Chapter 12-6 GAMING LICENSES

CHAPTER 12-6
GAMING LICENSES

12-6-1 Types of Licenses.

Gaming licenses issued by the Tribal Gaming Commission shall comprise the following types:

(A) Series A. A Series A gaming facility license shall be required for every gaming facility where gaming activities are conducted.

(B) Series B. A Series B gaming license shall be required for every key employee or primary management official.

(D) Series D. A Series D gaming license shall be required for every gaming vendor.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-2 No License Requirement for Class I Gaming.

A gaming license shall not be required for any Class I gaming activity; provided, however, that each Class I gaming activity must have written permission of the Tribal Gaming Commission, and such permission must be on file with the Tribal Secretary before any such Class I gaming is conducted.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-3 Application for Series A Gaming Facility License.

For each proposed new place, facility, or location in which Class II and/or Class III gaming activities will be conducted on Nation lands, the Tribal Council or its designee shall file with the Tribal Gaming Commission an application for a Series A gaming facility license, which shall contain the name of the proposed gaming facility and all pertinent information required by Tribal Gaming Commission regulations.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-4 Review Procedure for Series A Gaming License Application.

Before issuing a Series A gaming facility license, the Tribal Gaming Commission shall:

(A) Review the proposed gaming activities to be conducted at the gaming facility to ensure that all criteria required by this title shall be met;

(B) Review and approve the accounting procedures to be used in such gaming activities;

(C) Take any additional steps necessary to ensure the environment, public health, safety, and integrity of the gaming facility and the gaming activities to be conducted therein; and

(D) In the case of Class III gaming, review all aspects of the proposed gaming activities and the related operator to ensure that they will comply with the provisions of the applicable Tribal-State Gaming Compact.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-5 Criteria for Series A Gaming License.

The Tribal Gaming Commission shall issue a Series A gaming facility license only if all the following criteria are met:

(A) Documentation is provided demonstrating that the proposed gaming facility is, or will be, located on land that constitutes the Indian lands of the Nation, as defined in the IGRA, 25 U.S.C. §2703(4);

(B) The proposed gaming activities to be played are Class II or Class III gaming as defined by this title and the IGRA and, if Class III Gaming, are authorized by the relevant Tribal-State Gaming Compact;

(D) The Nation will have the sole proprietary interest and the exclusive responsibility for the conduct of the proposed gaming activities;

(E) The building housing the gaming facility is of sound physical structure with adequate and safe plumbing, electrical, heating, cooling, and ventilation systems in place, and is operational in accordance with all applicable environment, public health, and safety standards;

(F) The gaming facility is adequate in all respects to accommodate the gaming intended to be carried on within the structure and to physically secure the Nation’s property and financial assets;

(G) The gaming facility is equipped with security and surveillance equipment meeting or exceeding provisions set forth in applicable minimum internal control standards;

(H) The gaming facility has been inspected by the Tribal Gaming Commission, or by a qualified building and fire inspector designated by the Tribal Gaming Commission, to carry out such inspections under the authority of the Tribal Gaming Commission and is determined to be in compliance with fire safety standards;

(I) The gaming facility operator has prepared, and the gaming facility is subject to, an emergency preparedness plan approved by the Tribal Gaming Commission; and

(J) The gaming facility operator has provided such other information as the Tribal Gaming Commission shall require by regulation.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-6 Application for Series B Gaming License.

(A) Any natural person seeking a Series B gaming license shall file with the Tribal Gaming Commission an application therefor which shall contain the following information:

(1) Full name, other names used (oral or written), social security number(s), birth date, place of birth, citizenship, gender, and all languages (spoken or written);

(2) Currently and for the previous five (5) years: business and employment positions held, ownership interests in those businesses, business and residence addresses, and driver’s license numbers;

(3) The names and current addresses of at least three (3) personal references, including one (1) personal reference who was acquainted with the applicant during each period of residence listed under subsection (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 ten (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 charge is within ten (10) years of the date of the application and is not otherwise listed pursuant to subsection (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 of the applicant taken within the previous year;

(13) Any other information the Tribal Gaming Commission deems relevant;

(14) Fingerprints consistent with procedures adopted by the Tribal Gaming Commission according to 25 C.F.R. §522.2(h); and

(15) Written permission giving the Tribal Gaming Commission the right to obtain an investigation by the State of Kansas or by a commercial company of the applicant’s background, including his criminal record, civil and criminal judgments against the applicant, and credit history.

