[Title 25 CFR E]
[Code of Federal Regulations (annual edition) - April 1, 2004 Edition]
[Title 25 - INDIANS]
[Chapter III - NATIONAL INDIAN GAMING COMMISSION, DEPARTMENT OF THE]
[Subchapter E - GAMING LICENSES AND BACKGROUND INVESTIGATIONS FOR KEY]
[From the U.S. Government Publishing Office]
25INDIANS12004-04-012004-04-01falseGAMING LICENSES AND BACKGROUND INVESTIGATIONS FOR KEYESUBCHAPTER EINDIANSNATIONAL INDIAN GAMING COMMISSION, DEPARTMENT OF THE
SUBCHAPTER E_GAMING LICENSES AND BACKGROUND INVESTIGATIONS FOR KEY
EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS
PARTS 550 555 [RESERVED]
PART 556_BACKGROUND INVESTIGATIONS FOR PRIMARY MANAGEMENT OFFICIALS AND
KEY EMPLOYEES--Table of Contents
Sec.
556.1 Scope of this part.
556.2 Privacy notice.
556.3 Notice regarding false statements.
556.4 Background investigations.
556.5 Report to Commission.
Authority: 25 U.S.C. 2706, 2710, 2712.
Source: 58 FR 5813, Jan. 22, 1993, unless otherwise noted.
Sec. 556.1 Scope of this part.
Unless a tribal-state compact allocates sole jurisdiction to an
entity other than a tribe with respect to background investigations, the
requirements of this part apply to all class II and class III gaming.
[58 FR 5810, Jan. 22, 1993, as amended at 58 FR 16494, Mar. 29, 1993]
Sec. 556.2 Privacy notice.
(a) A tribe shall place the following notice 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
employed in a gaming operation. The information will be used by 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 hiring or firing of an employee, the issuance 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 hire you in a primary management official or key employee
position.
The disclosure of your Social Security Number (SSN) is voluntary.
However, failure to supply a SSN may result in errors in processing your
application.
(b) A tribe shall notify in writing existing key employees and
primary management officials that they shall either:
(1) Complete a new application form that contains a Privacy Act
notice; or
(2) Sign a statement that contains the Privacy Act notice and
consent to the routine uses described in that notice.
Sec. 556.3 Notice regarding false statements.
(a) A tribe shall place the following notice on the application form
for a key employee or a primary management official before that form is
filled out by an applicant:
A false statement on any part of your application may be grounds for
not hiring you, or for firing you after you begin work. Also, you may be
punished by fine or imprisonment (U.S. Code, title 18, section 1001)
(b) A tribe shall notify in writing existing key employees and
primary management officials that they shall either:
(1) Complete a new application form that contains a notice regarding
false statements; or
(2) Sign a statement that contains the notice regarding false
statements.
Sec. 556.4 Background investigations.
A tribe shall perform a background investigation for each primary
management official and for each key employee of a gaming operation.
(a) A tribe shall request from each primary management official and
from each key employee all of the following information:
(1) Full name, other names used (oral or written), social security
number(s),
[[Page 878]]
birth date, place of birth, citizenship, gender, all languages (spoken
or written);
(2) Currently and for the previous 5 years: business and employment
positions held, ownership interests in those businesses, business and
residence addresses, and drivers license numbers;
(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 paragraph (a)(2)
of this section;
(4) Current business and residence telephone numbers;
(5) A description of any existing and previous business
relationships with Indian tribes, including 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;
(7) 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;
(8) 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;
(9) 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;
(10) For each criminal charge (excluding minor traffic charges)
whether or not there is a conviction, if such criminal charge is within
10 years of the date of the application and is not otherwise listed
pursuant to paragraph (a)(8) or (a)(9) of this section, the criminal
charge, the name and address of the court involved and the date and
disposition;
(11) 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;
(12) A photograph;
(13) Any other information a tribe deems relevant; and
(14) Fingerprints consistent with procedures adopted by a tribe
according to Sec. 522.2(h) of this chapter.
(b) A tribe shall conduct an investigation sufficient to make a
determination under Sec. 558.2 of this chapter. In conducting a
background investigation, a tribe or its agents shall promise to keep
confidential the identity of each person interviewed in the course of
the investigation.
(c) If the Commission has received an investigative report
concerning an individual who another tribe wishes to employ as a key
employee or primary management official and if the second tribe has
access to the investigative materials held by the first tribe, the
second tribe may update the investigation and update the investigative
report under Sec. 556.5(b) of this part.
Sec. 556.5 Report to Commission.
(a) When a tribe employs a primary management official or a key
employee, the tribe shall forward to the Commission a completed
application containing the information listed under Sec. 556.4(a)(1)-
(13) of this part.
(b) Before issuing a license to a primary management official or to
a key employee, a tribe shall forward to the Commission an investigative
report on each background investigation. An investigative report shall
include all of the following:
(1) Steps taken in conducting a background investigation;
(2) Results obtained;
(3) Conclusions reached; and
(4) The bases for those conclusions.
