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This website publishes administrative rules on their effective dates, as designated by the adopting state agencies, colleges, and universities.

Chapter 3772-5 | Key Employee Licenses

 
 
 
Rule
Rule 3772-5-01 | Key employee license required.
 

(A) The following individuals must obtain and hold a key employee license:

(1) Those having the following positions, or similar or equivalent positions, with a casino operator:

(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) Those meeting the definition of key employee under section 3772.01 of the Revised Code;

(3) Those who are responsible for managing, supervising, directing, or otherwise overseeing someone who is required to obtain and hold a key employee license.

(B) A person employed as a key employee of a casino operator may not be employed concurrently by a gaming-related vendor, except that a key employee may be employed by a management company that is also a gaming-related vendor.

(C) Every key employee of a casino operator must possess and prominently display an active key employee license credential, as determined by the executive director, while on duty at the employer's casino facility. A key employee who forgets, loses, or misplaces this credential may, for up to three consecutive calendar days, display a temporary badge that identifies the individual as a licensed employee.

Last updated January 3, 2022 at 10:42 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.13
Amplifies: 3772.01, 3772.03, 3772.09, 3772.10, 3772.13
Five Year Review Date: 1/3/2027
Prior Effective Dates: 12/27/2011, 5/25/2013
Rule 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. The applicant must provide the commission with all information and documents that the commission requests.

(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 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.

(D) All key employees must undergo a complete investigation at least once every three years to determine whether each remains in compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(E) The commission may request and the key employee must provide any other information that would affect the key employees suitability to obtain or maintain a license under Chapter 3772. of the Revised Code or the rules adopted thereunder.

(F) An individual may apply for a provisional key employee license 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 include conditions that require employment of the individual as a key employee before the issuance of a plenary key employee license. Upon submission of a complete application and a good showing of exigent circumstances, the commission may issue a provisional license. Provisional licenses are valid up to three months and may be renewed one time for up to three additional months.

(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, trade secrets, or otherwise not subject to public disclosure. Information provided as part of the application and licensing process is open to public inspection to the extent permitted by Ohios Public Records Act and section 3772.16 of the Revised Code.

Last updated January 3, 2022 at 10:42 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.13
Amplifies: 3772.09, 3772.13, 3772.15, 3772.16
Five Year Review Date: 1/3/2027
Rule 3772-5-03 | Key employee fees.
 

(A) An applicant for a key employee license must pay a nonrefundable application fee of two thousand dollars, except that a casino operator employing the applicant must pay this fee and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the applicant may pay this 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 will 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.

(C) Upon approval by the commission, an applicant for a key employee license must pay a nonrefundable license fee of five hundred dollars, except that a casino operator employing the applicant must pay this fee and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the applicant may pay this fee.

(D) A key employee must bear the costs of any investigation, including providing all information, documents, and materials requested by the commission at the key employee's sole expense and cost, except that a casino operator employing the key employee must pay these costs and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the key employee may pay these costs.

(E) Unless otherwise approved by the executive director, all fees must be submitted in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated January 3, 2022 at 10:42 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.13, 3772.17
Amplifies: 3772.03, 3772.13, 3772.15, 3772.17
Five Year Review Date: 1/3/2027
Prior Effective Dates: 1/1/2017
Rule 3772-5-04 | Duty to update information.
 

(A) All key employees must update the commission, in writing, of the following information:

(1) Change of name;

(2) Change of home address;

(3) Change of home telephone number;

(4) Any bankruptcy filed, discharged, or dismissed;

(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 affecting the key employees' suitability.

(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 event occurrence.

Last updated January 3, 2022 at 10:42 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.05, 3772.10
Amplifies: 3772.05, 3772.10
Five Year Review Date: 1/3/2027
Prior Effective Dates: 12/27/2011, 1/1/2017
Rule 3772-5-05 | Affirmative license standards.
 

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

(B) In determining whether to grant, maintain, or renew a key employee license, the commission will 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.

Last updated January 3, 2022 at 10:43 AM

Supplemental Information

Authorized By: 3772.03
Amplifies: 3772.03, 3772.07, 3772.10, 3772.13
Five Year Review Date: 1/3/2027