Section GMG.01.15 — Employee Gaming Licenses

(a) Scope of Employee Gaming License. Background and licensing procedures will be no less stringent than those required under current federal regulations. An employee gaming license shall be effective only for the person to whom it is issued and only with respect to the gaming facility specified in the application. Any such license may be transferred to a new gaming facility only upon prior approval of the Commission, upon written request of the licensee identifying the proposed new gaming facility, its location and the proposed gaming operator thereof.

(b) Current and Valid Employee Gaming License Required. Every primary gaming management official and every key employee of any Class II or Class III gaming activity subject to this Ordinance shall possess a current, valid employee gaming license issued by the Tribe. Eligibility for and obtaining a valid employee gaming license is a requirement of continued employment. The General Manager shall not employ persons who refuse to voluntarily cooperate with the licensing process. Any employee receiving an employee gaming license must carry that license upon his or her person during all working hours and must produce the license upon the request of any official with jurisdiction over the gaming activity.

(1) A person seeking an employee gaming license must be at least eighteen (18) years of age. All applicants shall submit an application to the Compliance Department on such form and in such manner as the Commission may require. These gaming applications shall provide the basis for background investigations performed by the Compliance Department and shall be kept confidential.

(2) Such application shall include, but is not limited to the following information:

(A) The applicant's full name, including all other names used (oral or written), current home and work addresses and telephone numbers, social security number (optional), place of birth, date of birth, citizenship and gender, all languages (spoken or written);

(B) Currently and for the previous five (5) years: business and employment positions held, ownership interests in those businesses, business and residence addresses, and drivers' license numbers;

(C) 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 in subsection (B);

(D) Current business and residence telephone numbers;

(E) A description of any existing and previous business relationships with Indian Tribes, including ownership interests in those businesses;

(F) A description of any existing and previous business relationships with the 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 relating to gaming, whether or not such license or permit was granted;

(H) For each gaming offense and for each felony for which there is an ongoing prosecution or a conviction, the name and address of the court involved, the charge, and the dates of the charge and of the disposition;

(I) For each misdemeanor conviction ever received or ongoing misdemeanor prosecution (excluding minor traffic violations) the name and address of the court involved, and the dates of the prosecution and the disposition;

(J) For each criminal charge (excluding minor traffic charges) ever received, whether or not there is a conviction, if such criminal charge is not otherwise listed pursuant to subsections (h) and (i) of this section, the criminal charge, the name and the address of the court involved and the date and disposition;

(K) Any ordinance violation involving crimes against a person, theft, fraud or misrepresentation;

(L) The name and address of any licensing or regulatory agency with which the person has filed an application for an occupational license, permit or certificate, whether or not such license, permit or certificate was granted;

(M) A recent photograph;

(N) Any other information the Commission or its agents may deem necessary and relevant to the licensing process;

(O) Fingerprints consistent with procedures adopted by the Tribe and Section GMG.01.15(d)(1); and

(P) Written permission giving the Commission through the Compliance Department or other duly appointed agent(s) the right to investigate information including but not limited to the applicant's background, including his or her criminal record, civil and criminal judgments, educational record, employment record; military record and credit history.

(3) Each application shall be accompanied by a sworn statement that the applicant will abide by this Ordinance and all other applicable laws.

(4) Each application shall contain or be accompanied by a written statement that the applicant has read and understands the following 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 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 National Indian Gaming Commission 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 gaming management official or key employee position. (Emphasis added.) The disclosure of an applicant's social security number (SSN) is voluntary. However, failure to supply a SSN may result in errors in processing the application.

(5) Each application for an employee gaming license shall, if required, be accompanied by a nonrefundable application fee to be established by the Commission.

(6) Each application shall contain a False Statement notice as follows:

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 a fine or imprisonment (U.S. Code, title 18, section 1001).

(7) If another tribe has previously employed the applicant, the Commission or its agent may request investigative information from the other tribe.

