10 Del. Admin. Code § 203-14.0

Current through Reigster Vol. 28, No. 6, December 1, 2024

Section 203-14.0 - Employee License Procedure

14.1 Requirements for all Employee Applicants:

14.1.1 Any person who accepts, begins or continues employment in a position requiring a key employee license, a gaming employee license, or a gaming room service employee license without holding a current and valid license permitting such employment is guilty of a Class A misdemeanor.

14.1.2 The lottery office will not accept an employee license application until the lottery office receives written confirmation that a video lottery agent or a licensed service company has extended an offer of employment to an applicant that is applying for a license for the first time. The lottery office will not accept a renewal employee license application until the lottery office receives written confirmation that a video lottery agent or a licensed service company intends to continue employing the applicant.

14.1.3 It shall be the affirmative responsibility of each applicant to produce clear and convincing evidence of his or her United States citizenship; lawful status granted by the United States Department of Justice, Immigration and Naturalization Service; or authorization to work in the United States, in accordance with the requirements set forth in subsection 14.1.4. The failure of an applicant to establish by clear and convincing evidence his or her United States citizenship, lawful status from the United States Department of Justice, Immigration and Naturalization Service, or authorization to work in the United States shall be a basis for denial of an employee license application.

14.1.4 Each applicant for an employee license shall establish his or her identity by providing either:

14.1.4.1 One of the following authentic documents:

14.1.4.1.1 A current United States passport;

14.1.4.1.2 A Certificate of United States Citizenship, or a Certificate of Naturalization issued by the United States Department of Justice, Immigration and Naturalization Service (INS); or

14.1.4.1.3 A current identification card issued by the INS containing a photograph or fingerprints and identifying information such as name, date of birth, sex, height, color of eyes and address; or

14.1.4.2 Any two of the following authentic documents:

14.1.4.2.1 A certified copy of a birth certificate issued by a state, county or municipal authority in the United States bearing an official seal;

14.1.4.2.2 A current driver's license containing a photograph or identifying information such as name, date of birth, sex, height, color of eyes and address;

14.1.4.2.3 A current identification card issued to persons who serve in the United States military or their dependents by the United States Department of Defense containing a photograph or identifying information such as name, date of birth, sex, height, color of eyes and address;

14.1.4.2.4 A current student identification card containing a photograph, an expiration date, the seal or logo of the issuing institution, and the signature of the card holder;

14.1.4.2.5 A current identification card issued by a federal, state or local government agency containing a photograph or identifying information such as name, date of birth, sex, height, color of eyes and address;

14.1.4.2.6 An unexpired foreign passport with an authorization issued by INS.

14.1.5 Each applicant shall be fingerprinted by the State Bureau of Identification or the Division of Gaming Enforcement prior to acceptance of his or her application by the Lottery. An application shall not be accepted for processing unless accompanied by a receipt for fingerprinting.

14.1.6 Each applicant for an employee license shall file an employee application as specified in this section in electronic or hard copy as specified by the Lottery.

14.1.7 An employee license application fee shall be due and payable at the time of the application submission. The fees shall be as follows:

14.1.7.1 The fee for an initial and renewal key employee license application shall be $500. In addition, an applicant for a key license shall pay for all unusual or out of pocket expenses incurred by the Division of Gaming Enforcement or Lottery on matters directly related to the applicant or licensee.

14.1.7.2 The fee for an initial and renewal gaming employee license shall be $200.

14.1.7.3 The fee for an initial and renewal gaming room service employee license shall be the cost of fingerprinting by the State Bureau of Identification (SBI).

Key Employees:

14.2 Each applicant for a key employee license shall file a Multi Jurisdictional Form and a Delaware Supplement to the Multi Jurisdictional Form as prescribed by the Director. These application forms shall, among other things, require the applicant to provide:

14.2.1 Personal background information;

14.2.2 Employment history of the applicant and the applicant's immediate family;

14.2.3 Education and training;

14.2.4 Record of military service;

14.2.5 Government positions and offices presently or previously held, and offices, trusteeships, directorships or fiduciary positions presently or previously held with any business entity, by the applicant and the applicant's spouse;

14.2.6 Licenses, registrations, permits, certification and other approvals held by or applied for by the applicant or, where specified, the applicant's spouse, in this State or any other jurisdiction;

14.2.7 Any denial, suspension or revocation by a governmental agency of a license, registration, permit or certification held by or applied for the applicant or the applicant's spouse, or any entity in which the applicant or the applicant's spouse was a director, officer, partner or an owner of a 5% or greater interest;

