13-13-103. BACKGROUND INVESTIGATIONS.

1. The Tribal Gaming Commission is responsible for conducting background investigations, collecting fingerprints, and making eligibility determinations.
2. The Tribal Gaming Commission shall request from each primary management official and from each key employee all of the following information:
   1. Full name, other names used (oral or written), social security number(s), birth date, place of birth, citizenship, gender, and 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 personal references, including one personal reference that was acquainted with the applicant during each period of residence listed on the application;
   4. Current business and residence telephone numbers;
   5. A description of any existing and previous business relationships with Indian Tribes, including interests in those businesses;
      A description of any existing and previous business relationships with the gaming industry generally, including ownership interest in those businesses;
   6. 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;
   7. For each felony for which there was an ongoing prosecution or a conviction, the charge, the name and address of the court involved and the date and disposition.
   8. For each misdemeanor conviction or ongoing prosecution (excluding minor traffic charges), whether or not there is a conviction, if such criminal charge is within ten (10) years of the date of the application; the name and address of the court involved and the date and disposition;
   9. For each criminal charge (excluding minor traffic charges), whether or not there is a conviction, if such criminal charge is within ten (10) years of the date of the application and is not otherwise listed pursuant to paragraph 2 (g) or 2 (h) of this section, the criminal charge, the name and address of the court involved and the date and disposition;
   10. 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;
   11. A photograph taken within the last year; and
   12. Any other information the Tribe deems relevant.
3. Each applicant for a Key Employee or Primary Management official shall be required to have fingerprints taken by the Tribal Gaming Commission as part of the license application procedure.
4. As part of its review procedure, the Tribal Gaming Commission or its authorized agent shall conduct a background investigation on each applicant sufficient to allow the Tribal Gaming Commission to make an eligibility determination under section 13-13-4 below. 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. Obtain a personal credit check;
   4. Conduct a civil history check;
   5. Conduct a criminal history check which shall include a criminal check of the history and information maintained by the Federal Bureau of Investigation, and further obtain information from the appropriate court regarding past felony and/or misdemeanor convictions and criminal charges;
   6. Inquire into any previous or existing business relationships with the gaming industry and Indian tribes by contacting the entities or tribes;
   7. Verify the applicant’s history and status with any licensing agency by contacting the agency; and
   8. Take other appropriate steps to verify the accuracy of the information, focusing on problem areas noted.
5. The investigator shall create an investigative report noting the steps taken, information gained, potential problems areas, and disqualifying information.
6. The Tribal Gaming Commission and its investigator shall promise to keep confidential the identity of each person interviewed in the course of the investigation, other than disclosure as required under Federal, Tribal, or State law.