(8) The Commission, its employees and agents, and the Tribe, and its employees and agents, shall follow the confidentiality act. The identity of each person interviewed in the course of an investigation on an applicant for an employee gaming license will be kept confidential, as required by 25 CFR 556.4(c). The background investigation shall include interviews with a sufficient number of knowledgeable people, such as former employers and personal references, so as to insure a comprehensive description of the applicant's character. Compliance Department background investigation files shall be presented to the Commissioners on a need to know basis only.

(9) When a primary management official or key employee is employed by the Tribe, a complete application, with all of the information required under this Section GMG.01.15(c), shall be maintained.

(d) Review Procedure for Employee Gaming License Application. Before issuing employee gaming license, the Commission will follow the procedure set forth below:

(1) Perform or arrange to have performed the necessary background investigation for each primary gaming management official and key employee as required by this Ordinance.

(A) Such investigation shall include contacting each reference provided in the application and taking all appropriate steps to verify the accuracy of information contained in the application.

(B) Fingerprints shall be taken by the Compliance Department.

(C) Fingerprints will then be forwarded to either the State or to the NIGC for processing through the Federal Bureau of Investigation and the National Criminal Information Center to determine the applicant's criminal history, if any.

(D) The Commission may require asset and liability disclosure for key employees and primary gaming management officials to adequately protect the gaming enterprise and determine the suitability of a particular individual for licensing, license renewal or continued suitability for retaining a license.

(2) The Commission, or designated agent thereof, shall create and maintain an investigative report for each background investigation of a primary gaming management official or key employee. The report shall include all of the following information:

(A) Steps taken in conducting the investigation;

(B) Results obtained;

(D) The basis for those conclusions.

(3) Make the required reportings, outlined in Section GMG.01.15(k) and (l), to the NIGC prior to issuing a determination on the findings.

(4) Review the person's prior activities, criminal record, if any, reputation, habits, and associations to make a finding concerning the suitability of an individual for licensing. Certain acts or other incidents may pose a bar to obtaining a gaming license as more fully described in Section GMG.01.15(e). Where the Commission determines that licensing of the person poses a threat to the public interests or to the effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair or illegal practices and methods and activities in the conduct of gaming, a tribal gaming operation shall not employ that person in a key employee or primary gaming management official position.

(5) Provide an opportunity for a hearing on the denial of a license, or for such other cause as the Commission may determine. The Commission's decision on licensing is final although the applicant may petition the Commission for re-hearing in cases where they have new evidence to submit, or where they can demonstrate that the Commission made an error in their decision.

(e) Standards of Suitability. The Gaming Facility shall not employ an individual if there is evidence and documented history of unsuitability or if they pose a threat to the integrity and/or safety of the gaming operation or its employees. The Commission shall create policy regarding additional standards of suitability and the application of those standards. The following minimum standards and criteria shall be applied when determining an individual's suitability to obtain or retain a gaming license from the Commission. These standards may be applied in any case where there is cause to question an individual's suitability, whether the cause arises from an individual's criminal history or from his/her reputation, habits and associations identified during the background investigation process.

(1) Criminal Offenses: The Commission will view suitability for a license as diminishing in direct correlation to the increased severity of the offense or offenses that appear in one's record. The Commission will take into account the severity of the crime and the number of crimes and other offenses that a person's background investigation reveals. Some offenses are identified in the Gaming Ordinance as being an automatic bar to a gaming license. In the event an individual's background investigation reveals a barring offense, they will be denied a gaming license. They may be eligible to apply for, and obtain, a Tribal Gaming Waiver.