14.2.8 Any interest in or employment presently or previously held by the applicant with an entity which has applied for a permit, license, certificate or qualification in connection with any lawful gambling or alcoholic beverage operation in this State or any other jurisdiction; and any current employment or other association by the applicant's family with the gambling or alcoholic beverage industries in this State or any other jurisdiction;

14.2.9 Criminal record history including arrests of the applicant and all immediate family members;

14.2.10 Civil litigation history where the applicant was or is a party;

14.2.11 Gaming regulatory history; and

14.2.12 Financial data of the applicant and the applicant's spouse and dependent children as indicated on the net worth statement and supporting schedules in a format prescribed by the Director.

Gaming Employees:

14.3 Each applicant for a gaming employee license shall file a Delaware Gaming Employee License application as prescribed by the Director. This application form shall, among other things, require the applicant to provide:

14.3.1 Personal background information;

14.3.2 Employment history of the applicant and the applicant's immediate family;

14.3.3 Education and training;

14.3.4 Record of military service;

14.3.5 Government positions and offices presently or previously held, and offices, trusteeships, directorships or fiduciary positions presently or previously held with any business entity, by the applicant and the applicant's spouse;

14.3.6 Licenses, registrations, permits, certification and other approvals held by or applied for by the applicant or, where specified, the applicant's spouse, in this State or any other jurisdiction;

14.3.7 Any denial, suspension or revocation by a governmental agency of a license, registration, permit or certification held by or applied for the applicant or the applicant's spouse, or any entity in which the applicant or the applicant's spouse was a director, officer, partner or an owner of a 5% or greater interest;

14.3.8 Any interest in or employment presently or previously held by the applicant with an entity which has applied for a permit, license, certificate or qualification in connection with any lawful gambling or alcoholic beverage operation in this State or any other jurisdiction; and any current employment or other association by the applicant's family with the gambling or alcoholic beverage industries in this State or any other jurisdiction;

14.3.9 Criminal record history including arrests of the applicant and all immediate family members;

14.3.10 Civil litigation history where the applicant was or is a party; and

14.3.11 Gaming regulatory history.

Gaming Room Service Employees:

14.4 Each applicant for a gaming room service employee shall file a Delaware Gaming Room Service Employee application as prescribed by the Director. This application form shall, among other things, require the applicant to provide:

14.4.1 Personal background information;

14.4.2 Employment history of the applicant and the applicant's immediate family;

14.4.3 Education and training;

14.4.4 Record of military service;

14.4.5 Government positions and offices presently or previously held and offices, trusteeships, directorships or fiduciary positions presently or previously held with any business entity by the applicant and the applicant's spouse;

14.4.6 Licenses, registrations, permits, certification and other approvals held by or applied for by the applicant or, where specified, the applicant's spouse, in this State or any other jurisdiction;

14.4.7 Any denial, suspension or revocation by a governmental agency of a license, registration, permit or certification held by or applied for the applicant or the applicant's spouse, or any entity in which the applicant or the applicant's spouse was a director, officer, partner or an owner of a 5% or greater interest;

14.4.8 Any interest in or employment presently or previously held by the applicant with an entity which has applied for a permit, license, certificate or qualification in connection with any lawful gambling or alcoholic beverage operation in this State or any other jurisdiction; and any current employment or other association by the applicant's family with the gambling or alcoholic beverage industries in this State or any other jurisdiction;

14.4.9 Criminal record history including arrests of the applicant and all immediate family members;

14.4.10 Civil litigation history where the applicant was or is a party; and

14.4.11 Gaming regulatory history.

Rehires/Transfers

14.5 A licensee that voluntarily ends his or her employment or is terminated while in good standing with a former employer may apply for a new key, gaming or gaming room service employee license in the following manner:

14.5.1 Applicants will be required to follow the procedures in subsections 14.1-14.5 if 12 months or more have passed since the end of the applicant's former employment.

14.5.2 Applicants will be required to follow the procedures in subsections 14.1-14.5, except for the fingerprinting requirements, if less than 12 months but more than 30 days have passed since the end of the applicant's prior employment. The fingerprinting requirement may be waived in the Director's discretion if the applicant was fingerprinted for Lottery licensing purposes in the 12 months immediately preceding the date of the application.

14.5.3 Applicants will be required to complete a License Application Update Form including a release of information waiver form and submit to a new background investigation if less than 30 days have passed since the end of the applicant's prior employment. Fingerprinting may be required if the applicant was not fingerprinted for Lottery licensing purposes in the 12 months immediately preceding the date of the application. The applicant may be required to submit to a new background investigation in the Director's discretion.

