TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.100 DEFINITIONS
Section 3000.100 Definitions
For purposes of this Part the
following terms shall have the following meanings:
"Act":
The Illinois Gambling Act [230 ILCS 10].
"Adjusted Gross Receipts":
The gross receipts less winnings paid to wagerers. The value of expired
vouchers shall be included in computing adjusted gross receipts.
"Affiliate":
An "Affiliate of", or person "Affiliated with", a specified
person shall mean a person that directly, or indirectly through one or more
intermediaries, controls, or is controlled by, or is under common control with,
such person.
"Alcoholic
Liquors": Includes alcohol, spirits, wine and beer, and every liquid or
solid, patented or not, containing alcohol, spirits, wine or beer, and capable
of being consumed as a beverage by a human being.
"Attributed
Interest": A direct or indirect interest in a Business Entity deemed to
be held by a person not through the person's actual holdings but either through
the holdings of the person's relatives or through a third party or parties on
behalf of the person pursuant to a plan, arrangement or agreement.
"Bill
Validator": Any electro-mechanical device attached either on or into an
Electronic Gaming Device which accepts and analyzes the legitimacy of United
States currency and/or Vouchers, validates the currency and/or Vouchers, stores
the currency and/or Vouchers, and issues Electronic Credits equal to the value
of currency and/or Vouchers inserted into the device.
"Board":
The Illinois Gaming Board.
"Business
Entity": A partnership, incorporated or unincorporated association or
group, firm, corporation, limited liability company, partnership for shares,
trust, sole proprietorship or other business enterprise.
"Chip":
A non-metal or partly metal representative of value, redeemable for cash, and
issued and sold by a holder of an owners license or organization gaming license
for use in Gaming other than in Electronic Gaming Devices on that holder's Gaming
Operation.
"Chip
Float": The difference between the total face value of Chips received
from vendors and the total face value of Chips accounted for through an
inventory conducted by the Gaming Operation.
"Computer
Monitoring System": The gaming related system used to provide on-line,
real-time monitoring of Electronic Gaming Devices and data acquisition
capability in the format and media approved by the Administrator.
"Dependent":
Any individual who received over half of the individual's support in a calendar
year from any other individual.
"Electronic
Card": A card purchased from a holder of an owners license or
organization gaming license for use at that holder's Gaming Operation as a
substitute for Tokens in the conduct of gaming on an Electronic Gaming Device.
"Electronic
Credit": A value owed to a patron on an Electronic Gaming Device.
"Electronic
Gaming Device" or "EGD": Includes as approved Games under
Section 3000.605 Single- and Multiple-Position Reel-Type, Single- and Multiple-Position
Single-Game Video and Single- and Multiple-Position Multi-Game Video Electronic
Gaming Devices.
"Electronic
Gaming Device Drop": The total face value of Tokens or representations of
Tokens (including without limitation foreign Tokens and slugs) collected from
the drop bucket and United States currency and/or Vouchers collected from the
Bill Validator drop box.
"Electronic
Gaming Device Win": The Electronic Gaming Device Drop minus hand-paid
jackpots minus hopper fills minus Vouchers issued.
"EPROM":
An acronym for Erasable, Programmable, Read Only Memory, which is a
microprocessor component that stores memory and affects payout percentage
and/or contains a random number generator that selects the outcome of a Game on
an Electronic Gaming Device.
"Excluded
Person": Any person whose name appears on any Exclusion List, or any
person whose name does not appear on an Exclusion List but who is excluded or
ejected pursuant to Section 5(c)(12) of the Act or as a result of meeting one
or more of the criteria in Section 3000.720 of this Part.
"Exclusion
List": A list or lists which contain the identities of persons who are to
be excluded or ejected from any licensed Gaming operation in any jurisdiction.
The list may include any person whose reputation or conduct is such that the
person's presence within a Gaming Operation may, in the opinion of the Board or
the Administrator, call into question the honesty or integrity of the Gaming Operation
or pose a threat to the interests of the State of Illinois.
"Expiration
Date": The one-year period, starting on the day of issuance, during which
Vouchers may be redeemed for United States currency at a cashier cage of a
Gaming Operation.
"Game":
A gambling activity which is played for money, property, or anything of value,
including without limitation those played with cards, Chips, Tokens, dice,
implements, or electronic, electrical, or mechanical devices or machines.
"Gaming":
The dealing, operating, carrying on, conducting, maintaining or exposing for
play of any Game.
"Gaming
Equipment/Supplies": A machine, mechanism, device, or implement which is
integral to the operation of a Game or affects the result of a Game by
determining win or loss, including without limitation: electronic, electrical,
or mechanical devices or machines; cards or dice; layouts for Live Gaming
Devices; any representative of value used with any Game, including without
limitation Chips, Tokens, or Electronic Cards; Voucher Systems; Voucher
Printers; Voucher Validation Terminals; Computer Monitoring Systems; and
hardware and software related to any item described in this Part.
"Gaming Operation": The
owners licensee, organization gaming licensee or, as the context requires, the
conducting of gaming and all related activities, including without limitation
the purveying of food, beverages, retail goods and services, and
transportation, at a casino, an organization gaming facility or on a Riverboat
and at its Support Facilities.
"Gaming
Operations Manager": A person or business entity other than the holder of
an owners license or organization gaming license who has the ultimate
responsibility to manage, direct or administer the conducting of Gaming.
"Gaming Station":
Each individual portion of any Electronic Gaming Device where a patron can
engage in wagering, characterized by at least one of the following features: an
interactive display or controls, a bill acceptor, a voucher printer, or a means
for tracking credits available to be wagered by the patron.
"Hand":
Either one Game in a series, one deal in a card Game, or the cards held by a
player.
"Indirect
Interest": An interest in a Business Entity that is deemed to be held by
the holder of an owners license or organization gaming license not through the
holder's actual holdings in the business entity but through the holder's
holdings in other business entities.
"Institutional
Investor": A "qualified institutional buyer" as defined by
Securities and Exchange Commission Rule 144A (17 CFR 230.144A) under the
Securities Act of 1933 (15 U.S.C. 77a).
"Internal
Control System": Proprietary internal procedures and administration and
accounting controls designed by the holder of an owners license or organization
gaming license for the purpose of exercising control over the Gaming Operation.
"Junketeer":
A person or entity that facilitates a patron's participation in gaming at a
Gaming Operation and is compensated, not as an employee but as an independent
contractor, by that Operation based upon how much the patron actually wagers or
loses.
"Key
Person": A Person identified by the Board under Section 3000.222 as
subject to regulatory approval as a Person able to control, or exercise
significant influence over, the management, assets, or operating policies of an
owners, organization gaming or supplier licensee.
"Live
Gaming Device": Any apparatus, other than an Electronic Gaming Device,
upon which Gaming is conducted or which determines an outcome which is the
object of a wager. This definition includes but is not limited to roulette
wheels, keno machines, punchboard tickets and tables with layouts utilized in
Games approved by the Board.
"Marketing
Agent": A person or entity, other than a junketeer or an employee of a
Gaming Operation, who is compensated by the Gaming Operation in excess of $100
per patron per trip for identifying and recruiting patrons.
"Non-Alterable
Storage Media": An electronic storage medium that contains the program
files that operate the game, which medium cannot be altered through the use of
the circuitry or programming of the gaming device.
"Non-Value
Chip": A Chip, clearly and permanently impressed, engraved or imprinted
with the name of the Gaming Operation, but bearing no value designation.
"Notice
of Board Action": A Notice of Denial, Restriction, Suspension,
Revocation, Nonrenewal, Fine, Exclusion or other action issued by the Board.
"Organization Gaming Facility":
That portion of an organization licensee's racetrack facilities at which gaming
authorized under Section 7.7 of the Act is conducted, including both the
publicly accessible gaming area and restricted access areas, including but not
limited to cashier cages, count rooms, surveillance rooms, and gaming equipment
storage and repair areas.
"Parent
Company": A "parent company" of a specified person is an
affiliate controlling such person directly, or indirectly through one or more
intermediaries.
"Payout":
Winnings earned on a wager.
"Person":
includes both individuals and Business Entities.
"Petitioner":
An applicant, licensee or Excluded Person who requests a hearing upon issuance
of a Notice of Board Action.
"Progressive
Controller": The hardware and software that controls all communications
among the machines within a progressive Electronic Gaming Device link and its
associated progressive meter.
"Progressive
Jackpot": An award for winning play in a Game, the value of which is
determined by the contribution of a portion of each Wager placed into play or
the combined amount of several wagers linked to a common jackpot award.
"Redemption
Period": The 120-day period during which a Voucher may be used to acquire
electronic credits from an Electronic Gaming Device or to obtain United States
currency from a Voucher Validation Terminal. After their Redemption dates and
prior to their Expiration dates, Vouchers may be redeemed for United States
currency only at a cashier cage of a Gaming Operation.
"Relative":
Spouse, parents, grandparents, children, siblings, uncles, aunts, nephews, nieces,
fathers-in-law, mothers-in-law, sons-in-law, daughters-in-law, brothers-in-law,
and sisters-in-law, whether by the whole or half blood, by marriage, adoption
or natural relationship, and Dependents.
"Remote
Access": Communication with an electronic information system from a
remote location or facility through a data link.
"Riverboat":
A navigable vessel or a permanently moored vessel comprised of one or more
barges that are permanently attached to operate as one barge. Except as
appropriate by context, all references to riverboats in this Part apply to
casinos and organization gaming facilities as well.
"Riverboat
Gaming Operation": The owners licensee, Gaming Operations Manager, or, as
the context requires, the conducting of Gaming and all related activities,
including without limitation the purveying of food, beverages, retail goods and
services, and transportation, on a Riverboat and at its Support Facilities. Except
as appropriate by context, all references to Riverboat Gambling Operations in
this Part apply to all Gaming Operations.
"Signature":
The definitive identity of an individual specific EPROM chip or other
non-alterable storage media, determined by electronic analysis and reflective
of the EPROM chip's game behavior capability.
"Substantial
Owner": A person who has an ownership interest of 25% or more in a
Business Entity.
"Supplier":
A provider of Gaming Equipment/Supplies, Gaming Equipment maintenance or repair
services, security services or a lessor of a Riverboat, dock, casino or organization
gaming facility.
"Support
Facility": A place of business that is part of, or operates in conjunction
with, a Gaming Operation of an owners licensee and is owned in whole or in part
by a holder of an owners or suppliers license or any of their Key Persons,
including, without limitation, Riverboats, offices, docking facilities, casinos,
parking facilities and land-based hotels or restaurants.
"Table
Drop": The total amount of cash or cash equivalents contained in the drop
box for Chips purchased at a Live Gaming Device.
"Table
Win": The dollar amount won by the holder of an owners license through
play at a live Game which is the total of the Table Drop plus ending Chip
inventory plus credits minus opening Chip inventory minus fills.
"Theoretical
Payout Percentage": The percentage of Tokens or Electronic Credits from
amounts wagered that will be returned to players by an Electronic Gaming
Device.
"Token":
A metal representative of value, redeemable for cash only at the issuing Gaming
Operation, and issued and sold by a holder of an owners license or
organizational gaming license for use in Gaming.
"Token
Dispenser": Any mechanical or electrical device designed for the purpose
of dispensing an amount of Tokens equal to the amount of currency inserted into
the device.
"Token
Float": The difference between the total face value of Tokens received
from vendors and the total face value of Tokens accounted for through an
inventory conducted by the Gaming Operation.
"Tournament
EPROM": A specially designed EPROM with a mode of play that provides for
a mathematically demonstrable payout of more than 100 percent.
"Value
Chip": A Chip, clearly and permanently impressed, engraved or imprinted
with the name of the Gaming Operation and the specific value of the Chip.
"Video
Game of Chance": As used in the Act, means an Electronic Gaming Device.
"Voucher":
A printed paper scrip representing the value in United States currency stated
on the face of the scrip that is:
issued by a
Voucher Printer connected to an Electronic Gaming Device or at a cashier cage at
a Gaming Operation; and
redeemable for
electronic credits or United States currency and is not a coupon or other
promotional item.
"Voucher Float": The
difference between the total face value of unexpired Vouchers issued by a
Gaming Operation and the total face value of Vouchers accounted for by the
Gaming Operation as redeemed or expired.
"Voucher Printer": A
device designed for the purpose of issuing Vouchers at Electronic Gaming
Devices or at a cashier cage at a Gaming Operation.
"Voucher System": The
hardware and software used to issue and validate Vouchers, record redemptions
and account for Vouchers.
"Voucher Validation
Terminal": A hard-wired and interfaced device that accepts Vouchers and
communicates the Voucher information to the Voucher System for the System to
validate the information. If the System confirms that the Voucher is valid, the
terminal then stores the Voucher and issues United States currency equal to the
value of the Voucher.