(2) Non-Criminal Offenses: In considering suitability where the background contains unconscionable acts, offenses and incidents other than those listed as a bar in the Gaming Ordinance, the Commission will consider any offense, situation or incident that could present a threat to the integrity of the gaming operation or present some threat of harm to the employees or patrons of the gaming establishment. These include but are not limited to violent acts against persons; verified reports or documented evidence of violence against persons without a criminal conviction; dishonest acts against an employee, person or institution with or without a criminal or ordinance violation; any type of verifiable wrong-doing that may present a threat or harm to the gaming establishment, its patrons or employees.

(3) Length of Time Since the Occurrence in Question: The length of time since the date of conviction(s), charge(s), release from incarceration or dismissal from employment for dishonest acts shall be taken into consideration when determining suitability for licensing. Additional arrests within that time span will also be taken into consideration.

(f) Issuance of Provisional Gaming License. A Provisional Gaming License is issued by the Commission to an individual when the following requirements are met:

(1) The Compliance Department has completed a preliminary State criminal background check and informs appropriate human resource department that the individual is eligible for a Provisional License.

(2) The Commission has reviewed the individual's preliminary background check.

(3) The Commission has no notice of suitability concerns at this stage.

(4) The individual is offered employment by the Human Resource Department at the Tribe's gaming facility.

(5) The individual has passed his/her drug test.

(6) The appropriate licensing fees have been paid to the Compliance Department.

(7) The individual has provided fingerprints for his/her file.

(8) The individual has returned a gaming license application to the Compliance Department.

(g) The Provisional Gaming License shall be valid for no longer than (3) months from the date of issuance.

(h) The Provisional Gaming License becomes void upon the receipt of a Primary Gaming License. If after the Compliance Department has completed a full investigation and the Commission finds the individual not suitable for a Primary Gaming License, the Provisional Gaming License shall be revoked and the licensing process shall cease.

(i) The Commission shall not license individuals under the age of eighteen (18), except that, the Tribe may approve summer youth positions provided that those positions do not involve any duties performed within the actual gaming facility. These positions would not be considered "key employee" positions and would be excluded from the licensing process.

(j) Standards for Denial of a Primary Gaming License. The Commission shall not license as a key employee or primary gaming management official in connection with Class II or Class III gaming, any person who:

(1) Is under the age of eighteen (18);

(2) Is currently cited or charged with or has been convicted of or entered a plea of guilty or no contest to: a gambling-related offense, theft, fraud or misrepresentation in any connection, the manufacturing and/or selling of illegal drugs or a violation of any provision of chapters 562 or 565, Wis. Statutes, a rule promulgated by the Lottery Board or Wisconsin Racing Board, or Section GMG.01.21(b). This provision shall not apply if that person has been pardoned by the Governor of the State where the conviction occurred or has been granted a waiver by the Tribal Council pursuant to the Tribal Gaming Waiver policy;

(3) Is currently charged with or has been convicted of or entered a plea of guilty or no contest to any felony, other than those mentioned in Section GMG.01.15(j)(2), within the immediately preceding ten (10) years, unless the Tribal Council waives such restriction pursuant to the Tribal Gaming Waiver policy.

(4) If person has participated in organized crime or unlawful gambling or is a person whose prior activities, criminal record, 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 and 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.

(5) Is found to have intentionally supplied false or misleading material information or has intentionally omitted material information on his/her license application or application for employment.

(6) Provided further that the Commission may, by regulations, add additional limitations and conditions for denial of said license, subject to the approval of the Tribal Council.

(7) Applicant or employee with a Deferred Judgment for a barring offense is ineligible for an Employee Gaming License until such Deferred Judgment is dismissed or applicant or employee is granted a Tribal Gaming Waiver pursuant to the Tribal Gaming Waiver Policy.

(8) Is found to have been convicted of possession and/or use of illegal drugs, unless the Commission deems that the individual does not present a threat to the public interest or threaten the effective regulation and control of gaming during a show-cause hearing.

(9) The applicant or employee violates any part of Section GMG.01.21(b).

(10) The applicant currently holds a valid gaming license from another gaming facility, or has a financial interest in or management responsibility for a gaming related contractor.