14.6 The following rules shall apply to transfers:

14.6.1 Licensees transferring employment from 1 licensed entity to another licensed entity under this regulation will be required to complete a License Application Update Form, including a release of information waiver form, and may be required to submit to a new background investigation in the Director's discretion.

14.6.2 Licensees transferring to another position which requires a higher level of licensure must submit the appropriate license application and submit to a new background investigation. Licensees will also be required to be fingerprinted unless they have been fingerprinted for Lottery licensing purposes in the 12 months immediately preceding the date of the transfer.

14.7 The Director may issue a temporary employee license upon a finding that the license is necessary for the efficient operation of the video lottery facility. A temporary license is valid for 6 months.

14.7.1 A waiver will be signed by the applicant indicating that should the DGE provide evidence that the applicant is disqualified pursuant to the Delaware Code, the applicant's temporary license will be suspended. If a temporary license is suspended, the applicant shall have an opportunity to request a hearing in accordance with these regulations.

14.8 The State Bureau of Identification shall act as the intermediary for the receipt of the federal criminal history record checks performed by the Federal Bureau of Investigation. The State Bureau of Identification shall forward the results of these federal record checks to the attention of the DGE in a confidential manner.

14.9 Every license issued by the Lottery shall bear thereon the distinguishing number assigned to the licensee and shall contain the name and photograph of the licensee. The license shall also contain the name of the sponsoring employer, agent, or service company.

14.10 The license is the property of the Lottery. The license shall be returned to the Lottery if the Director or Lottery Commission suspends or revokes a person's license to participate in video lottery operations.

14.11 The Lottery will communicate the results of suitability in writing regarding an employee to either the video lottery agent or service company employing said individual. The Lottery will provide a copy of the criminal history record to the employee upon request.

14.12 All records pertaining to criminal background checks, pursuant to 29 Del.C. § 4807A and copies of suitability determinations of applicants for licensure, shall be maintained in a confidential manner, including, but not limited to the following:

14.12.1 Access to criminal background check records, and letters of reference accompanying out-of-state criminal background checks, and determinations of suitability of applicants shall be limited to the Director and designated personnel;

14.12.2 All such records shall be kept in locked, fireproof cabinets;

14.12.3 No information from such records shall be released without the signed release of the applicant.

14.13 All licensees will prominently display their license while on duty or acting in their official capacity at the approved video lottery facility.

14.14 License Terms and Renewal Filing Requirements

14.14.1 Gaming room service employee licenses shall be for a term of 5 years. The term of a gaming room service employee license shall expire and be renewable on the last day of the month on the fifth anniversary of the issuance date.

14.14.2 Gaming employee licenses shall be for a term of 4 years. The term of a gaming employee license shall expire and be renewable on the last day of the month on the fourth anniversary of the issuance date.

14.14.3 Key employee licenses shall be for a term of 3 years. The term of a key employee license shall expire and be renewable on the last day of the month on the third anniversary of the issuance date.

14.14.4 At a minimum of 60 days prior to expiration, each employee licensee shall submit a new and updated license application form for a background investigation.

14.14.5 An employee license shall remain valid pending the disposition of a license renewal application filed in accordance with the timelines set forth herein.

14.15 A person who is rehired or transferred shall maintain the license expiration date in accordance with the original license issue date, unless the license has expired before rehire or transfer.

14.16 A person who held an active and current key employee license prior to the effective date of this amendment shall not be subject to additional filing requirements until the expiration date of the current license.

14.16.1 Persons holding video lottery operations employee licenses shall remain licensed as gaming employees, but shall be required to seek renewal of their licenses no later than 6 months following enactment of House Bill No. 310.

14.17 Terminations/End of Employment

14.17.1 The license is the property of the Lottery and shall be returned to the Lottery when the licensee's employment is either terminated involuntarily by the employer or terminated at the request of the employee.

14.18 Any person licensed under these Regulations or any employee who has submitted a license application shall notify the Lottery within 72 hours of any change in his/her criminal history information. This subsequent criminal history information shall be used by the Lottery in making a determination about the person's continued suitability as a licensee or employee of a video lottery agent or other licensed entity.

10 Del. Admin. Code § 203-14.0

22 DE Reg. 500 (12/1/2018)
27 DE Reg. 678 (3/1/2024)
28 DE Reg. 386 (11/1/2024) (Final)