"Wager":
A sum of money or thing of value risked.
(Source: Amended at 47 Ill.
Reg. 8454, effective May 30, 2023)
 | TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.101 INVALIDITY
Section 3000.101 Invalidity
If any part of these Rules shall
be held by a court of competent jurisdiction to be invalid, such holding shall
not affect the remaining parts hereof.
(Source: Added at 17 Ill. Reg. 11510, effective July 9, 1993)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.102 PUBLIC INQUIRIES
Section 3000.102 Public
Inquiries
Requests for information from
the Board shall be directed to the Board's Public Information Officer. All
requests seeking information pursuant to the Illinois Freedom of Information
Act [5 ILCS 140] or Section 5.1 of the Act must be made in writing and directed
to the Board's Public Information Officer. A denial of a written request for
information made pursuant to this Section may be appealed by submitting a
written request for review to the Administrator. Data that will be
disseminated includes but is not limited to the following:
a) information the disclosure of which is required by Section 5.1
of the Act;
b) information the disclosure of which is required by the
Illinois Freedom of Information Act and not prohibited by the Act;
c) information regarding the identities of beneficiaries of
trusts that possess an ownership interest in the holder of an Owner's License,
except where the beneficiary is a lineal descendant of or the spouse of a
lineal descendant of the parents of the settlor of the trust. A lineal
descendant shall include a step-child and an adopted child; and
d) information regarding whether a person's ownership interest in
the holder of an Owner's License exceeds five percent.
(Source: Added at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.103 ORGANIZATION OF THE ILLINOIS GAMING BOARD
Section 3000.103
Organization of the Illinois Gaming Board
The Board consists of five
members who have been appointed to three year terms by the Governor with the
advice and consent of the Senate. The Board holds a meeting at least once each
quarter of the fiscal year. The Board appoints an Administrator who performs
all duties assigned by the Board, including the daily administration of the
Board's responsibilities. The Board may utilize the services of the Department
of State Police to fulfill its responsibilities under the Act.
(Source: Added at 21 Ill. Reg. 4642, effective April 1, 1997)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.104 RULEMAKING PROCEDURES
Section 3000.104 Rulemaking
Procedures
The Board's rules shall be
promulgated in a manner consistent with the Illinois Administrative Procedure
Act [5 ILCS 100] and the rules adopted thereunder.
(Source: Added at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.105 BOARD MEETINGS
Section 3000.105 Board
Meetings
a) The Board makes all of its decisions on adjudicatory cases and
regulatory matters at public meetings of the Board noticed and held in
accordance with the Open Meetings Act [5 ILCS 120]. The Board holds closed
meetings pursuant to Section 2a of the Open Meetings Act [5 ILCS 120/2a].
b) Final decisions of the Board may be made only at meetings held
when a quorum, constituted by three members of the Board, is present. Three
affirmative votes are required for any final decision of the Board. The
presence of a quorum is required at a meeting in order for the Board to
transact any business, perform any duty, or exercise any power that the
Riverboat Gambling Act [230 ILCS 10] requires the Board to transact, perform or
exercise en banc.
c) A Board member shall be counted toward determining a quorum by
being present in a public building, which may include one of the Board offices,
and participating in the meeting through an interactive video conference,
provided the Board gives public notice and public access for all locations in
which participating Board members are present. (See Section 2.01 of the Open
Meetings Act [5 ILCS 120]).
d) Board
Member Attendance
1) If
a quorum of the members of the Board is physically present, a majority of the
Board may allow a Board member to attend that meeting by video or audio
conference if the member is prevented from physically attending because of:
A) personal
illness or disability;
B) employment
purposes or the business of the public body; or
C) a
family or other emergency.
2) If
a member wishes to attend a meeting by audio or video conferencing the
member must notify the Board or its designated staff before the meeting
unless advance notice is impractical. (Section 7 of the Open Meetings
Act).
3) In
the event a Board member is present telephonically, the public session of such
a meeting will be broadcast over a speakerphone that is open to the public at
the Board meeting location.
e) Section 5(b)(8) of the Riverboat Gambling Act [230 ILCS
10/5(b)(8)] requires the Board to meet at least once during each quarter of the
fiscal year and allows the Board to hold other meetings pursuant to the Open
Meetings Act. The Chairman or any 2 members of the Board may call a special
meeting of the Board upon giving 72 hours written notice to each Board member.
f) Requests for Board action initiated by licensees shall be
given initial consideration by the Board at one meeting and be given final
consideration by the Board at a subsequent meeting. However, upon motion, the
Board may give immediate consideration to the action request.
g) Members
of the public shall be permitted to address the Board during the open portion
of a Board meeting on matters relevant to the Board's functions, subject to the
significant government interests of conserving time, ensuring that others have
the opportunity to speak, and preserving decorum. The comments by each member
of the public shall be limited to a reasonable period of time, not to exceed
five minutes unless the Board gives permission. Members of the public shall
provide at least 2 days' notice of intent to address the Board, unless the
Board diminishes or waives this notice requirement. (See Section 2.06(g) of the
Open Meetings Act.)
h) Any
person shall be permitted to photograph, tape, film or otherwise record the
open portions of Board meetings. Persons may be required to locate their
cameras or other recording devices at a sufficient distance from the Board
members as is necessary to avoid interference with the Board's discussion.
(See Section 2.05 of the Open Meetings Act.)
i) The
provisions of this Section also apply to public meetings of the Board in which
matters relating to video gaming under the Video Gaming Act [230 ILCS 40] are
considered.
(Source: Amended at 39 Ill. Reg. 12312, effective August 18, 2015)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.106 CODE OF CONDUCT
Section 3000.106 Code of Conduct
The purpose of this Code of Conduct is to assure, to the
maximum extent possible, that persons subject to this Code avoid situations,
relationships or associations that may lead to or represent an actual or potential
conflict of interest.
a) Policy and Application
1) Definitions
For purposes of this Section, the
following terms shall have the following meanings:
"Applicant": Any person
that has submitted an application or has publicly expressed an intent to submit
an application for licensure under the Illinois Gambling Act, Video Gaming Act,
or Sports Wagering Act [230 ILCS 45].
"Covered
Person": Any of the following:
Applicants;
Licensees;
Affiliates
of an applicant or licensee;
Persons
with significant influence or control of an applicant or licensee as defined in
11 Ill. Adm. Code 1800.110;
Key
Persons of an applicant or licensee; or
Representatives
of persons or entities included in this definition.
"Employee": Any person
employed full-time, part-time, or pursuant to a contract of any kind and whose
employment duties are subject to the direction and control of the Board with
regard to the material details of how the work is to be performed, including
any State employees detailed or assigned to the Board from other State
entities, contract employees, and independent contractors in the service of the
Board.
"Licensee": Any person
who holds a license issued pursuant to the Illinois Gambling Act, Video Gaming
Act, or Sports Wagering Act.
2) Members
and employees of the Board are to discharge their duties and responsibilities
with undivided loyalty to the Board and in such a manner as to promote and
preserve public trust and confidence in the integrity of the conduct of gaming
and in the integrity and impartiality of the Board.
3) No
Board member or employee shall use or attempt to use his or her official
position to secure, or attempt to secure, any privilege, advantage, favor or
influence for himself, herself or others.
4) Members
and employees of the Board shall bear responsibility for adherence to the
provisions of this Code of Conduct.
5) Provisions
of this Code of Conduct applying to relatives or household members of an employee
or Board member apply regardless of the nature of the relationship, including,
but not limited to, relationships by blood, marriage, adoption or other
relationship.
6) When
evaluating the circumstances of a violation or potential violation of this Code
of Conduct by a relative or household member of a Board member or employee, the
level of influence held by the Board member or employee over that relative or
household member shall be considered.
b) Conflict of Interest
1) Board
members and employees and their respective spouses, domestic partners,
boyfriends, girlfriends, parents, children and household members shall have an
affirmative duty to avoid relationships that may cause or have the appearance
of causing an actual or potential conflict of interest.
2) A "conflict
of interest" means a situation in which a Board member's or a Board employee's
private interest, whether personal, financial or otherwise, influences, or creates
the appearance that it may influence, the Board member's or employee's judgment
in the performance of his or her regulatory duties and responsibilities to act
in a fair and impartial manner.
c) Gambling
1) Except
as may be required in the conduct of official duties, Board members and employees
shall not engage in gambling conducted under the Illinois Gambling Act, Video
Gaming Act, Sports Wagering Act, or Illinois Horse Racing Act of 1975 [230 ILCS
5].
2) Board
members and employees shall not engage in any other legalized gambling
identified by Board action that, in the judgement of the Board, could represent
a potential for, or the appearance of, a conflict of interest.
d) Outside Employment
1) Board
members and employees shall not hold or pursue employment, office, position,
business or occupation that may conflict with the official duties of that Board
member or employee.
2) Employees
may engage in other gainful employment that does not interfere or conflict with
their duties, provided that the employment is disclosed to the Administrator
and the Board and approved by the Board or, as delegated, by the Administrator.
3) Disclosure
of outside employment must be made at the time of appointment to the Board or
at the time the employee is hired to work for the Board or prior to accepting
the outside employment.
4) Any
Board member who discloses outside employment to the Board shall recuse himself
or herself from any discussion and decision made by the Board relative to his
or her outside employment.
5) Outside
employment that, despite recusal from Board action and discussion, presents
recurring or continuing possibilities for potential or actual conflicts of
interest shall be grounds for removal from the Board under Section 5(a)(6) of
the Act.
6) No
Board member shall hold any other public office.
e) Restrictions on
Receiving Gifts
1) Board
members and employees and their spouses, domestic partners, boyfriends or
girlfriends, children, parents, and household members may not, directly or
indirectly, accept any gift, gratuity, service, compensation, travel, lodging,
or thing of value from a covered person, with the exception of unsolicited
items of an incidental nature.
2) This
prohibition may be extended by Board action to any person who, in the judgment
of the Board, could represent a potential for, or the appearance of, a conflict
of interest.
f) Prohibition on Holding
or Acquiring Ownership
1) Board
members and employees of the Board, their spouses, domestic partners,
boyfriends or girlfriends, children, parents, and household members may not,
directly or indirectly, hold or acquire, or cause or encourage any other person
to acquire, any actual or contingent form of ownership interest or other financial
interest in a covered person.
2) The
prohibition in subsection (f)(1) may extend to the holding or acquisition of an
interest in any entity identified by Board action that, in the judgment of the
Board, could represent the potential for, or the appearance of, a conflict of
interest.
3) The
holding or acquisition of an interest in these entities through an indirect
means (e.g., through a mutual fund) shall not be prohibited, except that the
Board may identify specific investments or funds that, in its judgment, are so
influenced by gaming holdings as to represent the potential for, or the
appearance of, a conflict of interest.
4) Every
Board member, Board employee, and spouse or immediate family member living with
that person shall be subject to applicable provisions of Section 5-45 of the
State Officials and Employees Ethics Act [5 ILCS 430] (the "revolving door
prohibition") for a period of two years immediately after termination of
Board appointment or employment.
g) Prohibition of Economic
Association
1) Notwithstanding
subsections (d)(4) and (5), Board members and employees of the Board and their
spouses, domestic partners, boyfriends, girlfriends, children, parents, and
household members shall not have an economic association with a covered person
or any race track, racing association, or any person engaged in the conducting
of horse racing in the State of Illinois.
2) An "economic
association" shall mean any current economic relationship, direct or
indirect, representing the potential for, or the appearance of, an actual or
potential conflict of interest that may exist between a Board member or Board employee
and a covered person.
3) The
prohibition of economic association provided by this subsection (g) may be
extended to any person identified by Board action that, in the judgment of the
Board, could represent the potential for, or the appearance of, a conflict of
interest.
4) This
prohibition on economic association may by waived by Board action for a spouse,
domestic partner, boyfriend, girlfriend, child, parent, or household member of
an employee of the Board.
h) Disclosure of Economic
Association
1) Each
Board member who owns or is employed by a firm or business entity shall, to the
best of his or her ability, identify any economic association with any covered person.
2) Subject
to the prohibition contained in subsection (g)(1), the Board member shall
declare his or her intention to refrain from deliberations and voting on
questions related to the gaming entity or individual in that economic
association. This requirement may be extended by Board action to any person who,
in the judgment of the Board, could represent the potential for, or the
appearance of, a conflict of interest.
3) Board
members shall refrain from working on any gaming-related matters on behalf of
any person with whom the Board member has an economic association.
i) Recusal Process
1) Board member
duties of disclosure and recusal are ongoing.