(B) Each application shall be accompanied by the applicant’s commitment to provide any additional information as may be required by the Nation or the State.

(C) Each application shall be accompanied by a sworn statement that if the gaming license is issued, the applicant will submit to the jurisdiction of the Nation and the Tribal Court.

(D) For key employees and primary management officials performing duties pertaining solely to Class II gaming activities, fingerprints shall be taken and be forwarded to the National Indian Gaming Commission for processing through the FBI to determine the applicant’s criminal history, if any. For key employees and primary management officials performing duties pertaining solely to Class III gaming activities, fingerprints shall be taken and forwarded to the appropriate State gaming agency in accordance with the terms specified in the applicable Tribal-State Gaming Compact.

(E) Each application shall be accompanied by a sworn statement that the applicant will abide by this title and any other applicable law.

(F) Each application shall be accompanied by a written statement that the applicant has read, understands, and approves of the following Privacy Act Notice:

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 granted a gaming license. The information will be used by the Tribal gaming regulatory authorities and by the 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 by the Nation or the NIGC 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 the Nation or the NIGC in connection with the issuance, denial, or revocation of a gaming license, or investigations of activities while associated with the Nation or a gaming operation. Failure to consent to the disclosures indicated in this notice will result in the Nation being unable to license you for a primary management official or key employee position.

The disclosure of your Social Security Number (SSN) is voluntary. However, failure to supply an SSN may result in errors in processing your application.

(G) Each application shall be accompanied by a written statement that the applicant has read, understands, and approves of the following notice:

A false statement on any part of your license application may be grounds for denying a license or the suspension or revocation of a license. Also, you may be punished by fine or imprisonment (18 U.S.C. §1001).

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-7 Review Procedure for Series B Gaming License Application.

(A) The Tribal Gaming Commission will issue licenses and perform background investigations according to requirements at least as stringent as those contained in the applicable provisions of 25 C.F.R. Parts 556 and 558, and the Tribal-State Gaming Compact(s), as applicable. To the extent any applicable Tribal-State Gaming Compact provision for the licensure of Class III employees differs from the process described herein, the term of the applicable Tribal-State Gaming Compact shall prevail.

(B) In conducting a background investigation, the Tribal Gaming Commission shall keep confidential the identity of each person interviewed in the course of the investigation.

(1) Perform or arrange to have performed the necessary background investigation on the applicant required by the IGRA, and obtain an investigative report thereof;

(2) Ensure compliance with all reporting requirements under IGRA, the National Indian Gaming Commission regulations, the Tribal State Gaming Compact, and all other applicable law;

(3) Review a person’s prior activities, criminal record, if any, and reputation, habits, and associations and make a finding concerning the eligibility of the applicant. If the Tribal Gaming Commission, in applying the standards adopted in this title, determines that licensing 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, methods, and activities in the conduct of gaming, the Tribal Gaming Commission shall not issue a Series B gaming license to that person;

(4) Create and maintain an investigative report on each background investigation that includes all of the following:

(a) Steps taken in conducting a background investigation;

(b) Results obtained;

(d) The basis for those conclusions;

(5) Submit a notice of results to the National Indian Gaming Commission that includes:

(a) Applicant’s name, date of birth, and social security number;

(b) Date on which applicant began or will begin work as key employee or primary management official;

(i) Any application for a license that has previously been denied;

(ii) Gaming licenses that have been revoked, even if subsequently reinstated;

(iii) Every known criminal charge brought against the applicant within the last ten (10) years of the date of application; and

(iv) Every felony of which the applicant has been convicted or any ongoing prosecution; and

(d) A copy of the eligibility determination made under 25 C.F.R. §556.5;

(6) If, within thirty (30) days of receiving the notice of results, the National Indian Gaming Commission provides the Nation with a statement itemizing objections to the issuance of such license, the Nation shall reconsider a license application for the key employee or primary management official. In doing so, the Nation shall take into account the provided statement itemizing the objections.

