9.01.170 Background Investigations

(a) The Commission shall perform a background investigation for each primary management official and key employee in its gaming operation. The investigation must be sufficient to allow the Commission to make an eligibility determination under Section 9.01.210 of this chapter.

(b) The Commission is responsible for conducting the background investigations of primary management officials and key employees. The background investigation shall include a check of criminal history records information maintained by the Federal Bureau of Investigations.

(c) The Commission shall request fingerprints from each primary management official and key employee. The law enforcement agency designated to take fingerprints is the Saint Regis Mohawk Tribal Police Department.

(d) The Commission shall request from each primary management official and key employee all of the following information:

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

(2) Currently, and for the previous five (5) years; business and employment positions held, ownership interests in those businesses, business and residential 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 Section 9.01.170(d)(2);

(4) Current business and residential telephone numbers, and all cell phone numbers;

(5) A description of any existing and previous business relationships with other tribes, including any 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 of disposition, if any;

(9) For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding minor traffic violations) within 10 years of the date of the application, the name and address of the court involved and the date of disposition, if any;

(10) For each criminal charge (excluding minor traffic charges), whether or not there is a conviction, if such criminal charge is within 10 years of the date of the application, and is not otherwise listed pursuant to Section 9.01.170(d)(8) or Section 9.01.170(d)(9), the criminal charge, the name, and address of the court involved, and the date of disposition, if any;

(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;

(13) Any other information the Commission deems relevant; and

(14) Fingerprints obtained in accordance with procedures adopted by the Commission.

(e) When a primary management official or key employee is employed by the gaming operation, a complete application file, containing all of the information listed in Section 9.01.190(b) of this chapter, shall be maintained.

(f) The Commission, and its investigators, shall keep confidential the identity of each person interviewed in the course of conducting a background investigation.