2) In
advance of each Board meeting, and before engaging in any deliberations or
voting, Board members must review lists provided by Board staff of all persons and
locations that will come before the Board, at the upcoming Board meeting, for
consideration for licensure, discipline or any other action. This review will
assist the members in determining whether recusal from a particular Board
deliberation or vote is required.
3) To
the extent practicable, each Board member who owns or is employed by a firm or
entity shall employ a conflict check process, subject to approval by the
Administrator, to determine whether any existing or new firm or entity client
is, or has become, a covered person. This process will assist the Board member
in discharging his or her disclosure and recusal duties.
j) Restrictions on
Professional Service Agents
1) Professional
service agents of the Board may be subject to terms and conditions relating to
restrictions or prohibitions in representation, employment and contracting with
licensees, applicants, their affiliates, persons with significant influence and
control, Key Persons, and their representatives. These restrictions and
prohibitions shall be contained in the professional service contracts of the
Board.
2) For
purposes of this subsection (j), professional service agents of the Board
include any person, corporation or organization providing legal, accounting,
financial, public relations, auditing, architectural, data processing, or
management consulting services.
k) Disclosure
Statements. Board members and employees shall complete and timely file the
Statement of Economic Interest required by Article 4A of the Illinois
Governmental Ethics Act [5 ILCS 420], a copy of which shall be provided to the
Administrator.
l) Post-Board
Affiliation or Employment. Every Board member, Board employee, and their spouse
or immediate family members shall be subject to all applicable provisions of
Section 5-45 of the State Officials and Employees Ethics Act [5 ILCS 430] (the "revolving
door prohibition") for a period of one year after termination of Board
appointment or employment.
m) Violations
1) Violation
of this Code of Conduct by a member of the Board may result in sanctions up to
and including removal from the Board.
2) Violation
of this Code of Conduct by an employee or agent of the Board may result in
discipline up to and including termination.
(Source: Added at 44 Ill. Reg.11156,
effective June 17, 2020)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.110 DISCIPLINARY ACTIONS
Section 3000.110
Disciplinary Actions
a) A holder of any license shall be subject to imposition of
fines, suspension or revocation or restriction of such license, or other
disciplinary action for any act or failure to act by himself or by his agents
or employees that is injurious to the public health, safety, morals, good order
and general welfare of the people of the State of Illinois, or that would
discredit or tend to discredit the Illinois Gaming industry or the State of
Illinois. Without limiting the foregoing, the following acts or omissions may
be grounds for such discipline.
1) Failing to comply with or make provision for compliance with
the Act, these rules, an owner licensee's Internal Control System or any
federal, state or local law or regulation.
2) Failing to comply with any order or ruling of the Board or its
agents pertaining to a Riverboat Gaming Operation.
3) Receiving goods or services from a person or business entity
who does not hold a Supplier's License but who is required to hold such license
by these rules.
4) Being suspended or ruled ineligible or having a license
revoked or suspended in any state or Gaming jurisdiction.
5) Associating with, either socially or in business affairs, or
employing persons of notorious or unsavory reputation or who have extensive
police records, or who have failed to cooperate with any officially constituted
investigatory or administrative body and would adversely affect public
confidence and trust in Gaming.
6) Failing to establish and maintain standards and procedures
designed to prevent ineligible or unsuitable persons from being employed by the
licensee, including any person known to have been found guilty of cheating or
using any improper device in connection with any Game.
7) Failing to promulgate an approved Internal Control System.
8) Any reason set forth in Section 3000.241(d) or resulting from
an event set forth under Section 3000.243.
9) Aiding and abetting a violation by a Board member or employee,
or other government official, of ethical requirements established by statute,
resolution, ordinance, personnel code or code of conduct.
b) An employee whose employment at a Riverboat Gaming Operation
has been terminated is subject to revocation of license for any act or failure
to act which occurred while employed at any Riverboat Gaming Operation.
c) A person who has had his or her license revoked by the Board
may not reapply for a license without permission from the Board.
(Source: Amended at 21 Ill. Reg. 4642, effective April 1, 1997)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.115 RECORDS RETENTION
Section 3000.115 Records
Retention
a) All holders of Owner's licenses or Supplier's licenses shall
maintain in a place secure from theft, loss or destruction adequate records of
business operations which shall be made available to the Board upon request.
These records shall be held for at least as long as prescribed by the
periodically published Records Retention Schedule, or longer if otherwise
prescribed by general accounting and auditing procedures, litigation needs, or
state or federal law. These records shall be maintained in a manner accessible
to the Board or as otherwise prescribed by the Board.
b) A holder of an Owner's license, in such manner and for such
time period as the Administrator may approve or require, shall keep accurate,
complete and legible records of any books, records or document pertaining to,
prepared in, or generated by the Riverboat Gaming Operation, regardless of
physical form or characteristics or subject matter, including, but not limited
to, all forms, reports, accounting records, ledgers, subsidiary records, computer
maintained and generated data, internal audit records, internal control
records, copies of all promotional material and advertising, correspondence and
personnel records.
1) The Administrator shall publish and periodically update the
Retention Schedule for records to be held by a holder of an Owner's License.
2) The ownership records shall be maintained as provided in
Section 3000.1000.
3) The accounting records shall be maintained as provided in
Section 3000.1010.
c) All records shall be organized and indexed in such a manner to
provide immediate accessibility to agents of the Board.
d) No original book, record or document required to be maintained
by this Section may be destroyed by a holder of an Owner's or Supplier's
License prior to the scheduled retention date without prior approval of the
Administrator.
(Source: Amended at 25 Ill. Reg. 94, effective January 8, 2001)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.120 PLACE TO SUBMIT MATERIALS
Section 3000.120 Place to
Submit Materials
Unless otherwise required, all
forms, fees, documents, papers, and other materials to be submitted to the
Board shall be submitted to the Board's office in Chicago, Illinois.
(Source: Amended at 21 Ill. Reg. 4642, effective April 1, 1997)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.130 NO OPINION OR APPROVAL OF THE BOARD
Section 3000.130 No Opinion
or Approval of the Board
Any action of the Board relating
to an applicant or a licensee shall not indicate or suggest that the Board has
considered or passed in any way on the merits or qualifications of the
applicant or licensee, their prospects or Key Persons, their marketability or
the marketability of their securities, or any other matter, other than their
suitability for licensure under the Act.
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.140 DUTY TO DISCLOSE CHANGES IN INFORMATION
Section 3000.140 Duty to
Disclose Changes in Information
a) Board licensees and applicants for licenses issued by the
Board shall have a continuing duty to disclose promptly any material changes in
information provided to the Board. The duty to disclose changes in information
shall continue throughout any period of licensure granted by the Board. Board
licensees or applicants for licenses must maintain current release of
information forms as originally submitted to the Board.
b) In addition to and without limiting disclosure of changes of
information required under subsection (a), licensees and applicants for
licensure shall periodically disclose changes in or new agreements, whether
oral or written, relating to:
1) Lobbying, legal services, financial consulting services, and
management consulting services;
2) Accounting, data processing and other financial and
administrative services;
3) Construction contracts;
4) Installation, accounting or operation of Voucher Systems;
5) Installation, accounting or operation of Computer Monitoring
Systems;
6) Agreements with or involving Key Persons and relatives of Key
Persons;
7) Agreements to sell, grant, gift, pledge, hypothecate or
otherwise transfer or share an ownership interest or interests in a holder of
an Owner's License; and
8) Agreements to sell, grant, gift, pledge, hypothecate or
otherwise transfer or share stock options, warrants, stock appreciation rights,
or agreements in lieu thereof, relating to an ownership interest or interests
or benefits of such ownership interest or interests in a holder of an Owner's
License.
c) Updating Criminal History Information and Penalties
1) In
addition to, and without limiting disclosure of, changes of information
required under subsection (a), licensees and applicants for licensure shall
periodically and promptly disclose
changes relating to criminal arrest or criminal proceeding disposition history,
whether charged or not charged, concerning any criminal offense under the laws
of any jurisdiction or Uniform Code of Military Conduct, in any state or
foreign country, including any arrest or disposition that has been expunged or
sealed.
2) The
Administrator may impose the following fines as disciplinary action for any
violation of this subsection (c): $250 for a first violation and $500 for a
second violation. For each subsequent violation, the fine imposed by the
Administrator shall increase by $250. These fines may be imposed in
conjunction with additional or further disciplinary action taken against a
licensee. Payment of the fine shall be due within 21 days after service is
complete, unless the licensee timely files an answer requiring the appointment
of a hearing officer.
d) The failure to meet the requirements of subsection (a), (b) or
(c) may result in discipline up to and including revocation of a license.
(Source: Amended at 37 Ill.
Reg. 12050, effective July 9, 2013)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.141 APPLICANT/LICENSEE DISCLOSURE OF AGENTS
Section 3000.141
Applicant/Licensee Disclosure of Agents
Any individual or entity acting
on behalf of an applicant or licensee, for compensation, with regard to Board
action shall promptly be identified to the Board by both the applicant or
licensee and the individual or entity acting on their behalf.
(Source: Added at 17 Ill. Reg. 11510, effective July 9, 1993)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.150 OWNER'S AND SUPPLIER'S DUTY TO INVESTIGATE
Section 3000.150 Owner's and
Supplier's Duty to Investigate
a) Job Applicants. The holder of an Owner's or Supplier's
license shall investigate the background and qualifications of all applicants
for jobs which its employees will perform at a Riverboat Gaming Operation.
Licensure by the Board may not be relied on as the sole criterion for hiring a
job applicant.
b) Marketing Agents.
1) The holder of an Owner's license shall investigate the
background of Marketing Agents with whom it intends to have a contractual
relationship or enter into an agreement;
2) The holder of an Owner's license has an affirmative duty to
avoid agreements or relationships with Marketing Agents whose background or
association is injurious to the public health, safety, morals, good order and
general welfare of the people of the State of Illinois, who threaten the
integrity of Gaming in Illinois or who discredit or tend to discredit the
Illinois Gaming industry or the State of Illinois;
3) The holder of an Owner's license shall receive the prior
approval of the Administrator for use of each Marketing Agent; and
4) Any agreement between the holder of an Owner's license and a
Marketing Agent shall contain a cancellation clause that allows termination of
the agreement in the event that the Administrator or holder of an Owner's
license finds that the contractual relationship fails to meet the requirements
of this subsection (b).
(Source: Amended at 22 Ill. Reg. 4390, effective February 20, 1998)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.155 INVESTIGATORY PROCEEDINGS
Section 3000.155
Investigatory Proceedings
a) The Administrator, when necessary, may conduct proceedings for
the purpose of investigating an applicant or application, a licensee or third
party for an alleged violation of the Act, Board Rules, or the conduct of
Gaming on a Riverboat Gaming Operation.
b) The Administrator may require an applicant, licensee or a key
person of a licensee to testify or to produce relevant documents, records or
other materials at a proceeding conducted under this Rule.
c) The Administrator may issue subponeas for the attendance of
witnesses or subponeas duces tecum for the production of relevant documents,
records or other material at a proceeding conducted under this rule.
d) All testimony at proceedings conducted under this Rule shall
be given under oath or affirmation.
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.160 DUTY TO REPORT MISCONDUCT
Section 3000.160 Duty to
Report Misconduct
The holder of an Owner's or
Supplier's License or an Occupational License, Level 1 shall cause to be
reported to the Administrator or to any other Board agent designated by the
Administrator any facts which the licensee has reasonable grounds to believe indicate
a violation of law (other than minor traffic violations), Board Rule or a
holder's Internal Controls committed by a licensee or an employee of a
licensee, including without limitation the performance of licensed activities
different from those permitted under their license. The holder of an Owner's
or Supplier's License, or an Occupational License, Level 1, shall also cause to
be reported to the Administrator or his designee any facts the licensee has
reasonable grounds to believe indicate a violation has been committed by a
patron of a Riverboat Gaming Operation of Article 28 of the Criminal Code of
1961 [720 ILCS 5/28] or the Act, or indicate the commission of any other crime
by a patron while on the premises of the Owner Licensee. Unless otherwise
determined by the Board, all reports required by this Section shall be
confidential.
(Source: Amended at 21 Ill. Reg. 4642, effective April 1, 1997)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.161 COMMUNICATION WITH OTHER AGENCIES
Section 3000.161
Communication with Other Agencies
The Administrator is authorized
to disclose to the appropriate federal or state government entity any facts
that tend to indicate a violation of federal or state law.
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.165 PARTICIPATION IN GAMES BY OWNERS, DIRECTORS, OFFICERS, KEY PERSONS OR GAMING EMPLOYEES
Section 3000.165
Participation in Games by Owners, Directors, Officers, Key Persons or Gaming
Employees
No holder of an Owner's license
or officer, director, Key Person or Gaming employee thereof shall play or be
permitted to play any Game at his facility. No such person shall be permitted
to purchase or redeem Chips or Tokens for, acquire or redeem Vouchers for, or
acquire Vouchers from, any other person, except that a Voucher forfeited by a
self-excluded person pursuant to Section 3000.756(a) shall be inventoried
pursuant to Section 3000.770(e) and redeemed by the Owner Licensee. The
proceeds of the forfeited Voucher shall be accounted for and donated in
accordance with Section 3000.756(b).