(D) After providing a notice of results to the NIGC, and if the NIGC provides no objections, the Tribal Gaming Commission may determine the eligibility of the applicant and notify the applicant of the Tribal Gaming Commission’s decision in writing. If the Tribal Gaming Commission votes to deny the license, it shall include within this notification the specific reasons for its decision.

(E) When the Nation issues a license to a key employee or a primary management official, it must notify the National Indian Gaming Commission or the State Gaming Agency, as applicable, within thirty (30) days of its issuance. If the Nation has issued a license before receiving a statement itemizing objections from the National Indian Gaming Commission, a hearing shall be provided to the licensee as provided in Section 12-7-12(C).

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-8 Employment of Key Employee or Primary Management Official Prior to Issuance of Class B Gaming License.

(A) A key employee or primary management official may be hired immediately upon the filing of an application for a Class B gaming license.

(B) The Tribal Gaming Commission shall maintain for all hired key employees or primary management officials the complete application file containing all the information in Section 12-6-6.

(C) The Tribal Gaming Commission shall submit the notice of results described in Section 12-6-7(C)(5) within sixty (60) days after such applicant begins work and such applicant shall be terminated if he has not obtained a Class B gaming license within ninety (90) days of his/her employment.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-9 Application for Series C Gaming License.

Any natural person seeking a Series C gaming license shall file with the Tribal Gaming Commission an application therefor which shall be identical to the application for a Series B gaming license.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-10 Review Procedure for Series C Gaming License Application.

Before issuing a Series C gaming license the Tribal Gaming Commission shall:

(A) Review the application and determine whether it is necessary to perform or arrange to have performed a background investigation on the applicant and obtain an investigative report thereof;

(B) Ensure compliance with all reporting requirements under the Tribal-State Gaming Compact and all other applicable law; and

(C) Determine the eligibility of the applicant and notify the applicant of the Tribal Gaming Commission’s decision in writing. If the Tribal Gaming Commission votes to deny the license, it shall include within this notification the specific reasons for its decision.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-11 Employment of Standard Gaming Employee Prior to Issuance of Class C Gaming License.

A standard gaming employee may be hired immediately upon the filing of an application for a Class C gaming license, subject to termination after the Tribal Gaming Commission reviews the application or obtains a background investigation of such applicant and determines the applicant to be ineligible for such license.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-12 Application for Series D Gaming License.

(A) Gaming vendors must have a Series D gaming license from the Tribal Gaming Commission prior to transacting business with any gaming enterprise and/or gaming facility licensed by the Tribal Gaming Commission. Any gaming vendor seeking a Series D gaming license shall file with the Tribal Gaming Commission a complete application and submit to background checks of itself and its principals. A Series D gaming license application shall contain the following information:

(1) The applicant’s formal business name, including all other names used, business address, and telephone number;

(2) If the applicant is incorporated, the state of incorporation and a current list of officers, directors, and ten (10) percent or greater shareholders; in such a case a copy of the articles of incorporation shall be filed with the application;

(3) Criminal history of the applicant or any director, officer, ten (10) percent or greater shareholder, or partner (other than misdemeanor traffic offenses), including:

(a) Any arrest, including the date, place and details;

(b) Whether taken into custody and details;

(d) Whether charged by any law enforcement authority and details; and

(e) Disposition of any charges;

(4) A complete disclosure of any civil or criminal judgment or administrative proceeding order rendered against the applicant, including the case number, a description of the judgment or administrative proceeding order, and the name and address of the court or administrative agency involved;