(k) Notice of Results of Background Investigations.

(1) Before issuing a Primary Gaming License to a key employee or primary gaming management official, the Commission shall prepare a notice of results of the applicant's background investigation to submit to the NIGC.

(2) The notice of results must be submitted to the NIGC within sixty (60) days after the applicant begins working for the Tribe.

(3) 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 gaming management official or key employee;

(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 suitability determination made by the Commission.

(l) Report to the NIGC.

(1) The Commission may license a primary gaming management official or key employee after submitting a notice of results of the applicant's background investigation to the NIGC as required by Section GMG.01.15(k).

(2) The Commission shall notify NIGC of the issuance of a license to a primary gaming management official or key employee within 30 days of issuance.

(3) Tribe shall not employ an individual in a primary gaming management official or key employee position who does not have a license after 90 days of beginning work at the gaming operation.

(4) If, within thirty (30) days of the submittal of the notice of results of the applicant's background investigation, the NIGC provides the Tribe with a statement of itemized objections to the issuance of a license to a key employee or to a primary gaming management official, the Commission shall reconsider the application, taking into account the objections itemized by the NIGC.

(5) The Commission shall make the final decision whether to issue a license to an applicant for a primary gaming management official or key employee position.

(6) If the Commission has issued a license to a primary gaming management official or key employee before receiving the NIGC's statement of objections, notice and a hearing shall be provided to the licensee per Section GMG.01.15(d)(5).

(7) If a license is not issued to an applicant, the Tribe or the Commission shall:

(A) Notify the NIGC; and

(B) Forward copies of its suitability determination and investigative report (if any) to the NIGC for inclusion in the Indian Gaming Individuals Records System.

(8) With respect to key employees and primary gaming management officials, the Commission or their designee shall retain applications for employment, license applications, reports and suitability determinations for seven (7) years from the date of termination of employment. These records will be made available to NIGC consistent with federal regulations and the State Gaming Commission consistent with the Tribal State Gaming Compact.

(m) Employee Gaming License Badge.

(1) Primary Gaming License. A gaming license badge will be issued to an employee who satisfactorily meets the licensing criteria. The badge shall include but not be limited to the following information:

(A) Photo of the employee;

(B) Identification number assigned by the Compliance Department;

(D) Employee's position title;

(E) License issuance and expiration date (two-year licensing period);

(F) Seal of the Commission;

(G) Signature of a Commission representative;

(H) Color coordination between departments;

(I) Identification of license status as "primary" or "provisional"; and

(J) Return address of the Commission.

(n) Licensing Period. A Primary Gaming License issued pursuant to this Ordinance shall be effective for a period of two years from the date of issuance and shall state on its face the date when the license became effective and the date that it expires. This license shall be subject to periodic as well as annual reviews. A Primary Gaming License shall automatically expire on the date the holder of said license is no longer employed by the Gaming Facility.

(o) Renewals. A holder of a Primary Gaming License shall apply to the Commission for a renewal before his/her Primary Gaming License has expired, updating all information contained in the Renewal Gaming License Application.

(p) Standards for Suspension of Provisional or Primary Gaming License. The Commission may suspend an Employee Gaming License for reasons including but not limited to the following:

(1) The employee has been charged with, convicted of, or entered a plea of guilty or no contest to any offense that may result in a bar to obtaining or retaining a gaming license or any other activity that would injure or pose a threat to the integrity of gaming, or the effective regulation thereof, or enhance the dangers of unfair, unsuitable or illegal gaming practices.

(2) The employee is currently cited or charged with or has been convicted of or entered a plea of guilty or no contest to any misdemeanor involving theft or fraud.

(3) The employee is currently cited or charged with or has been convicted of or entered a plea of guilty or no contest to any felony.