(Source: Amended at 29 Ill.
Reg. 10590, effective July 7, 2005)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.170 FAIR MARKET VALUE OF CONTRACTS
Section 3000.170 Fair Market
Value of Contracts
No holder of an Owner's License
shall enter into a contract relating to its licensed activities for
consideration in excess of fair market value.
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.175 HUMAN TRAFFICKING RECOGNITION TRAINING, REPORTING, AND SIGNAGE
Section 3000.175 Human Trafficking Recognition Training,
Reporting, and Signage
a) Human Trafficking
Recognition Training
1) Each
owners licensee and organization gaming licensee shall provide its employees
with training in the recognition of human trafficking and protocols for
documenting, reporting, and responding to instances of suspected human
trafficking within the licensee's gaming and non-gaming areas.
2) Each
owners licensee and organization gaming licensee employee must complete the training
within three months after beginning employment with the licensee and every one
year thereafter while employed by the licensee.
3) An
owners licensee or organization gaming licensee may use its own human
trafficking training curriculum or that of a third party so long as the
training curriculum includes, at a minimum, all of the following:
A) a
definition of human trafficking, including the differences between sex
trafficking and labor trafficking;
B) an explanation
of the individual and societal factors that make a person susceptible to human
trafficking;
C) the
differences between the forms of human trafficking as they relate to casinos,
hotels, and other hospitality settings;
D) an explanation
and guidance on how to identify red flags that indicate a person might be in a
human trafficking situation with particular emphasis on human trafficking in
casinos, hotels, and other hospitality settings;
E) instruction
and protocols on the role of the employees of an owners licensee or
organization gaming licensee in recognizing, documenting, reporting, and
responding to suspected instances of human trafficking, including specific
training based on the employee's job duties and access within the licensee's
gaming and non-gaming areas;
F) identification
of agencies that provide services to victims of human trafficking; and
G) any
additional requirements the Administrator may identify.
b) Protocols
for Documenting, Reporting, and Responding to Suspected Human Trafficking
1) Each
owners licensee and organization gaming licensee shall establish and implement
protocols for its employees to follow for documenting, reporting, and
responding to suspected instances of human trafficking within the licensee's
gaming and non-gaming areas.
2) The
protocols shall be tailored for employees based on their job duties and access
within the licensee's gaming and non-gaming areas.
c) Each
owners licensee and organizational gaming licensee shall provide copies of its
human trafficking training curriculum and protocols, including all updates and
revisions, to the Administrator.
d) Human
Trafficking Awareness Signage
1) Each
owners licensee and organization gaming licensee shall post human trafficking
awareness notices informing the public and victims of human trafficking of
telephone hotline numbers and other information about how to seek help or
report instances of human trafficking. Licensees shall place the human
trafficking awareness notices in bathrooms and a conspicuous place near the
public entrance of the establishment or in another conspicuous location in
clear view of the public and employees where similar notices are customarily
posted.
2) The
text of the human trafficking awareness notice must, at a minimum, be
materially consistent with the model notice developed by the Illinois
Department of Human Services in compliance with the Human Trafficking Resource
Center Notice Act [775 ILCS 50/10] and applicable rules.
(Source: Added at 49 Ill. Reg. 6960,
effective May 1, 2025)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.180 WEAPONS ON RIVERBOAT
Section 3000.180 Weapons on
Riverboat
The only individuals that may
carry a weapon on a riverboat are Board agents, Illinois State Police officers,
peace officers on duty within their jurisdictions, and such other persons as
may be authorized by the Board, the Administrator or agents of the Board
designated by the Administrator.
(Source: Amended at 26 Ill.
Reg. 15296, effective October 11, 2002)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.190 ETHICAL CONDUCT
Section 3000.190 Ethical Conduct
a) For
the purposes of Section 5.3(j) of the Act and this Section, the following terms
shall have the following meanings:
1) "Applicant":
Any person or entity that has directly or indirectly expressed interest to an
official or employee of a host community in obtaining an owners license under
the Act in that host community, regardless of whether that person or entity has
submitted an application to the Board.
2) "Communication":
Any written or oral communication, including with any agent, representative, or
affiliate, or indirect communication through third parties or intermediaries,
irrespective of whether that communication occurs in a public forum.
3) "Employee":
Any person employed full-time, part-time, or pursuant to a contract and whose
duties are subject to the direction and control of an employer with regard to
the material details of how the work is to be performed.
4) "Local
Government": Any unit of government wholly within the State of Illinois
other than the State of Illinois.
5) "Official":
Any of the following:
A) Elected
or appointed official of the host community;
B) Any
participant in a committee, group, team, or other organization acting at the
behest of or in cooperation with the host community; or
C) Agent,
contractor, or other delegate of the host community.
b) Disclosures
made to the Board required under Section 5.3(j) of the Act and this Section
shall be in a manner consistent with Section 5.3(j) of the Act and this Section.
c) All
applicants and licensees have a duty to report to the Administrator or any other
Board agent designated by the Administrator, any facts that the applicant or
licensee has reasonable grounds to believe indicate a violation of Section 5.3
of the Act, including, but not limited to:
1) Violations
by the applicant, licensee, or the applicant's or licensee's own agents,
employees or affiliates;
2) Violations
by any other applicant, licensee, or that applicant's or licensee's agents,
employees or affiliates; or
3) Violations
by any current or former official or employee of a corporate authority of a
host community, or that person's spouse, child, or parent.
d) Any
communication subject to disclosure under Section 5.3(j) of the Act that
occurred prior to the effective date of this Section and after the effective
date of Section 5.3(j) of the Act shall be disclosed to the Board within 14
days after the effective date of this Section.
(Source: Added at 44 Ill. Reg. 3224,
effective February 4, 2020)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.195 REPORTING PROHIBITED CONDUCT
Section 3000.195 Reporting Prohibited Conduct
a) The
Board shall establish an electronic form on its website to allow individuals to
report allegations of prohibited conduct, criminal behavior, or violations of
the any statute or rule under the Board's jurisdiction.
b) Any individual making a
report shall be required to include the following:
1) Summary
of the facts supporting the allegation;
2) Affirmation
by the individual that all information contained in the report is true and
correct to the best of the individual's knowledge and belief; and
3) Acknowledgment
by the individual that knowingly making false statements in the report may
subject the individual to criminal penalties.
c) Public
disclosure of any information, materials, or data received by any agent or
employee of the Board under this Part shall be subject to the exemptions
provided under Section 7 of the Freedom of Information Act [5 ILCS 140].
d) The
Board shall not voluntarily disclose the identity of any individual who provides
information, materials or data to the Board under this Part for any reason
unless such disclosure is required by law, is necessary for Board
investigations or enforcement actions or proceedings, is necessary in
connection with a referral to a civil or criminal law enforcement agency, or
the individual authorizes such disclosure.
(Source: Added at 45 Ill. Reg. 14449,
effective November 2, 2021)
SUBPART B: LICENSES
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.200 CLASSIFICATION OF LICENSES
Section 3000.200
Classification of Licenses
The Board may classify an
activity to be licensed in addition to, different from, or at a different level
than the classifications set forth in this Subpart.
a) Owners License. An owner of a Gaming Operation is required
to hold an owners license.
b) Suppliers License. The following persons or entities are
required to hold a suppliers license:
1) Supplier of Gaming Equipment/Supplies, including a
manufacturer, distributor, wholesaler, or retailer. All manufacturers of
Electronic Gaming Devices, Chips, Tokens, Voucher Systems, Voucher Validation
Terminals, Voucher Printers, and Computer Monitoring Systems must be licensed
as a Supplier regardless of whether the manufacturer uses an independent
distributor or wholesaler to distribute its Equipment/Supplies.
2) Supplier of Gaming Equipment maintenance or repair services.
3) Supplier of security services.
4) Lessors of Riverboat and/or dock facilities.
5) Junketeers.
6) Any other purveyor of goods or services to a Gaming Operation,
as deemed necessary by the Board.
c) Occupational License. A person employed at a Gaming Operation
is required to hold an occupational license. An occupational licensee may
perform any activity included within the licensee's level of occupational license
or any lower level of occupational license.
1) Occupational license, Level 1, includes the following
positions, or their equivalent:
A) Audit Manager;
B) Casino Manager;
C) Chief of Security;
D) Chief of Surveillance;
E) Chief Financial Officer and/or Controller;
F) EDP Manager;
G) Electronic Gaming Device Manager;
H) General Manager;
I) Table Games Manager; and
J) Any
other individual who, upon review of the applicant's or licensee's Table of Organization,
Ownership and Control submitted under Section 3000.223, the Board determines
holds a position or a level of ownership, control or influence that is material
to the regulatory concerns and obligation of the Board for the specified
licensee or applicant.
2) Occupational License, Level 2. A Gaming or
security/surveillance employee not required to hold an occupational license,
Level 1 under subsection (c)(1).
3) Occupational License, Level 3. An employee not required to
hold an occupational license, Level 1 or Level 2 under subsections (c)(1) and
(c)(2).
d) Organization Gaming License. An organization gaming license
is a license authorizing gaming, issued under Section 7.7 of the Act, to a
person or entity having operating control of a racetrack. In addition to other
requirements of this Part, organization gaming licensees are subject to the
same duties and obligations as riverboat/casino owners licensees under Sections
3000.230, 3000.286, 3000.300, 3000.310 and 3000.840 and Section 7 of the Act.
(Source: Amended at 44 Ill.
Reg. 3224, effective February 4, 2020)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.210 FEES AND BONDS
Section 3000.210 Fees and
Bonds
All fees shall be submitted to
the Board in the form of a check or money order made payable to the State of
Illinois, or any other method approved in writing by
the Administrator.
a) Application Fees. The following application fees must be paid
upon the submittal of the application to which they relate:
1) Owner's license: $50,000.
2) Supplier's License: $10,000.
3) Occupation License, Level 1: $1,000.
4) Occupation License, Level 2: $200.
5) Occupation License, Level 3: $75.
b) Increased Application Fee. The application fee of an
applicant may be increased to the extent that the cost of the investigation
relating to the applicant exceeds the applicant's fee amount provided in
subsection (a). Unless otherwise determined by the Administrator, no further
action shall be taken with respect to the application until payment of the
increased fee is received by the Board.
c) License Fees. The following annual license fees are due from
Owners and Suppliers upon licensing. The annual Occupation License fees are
due prior to each renewal of the license pursuant to Section 3000.246. If
there is cause for an investigation relating to a license, the licensee shall
pay the Board for the cost of the investigation.
1) Owner's license: $25,000 for the first year of operation,
$5,000 for each succeeding year of licensure.
2) Supplier's License: $5,000.
3) Occupation License, Level 1: $50.
4) Occupation License, Level 2: $50.
5) Occupation License, Level 3: $50.
d) Holder of an Owner's license Bond
1) The form of the holder of an Owner's license surety bond
required under Section 10 of the Act must be approved by the Administrator
prior to its posting.
A) The bond shall state that it is exercisable if the licensee
fails to comply with the obligations provided under Section 10 of the Act. The
bond may provide that the liability of the surety is limited to the extent of
the liability of the licensee.
B) The bond shall state that in the event it is to be modified or
cancelled the surety shall notify the Board in writing at least 30 days prior
to the date of such modification or cancellation.
C) The bond shall state that it shall run continuously and remain
in full force and effect during the period of the licensee's licensure.
2) The bond shall be posted with the Board.
e) Technology Fee. As deemed necessary by the Administrator, an
owner or supplier applicant or licensee may be billed directly or be required
to reimburse the Board for any expenses, including any third-party expenses,
associated with the testing, certification, installation, training, review, or
approval of gaming-related technology or technological enhancements to a
Riverboat Gaming Operation.
(Source: Amended at 45 Ill.
Reg. 14449, effective November 2, 2021)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.220 APPLICATIONS
Section 3000.220
Applications
a) Application Forms. Application forms shall be submitted by
applicants as provided in this Section.
1) Owner's License. Owner's License Application Form and
Business Entity Form or Individual Key Person Personal Disclosure Form for each
of the applicant's Key Persons, or any other principal or investor as the Board
may require.
2) Supplier's License. Supplier's License Application Form and
Business Entity Form or Individual Key Person Personal Disclosure Form for each
of the applicant's Key Persons, or any other principal or investor as the Board
may require.
3) Occupation License, Level 1. Personal Disclosure Form 1.
