Chapter 3772-5 Key Employee Licenses

3772-5-01 Key employee license required.

(A) The following persons shall obtain and hold a key employee license:

(1) The following employees, and any employees in similar or equivalent positions, of a casino operator, whose employment relates directly to a casino facility:

(a) Assistant general manager;

(b) Internal audit director;

(c) Regulatory compliance officer;

(d) Chief financial officer or controller, or both;

(e) Information technology director;

(f) Security director;

(g) Slot director;

(h) Gaming operations manager;

(i) General manager;

(j) Human resources manager;

(k) Marketing director;

(l) Surveillance director; and

(m) Table games director.

(2) Executive or managerial employees who perform the functions of principal executive officer, principal operating officer, principal accounting officer, or an equivalent officer of and who have the power to exercise significant influence over a casino operator, management company, or gaming-related vendor or of a holding company that controls a casino operator, management company, or gaming-related vendor;

(3) Officers, directors, trustees, and partners of and who have the power to exercise significant influence over a casino operator, management company, or gaming-related vendor or of a holding company that controls a casino operator, management company, or gaming-related vendor;

(4) Employees of a casino operator, management company, or gaming-related vendor or of a holding company that controls a casino operator, management company, or gaming-related vendor that also hold a direct or indirect ownership interest of more than one per cent in and who have the power to exercise significant influence over such casino operator, management company, or gaming-related vendor or in a holding company that controls a casino operator, management company, or gaming-related vendor;

(5) Any other employee of a casino operator, management company, or gaming-related vendor or of a holding company that controls a casino operator, management company, or gaming-related vendor who the commission determines exercises significant influence over decisions concerning any part of the operations of such casino operator, management company, or gaming-related vendor or of a holding company that controls a casino operator, management company, or gaming-related vendor.

(B) A person employed as a key employee of a casino operator or management company described in paragraph (A)(1) of this rule may not be employed concurrently by a gaming-related vendor, except that a person holding a key employee license may be employed by a licensed management company that is also licensed as a gaming-related vendor.

Replaces: 3772-5-01

Effective: 1/1/2017
Five Year Review (FYR) Dates: 01/01/2022
Promulgated Under: 119.03
Statutory Authority: 3772.03, 3772.033, 3772.01, 3772.13
Rule Amplifies: 3772.01, 3772.13
Prior Effective Dates: 12/27/2011

3772-5-02 Key employee license application, license period, and provisional license.

(A) An applicant for a key employee license must complete and submit the appropriate form(s) required by the commission and pay an application fee and license fee as described in rule 3772-5-03 of the Administrative Code. The applicant must provide the commission with all information and documents that the commission requests. The application fee may be increased in accordance with paragraph (B) of rule 3772-5-03 of the Administrative Code.

(B) A key employee license expires three years after the date of licensure.

(C) An applicant for a key employee license may request renewal of the license by completing and submitting the appropriate form(s) required by the commission and paying an application fee and license fee as described in rule 3772-5-03 of the Administrative Code no less than one hundred twenty days before the expiration of the license. An applicant for a renewal license must provide the commission with all information and documents that the commission requests. The application fee may be increased in accordance with rule 3772-5-03 of the Administrative Code.

(D) All key employees shall undergo a complete investigation at least once every three years as determined by the commission to determine whether each remains in compliance with Chapter 3772. of the Ohio Revised Code and the rules adopted thereunder. The key employee shall bear the costs of any investigation, except that a casino operator that employs the key employee or otherwise requests licensure of the key employee shall pay the investigation costs and that a management company, gaming-related vendor, or holding company otherwise requesting the license on the key employee's behalf may pay the investigation costs.

(E) The Commission may request any other information that would affect the key employee's suitability to maintain a license under Chapter 3772. of the Ohio Revised Code or the rules adopted thereunder. The key employee shall provide all information, documents, and materials at the key employee's sole expense and cost, except that a casino operator that employs the key employee or otherwise requests licensure of the key employee shall pay the costs and that a management company, gaming-related vendor, or holding company otherwise requesting the license on the key employee's behalf may pay the costs.

(F) An individual may apply for a provisional key employee license only by completing and filing the appropriate form(s) required by the commission, providing the commission with all information and documents that the commission requests, paying an application fee and license fee as described in rule 3772-5-03 of the Administrative Code, and providing a written account of the exigent circumstances requiring the issuance of a provisional license. Exigent circumstances shall include conditions of a casino operator, management company, gaming-related vendor, or holding company that requires the employment of the applicant as a key employee prior to the issuance of a plenary key employee license. Upon submission of a complete application, all applicable fees, and a good showing of exigent circumstances, the commission may issue a provisional license. Provisional licenses shall be valid not longer than three months and may be renewed one time. A provisional licensee may request the renewal of a provisional license by filing a written request with the commission no later than ten days prior to the expiration of the provisional license providing a written account of the exigent circumstances requiring the renewal of the provisional license along with an additional license fee as described in rule 3772-5-03 of the Administrative Code.

(G) Pursuant to division (A)(14) and subject to division (C) of section 3772.16 of the Revised Code, information provided in a multijurisdictional personal history disclosure form, including the Ohio supplement, exhibits, attachments, and updates is confidential and not subject to disclosure as a record under section 149.43 of the Revised Code. The applicant should clearly identify those portions of the application that it deems to be confidential, proprietary commercial information or trade secrets. Applications shall be open to public inspection to the extent permitted by sections 149.43 and 3772.16 of the Revised Code.