(4) The employee has supplied false or misleading material information or has omitted material information on his/her gaming license application or application for employment

(5) The employee has participated in gaming activity unauthorized by his or her employee gaming license;

(6) The employee's continued employment as a primary gaming management official or key employee of a gaming enterprise or gaming activity poses a threat to the general public;

(7) The employee refuses to comply with any lawful order or directive from the Commission;

(8) The employee has failed to provide the Commission with changes in status of the material originally submitted in their gaming application.

(9) The employee violates any part of Section GMG.01.21(b) "Prohibited Acts" of this Ordinance.

(q) Immediate Suspension. The Commission shall immediately suspend an employee gaming license when they have reason to believe the employee presents a threat to the gaming facility, gaming patrons or to employees of the gaming facility, or when such person threatens the effective regulation, integrity and or assets of the Tribe.

(r) Standards for Revocation of Provisional or Primary Gaming License. The Commission may permanently revoke an employee gaming license, after notice and an opportunity for a hearing, for any of the following reasons:

(1) The employee violates any part of Section GMG.01.21(b) "Prohibited Acts" of this Ordinance.

(2) The employee is currently charged with or has been convicted of or entered a plea of guilty or no contest to a gambling-related offense, theft, fraud or misrepresentation in any connection, or a violation of any provision of chapters 562 or 565, Wis. Statutes, or a rule promulgated by the Wisconsin Department of Administration, Division of Gaming. Is currently charged with or has been convicted of or entered a plea of guilty or no contest to a Felony "Crimes Against Persons". This provision shall not apply if that person has been pardoned by the Governor of the State where the conviction occurred or has been granted a gaming waiver by the Tribal Council pursuant to the Tribal Gaming Waiver Policy.

(3) The employee is currently charged with or has been convicted of or entered a plea of guilty or no contest to any felony, other than those mentioned in Section GMG.01.15(r)(2), within the immediately preceding ten (10) years, unless the Tribal Council waives restriction pursuant to the Tribal Gaming Waiver policy.

(4) The employee has been convicted of, or has entered a plea of guilty or no contest to any offense that is a bar to obtaining or retaining a gaming license or any other activity that would injure or pose a threat to the integrity of the Tribe or its gaming operations, or the effective regulation thereof, or enhance the dangers of unfair, unsuitable, or illegal gaming practices;

(5) The employee has participated in organized crime or unlawful gambling or is a person whose prior activities, criminal record, 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 and 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.

(6) The employee refuses to comply with any lawful request, investigation, order or enforcement action of the Commission regarding his or her gaming license and/or the licensing process.

(7) Provided further that the Commission may, by regulations, add additional limitations and conditions for revocation of said license with Tribal Council approval.

(s) Appeal Rights. The Licensee has the right to appeal any decision of the Commission by filing a Notice of Appeal to the Commission within five (5) working days of the Commission action. Upon receipt of the Notice of Appeal, the Commission shall hold a hearing within fourteen (14) days from the date of the Notice, unless the parties mutually agree upon another date. The hearing shall be governed in all respects in accordance with the tribal law and Commission regulations. The applicant or licensee may petition the Commission for rehearing of a negative hearing result in the event that the applicant or licensee has new information to present to the Commission, or if the applicant or licensee can demonstrate that the Commission made an error in their decision.

(t) NIGC Notice of Gaming License Suspensions and Revocations.

(1) If, after a license is issued to a primary gaming management official or a key employee, the Tribe receives notice from the NIGC that the licensee is not eligible for employment, the Commission shall do the following:

(A) Immediately suspend the license;

(B) Provide the licensee with written notice of the suspension and proposed revocation; and

(2) The right of a revocation hearing vests only when a license is granted under an ordinance approved by the NIGC chair.

(3) Following a revocation hearing, the Tribe shall decide whether to revoke or reinstate the license at issue.

(4) The Tribe shall notify NIGC of its decision to revoke or reinstate a license within 45-days of receiving notification of NIGC that a primary gaming management official or key employee is not eligible for employment.