After the first year of licensure, applications for continuous renewal of Level
1 Occupational Licenses may include, in lieu of the Personal Disclosure Form 1,
a disclosure affidavit, updated personal and background information, and updated
tax and financial documents and information. The disclosure affidavit shall
update and attest to the veracity of all required information.
4) Occupation License, Level 2. Personal Disclosure Form 2.
5) Occupation License, Level 3. Personal Disclosure Form 3.
b) Additional or Different Forms or Materials. An applicant may
be required to submit forms or materials in addition to those listed in
subsection (a).
c) Application Procedures.
1) An applicant is seeking a privilege and assumes and accepts
any and all risk of adverse publicity, notoriety, embarrassment, criticism or
other action, or financial loss which may occur in connection with the
application process.
2) Any misrepresentation or omission made with respect to an
application may be grounds for denial of the application.
3) Application forms and requested materials shall be submitted
in triplicate. Application forms and requested materials for Owner's and
Supplier's licenses shall be submitted in bound form.
4) Applicants for Occupation licenses shall be photographed and
fingerprinted at the time of application at a place designated by the
Administrator.
5) An application shall be deemed filed when the completed
application form, including all required documents and materials, and the
application fee have been submitted.
d) Amendments and Incorporation by Reference.
1) An application may be amended only upon leave of the Board.
2) The Board may allow information, documents, or other materials
submitted by an applicant to be incorporated by reference into a subsequent
application.
e) Withdrawal of Applications.
1) An Owner's or Supplier's application may be withdrawn only
upon leave of the Board.
A) A request for leave to withdraw an application for an Owner's
license shall not be considered by the Board unless received prior to Board
action regarding a finding of preliminary suitability under Section
3000.230(c). However, applicants who have been found preliminarily suitable
may seek leave to withdraw after such finding.
B) A request for leave to withdraw an application for a Supplier's
license shall not be considered by the Board unless received prior to Board
action on licensure under Section 3000.240.
C) The Board may deny leave to withdraw an Owner's or Supplier's
application if it determines that withdrawal of the application would not be in
the best interests of the public and the Gaming industry.
2) If an application for an Owner's or Supplier's license is
withdrawn, the applicant may not reapply for a license within one year from the
date withdrawal is granted, without leave of the Board.
3) Applications for Occupational licenses may be withdrawn
without leave of the Board, if written notification of withdrawal is received
prior to Board action on licensure under Section 3000.245 and unless the
intended withdrawal is objected to by the Administrator, in which case leave of
the Board is required.
4) An
Individual Key Person Personal Disclosure Form or Business Entity Form,
submitted in connection with a request for certification as a Key Person under
Section 3000.222, may be withdrawn without leave of the Board, if written
notification of withdrawal is received prior to Board action on licensure under
Section 3000.245 and unless the intended withdrawal is objected to by the
Administrator, in which case leave of the Board is required.
(Source: Amended at 34 Ill.
Reg. 3285, effective February 26, 2010)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.221 OTHER REQUIRED FORMS
Section 3000.221 Other
Required Forms
a) Marketing Agent Forms. The holder of an Owner's license shall
complete and submit a Marketing Agent Form provided by the Board, or the
information requested in the Form, to the Board for each Marketing Agent with
whom it intends to do business.
b) Institutional Investor Disclosure Form. Institutional
Investors are required to submit the Institutional Investor Disclosure Form as
provided under Section 3000.234.
c) Trust Registration and Disclosure Form. Key Persons and
Occupational Level One licensees of holders of, or applicants for, an Owner's
or Supplier's license shall submit a Trust Registration and Disclosure Form for
any trust that holds a direct or indirect interest in any gaming entity that is
subject to regulation by a gaming jurisdiction for which they are a grantor,
trustee or beneficiary, or for any other trust in which they have an interest,
if so requested by the Board. Each time a reportable gaming industry trust
relationship is established, amended or terminated, appropriate disclosure is
needed as provided under Section 3000.140.
(Source: Amended at 34 Ill.
Reg. 4768, effective March 16, 2010)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.222 IDENTIFICATION AND REQUIREMENTS OF KEY PERSONS
Section 3000.222
Identification and Requirements of Key Persons
a) The Board shall certify for each applicant for or holder of an
Owner's or Supplier's license each position, individual or Business Entity that
is to be approved by the Board and maintain suitability as a Key Person of the
licensee.
b) Supplier Key Persons. With respect to an applicant for or
holder of a Supplier's license, Key Person shall include:
1) The Chief Executive Officer and the Chief Operating Officer,
or their functional equivalents, and each individual or Business Entity that is
a Substantial Owner.
2) Each individual or Business Entity that is a Substantial Owner
of any Business Entity that is a Substantial Owner of the Illinois applicant or
licensee.
3) All other individuals or Business Entities that, upon review
of the applicant's or licensee's Table of Organization, Ownership and Control
submitted under Section 3000.223, the Board determines hold a position or a
level of ownership, control or influence that is material to the regulatory
concerns and obligations of the Board for the specified licensee or applicant.
c) Owner Licensee Key Persons. With respect to an applicant for
or the holder of an Owner's license, Key Person shall include:
1) Any Business Entity and any individual with an ownership
interest or voting rights of more than 5 percent in the licensee or applicant,
and the trustee of any trust holding such ownership interest or voting rights.
2) The directors of the licensee or applicant and its chief
executive officer, president and chief operating officer, or their functional
equivalents.
3) A
Gaming Operations Manager or any other business entity or individual who has
influence and/or control over the conduct of gaming or the Riverboat Gaming
Operation.
4) All other individuals or Business Entities that, upon review
of the applicant's or licensee's Table of Organization, Ownership and Control
submitted under Section 3000.223, the Board determines hold a position or a
level of ownership, control or influence that is material to the regulatory
concerns and obligations of the Board for the specified licensee or applicant.
d) Level 1 Occupational Licensees. Individuals required to apply
for and hold a Level 1 Occupational license, pursuant to Section 3000.200(c),
may also be certified by the Board as Key Persons. For such individuals, the
disclosure and approval requirements and the standards for compliance with this
Part shall be those related to occupational licensure.
1) An individual denied occupational licensure or whose license
is revoked by a final determination of the Board is unsuitable and shall not be
allowed to function as a Key Person of any applicant or licensee.
2) An individual who, by voluntary action, relinquishes status as
a Level 1 Occupational licensee and remains or becomes a Key Person shall be
required to comply with all requirements imposed by the Board and this Part
upon Key Persons.
e) Each individual or Business Entity designated as a Key Person
shall:
1) File a Business Entity Form or Personal Disclosure Form 1 or
its equivalent.
2) File, on an annual basis, a disclosure affidavit, updated personal
and background information, and updated tax and financial documents and
information.
3) Comply with the applicable provisions of this Part and
disclose promptly to the Board any material changes in status or information
previously provided to the Board.
4) As required, cooperate fully with any investigation conducted
by the Board.
5) Maintain suitability as a Key Person.
6) Be subject to a fine for each act or omission that is grounds
for discipline of a licensee under the provisions of Section 3000.110.
(Source: Amended at 34 Ill.
Reg. 15386, effective September 23, 2010)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.223 DISCLOSURE OF OWNERSHIP AND CONTROL
Section 3000.223 Disclosure
of Ownership and Control
a) General Requirements. Each applicant for or holder of an
Owner's or Supplier's license shall provide to the Board and maintain on a
current basis a Table of Organization, Ownership and Control. The Table of
Organization, Ownership and Control shall contain the information required by
this Section, in sufficient detail to identify the hierarchy of individuals and
Business Entities that, through direct or indirect means, manage, own or
control the interests and assets of the applicant or license holder.
b) Direct Ownership or Control. The Table of Organization,
Ownership and Control shall identify the following information concerning the
direct management, ownership and control of the applicant or license holder.
1) The name and percentage of ownership of each individual or
Business Entity with an ownership interest in the applicant or licensee. If
the licensee or applicant is a Business Entity whose stock is traded publicly,
the identification of ownership shall be provided as required in subsection (d).
2) A table of organization reflecting the management and
governance structure of the licensee or applicant, including the name and
office or position of each individual serving as an officer, director or member
of an executive committee or similar governing body and identifying each
managerial position and each managerial employee reporting directly to an
officer of the company or its board of directors.
3) For each trust holding ownership interest, and for each voting
trust, the name of the trustee of the trust.
4) For each Business Entity with an ownership interest, the name
and position of each officer, director and all persons reporting to the chief
executive officer or the board of directors of the Business Entity, and in the
case of each privately held Business Entity the names of all persons with an ownership
interest.
c) Intermediary Entities and Ultimate Ownership. To the extent
that ownership of or control over the applicant or licensed entity is exercised
through intermediary Business Entities, the Table of Organization, Ownership
and Control must identify, in hierarchical fashion, all such intermediary
entities and their officers, directors, trustees, shareholders and persons
reporting to the chief executive officer or board of directors, and provide
similar information on any parent Business Entity. If the intermediary entity
or ultimate parent is a publicly traded company, the ownership identification
requirements for this Business Entity shall be provided as required in
subsection (d).
d) Publicly Traded Company Ownership. If a Business Entity
identified in subsection (b) or (c) is a publicly traded company, the following
information shall be provided in the Table of Organization, Ownership and
Control:
1) The name and percentage of ownership interest of each
individual or Business Entity with ownership of more than 5 percent of the
voting shares of the entity, to the extent such information is known or
contained in 13D or 13G Securities and Exchange Commission filings.
2) To the extent known, the names and percentage of interest of
ownership of persons who are relatives of one another and who together (as
individuals or through trusts) exercise control over or own more than 10
percent of the voting shares of the entity.
3) Any trust holding a more than 5 percent ownership or voting
interest in the company, to the extent such information is known or contained
in 13D or 13G Securities and Exchange Commission filings.
e) The information contained in the Table of Organization,
Ownership and Control provided to the Board may be disclosed under the Freedom
of Information Act unless otherwise exempt by law or Board rule.
(Source: Added at 22 Ill. Reg. 19541, effective October 23, 1998)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.224 ECONOMIC DISASSOCIATION
Section 3000.224 Economic
Disassociation
a) Each owner and supplier licensee shall provide a means for the
economic disassociation of a Key Person in the event such economic
disassociation is required by an order of the Board.
b) Based upon findings from an investigation into the character,
reputation, experience, associations, business probity and financial integrity
of a Key Person, the Board may enter an order upon the licensee to require the
economic disassociation of such Key Person. A violation of an order of the
Board for the economic disassociation of a Key Person may result in a complaint
under Subpart K. Any hearing concerning such complaint shall be a hearing on
the merits of the Board's determination that economic disassociation is
warranted. The licensee shall be considered the party to such hearing.
(Source: Added at 22 Ill. Reg. 19541, effective October 23, 1998)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.225 BUSINESS ENTITY AND PERSONAL DISCLOSURE FILINGS
Section 3000.225 Business
Entity and Personal Disclosure Filings
a) In order to conduct required investigations into the
background, character, reputation, business probity, and financial integrity of
certain individuals and Business Entities associated with applicants or
licensees, the Board requires the filing of the Business Entity Form or
Personal Disclosure Form 1 and related information as well as the filing of
periodic supplements to this disclosure information. Comprehensive information
is required of:
1) Each Key Person.
2) Individuals required to hold a Level 1 Occupational License.
b) The Business Entity Form, Personal Disclosure Form 1, or other
specified disclosure information, upon an order of the Board may be required
of:
1) Any individual or Business Entity holding or represented as
holding an option or other claim of or benefit from ownership interest in an
applicant or licensee and any shareholder of the applicant or licensee not
otherwise designated as a Key Person.
2) Any individual that controls an applicant or licensee or that
is controlled by a Key Person of an applicant or licensee whom the Board
determines holds a sensitive position or relationship affecting the integrity
of Gaming in Illinois.
3) An individual or Business Entity that provides, through a
private transaction, substantial capital for the benefit of an applicant or
licensee.
4) Any individual that, through an ownership or voting trust,
controls an ownership interest in an applicant or licensee.
c) Personal disclosure information shall be considered
confidential information, except as provided by law or this Part.
d) The obligation to file a Business Entity Form or Personal
Disclosure Form 1 and other information is a mutual obligation of the Person
required to file and the owner or supplier licensee or applicant with whom the
Person is affiliated.
(Source: Added at 22 Ill. Reg. 19541, effective October 23, 1998)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.230 OWNER'S LICENSES
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.