(c) When a tribe forwards its report to the Commission, it shall
include a copy of the eligibility determination made under Sec. 558.2
of this chapter.
(d) If a tribe does not license an applicant--
(1) The tribe shall notify the Commission; and
(2) May forward copies of its eligibility determination under Sec.
558.2 and investigative report (if any) under Sec. 556.5(b) to the
Commission for inclusion in the Indian Gaming Individuals Record System.
[[Page 879]]
PART 557 [RESERVED]
PART 558_GAMING LICENSES FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT
OFFICIALS--Table of Contents
Sec.
558.1 Scope of this part.
558.2 Eligibility determination for employment in a gaming operation.
558.3 Procedures for forwarding applications and reports for key
employees and primary management officials to the Commission.
558.4 Granting a gaming license.
558.5 License suspension.
Authority: 25 U.S.C. 2706, 2710, 2712.
Source: 58 FR 5814, Jan. 22, 1993, unless otherwise noted.
Sec. 558.1 Scope of this part.
Unless a tribal-state compact allocates responsibility to an entity
other than a tribe:
(a) The licensing authority for class II or class III gaming is a
tribal authority.
(b) A tribe shall develop licensing procedures for all employees of
a gaming operation. The procedures and standards of part 556 of this
chapter and the procedures and standards of this part apply only to
primary management officials and key employees.
(c) For primary management officials or key employees, a tribe shall
retain applications for employment and reports (if any) of background
investigations for inspection by the Chairman or his or her designee for
no less than three (3) years from the date of termination of employment.
(d) A right to a hearing under Sec. 558.5 of this part shall vest
only upon receipt of a license granted under an ordinance approved by
the Chairman.
[58 FR 5814, Jan. 22, 1993, as amended at 58 FR 16494, Mar. 29, 1993]
Sec. 558.2 Eligibility determination for employment in a gaming operation.
An authorized tribal official shall review a person's prior
activities, criminal record, if any, and reputation, habits and
associations to make a finding concerning the eligibility of a key
employee or a primary management official for employment in a gaming
operation. If the authorized tribal official, in applying the standards
adopted in a tribal ordinance, determines that employment of 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 and methods and activities in the conduct of gaming, a
management contractor or a tribal gaming operation shall not employ that
person in a key employee or primary management official position.
[58 FR 5814, Jan. 22, 1993, as amended at 58 FR 16494, Mar. 29, 1993]
Sec. 558.3 Procedures for forwarding applications and reports for key
employees and primary management officials to the Commission.
(a) When a key employee or a primary management official begins work
at a gaming operation, a tribe shall:
(1) Forward to the Commission a completed application for employment
that contains the notices and information listed in Sec. Sec. 556.2,
556.3 and 556.4 of this chapter; and
(2) Conduct a background investigation under part 556 of this
chapter to determine the eligibility of the key employee or primary
management official for continued employment in a gaming operation.
(b) Upon completion of a background investigation and a
determination of eligibility for employment in a gaming operation under
paragraph (a)(2) of this section, a tribe shall forward a report under
Sec. 556.5(b) of this chapter to the Commission within 60 days after an
employee begins work or within 60 days of the Chairman's approval of an
ordinance under part 523. A gaming operation shall not employ a key
employee or primary management official who does not have a license
after 90 days.
(c) During a 30-day period beginning when the Commission receives a
report submitted under paragraph (b) of this section, the Chairman may
request additional information from a tribe concerning a key employee or
a primary management official who is the subject of a report. Such a
request shall suspend the 30-day period until the Chairman receives the
additional information.
[[Page 880]]
Sec. 558.4 Granting a gaming license.
(a) If, within the 30-day period described in Sec. 558.3(c) of this
part, the Commission notifies a tribe that it has no objection to the
issuance of a license pursuant to a license application filed by a key
employee or a primary management official for whom the tribe has
provided an application and investigative report to the Commission
pursuant to Sec. 558.3 (a) and (b) of this part, the tribe may go
forward and issue a license to such applicant.
(b) If, within the 30-day period described in Sec. 558.3(c) of this
part, the Commission provides the tribe with a statement itemizing
objections to the issuance of a license to a key employee or to a
primary management official for whom the tribe has provided an
application and investigative report to the Commission pursuant to Sec.
558.3 (a) and (b) of this part, the tribe shall reconsider the
application, taking into account the objections itemized by the
Commission. The tribe shall make the final decision whether to issue a
license to such applicant.
Sec. 558.5 License suspension.
(a) If, after the issuance of a gaming license, the Commission
receives reliable information indicating that a key employee or a
primary management official is not eligible for employment under Sec.
558.2 of this part, the Commission shall notify the tribe that issued a
gaming license.
(b) Upon receipt of such notification under paragraph (a) of this
section, a tribe shall suspend such license and shall notify in writing
the licensee of the suspension and the proposed revocation.
(c) A tribe shall notify the licensee of a time and a place for a
hearing on the proposed revocation of a license.
(d) After a revocation hearing, a tribe shall decide to revoke or to
reinstate a gaming license. A tribe shall notify the Commission of its
decision.
PART 559 [RESERVED]