation.
(A) The Tribal Gaming Commission shall take the National Indian Gaming Commission's objections into account when reconsidering a license application.
(7) The Tribe will make the final decision whether to issue a license to an applicant for a primary management official or key employee position.
(8) If the Gaming Commission has issued a license to a primary management official or key employee before receiving the National Indian Gaming Commission's statement of objections, notice and a hearing shall be provided to the licensee.
(i) Denying Licenses for Key Employees and Primary Management Officials.
(1) The Gaming Commission shall not license a primary management official or key employee if an authorized Tribal official determines, in applying the standards in Section CMP.1.5.060(f) above for making a license eligibility determination, that licensing the person:
(A) Poses a threat to the public interest;
(B) Poses a threat to the effective regulation of gaming; or
(C) Creates or enhances the dangers of unsuitable, unfair or illegal practices, methods and/or activities in the conduct of gaming.
(2) When the Gaming Commission does not issue a license to an applicant for a primary management official or key employee position, or revokes a previously issued license after reconsideration, it shall:
(A) Notify the National Indian Gaming Commission; and
(B) Forward copies of its eligibility determination and notice of results of the applicant's background investigation to the National Indian Gaming Commission for inclusion in the Indian Gaming Individuals Record System.
(j) Key Employees and Primary Management Officials License Suspensions and Revocations Following Notice of Employee Eligibility by the National Indian Gaming Commission.
(1) If, after a license is issued to a primary management official or a key employee, the Tribe receives notice from the National Indian Gaming Commission that the primary management official or key employee is not eligible for employment, the Gaming Commission shall do the following:
(A) Immediately suspend the license;
(B) Provide the licensee with written notice of the suspension and proposed revocation; and
(C) Provide the licensee with notice of a time and place for a hearing on the proposed revocation of the license.
(2) The right to a revocation hearing vests only when a license is granted pursuant to this ordinance after approval by the Chairman of the National Indian Gaming Commission.
(3) The Gaming Commission shall notify the licensee of a time and place for a hearing. The Gaming Board of Commissioners shall assist the Executive Director in conducting the hearing on the proposed revocation of a license.
(4) Following a revocation hearing, the Gaming Commission shall recommend following Board review, to the Tribal Governing Board whom shall exercise its authority to revoke or to reinstate a gaming license. The Tribal Governing Board has the authority to adopt the recommendations of the National Indian Gaming Commission or to overturn them and reinstate the license.
(5) The Gaming Commission shall notify the National Indian Gaming Commission of the Tribal Governing Boards decision to revoke or reinstate a license within 45 days of receiving notification from the National Indian Gaming Commission that a primary management official or key employee is not eligible for employment.
(k) Other Suspension Revocation and Non-Renewal of Licenses for Key Employees and Primary Management Officials.
(1) A violation of any applicable ordinance, law, or code of the Tribe or rules promulgated thereunder shall constitute grounds for suspension, revocation, or non-renewal of a gaming license.
(2) Procedures for suspending or revoking a gaming license shall be as follows:
(A) Proceeding to suspend or revoke a key employee gaming license shall be initiated by the Gaming Commission. The notice shall state the alleged violations which constitute the grounds for the proceedings. The Gaming Commission following Board review, may temporarily suspend such license for a period of thirty (30) days while any such proceedings are pending, and shall notify the licensee of the date of the temporary/investigative suspension.
(B) The Gaming Board of Commissioners shall assist the Executive Director in conducting a hearing on a proposed suspension or proposed revocation as soon as practicable should such be requested by the licensee. The Gaming Commission shall issue, in writing, its findings and decision on suspension or revocation to the Tribal Governing Board within ten (10) business days after the hearing. After making a decision on the proposed suspension or proposed revocation, the Tribal Governing Board shall inform the Gaming Commission of its findings and decision. Upon receipt from the Tribal Governing Board, the Gaming Commission shall send a copy of the findings and decision immediately to the licensee. If the Tribal Governing Board suspends or revokes the license, the licensee shall be informed of the effective date of such suspension or revocation. Such decision shall be final.
(C) If the Tribal Governing Board suspends or revokes the license, the licensee shall immediately surrender the license to the Gaming Commission. A licensee whose license has been revoked may reapply for a license one (1) year after the effective date of the revocation. If a license has been suspended, the Gaming Commission shall reinstate the licensee at the end of the period of suspension.
(l) Non-Renewal of a License for Key Employees and Primary Management Officials.
(1) The Tribal Governing Board is under no obligation to renew a gaming license.
(2) A decision by the Tribal Governing Board for non-renewal is a determination that cannot be appealed.
(m) Records Retention.
(1) The Gaming Commission shall retain, for no less than three years from the date a primary management official or key employee is terminated from employment with the Tribe, the following documentation:
(A) Applications for licensing;
(B) Investigative Reports; and
(C) Eligibility Determinations.