(Source: Amended at 23 Ill. Reg. 1037, effective January 1, 2000)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.231 DISTRIBUTIONS
Section 3000.231
Distributions
a) A holder of an Owner's License may make distributions to its
partners, stockholders or itself only to the extent that such distribution will
not impair the financial viability of the Riverboat Gaming Operation and do not
violate the Act, this Part or orders of the Board. Factors to be considered
include but are not limited to the following:
1) Cash flow, casino cash and working capital requirements;
2) Debt service obligations and covenants associated with
financial instruments;
3) Requirements for repairs, maintenance and capital
improvements;
4) Employment or economic development requirements of the Act;
and
5) A licensee's financial projections.
b) From time to time the Board, or the Administrator acting on
behalf of the Board, may require an owner licensee to report distributions made
under subsection (a), along with a summary and analysis of the consideration
given to the factors identified in subsections (a)(1) through (a)(5).
(Source: Amended at 20 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.232 UNDUE ECONOMIC CONCENTRATION
Section 3000.232 Undue
Economic Concentration
a) In addition to considering all other requirements under the
Act and this Part, in deciding whether to approve direct or indirect ownership
or control of an Owner's license the Board shall consider the impact of any
economic concentration of the ownership or control. No direct or indirect
ownership or control shall be approved and no Owner's license shall be issued
or transferred to or held by any person or entity if the Board determines that
approval, issuance, transfer or holding will result in undue economic
concentration in the direct or indirect ownership or control of riverboat
gambling operations in Illinois.
b) For purposes of this Section, "undue economic
concentration" means that a person or entity would have actual or
potential domination of riverboat gambling in Illinois sufficient to:
1) substantially impede or suppress competition among holders of
Owner's licenses;
2) adversely impact the economic stability of the riverboat
casino industry in Illinois; or
3) negatively impact the purposes of the Act, including tourism,
economic development, benefits to local communities, and State and local
revenues.
c) In determining whether the issuance, transfer or holding,
directly or indirectly, of an Owner's license will result in undue economic concentration,
the Board shall consider the following criteria:
1) The percentage share of the market presently owned or
controlled by a person or entity, directly or indirectly, in each of the
following categories:
i) The total number of licensed riverboat casinos in Illinois;
ii) Total riverboat casino square footage;
iii) Number of persons employed in the riverboat gambling
operation and any affiliated hotel operation;
iv) Number of guest rooms in an affiliated hotel;
v) Number of Electronic Gaming Devices;
vi) Number of table games;
vii) Net revenue and Adjusted Gross Receipts;
viii) Table Win;
ix) Electronic Gaming Device Win;
x) Table Drop; and
xi) Electronic Gaming Device Drop;
2) The estimated increase in the market shares in the categories
in subsection (c)(1) above if the person or entity is approved, or is issued or
permitted to hold the Owner's license;
3) The relative position of other persons or entities that own or
control Owner's licenses in Illinois, as evidenced by the market shares of each
license in the categories in subsection (c)(1) above;
4) The current and projected financial condition of the riverboat
gaming industry;
5) Current market conditions, including proximity and level of
competition, consumer demand, market concentration, and any other relevant
characteristics of the market;
6) Whether the licenses to be issued, transferred or held,
directly or indirectly, by the person or entity have separate organizational
structures or other independent obligations;
7) The potential impact on the projected future growth and
development of the riverboat gambling industry, the local communities in which
licenses are located, and the State of Illinois;
8) The barriers to entry into the riverboat gambling industry,
including the licensure requirements of the Act and this Part, and whether the
issuance or transfer to, or holding, directly or indirectly, of, an Owner's
license by the person or entity will operate as a barrier to new companies and
individuals desiring to enter the market;
9) Whether the issuance or transfer to or holding, directly or
indirectly, of the license by the person or entity will adversely impact on
consumer interests, or whether such issuance, transfer or holding is likely to
result in enhancing the quality and customer appeal of products and services
offered by riverboat casinos in order to maintain or increase their respective
market shares;
10) Whether a restriction on the issuance or transfer of a license
to, or holding, directly or indirectly, of, an additional license by the person
is necessary in order to encourage and preserve competition in casino
operations; and
11) Any other information deemed relevant by the Board.
(Source: Added at 23 Ill. Reg. 1037, effective January 1, 2000)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.234 ACQUISITION OF OWNERSHIP INTEREST BY INSTITUTIONAL INVESTORS
Section 3000.234 Acquisition
of Ownership Interest By Institutional Investors
a) An Institutional Investor that, individually or jointly with
others, cumulatively acquires, directly or indirectly, five percent or more of
any class of voting securities of a publicly-traded licensee or a licensee's
publicly-traded parent corporation shall, within no less than ten days after
acquiring such securities, notify the Administrator of such ownership and
shall, upon request, provide such additional information as may be required by
the Administrator.
b) An Institutional Investor that, individually or jointly with
others, cumulatively acquires, directly or indirectly, ten percent or more of
any class of voting securities of a publicly-traded licensee or a licensee's
publicly-traded parent corporation shall file an Institutional Investor Disclosure
Form, provided by the Gaming Board, within 45 days after cumulatively acquiring
such level of ownership interest, unless such requirement is waived by the
Administrator.
c) The licensee shall notify the Administrator as soon as
possible after it becomes aware that it or its parent is involved in an
ownership acquisition by an Institutional Investor subject to this Section.
Notwithstanding the foregoing, the Institutional Investor's obligation under
this Section shall be independent of the licensee's obligation to notify the
Administrator.
(Source: Added at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.235 TRANSFERABILITY OF OWNERSHIP INTEREST
Section 3000.235
Transferability of Ownership Interest
a) An ownership interest in an entity with a finding of
preliminary suitability or a holder of an Owner's license may only be
transferred with leave of the Board. An ownership interest in a business
entity, other than a publicly traded corporation, which has an interest in an
entity with a finding of preliminary suitability or in a holder of an Owner's
license, may only be transferred with leave of the Board.
1) Any individual or entity filing an application for transfer of
any ownership interest in an entity with a finding of preliminary suitability
or in a holder of an Owner's license, must complete a Business Entity Form or
Personal Disclosure Form 1, and any other information specifically requested by
the Board. The information will form the basis of Board investigation to
determine suitability of the person or entity seeking transfer. All costs
associated with Board investigation of the applicant for transfer will be born
by an entity with a finding of preliminary suitability or by the holder of an Owner's
license in which the transfer of ownership interest is being sought.
2) Board decision as to suitability for transfer will be based on
the same criteria as for a finding of preliminary suitability for licensure
under Section 3000.230(c).
3) If the Board denies the application for transfer, it shall
issue the applicant a Notice of Denial. An applicant served with a Notice of
Denial may request a hearing in accord with Section 3000.405. If a hearing is
not requested, the Notice of Denial becomes the final order of the Board
denying the application for transfer.
b) An ownership interest in an entity with a finding of
preliminary suitability or in a holder of an Owner's license may only be
pledged as collateral with leave of the Board.
c) Transferability of Ownership in publicly traded parent
corporation. The Board shall (unless the investor qualifies as an
institutional investor) require a Business Entity Form or Personal Disclosure
Form 1 from any person or entity who or which, individually or in association
with others, acquires directly or indirectly, beneficial ownership of more than
5% of any class of voting or non-voting with conversion rights securities of a
publicly traded corporation which holds an ownership interest in the holder in
an entity with a finding of preliminary suitability or in the holder of an
Owner's license. The Business Entity Form or Personal Disclosure Form 1, and
any other information specifically requested by the Board, will form the basis
of the Board investigation to determine suitability of the person or entity
seeking transfer. All costs associated with Board investigation of the
applicant for transfer will be born by the entity with a finding of preliminary
suitability or by the holder of an Owner's license in which the publicly traded
corporation holds a beneficial interest.
1) Board decision as to suitability for transfer will be based on
the criteria for a finding of preliminary suitability for licensure under
Section 3000.230(c).
2) If the Board denies the application for transfer, it shall
issue the applicant a Notice of Denial. An applicant served with a Notice of
Denial may request a hearing in accord with Section 3000.405. If a hearing is
not requested, the Notice of Denial becomes the final order of the Board
denying the application for transfer.
3) Commencing as of the date the Board issues a Notice of Denial,
it shall be unlawful for the applicant served with the Notice of Denial:
A) to receive any dividends or interest upon any such securities;
B) to exercise, directly or indirectly, any right conferred by
such securities; and/or
C) to receive any remuneration in any form from any person or
entity holding any license pursuant to the Act for services rendered or
otherwise.
4) Within 30 calendar days after the earlier of either the
failure of an applicant served with a Notice of Denial to request a hearing or
the issuance of a final order pursuant to Subpart D, the holder of the affected
Owner's license shall purchase all of the interests in the holder of the
Owner's license from such disqualified person or entity, and the disqualified
person or entity shall sell all of his/its interest in the holder of the
Owner's license to the licensee at the lesser of the market price or purchase
price of such interests in the holder of the Owner's license.
(Source: Amended at 23 Ill. Reg. 1037, effective January 1, 2000)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.236 OWNER'S LICENSE RENEWAL
Section 3000.236 Owner's
License Renewal
Upon the expiration of an
initial Owner's license, or following a one year license renewal period, a
license may be renewed for a period determined by the Board, pursuant to
Section 3000.237, of up to 4 years, subject to the provisions of the Act,
Sections 3000.236 and 3000.237, and the other Board rules contained in this
Part.
a) The renewal requirements shall include the following:
1) Beginning with the initial renewal application the licensee
shall submit an owner's renewal application and the requisite Business Entity
and Personal Disclosure Forms. The owner licensee shall submit disclosure
information pursuant to Section 3000.222(e)(2) from each Key Person who has
previously filed a Business Entity or Personal Disclosure Form, updating, and
attesting to the veracity of information on the previously filed Business
Entity or Personal Disclosure Form and setting forth any required additional or
different information than previously submitted. Nothing in this Section shall
be interpreted to alter the ongoing duty to disclose changes in information;
2) Unless a later date is authorized in writing by the
Administrator, materials submitted pursuant to this Section shall be provided
in triplicate at least 90 days prior to the expiration of the Owner's license,
and must be accompanied by the required annual licensing fee; and
3) As part of its renewal submission, the licensee shall provide
documentation of the following:
A) Measures taken by the licensee to assure compliance with the
Act and the rules promulgated thereunder;
B) Adherence to the economic development purposes and requirements
of the Act, including conformance to specific commitments made in conjunction
with an initial application or subsequent renewal applications;
C) Adherence to specific conditions or requirements adopted by the
Board at the time a previous renewal was authorized;
D) Ability to maintain a financially viable gaming entity;
E) Any specific plans for changes in the financing, ownership or
structure of the licensee and its substantial owner(s);
F) An assessment of the economic impact of the gaming operation
on employment, business and economic development related to the State of
Illinois and related to the area of the State in which the gaming operation is
conducted;
G) Information relating to the licensee's or its substantial
owners' involvement in gaming in other jurisdictions;
H) Verification of tax filings with the Illinois Department of
Revenue during the preceding licensing period;
I) Summary of all litigation to which licensee is or was a party
during the preceding licensing period;
J) Responses to specific questions or concerns raised by the
Board in its renewal investigation and review process; and
K) Evidence of continued support of the licensee from its
community.
b) The Board shall base its renewal of an Owner's license upon:
1) The timeliness and responsiveness of the information submitted
by the holder of a license as required pursuant to Section 3000.236;
2) The Board's analysis of the owner licensee's Gaming
operations, including the nature, frequency, extent and any pattern of past
violations of the Act and this Part;
3) The financial status and the current and projected financial
viability of the entity;
4) Information on the background, character and integrity of the
Key Persons, owners, directors and partners of the entity;
5) The owner licensee's pattern of compliance exhibited through
quarterly, special and annual compliance reviews or audits performed by the
Board staff or contract audit firms;
6) The licensee's commitment to economic development in the
community and in Illinois;
7) The overall adherence of the licensee to all requirements of
the Act and this Part; and
8) Any other information the Board deems appropriate.
c) Action of the Board
1) The Board shall act at a public meeting on the renewal of an
Owner's license and may afford representatives of the licensee and members of
the general public an opportunity for commenting upon the renewal.
2) If the Board decides to deny license renewal or restrict the
term of renewal to less than 4 years, it shall direct the Administrator to
issue a Notice of Denial or Restriction to the licensee by certified mail or
personal delivery.
d) Request for Hearing
1) An owner licensee served with a Notice of Denial or
Restriction may request a hearing in accordance with Section 3000.405.
2) If a hearing is not requested, the Notice of Denial or
Restriction becomes the final order of the Board denying the owner licensee's
application for renewal or restricting the term of renewal to less than 4
years, as the case may be.