Replaces: 3772-5-02

Effective: 1/1/2017
Five Year Review (FYR) Dates: 01/01/2022
Promulgated Under: 119.03
Statutory Authority: 3772.03, 3772.033, 3772.13
Rule Amplifies: 3772.09, 3772.13, 3772.15, 3772.16
Prior Effective Dates: 12/27/2011

3772-5-03 Key employee fees.

(A) An applicant for a key employee license shall pay a nonrefundable application fee of two thousand dollars, except that a casino operator that has employed the applicant as a key employee shall pay the application fee and except that a casino operator, management company, gaming-related vendor, or holding company otherwise requesting the license on the key employee's behalf may pay the application fee.

(B) The application fee for a key employee license may be increased to the extent that the cost of the background investigation relating to an applicant exceeds the application fee set forth in paragraph (A) of this rule. The executive director of the commission or his or her designee shall advise the applicant in writing that an additional application fee is required. Once an applicant is directed to submit an additional application fee, the commission will take no additional steps with respect to the application until the increased application fee is paid in accordance with paragraph (D) of this rule.

(C) Upon approval by the commission, an applicant for a key employee license shall pay a nonrefundable license fee of five hundred dollars, except that a casino operator that employes the key employee shall pay the license fee and that a management company, gaming-related vendor, or holding company otherwise requesting the license on they key employee's behalf may pay the license fee.

(D) All fees must be submitted to the commission in the form of a certified check, cashier's check, or electronic funds transfer payable to the treasurer of the state of Ohio.

Effective: 1/1/2017
Five Year Review (FYR) Dates: 10/14/2016 and 01/01/2022
Promulgated Under: 119.03
Statutory Authority: 3772.03, 3772.033, 3772.13, 3772.17
Rule Amplifies: 3772.03, 3772.13, 3772.15, 3772.17
Prior Effective Dates: 12/27/2011

3772-5-04 Duty to update information.

(A) All key employees must submit to the commission, in writing, the following information:

(1) Change of name;

(2) Change of home address;

(3) Change of home telephone number;

(4) Any bankruptcy filed ;

(5) Any arrest, charge, or conviction, or plea of guilty or no contest for any crime or offense occurring in any jurisdiction, excluding minor misdemeanor traffic offenses;

(6) Any inquiry into, investigation of, or action filed by any gaming regulatory agency or governmental gaming authority except for routine renewal application reviews;

(7) Any rejection, suspension, revocation or denial of any gaming-related application or license and any fine, penalty, or settled amount relating to any gaming-related license, imposed upon or agreed to in any jurisdiction;

(8) Any other information that would affect the key employee's suitability to maintain a key employee license under Chapter 3772. of the Revised Code or the rules adopted thereunder.

(B) All information required to be submitted under this rule must include the name and license number, if applicable, of the key employee and be submitted within ten calendar days of the change or occurrence of the event.

Effective: 1/1/2017
Five Year Review (FYR) Dates: 10/14/2016 and 01/01/2022
Promulgated Under: 119.03
Statutory Authority: 3772.03, 3772.033, 3772.05, 3772.10
Rule Amplifies: 3772.05, 3772.10
Prior Effective Dates: 12/27/2011

3772-5-05 Affirmative license standards.

(A) An applicant for a key employee license shall establish, by clear and convincing evidence, the applicant's suitability for licensure.

(B) In determining whether to grant, maintain or renew a key employee license, the commission shall evaluate and consider the following factors, in addition to those factors set forth in Chapter 3772. of the Revised Code:

(1) Whether the individual possesses good character, honesty and integrity;

(2) Whether the individual possesses financial stability, integrity and responsibility;

(3) The criminal history of the individual in any jurisdiction;

(4) Whether and to what extent the individual has associated with members of organized crime and other persons of disreputable character;

(5) Whether the individual has filed or had filed against the individual a proceeding for bankruptcy or has ever been involved in any formal process to adjust, defer, suspend or otherwise resolve the payment of any debt;

(6) Whether the individual has been served with a complaint or other notice filed with any public body regarding a payment of any tax required under federal, state or local law that has been delinquent for one or more years;

(7) The compliance history of the individual with casino-related licensing requirements in this state or any other jurisdiction;

(8) Whether the individual has been a defendant in litigation during the past fifteen years;

(9) The extent to which the individual has cooperated with the agency in connection with the background investigation; and

(10) The extent to which the individual has provided accurate and complete information as required by sections 3772.10 and 3772.13 of the Revised Code.

Effective: 1/1/2017
Five Year Review (FYR) Dates: 10/14/2016 and 01/01/2022
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.03, 3772.07, 3772.10, 3772.13
Prior Effective Dates: 4/1/2012

3772-5-06 Key employee license temporary credential.

(A) Every key employee employed by a casino operator shall possess and prominently display a key employee license credential while on duty at their employer's property.

(B) Each casino operator's internal control system shall include procedures for the issuance of a temporary key employee license for misplaced, forgotten, or lost key employee license credentials, or any other procedures the commission deems necessary for the issuance of temporary key employee license credentials.

(C) Each casino operator shall maintain a log documenting the issuance of temporary key employee license credentials.

(D) A temporary key employee license credential shall expire three days after the date of issuance.

(E) No key employee shall be permitted to obtain, possess, or otherwise display a temporary license credential for more than three consecutive days without having requested a license credential from the commission. If a key employee has completed the request process, the key employee may continue to obtain, possess, or otherwise display a temporary license credential from the casino operator until the key employee receives the duplicate license credential from the commission.

Replaces: 3772-5-06

Effective: 1/1/2017
Five Year Review (FYR) Dates: 01/01/2022
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.03
Prior Effective Dates: 5/25/2013