N.Y. Racing, Pari-Mutuel Wagering and Breeding Law § 1323: Key employee licenses

§ 1323. Key employee licenses. 1. No licensee or a holding or

intermediary company of a licensee may employ any person as a casino key

employee unless the person is the holder of a valid casino key employee

license issued by the commission.

2. Each applicant for a casino key employee license must, prior to the

issuance of any casino key employee license, produce information,

documentation and assurances concerning the following qualification

criteria:

(a) Each applicant for a casino key employee license shall produce

such information, documentation and assurances as may be lawfully

required to establish by clear and convincing evidence the financial

stability, integrity and responsibility of the applicant, including but

not limited to bank references, business and personal income and

disbursements schedules, tax returns and other reports filed with

governmental agencies, and business and personal accounting and check

records and ledgers. In addition, each applicant shall, in writing,

authorize the examination of all bank accounts and records as may be

deemed necessary by the commission.

(b) Each applicant for a casino key employee license shall produce

such information, documentation and assurances as may be required to

establish by clear and convincing evidence the applicant's good

character, honesty and integrity. Such information shall include data

pertaining to family, habits, character, reputation, criminal history

information, business activities, financial affairs, and business,

professional and personal associates, covering at least the ten year

period immediately preceding the filing of the application. Each

applicant shall notify the commission of any civil judgments obtained

against such applicant pertaining to antitrust or security regulation

laws of the federal government, of this state or of any other state,

jurisdiction, province or country. In addition, each applicant shall,

upon request of the commission, produce letters of reference from law

enforcement agencies having jurisdiction in the applicant's place of

residence and principal place of business, which letters of reference

shall indicate that such law enforcement agencies do not have any

pertinent non-sealed information concerning the applicant, or if such

law enforcement agency does have such information pertaining to the

applicant, shall specify what that information is. If the applicant has

been associated with gaming operations in any capacity, position or

employment in a jurisdiction which permits such activity, the applicant

shall, upon request of the commission, produce letters of reference from

the gaming enforcement or control agency, which shall specify the

experience of such agency with the applicant, his or her associates and

his or her participation in the gaming operations of that jurisdiction;

provided, however, that if no such letters are received from the

appropriate law enforcement agencies within sixty days of the

applicant's request therefor, the applicant may submit a statement under

oath that he or she is or was during the period such activities were

conducted in good standing with such gaming enforcement or control

agency.

(c) Each applicant employed by a gaming facility licensee shall be a

resident of the state prior to the issuance of a casino key employee

license; provided, however, that upon petition by the holder of a

license, the commission may waive this residency requirement for any

applicant whose particular position will require him to be employed

outside the state; and provided further that no applicant employed by a

holding or intermediary company of a licensee shall be required to

establish residency in this state.

(d) For the purposes of this section, each applicant shall submit to

the commission the applicant's name, address, fingerprints and written

consent for a criminal history information as defined in paragraph (c)

of subdivision one of section eight hundred forty-five-b of the

executive law, to be performed. The commission is hereby authorized to

exchange fingerprint data with and receive criminal history record

information from the state division of criminal justice services and the

federal bureau of investigation consistent with applicable state and

federal laws, rules and regulations. The applicant shall pay the fee for

such criminal history information as established pursuant to article

thirty-five of the executive law. The state division of criminal justice

services shall promptly notify the commission in the event a current or

prospective licensee, who was the subject of such criminal history

information pursuant to this section, is arrested for a crime or offense

in this state after the date the check was performed.

3. The commission shall deny a casino key employee license to any

applicant who is disqualified on the basis of the criteria contained in

section one thousand three hundred eighteen of this title, subject to

notice and hearing.

4. Upon receipt of such criminal history information, the commission

shall provide such applicant with a copy of such criminal history

information, together with a copy of article twenty-three-A of the

correction law, and inform such applicant of his or her right to seek

correction of any incorrect information contained in such criminal

history information pursuant to regulations and procedures established

by the division of criminal justice services. Except as otherwise

provided by law, such criminal history information shall be confidential

and any person who willfully permits the release of such confidential

criminal history information to persons not permitted to receive such

information shall be guilty of a misdemeanor.

5. Upon petition by the holder of a license, the commission may issue

a temporary license to an applicant for a casino key employee license,

provided that:

(a) The applicant for the casino key employee license has filed a

completed application as required by the commission;

(b) The petition for a temporary casino key employee license

certifies, and the commission finds, that an existing casino key

employee position of the petitioner is vacant or will become vacant

within sixty days of the date of the petition and that the issuance of a

temporary key employee license is necessary to fill the said vacancy on

an emergency basis to continue the efficient operation of the casino,

and that such circumstances are extraordinary and not designed to

circumvent the normal licensing procedures of this article;

6. Unless otherwise terminated pursuant to this article, any temporary

casino key employee license issued pursuant to this section shall expire

nine months from the date of its issuance.