(Source: Amended at 23 Ill. Reg. 1037, effective January 1, 2000)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.237 RENEWED OWNER'S LICENSES, TERM AND RESTRICTIONS
Section 3000.237 Renewed
Owner's Licenses, Term and Restrictions
a) Unless otherwise provided by the Board pursuant to this
Section, renewed Owner's licenses shall be for a term of 4 years.
b) Upon issuing a renewed Owner's license, the Board may restrict
the term of the renewal to any period of less than 4 years, and may impose
additional restrictions and conditions on the renewed license. In deciding
whether to issue a restricted license, the Board shall consider:
1) The standards applied under Section 3000.236(b) in renewing a
license;
2) The business practices and regulatory history in Illinois and
other jurisdictions of the licensee, its Key Persons and affiliates;
3) The licensee's reputation and associations; and
4) Any other information considered by the Board to be relevant
to renewal of the license.
c) If, at the conclusion of a renewal period for licensees
restricted on renewal, the Board deems that the licensee has addressed or
corrected the reasons for the restriction, the Board may renew the license for
up to 4 years. If the Board determines the licensee has not corrected the
reasons for the restriction, the Board may issue another license restricted on
renewal, refuse to renew the license, or impose other disciplinary action
authorized under Section 5 of the Act.
d) During the term of any Owner's license that is for more than
one year, the licensee shall annually submit the fee required under Section
3000.210, together with an affidavit attesting to the accuracy of all
information previously submitted to the Board, certifying any changes in the information
previously submitted, and verifying the following information:
1) Any and all past or pending disciplinary action taken against
the licensee or its parent corporation, or parent's subsidiaries, in other
jurisdictions;
2) The most recent year end financial statements, and the most
recent Form 10K and 10Q filings with the Securities and Exchange Commission by
the licensee and its parent company if they are publicly held corporations;
3) Disclosure of any past or pending material litigation involving
the licensee, its parent corporation and subsidiaries, and any Key Person;
4) Any plans for changes in the financing, ownership or
organization of the licensee;
5) Compliance by the licensee in making all required payments of
federal and State taxes; and
6) Any additional information required by the Board.
e) Any bankruptcy, liquidation, reorganization, cessation of
gaming operations, or substantial change in the ownership or control of an
Owner's license, or an event that adversely affects the character, reputation
or financial integrity of the licensee, at any time during the 4 year term of a
license, or any restricted term of less than 4 years, may cause the Board to
suspend, restrict or revoke the license or impose other discipline authorized
under Section 5 of the Act. The Board may assign the licensee a restricted
license and impose other conditions appropriate to the circumstances and deemed
necessary by the Board to maintain public confidence in the credibility and
integrity of a riverboat gaming operation as required by Section 2(b) of the
Act.
(Source: Added at 23 Ill. Reg. 1037, effective January 1, 2000)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.238 APPOINTMENT OF RECEIVER FOR AN OWNER'S LICENSE
Section 3000.238 Appointment
of Receiver for an Owner's License
a) Petition for Appointment of Receiver
1) The Board may petition the local circuit court in which the
riverboat is situated, as provided under the Code of Civil Procedure, for
appointment of a receiver for a riverboat gambling operation when any of the
following conditions exist:
A) the Board has suspended, revoked or refused to renew the
license of the owner; or
B) the riverboat gambling operation is closing and the owner is
voluntarily surrendering the Owner's license.
2) A copy of the petition and notice of a hearing shall be served
on the holder of an Owner's license as provided under the Code of Civil
Procedure, 735 ILCS 5/2-201 through 2-213.
3) The holder of an Owner's license may seek review before the
Illinois Gaming Board for the revocation, non-renewal, or suspension of the
license. However, the circuit court in which the Board has filed a petition for
a receiver shall have sole jurisdiction over any and all issues pertaining to
the appointment of a receiver. In no instance shall the holder of an Owner's
license seek review of the appointment of a receiver or decision of the Board
to seek appointment of a receiver under any of the Board's administrative
procedures.
4) The Board may seek appointment of a receiver for a riverboat
gambling operation on an emergency basis, as provided under the Code of Civil
Procedure, and seek appointment of an interim receiver or a receiver pendente
lite.
5) The Board shall specify the specific powers, duties, and
limitations the Board seeks for the receiver, including but not limited to the
authority to:
A) hire, fire, promote and discipline personnel and retain outside
employees or consultants;
B) take possession of any and all property, including but not
limited to books, records and papers;
C) preserve and/or dispose of any and all property;
D) continue and direct the gaming operations under the monitoring
of the Board;
E) discontinue and dissolve the gaming operation;
F) enter into and cancel contracts;
G) borrow money and pledge, mortgage or otherwise encumber the
property;
H) pay all secured and unsecured obligations;
I) institute or defend actions by or on behalf of the holder of an
Owner's license; and
J) distribute earnings derived from gaming operations in the same
manner as admission and wagering taxes are distributed under Sections 12 and 13
of the Riverboat Gambling Act.
b) Receiver and Duties of the Receiver
1) The Board shall submit at least three nominees to the court.
The nominees may be individuals or entities selected from a Board approved list
of pre-qualified receivers who meet the same criteria for a finding of
preliminary suitability for licensure under Section 3000.230(c)(2)(B) and (C).
In the event that the Board seeks the appointment of a receiver on an emergency
basis, the Board shall submit at least two nominees selected from the Board
approved list of pre-qualified receivers to the court and shall issue a
Temporary Operating Permit to the receiver appointed by the court.
2) A receiver, upon appointment by the court, shall before
assuming his or her duties execute and post the same bond as an Owner's
licensee pursuant to Section 10 of the Riverboat Gambling Act.
3) The receiver shall function as an independent contractor,
subject to the direction of the court. However, the receiver shall also
provide to the Board regular reports and provide any information deemed
necessary for the Board to ascertain the receiver's compliance with all
applicable rules and laws. From time to time, the Board may, at its sole
discretion, report to the court on the receiver's level of compliance and any
other information deemed appropriate for disclosure to the court.
4) The term of the receiver shall be set by the court.
5) The receiver shall provide to the court and the Board at least
30 days written notice of any intent to withdraw from the appointment or to
seek modification of the appointment.
c) Compensation
1) The Court shall set the amount of reasonable compensation,
fees, and expenses to be assessed and retained by the receiver from the
adjusted gross receipts of the riverboat gambling operation, after the payment
of wagering taxes and admission taxes and any other State or federal taxes, for
the services, costs, and expenses of the receiver or for the persons whom the
receiver may engage to assist him or her in performing his or her duties,
unless otherwise set by court. The Board shall provide to the court its
recommendation for a reasonable compensation at the time that the Board submits
its recommendation for a receiver.
2) The receiver shall maintain and provide to the Court and the
Board a complete accounting of all expenses and costs incurred in relation to
the receiver's duties. The receiver shall maintain accounting records for a
period of at least five years from the date of termination of the appointment.
d) Effect on the Holder of an Owner's License and the Gaming
Operation
Except as otherwise provided by action of the Board, the
gaming operation shall be deemed a licensed operation subject to all rules of
the Board. The receiver, his or her outside employees and consultants, and
employees of and suppliers to the gaming operation shall be subject to all rules
of the Board.
e) Action of the Board
If the Board determines to file a Petition for Appointment of
Receiver, it shall direct the Administrator to seek representation from the
Attorney General and to undertake any and all activities related to the filing
of the petition. The Board shall direct the Administrator to undertake any and
all activities related to the monitoring of the gaming operation during the
duration of the appointment of a receiver. The Board may act under this
Section when also acting under Sections 3000.110, 3000.230 and 3000.236 as
provided in subsection (a)(1) of this Section, or at any time after it issues a
final administrative order pursuant to Subparts D and K of this Part.
(Source: Added at 25 Ill. Reg. 94, effective January 8, 2001)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.240 SUPPLIER'S LICENSES
Section 3000.240 Supplier's
Licenses
a) Initial Licensing
1) Term of License. An initial Supplier's License issued by the
Board shall be for a term of one year. After the expiration of the one year
initial license, the licensee may apply for a renewal Supplier's License in
accord with Section 3000.241.
2) Overview of Licensing Procedures. Applications for Supplier's
Licenses shall be subject to the following procedures prior to licensing:
A) Application;
B) Investigation of the applicant;
C) Action of the Board; and
D) Different or additional licensing procedures as required of the
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) In determining whether to grant such a license, the Board
shall consider the character, reputation, financial integrity and experience of
the applicant, its Key Persons and any person who controls, directly or
indirectly, the applicant. In addition, the Board shall consider whether the
aforementioned applicant and individuals' background, reputation and
associations will result in adverse publicity for the State of Illinois and its
Riverboat Gaming industry. In addition, an applicant must demonstrate that it
has sufficient competence to provide products or services for the supply of
which it seeks licensing.
d) An applicant must satisfy the Board by clear and convincing
evidence that the applicant has met the requirements of Section 8 of the Act
and Board Rules.
e) Action of the Board
1) If the Board finds the applicant suitable for licensing, it
shall direct the Administrator to issue the applicant a Supplier's License upon
payment of the applicant's license fee.
2) If the Board finds the applicant not suitable for licensing,
it shall issue the applicant a Notice of Denial by certified mail or personal
delivery.
f) Request for Hearing
1) An applicant who is 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 license application.
g) Reapplication for Denied License. If an applicant is denied a
license, the applicant may not reapply for a license within one year from the
date on which the Board voted to deny his application, without leave of the
Board.
h) Requirements During Licensed Period
1) Annual Fee. The holder of a Supplier's License shall submit
to the Board an annual license fee in accord with the requirements of Section
3000.210. The holder of a Supplier's License shall pay this annual fee upon
initial licensing and every year during a renewal licensing period, including
restricted license renewal periods, for the duration of the license.
2) Annual Submissions to the Board
A) The holder of a Supplier's License annually shall submit to the
Board an affidavit attesting to or attaching the following information:
i) Any and all past or pending disciplinary actions taken
against the licensee in any other jurisdictions;
ii) Any and all equipment, devices and supplies offered for sale
or lease in connection with Games authorized under the Act and this Part;
iii) Any and all fees received from management agreements or
consulting services with holders of Illinois owner licenses, and the basis for
the calculation of fees received;
iv) The most recent year end financial statements, and the most
recent Form 10K and 10Q filings with the Securities and Exchange Commission by
the licensee and its parent company if they are publicly held corporations;
v) An organizational chart of the licensee showing parent and
subsidiary entities in relation to the licensee, including a separate listing
of all Key Persons of the licensee;
vi) A list of revenues derived from Illinois sales and/or leases
during the previous licensing period, categorized according to date and owner
licensee;
vii) Disclosure of any past or pending material litigation;
viii) Any specific plans for changes in the financing, ownership or
organization of the licensed entity; and
ix) An affidavit certifying the licensee is in compliance with
required payment of all applicable federal and State taxes.
B) The holder of a Supplier's License shall make such annual
submissions to the Board upon initial licensing and every year during a renewal
licensing period, including restricted license renewal periods.
(Source: Amended at 20 Ill. Reg. 14765, effective October 31, 1996)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.241 RENEWAL OF SUPPLIER'S LICENSE
Section 3000.241 Renewal of
Supplier's License
a) Renewal Requirements
Except as provided in subsection (d), upon the expiration of
an initial suppliers license issued pursuant to Section 3000.240, the license
may be renewed subject to the provisions of the Act and this Section 3000.241
for a licensure period of four years. The renewal requirements shall include,
but not be limited to, the following:
1) Every fourth year following the initial licensing, the
licensee shall provide documentation of the following in lieu of a renewal
application:
A) A written statement requesting renewal of the Supplier's
license;
B) A written statement verifying past compliance with the annual
disclosure affidavit required under Section 3000.240(h)(2)(A);
C) Measures taken by the licensee to assure compliance with the
Act and this Part; and
D) Responses to specific questions or concerns raised by the Board
in its relicensure investigation and review process.
2) In addition to the information submitted by the licensee
pursuant to subsection (a)(1), Key Persons of the licensee who have previously
filed Business Entity or Personal Disclosure Forms shall submit disclosure
information pursuant to Section 3000.222(e)(2), updating, and attesting to the
veracity of, all previously submitted materials and setting forth any required
additional or different information from that which has been previously
submitted.
3) Materials submitted pursuant to this Section shall be provided
at least 90 days prior to the renewal date, and must be accompanied by the
required annual licensing fee.
4) Nothing in this Section shall be interpreted to alter the duty
to comply with the annual disclosure and fee requirements as set forth in
Section 3000.240 or to disclose changes in information as set forth in Section
3000.140.
b) Board Decision
The Board shall base its renewal of a Supplier's license
upon:
1) The timeliness and responsiveness of the information submitted
by the licensee as required pursuant to this Section 3000.241;
2) The background, reputation, character and integrity of the Key
Persons;
3) The licensee's continuing ability to maintain the quality of
its products or services;
4) The overall adherence of the licensee to all requirements of
the Act and this Part; and
5) Any other information the Board deems appropriate and
necessary to maintain public confidence in the credibility and integrity of
gambling operations, as required by Section 2(b) of the Act.
c) Term of Renewed Licenses
Unless otherwise restricted pursuant to subsection (d),
renewed licenses shall be issued for a term of four years.
d) Licenses Restricted on Renewal
1) Upon issuing a renewal license, the Board may restrict the
term of or impose conditions upon a license.