(5) A complete disclosure of any pending or anticipated civil or criminal action or administrative proceeding against the applicant, including the name and address of the law enforcement agency involved and the court or administrative agency involved;

(6) Whether the applicant has held a gaming-related license issued by any state or Indian tribe, the jurisdiction in which the license was issued, the type of license, the license number, the details surrounding any suspension, revocation, or other disciplinary action based on the license; and if the license is not current, the reason it is not current; and whether the applicant has ever applied for such a license and been denied the license;

(7) A description of any current or past non-employee business arrangement which the applicant has had with an Indian Tribe, including the name of the Tribe involved and the name and address of a person who can attest to the accuracy of the information provided;

(8) Written permission giving the Tribal Gaming Commission or its designee the right to investigate the applicant’s background and that of its principals, including criminal record, civil and criminal judgments, and credit history; and

(9) Any other information which might bring into question the applicant’s fitness to serve as a gaming vendor for a gaming enterprise operating a licensed gaming facility.

(B) Each application shall be accompanied by the applicant’s commitment to provide any additional information as may be required by the Nation or the applicable state, if any.

(C) Each application shall be accompanied by a written release of liability and grant of authority to disclose information to the Kansas Bureau of Investigation and the Federal Bureau of Investigation.

(D) Each application shall be accompanied by a sworn statement that if the license is issued, the applicant will submit to the jurisdiction of the Nation and the Tribal Court.

(E) Each application shall be accompanied by two (2) sets of fingerprints of all principals on forms from the Federal Bureau of Investigation or the Kansas State Patrol.

(F) Each application shall be accompanied by a sworn statement that the applicant will abide by this title and any other applicable law.

(G) Each application shall be accompanied by a statement as to whether the applicant has ever been denied a license by any state.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-13 Review Procedure for Series D Gaming License Application.

Before issuing a Series D gaming license the Tribal Gaming Commission shall:

(A) Perform or arrange to have performed the necessary background investigation on the applicant and the applicant’s principals;

(B) Ensure compliance with all reporting requirements under the applicable Tribal-State Gaming Compact, if any, and all other applicable law; and

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-14 Gaming Licenses and Investigations of Non-Gaming Employees.

A gaming license shall not be required for non-gaming employees. However, the Tribal Gaming Commission is authorized to create and issue regulations implementing a non-gaming employee work permit process, which may entail a simpler due diligence check rather than a full background investigation for non-gaming employees. At its discretion, the Tribal Gaming Commission may further investigate any non-gaming work permit applicants or permittees when appropriate, and may require or conduct a full background check when it determines that circumstances related to the applicant or position applied for warrant such action.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-15 Non-Gaming Vendors Do Not Require Series D Gaming License.

Only vendors that meet the definition of “gaming vendor” as defined in this title are subject to the Series D gaming license requirements.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-16 Registration for Non-Gaming Vendors.

The Tribal Gaming Commission is authorized to create and issue regulations implementing a registration process for non-gaming vendors who provide services that do not have the ability to impact the integrity of gaming activity or the gaming enterprise, such as media advertising, facility maintenance workers, linen and laundry services, and food and beverage suppliers. Except as otherwise provided in this title, all non-gaming vendors must appear on the registration list maintained by the Tribal Gaming Commission in order to do business with a gaming enterprise of the Nation.

(Enacted by PBP TC No. 2020-363, December 9, 2020)

12-6-17 Exemptions.

The Tribal Gaming Commission may, in its discretion, exempt from the licensing or registration requirements any vendor who:

(A) Is a Tribal, local, State, or Federal government agency;

(B) Does not require access to restricted gaming areas;

(D) Provides goods or services used in the course of business travel;

(E) Provides utilities or similar services essential to the conduct of business; or

(F) Will provide goods of insubstantial or insignificant amounts or quantities.

(Enacted by PBP TC No. 2020-363, December 9, 2020)