The Gaming Agency shall require each prospective primary management
official, key employee or work permit employee to submit a sworn application
to the Gaming Agency on the forms and in the manner required by the
Gaming Agency. The application shall include, at a minimum, the forms,
information, and other requirements described hereunder.
A. Application form. The application form shall require, at a minimum,
the applicant to provide the Gaming Agency with the following information:
(1) Full name, other names used (oral or written), social security number(s),
birth date, place of birth, citizenship, gender and all languages
(spoken or written).
(2) Currently and for the previous ten (10) years:
(a)
Business and employment positions held;
(b)
Ownership interests in those businesses;
(c)
Business and residence addresses; and
(d)
Driver's license numbers, including issuing state.
(3) The names and current addresses of at least three personal references, including one personal reference who was acquainted with the applicant during each period of residence listed under Subsection
A(2) of this section.
(4) Current business and residence telephone numbers.
(5) A description of any existing and previous business relationships
with other tribes, including any ownership interests in those businesses.
(6) A description of any existing and previous business relationships
with the gaming industry generally, including ownership interests
in those businesses.
B. Application form notices. The notices set forth below shall be placed
on the front of every application so that the applicant will read
the notices prior to filling out the application form.
Privacy Act Notice
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
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, prosecutions or when pursuant
to a requirement by a tribe or the National Indian Gaming Commission
in 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 being unable to license you for a primary management
official or key employee position.
The disclosure of your social security number (SSN) is voluntary.
However, failure to supply an SSN may result in errors in processing
your application.
False Statements Notice
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, Section 1001).
C. Application form authorizations and acknowledgements. Every application
form shall require the applicant to sign the following authorization
and acknowledgement:
(1) Authorization permitting the Gaming Agency to investigate the applicant's
background, including his criminal and civil records, credit and financial
history, business relationships and activities, records of all previous
license applications, and tax records.
(2) A signed acknowledgement that the applicant consents to the personal
jurisdiction of the Tribe, the Gaming Agency and Commission and the
Tribal Court and that the applicant waives all available defenses
against such jurisdiction.
D. Personal history disclosure. The personal history disclosure shall
require, at a minimum, the following information:
(1) 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, the current status of the application, and whether or not
such license or permit was granted;
(2) A list of all felony charges and dispositions against the applicant,
if any; and for each felony for which there is ongoing prosecution
or a conviction, the charge, the name and address of the court involved,
and the date and disposition (if any), including identification of
any conviction or plea of guilty or no contest to any offense, to
include gambling-related offense, fraud or misrepresentation at any
time;
(3) A list of all misdemeanor charges and dispositions against the applicant,
if any (excluding traffic charges for which incarceration was not
a possible punishment, referred to hereunder as minor traffic charges);
and for each misdemeanor conviction or ongoing misdemeanor prosecution
(excluding minor traffic charges), the name and address of the court
involved and the date and disposition, including identification of
any conviction or plea of guilty or no contest to a gambling-related
offense, fraud or misrepresentation at any time;
(4) For each criminal charge (excluding minor traffic charges), whether
or not there is a conviction, the criminal charge, the name and address
of the court involved, and the date and disposition; and
(5) The name and address of any licensing or regulatory agency with which
the person has filed an application for a business or occupational
license or permit, whether or not such license or permit was granted.
E. Current photographs. The applicant shall submit with the application
one current photograph of the applicant's face of such quality
and size as the Gaming Agency shall require.
F. Personal financial questionnaire. The personal financial questionnaire
shall include a statement of assets and liabilities and shall include,
at a minimum, the following information:
(1) A list of all professional or business licenses the applicant has
applied for, whether or not those licenses where granted, and the
name, address and phone number of the regulatory agency involved.
(2) The personal financial questionnaire shall also include a sworn statement
to be signed by the applicant stating that neither the applicant nor
any member of his immediate family has a past or current financial
interest, other than a salary interest, in any gaming-related activity
or business anywhere. If the applicant has any relative who has such
a relationship, the applicant shall fully disclose his name and the
nature of the relationship.
G. Fingerprint cards. All applicants for a gaming employee license shall
submit one original fingerprint card (via Livescan), which shall be
processed in accordance with the regulations. The Gaming Agency is
hereby designated as the tribal agency authorized to take the fingerprints
of key employees and primary management officials. The Gaming Agency
may also require one or more additional fingerprint cards, which the
Gaming Agency may submit to be processed by any tribal, local or state
agency's criminal history check system, as the Gaming Agency
deems necessary.
H. Other information. The applicant shall complete any other forms and
disclose and submit any and all other information required by Commission
regulations or reasonably requested by the Gaming Agency.
I. Application fees and costs. The applicant shall pay all fees and
costs (if) required by the Gaming Agency to process the applicant's
license application.
The burden of proof to establish eligibility to obtain or maintain
an employee gaming license shall be by clear and convincing evidence,
which burden shall be upon the applicant or licensee, as the case
may be.
