9.01.180 Procedures for Conducting Background Investigations

With regards to Class III gaming, background investigations and the issuance of licenses/registrations to gaming employees and to gaming service enterprises shall be conducted pursuant to Section 5 and 6 of the Compact.

(a) The Commission, or its agent, shall employ or engage an investigator to conduct a background investigation of each applicant for a primary management official or key employee position. The investigator shall:

(1) Verify the applicant's identity through items such as a social security card, driver's license, birth certificate or passport;

(2) Contact each personal and business reference provided in the license application, when possible;

(3) Conduct a personal credit check;

(4) Conduct a civil history check;

(5) Conduct a criminal history records check;

(6) Based on the results of the criminal history records check, as well as information acquired from an applicant's self- reporting or from any other source, obtain information from the appropriate court regarding any past felony and/or misdemeanor convictions or ongoing prosecutions within the past 10 years;

(7) Inquire into any previous or existing business relationships with the gaming industry, including with any tribes with gaming operations, by contacting the entities or tribes;

(8) Verify the applicant's history and current status with any licensing agency by contacting the agency; and

(9) Take other appropriate steps to verify the accuracy of the information focusing on any problem areas noted.