This website publishes administrative rules on their effective dates, as designated by the adopting state agencies, colleges, and
universities.
| Rule |
Rule 3772-5-01 | Key employee license required.
Effective:
January 3, 2022
(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
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Rule 3772-5-02 | Key employee license application, license period and provisional license.
Effective:
January 3, 2022
(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 employee's
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 Ohio's Public Records Act and section 3772.16 of the Revised
Code.
Last updated January 3, 2022 at 10:42 AM
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Rule 3772-5-03 | Key employee fees.
Effective:
January 3, 2022
(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
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Rule 3772-5-04 | Duty to update information.
Effective:
January 3, 2022
(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
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Rule 3772-5-05 | Affirmative license standards.
Effective:
January 3, 2022
(A) An applicant for a key employee
license must 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 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
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