The Gaming Agency shall not grant a license to any applicant
for a gaming employee license who:
A. Is a member of the Tribal Council, a Tribal Judge or a tribal law
enforcement officer;
C. Has been convicted of or entered a plea of guilty or no contest to
a gambling-related offense, fraud or misrepresentation;
D. Has within the immediately preceding five (5) years been convicted of or entered a plea of guilty or no contest to any offense not specified in Subsection
C, provided that this provision shall not apply if the applicant has been pardoned by the governor of the state where the conviction occurred or, if the applicant is a tribal member, the applicant has been determined to be a person who is not likely again to engage in any offensive or criminal course of conduct and the public good does not require that the applicant be denied a gaming employee license;
E. Is determined to have participated in organized crime or unlawful
gambling or whose prior activities, criminal records (including a
pattern of convictions), reputation, habits and/or associations pose
a threat to the public interest or to the effective regulation and
control of gaming, or create or enhance the dangers of unsuitable,
unfair or illegal practices, methods and activities in the conduct
of gaming or to the carrying on of the business and financial arrangements
incidental to the conduct of gaming; or
F. Has knowingly and willfully provided materially false and misleading
statements or information to the Gaming Agency or the Commission or
refused to respond to questions material to the suitability determination
that have been asked by the Gaming Agency or the Commission.
G. For purposes of Subsection
D, the term "any offense" shall mean any criminal offense not described in Subsection
C, whether committed in Michigan or any other jurisdiction, that is, or would be, a crime under the provisions of the Michigan Penal Code, Act No. 328 of the Public Acts of 1931, as amended, being MCLA §§ 750.1 to 750.568, or the controlled substance provisions of the Public Health Code, Act No. 368 of the Public Acts of 1978, as amended, being MCLA §§ 333.7101 to 333.7545, or any other criminal offense not specified in Subsection
C involving theft, dishonesty, fraud or misrepresentation arising under the law of Michigan or another state or jurisdiction, that was committed as an adult or prosecuted as an adult offense, and which has not been effectively removed from the employee's criminal record by executive pardon, state court order or operation of law.
H. For purposes of Subsection
C, the term "fraud or misrepresentation" shall mean a criminal offense committed in Michigan or any other jurisdiction involving theft, fraud or misrepresentation, which is a felony or would be a felony if committed in Michigan, and which was committed as an adult or prosecuted as an adult offense, and which has not been effectively removed from the employee's criminal record by executive pardon, state court order or operation of law.
A gaming employee license issued pursuant to this chapter shall
be effective for a period of two (2) years from the date of issuance.
The license shall display on its face the licensee's photograph,
the licensee's name, the gaming establishment at which the employee
is licensed to work, the license number and the date that it expires.
A holder of a gaming employee license shall apply to the Gaming
Agency for a renewal not later than thirty (30) days before the license
expires by completing all forms required by the Gaming Agency. Each
applicant for a license renewal shall revise and supplement the information
provided to the Gaming Agency with the applicant's initial gaming
employee license application on such forms and subject to such requirements
as may be prescribed by the Gaming Agency.
The Gaming Agency shall retain, for no less than three (3) years
from the date a primary management official or key employee is terminated
from employment with the gaming establishment, the following documentation:
A. Application for licensing;
B. Investigative reports; and
C. Eligibility determinations.
Notwithstanding the provisions in the foregoing §
8.5-68A through C, in the event that the Gaming Agency determines that there are grounds to issue a notice of suspension or revocation regarding a licensee who is a primary management official, and such grounds do not involve criminal conduct, the following procedures shall apply in addition to the requirements of this chapter that are consistent with this section:
A. Prior to issuing any notice of suspension or notice of revocation,
the Gaming Agency shall issue a notice for show cause to the licensee.
B. In addition to the notice and hearing requirements set forth in §
8.5-68H, the notice for show cause shall suggest measures the licensee may pursue to resolve the licensing problem.
C. The Gaming Agency shall provide the licensee with an opportunity
to meet with the Executive Director and other Agency representatives
prior to the show-cause hearing to address any questions related to
the hearing. Such meeting shall, except for reasons beyond the control
of the licensee or Gaming Agency representatives, occur within three
(3) business days from the date the licensee receives the notice for
show cause.
D. If the licensing problem is not resolved to the Executive Director's
satisfaction prior to the show-cause hearing, the Commission may proceed
with the show-cause hearing to suspend or revoke the licensee's
license, as warranted, and shall take whatever action it deems appropriate
as a result of the hearing.
The Agency shall create a separate file for each applicant that
includes all forms, documents and information submitted by the applicant
and all background information compiled by the Agency. All reports
obtained from the fingerprint processing shall be incorporated into
the applicant's file. The Agency shall retain such files for
no less than three (3) years from the date of an applicant's
termination from employment and shall make such files available for
inspection by the NIGC upon request. Otherwise, such file shall be
confidential and shall be maintained in such a manner and pursuant
to such procedures as shall safeguard the disclosure of any contents
of the file except as may be authorized by law or with the express
consent of the applicant or licensee.