Ill. Admin. Code tit. 86 § 3000.230

Current through Register Vol. 48, No. 50, December 13, 2024

Section 3000.230 - Owner's Licenses

a) Overview of Licensing Procedures. Applications for Owner's licenses shall be subject to the following procedures prior to licensure:

1) Investigation of the applicant and application;

2) Finding of preliminary suitability;

3) Assessment of the Riverboat Gaming Operation;

4) Final practice Gaming session;

5) Action of the Board; and

6) Different or additional licensing procedures as required of an applicant by the Board.

b) Investigation of the Applicant and Application. An applicant is responsible for compliance with all requests for information, documents, or other materials relating to the applicant and the applicant's application.

c) Finding of Preliminary Suitability

1) An applicant for an Owner's license shall present to the Board in a public meeting the reasons it is suitable for licensing.

2) An applicant must satisfy the Board by clear and convincing evidence that the applicant:

A) Has met those requirements of Section 7 of the Act;

B) Is a person or entity whose background, reputation and associations will not dishonor or harm the reputation of, or result in adverse publicity for, the State of Illinois and its Gaming industry;

C) Has adequate business competence and experience to be a holder of an Owner's license; and

D) Has demonstrated that the proposed funding of the entire operation shall be adequate for the nature of the proposed operation and be from a suitable source; and

E) Has satisfied the Board as to any other information deemed necessary for licensure.

3) After presentation by the applicant, the Board shall determine whether to find the applicant preliminarily suitable for licensing.

4) If the Board finds the applicant preliminarily suitable for licensing, it shall issue the applicant a finding of preliminary suitability.

5) If the Board finds the applicant not preliminarily suitable for licensing, it shall issue the applicant a Notice of Denial.

d) Approval for Proposed Changes

1) In addition to an applicant's and licensee's duty under Section 3000.140 to disclose information to the Board, an applicant or owner licensee must immediately inform the Board and, except as provided in subsections (d)(2) and (3) below, obtain prior formal Board approval thereof whenever a change is proposed in the following areas:

A) Key Persons;

B) Type of entity;

C) Equity and debt capitalization of entity;

D) Investors and/or debt holders;

E) Sources of funds;

F) Economic development plans or proposals;

G) Riverboat cruising schedules or routes, capacity or design change;

H) Gaming positions;

I) Anticipated economic impact; or

J) Agreements, oral or written, relating to the acquisition or disposition of property (real or personal) of a value greater than $1 million.

2) The Board may, by resolution, delegate to the Administrator the authority to approve proposed changes listed in Section 3000.230(d)(1). Such resolution shall specify the type and, where appropriate, level or amount of the proposed changes that may be approved by the Administrator.

3) If the Administrator refuses to approve a proposed change under subsection (d)(2), the Board shall review such proposal and determine whether to grant or deny the change.

e) Assessment of the Riverboat Gaming Operation

1) After an applicant is found preliminarily suitable for licensing, the applicant's Riverboat Gaming Operation shall be assessed to determine its effectiveness, integrity, and compliance with law and Board standards.

A) The matters to be assessed include:

i) The Gaming Operations Manager;

ii) Proposed Gaming Operations and use of Gaming equipment;

iii) The Riverboat, whether it is a self-propelled excursion boat or permanently moored barge;

iv) Handicapped access;

v) Support Facilities;

vi) Internal controls and operating procedures;

vii) Security operations;

viii) Staffing;

ix) Casualty and liability insurance;

x) Affirmative action hiring patterns;

xi) The status of the financing commitments proposed in the applicant's application;

xii) Information received subsequent to the preliminary finding of suitability concerning the applicant and the applicant's Key Persons;

xiii) Riverboat capacity and Gaming positions;

xiv) Fulfillment of economic development plans as submitted in the application; and

xv) Such other matters as the Board may require.

B) The Board may establish a schedule setting a timetable for the satisfactory compliance for all operations to be assessed.

2) The Administrator shall report to the Board concerning whether the applicant has satisfactorily complied with subsection (e) of this Section.

3) After receipt of the Administrator's report, the Board shall determine whether to authorize a final practice Gaming excursion.

f) Final Practice Gaming Session

The Board may authorize the Administrator to conduct a final practice Gaming session and to issue the applicant a Temporary Operating Permit if the final practice Gaming session is successfully completed.

1) In determining whether a final practice Gaming session has been successfully completed, the Administrator shall assess, among other matters, the effectiveness, safety and security of the Riverboat Gaming Operation as well as the matters listed in subsection (e)(1)(A) above.

2) If the Administrator determines that the final practice Gaming session has not been successfully completed, he shall so report to the Board.

3) If the Administrator determines that the final practice Gaming session has been successfully completed, he shall:

A) Upon delivery of the applicant's license fee and a file stamped copy of the applicant's $200,000 bond to the State of Illinois posted with the Board, issue the applicant a Temporary Operating Permit; and

B) Report to the Board.

4) A Temporary Operating Permit allows the applicant to operate the Riverboat Gaming Operation to which it pertains until it is withdrawn or the Board takes action on the application.

5) A Temporary Operating Permit may be withdrawn by the Administrator if he determines that the Riverboat Gaming Operation to which it pertains is not suitable for continued operation. If the Administrator withdraws a Temporary Operating Permit, he shall so report to the Board.

g) Action of the Board

1) If the Board finds the applicant suitable for licensing, it shall issue the applicant a license.

2) If the Board finds the applicant not suitable for licensing, it shall:

A) Issue the applicant a Notice of Denial by certified mail or personal delivery; and

B) If the applicant has been issued a Temporary Operating Permit, return the applicant's license fee.

h) Notice of Denial

1) An applicant served with a Notice of Denial may request a hearing in accord with Section 3000.405.

2) If a hearing is not requested, the Notice of Denial becomes the final order of the Board denying the applicant's application.

Ill. Admin. Code tit. 86, § 3000.230

Amended at 23 Ill. Reg. 1037, effective January 1, 2000