Chapter 3772-1 General Provisions
(A) Except as provided in paragraph (B) of this rule, the words and terms defined in section 3772.01 of the Revised Code are used in the rules adopted thereunder as defined in that section .
(B) The following words and terms, when used in agency 3772 of the Administrative Code, shall have the following meanings, unless the context clearly indicates otherwise:
(1) "Application" means the total written materials, including the instructions, forms, and other documents issued by the commission, comprising the applicant's request for a license.
(2) "Casino operator" means "casino operator" and "management company" as those terms are defined in section 3772.01 of the Revised Code.
(3) "Chairperson" means the chairperson of the commission.
(4) "Conduct" means to back, promote, organize, manage, carry on, sponsor, or prepare for the operation of casino gaming at a casino facility.
(5) "Control" means the power and ability to exercise authority over, or to direct the management and policies of, another person.
(6) "Indirect interest" means any interest in any other person that is deemed to be held by the holder, not through the holder's actual holdings in the person, but through the holder's holdings in any other person.
(7) "Individual" means any natural person.
(8) "Internal control system" means the administrative and accounting controls designed and utilized by a casino operator or management company for the purpose of exercising control over the casino.
(9) "License" means the complete and approved written document issued by the commission that indicates that an applicant has been chosen for licensure and has met all of the requirements set forth in Chapter 3772. of the Revised Code and the rules adopted thereunder .
(10) "Licensee" means any person who is licensed under the provisions of Chapter 3772. of the Revised Code.
(11) "Provisional license" means a written document issued by the commission that indicates that an applicant for a key employee or gaming employee license has been chosen for temporary licensure in accordance with the requirements and conditions set forth in Chapter 3772. of the Revised Code and the rules adopted thereunder .
(12) "Provisional license period" means any of the following, whichever is the shortest length of time:
(a) The period of time between the issuance of a provisional license and the issuance of a license or the issuance of a notice of intent to deny a license;
(b) Three months from the date of issuance if the commission does not renew the provisional license; or
(c) Six months from the date of issuance if the commission, at its discretion, renews the provisional license.
(13) "Publicly traded company" means a corporation or other legal entity, except a natural person, that:
(a) Has one or more classes of security registered pursuant to section 12 of the Securities Exchange Act of 1934, ( 15 U.S.C. 781 ), or has executed a registration rights statement for registration at a future date; or
(b) Is required to file reports under section 15(d) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78o(d) ); or
(c) Has one or more classes of securities traded in any open market in any foreign jurisdiction or regulated pursuant to a statute of any foreign jurisdiction that the commission determines to be substantially similar to either or both of the aforementioned federal statutes.
(14) "Wager" means a sum of money or thing of value risked in a casino game at a casino facility.
(A) The rules adopted by the commission are done so pursuant to Chapter 3772. of the Revised Code.
(B) The purpose of rules adopted by the commission is to ensure the integrity of casino gaming conducted in the state of Ohio.
(C) The commission shall have exclusive jurisdiction over all matters within the scope of its authority under Chapter 3772. of the Revised Code.
The commission may, under procedures established in Chapter 119. of the Revised Code, adopt, amend or repeal such rules as it deems necessary and proper for the successful and efficient regulation of casino gaming under Chapter 3772. of the Revised Code.
(A) The commission may, in its sole and absolute discretion, waive or grant a variance from the provisions of rules adopted by the commission upon a licensee's or applicants written request, if the commission determines that the waiver or variance is in the best interests of the public.
(B) In granting any waiver or variance authorized by this rule, the commission may impose certain conditions and restrictions with which the requestor must comply . Failure to comply with the conditions or restrictions contained in the approved waiver or variance will immediately render the approval void, and the requestor may be subject to discipline or other formal action as if the waiver or variance had never been granted.
(C) An initial, new, or renewal applicant whose application for licensure has been denied or a licensee whose license has been revoked may not reapply for licensure under Chapter 3772. of the Revised Code for a period of three years from the date of denial or revocation. Upon written request the commission may grant a waiver for reapplication if the requestor can demonstrate that the reason the application was denied or the license was revoked no longer exists or bars suitability for licensure.
(A) The provisions of rules adopted by the commission shall be construed in accordance with generally accepted principles of statutory construction, including those set forth in this chapter.
(B) In the interpretation of any provisions of rules adopted by the commission, any ambiguity shall be resolved in favor of the interpretation that would provide:
(1) The greater assurance of integrity in either the operation or regulation of casino gaming; or
(2) Heightened public confidence in the regulation or regulatory processes relating to casino gaming.
(C) Nothing contained in this chapter shall be so construed as to limit the powers and duties of the commission as provided in Chapter 3772. of the Revised Code or to conflict with any provision of Chapter 3772. of the Revised Code or of any other applicable statute.
(D) If any provision of rules adopted by the commission is held invalid, that holding shall not be construed to invalidate any of the other provisions of the rules.
(A) The commission shall issue a license under Chapter 3772. of the Revised Code, for not more than three years, if the applicant has demonstrated their suitability for licensure by clear and convincing evidence and all other requirements under that chapter and the rules promulgated thereunder have been satisfied.
(B) No license issued under Chapter 3772. of the Revised Code or any administrative rule promulgated thereunder establishes a minimum educational or experiential requirement for licensure.
(A) Unless otherwise required by Chapter 3772. of the Revised Code or any rules adopted thereunder, each casino operator, holding company, and gaming-related vendor shall retain and maintain, in a place secure from theft, loss, or destruction, whether in electronic or other format, accurate, complete, and legible books, forms, records, documents, and stored data relating to its business and accounting operations for at least five years after they are made, including, but not limited to:
(1) Information related to the conduct of casino gaming in this state;
(2) The business and organizational structure;
(3) Correspondence with or by, or reports to or from, the commission or any local, state, or federal governmental agency, foreign and domestic;
(4) Any acquisition, construction, remodeling, or maintenance of a proposed or existing casino facility in this state;
(5) All transactions and other records related to the lease, purchase, installation, operation, maintenance, or repair of gaming-related equipment stored, used, operated, possessed, or otherwise maintained at one or more casino facilities in this state;
(6) Financial statements, accounting records, ledgers, and internal and external audit records;
(7) The personnel files for all employees;
(8) Any materials used to advertise, publicize, or otherwise promote casino gaming occurring in this state; and
(9) Any other books, records or documents the commission or executive director, or duly authorized designee thereof, requires, in writing, to be retained and maintained.
(B) Each casino operator, holding company, and gaming-related vendor shall organize and index all required books, forms, records, documents, and stored data in a manner that enables the commission and its executive director, or duly authorized designee thereof, to locate, inspect, review, and analyze them.
(C) Each casino operator, holding company, and gaming-related vendor shall, upon request, provide the commission or its executive director, or duly authorized designee thereof, with the books, forms, records, documents, and stored data required to be retained and maintained.
(D) Nothing in this rule shall be construed to require disclosure of a record that is protected by the attorney-client privilege as long as the casino operator, holding company, or gaming-related vendor provides the commission with written notification of the record's existence. Any such notification shall also include a general description of the record's contents and the basis for the privilege.