2) A restricted license may be issued on renewal in the event the
Board has concerns regarding:
A) The nature or quality of a product provided by the licensee in
Illinois;
B) The business experience or background of the licensee's Key
Persons;
C) The business practices in Illinois and other jurisdictions of
the licensee, its Key Persons or any person who directly or indirectly controls
the licensee;
D) The licensee's reputation;
E) The licensee's failure to comply with the Act and this Part.
3) The term of a license restricted on renewal shall be for one
year from the date of issuance.
4) If, at the conclusion of the one year period for licenses
restricted on renewal, the Board deems that the licensee has addressed and
rectified the Board's concerns, the Board may issue a four year renewal
license.
5) Failure of the licensee to properly address and rectify the
Board's concerns within a one year period may result in the issuance of another
license restricted on renewal, the non-renewal of the license or disciplinary
action authorized under Section 5 of the Act.
e) Action of the Board
1) The Board shall act at a public meeting on the renewal of a suppliers
license.
2) If the Board decides to deny license renewal, it shall direct
the Administrator to issue a Notice of Denial to the suppliers licensee by
certified mail or personal delivery.
3) If the Board decides to issue a restricted license on renewal,
it shall direct the Administrator to issue a Notice of Restricted License by
certified mail or personal delivery. Such Notice shall specify the reasons for
a restricted license.
f) Request for Hearing
1) A suppliers licensee served with a Notice of Denial may
request a hearing in accordance with Section 3000.405.
2) A suppliers licensee served with a Notice of Restricted
License on Renewal may request a hearing in accordance with Section 3000.405.
3) If a hearing is not requested, the Notice of Denial or Notice
of Restricted License on Renewal becomes the final order of the Board.
(Source: Amended at 38 Ill.
Reg. 2808, effective January 8, 2014)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.242 AMENDMENT TO SUPPLIER'S PRODUCT LIST
Section 3000.242 Amendment
to Supplier's Product List
A holder of a Supplier's License
shall provide written notice to the Board regarding proposed changes to be made
to its list of equipment, devices and supplies offered for sale or lease to
Riverboat Gaming Operations. Said changes may be made without leave of the
Board unless the Administrator objects to the change within thirty days after
receipt of notice, whereupon leave of the Board is required. If the Board
denies the licensee's proposed change in its list of equipment, devices, and
supplies offered for sale or lease, the licensee may request a hearing in
accord with Section 3000.405.
(Source: Added at 20 Ill. Reg. 14765, effective October 31, 1996)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.243 BANKRUPTCY OR CHANGE IN OWNERSHIP OF SUPPLIER
Section 3000.243 Bankruptcy
or Change in Ownership of Supplier
The bankruptcy, liquidation,
reorganization or substantial change in ownership or control of a holder of a
Supplier's License or an event which significantly affects the character,
reputation or financial integrity of the holder or the quality of its product,
at any point in time, may cause the Board to suspend, restrict or revoke the
license pursuant to Section 3000.110. The Board may restrict the license by
assigning the licensee a restricted license as provided in Section 3000.241 or
through such other restrictions as may be appropriate to the circumstances and
necessary to maintain public confidence in the credibility and integrity of
gambling operations, as required by Section 2(b) of the Act.
(Source: Added at 20 Ill. Reg. 14765, effective October 31, 1996)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.244 SURRENDER OF SUPPLIER'S LICENSE
Section 3000.244 Surrender
of Supplier's License
a) Except as otherwise provided in the Act and
this Part, a licensed Supplier may petition the Board, in writing, for
permission to surrender its Supplier's License. The petition shall contain facts
setting forth good cause for the surrender of the Supplier's License.
b) The Board may grant the petition, deny the
petition or set the petition for hearing before a duly appointed Administrative
Law Judge. The Board may deny a petition to surrender a Supplier's License if
the petition fails to comply with any of the requirements of subsection (a) of
this Section.
c) If the petition to surrender a Supplier's License
is set for hearing, the petitioner shall bear the burden of going forward and proving
by a preponderance of the evidence that good cause exists for surrender of the
Supplier's License.
d) A licensed Supplier may not, without Board
approval, surrender its license during the pendency of a disciplinary action
against that licensed Supplier.
e) The surrender of a Supplier's License does
not become effective until the Board has taken final action. The surrender of
a Supplier's License does not relieve the former licensed Supplier of any
penalties, fines, fees, taxes or other obligations due.
f) The Board's denial of a petition to
surrender a Supplier's License is a final decision that becomes a final order
on the date the Board denies the petition. Judicial review of the final order
of the Board shall be conducted in accordance with the Administrative Review
Law [735 ILCS 5/Art. III] pursuant to Section 17.1(b) of the Riverboat Gambling
Act [230 ILCS 10/17.1(b)].
(Source:
Added at 28 Ill. Reg. 12824, effective August 31, 2004)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.245 OCCUPATIONAL LICENSES
Section 3000.245
Occupational Licenses
a) Overview of Licensing Procedures. Applications for
Occupational Licenses shall be subject to the following procedures prior to
licensing:
1) Application;
2) Issuance of a temporary identification badge;
3) Investigation of the applicant;
4) Action of the Board; and
5) Different or additional licensing procedures as required of
the applicant by the Board.
b) Temporary Identification Badge Requirements
1) The temporary identification badge shall:
A) Be a white card bearing the name and logo of the Riverboat
Gaming Operation;
B) Provide space for a photograph with a minimum size of 1"
by 1¼";
C) Display applicant's first name and job title;
D) Provide a space for a 9-digit number;
E) Provide a space for the Administrator's signature;
F) Provide spaces for the dates of issuance and expiration of the
temporary badge; and
G) Provide on the reverse side a line for the employee's last
name, signature and date of birth.
2) The applicant shall be photographed and fingerprinted.
3) A temporary identification badge will not be issued if the
Administrator or his or her designated agent has reason to believe the
applicant is the subject of a pending investigation or disciplinary action, or
is ineligible for licensing pursuant to Section 9(a)(1) or 9(a)(2) of the Act.
If the temporary identification badge is not issued, the applicant is not
permitted to work for the Riverboat Gaming Operation until and unless the Board
issues a license to the applicant.
4) Temporary identification badges are valid for up to one year
from the date of the application unless extended by the Administrator. A
temporary identification badge is not transferable and upon resignation or
termination of employment, must be returned by the Occupational License
applicant to the holder of an Owner's License or to the Board. If returned to
the holder of an Owner's License, the holder must then return the badge to the
Board.
5) Recission of Temporary Identification Badge
A) The Administrator, upon written notification to the applicant
and the holder of the Owner's License, shall rescind an applicant's temporary
identification badge upon the issuance of a notice of denial.
B) Following rescission of an applicant's temporary identification
badge, the applicant shall not be permitted to work for the Riverboat Gaming
Operation until and unless the Board issues a license to the applicant.
C) Following rescission of an applicant's temporary identification
badge, the applicant remains entitled to request a hearing on the license
denial in accordance with Section 3000.405.
c) 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 his or her application.
d) Action of the Board
1) In determining whether to grant an occupational license, the
Board shall consider the character, associations and reputation of the
applicant and the qualifications of the applicant to perform the duties of the
position to be licensed.
2) If the Board finds the applicant suitable for licensing, it
shall direct the Administrator to issue the applicant a license.
3) If the Board finds the applicant not suitable for licensing,
it shall issue the applicant a Notice of Denial by certified mail or personal
delivery.
e) Request for Hearing
1) An applicant who is served with a Notice of Denial may request
a hearing in accordance 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 license application.
f) Reapplication for Denied License. If an applicant is denied a
license, the applicant may not reapply for a license within one year from the
date on which the final order of denial was voted upon by the Board, without
leave of the Board.
g) Permanent Identification Badge Requirements
1) The permanent identification badge shall:
A) Be of a color selected by the Riverboat Gaming Operation for
use on all permanent identification badges utilized by its occupational
licensees;
B) Be a card bearing the name and logo of the Riverboat Gaming
Operation;
C) Provide space for a photograph with a minimum size of 1"
by 1¼";
D) Provide a space for a 9-digit number;
E) Display the employee's first name and job title;
F) Provide a space for the Administrator's signature;
G) Provide a space for the dates of issuance and expiration of
applicant's Occupational License;
H) Provide on the reverse side of the card a line for the
employee's last name, signature and date of birth.
2) Permanent identification badges are not transferable and upon
resignation or termination of employment must be returned by the occupational
licensee to the holder of an Owner's License or to the Board. If returned to
the holder of an Owner's License, the holder must then return the badge to the
Board.
h) Display of Identification Badges. Identification badges as
required by subsections (b) and (g) shall be worn by all employees during work
hours, including those persons employed on the dock site. Identification
badges shall be clearly displayed.
i) A fee of $10.00 shall be paid to the Board for any necessary replacement
of identification badges.
(Source: Amended at 41 Ill.
Reg. 12840, effective September 28, 2017)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.246 RENEWAL OF OCCUPATIONAL LICENSES
Section 3000.246 Renewal of Occupational Licenses
a) The
Board may only renew an occupational license after receipt of the annual fee.
The annual fee is due on the last day of the month prior to the month in which
the license was issued, unless a later date is authorized in writing by the
Administrator.
b) An
occupational license shall expire if not renewed. The date of renewal of an
occupational license shall be the first regular Board meeting held in or after
the month in which the license was issued.
c) The
Board may only renew a license if the licensee continues to meet all
qualifications for licensure set forth in the Act and this Part. Renewal of a
license is not a ruling on the merits of any currently pending or future
disciplinary action.
d) A
licensee whose license is not renewed by its renewal date, including but not
limited to a licensee contesting a notice of nonrenewal or revocation of the
license, shall still pay its annual fee each year. Failure to pay the
scheduled annual fee shall cause the license to expire.
(Source: Added at 45 Ill. Reg. 14449,
effective November 2, 2021)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.250 TRANSFERABILITY OF LICENSES
Section 3000.250
Transferability of Licenses
Licenses issued by the Board may
not be transferred by a licensee to another person or entity.
(Source: Amended at 17 Ill. Reg. 11510, effective July 9, 1993)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.260 WAIVER OF REQUIREMENTS
Section 3000.260 Waiver of
Requirements
The Board may waive any
licensing requirement or procedure provided by Board rule if it determines that
such waiver is in the best interests of the public and the Gaming industry.
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.270 CERTIFICATION AND REGISTRATION OF ELECTRONIC GAMING DEVICES
Section 3000.270
Certification and Registration of Electronic Gaming Devices
a) The Administrator will review all Electronic Gaming Devices
for proper mechanical and electronic functioning. Before certification of an
Electronic Gaming Device, the Administrator may employ the services of an
independent certification laboratory to evaluate the device.
b) After completing evaluations of the Electronic Gaming Device,
the Administrator may certify the Electronic Gaming Device for registration.
c) Gaming shall be prohibited with any Electronic Gaming Device
which has not been registered with the Board.
d) The holder of an Owner's License shall not operate in Illinois
an Electronic Gaming Device unless the Electronic Gaming Device has an Illinois
Gaming Board registration number.
e) The Supplier of the Electronic Gaming Device, after receiving
the appropriate documentation, shall reimburse the Board for any cost incurred
in any evaluation process.
f) The holder of an Owner's License shall not alter the operation
of registered Electronic Gaming Devices and shall maintain the Electronic
Gaming Devices in a suitable condition. Each holder of an Owner's License
shall keep a list of any repairs made to Electronic Gaming Devices offered for
play to the public. Repairs include, without limitation, replacement of parts
that may affect the Game's outcome or the operation of a Voucher System. The
holder of an Owner's License shall make the list available for inspection by
the Administrator upon request.
g) The holder of an Owner's License shall keep a list of the date
of each distribution, the serial number of each Electronic Gaming Device, and
the Illinois Gaming Board registration number.
(Source: Amended at 27 Ill.
Reg. 15793, effective September 29, 2003)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.271 ANALYSIS OF QUESTIONED ELECTRONIC GAMING DEVICES
Section 3000.271 Analysis of
Questioned Electronic Gaming Devices
a) If the operation of any Electronic Gaming Device is questioned
by a Board agent, the questioned device will be examined in the presence of a
Board agent and a representative of the owner licensee. If a malfunction or
the cause of a malfunction cannot be cleared or corrected, the Electronic
Gaming Device shall be subjected to an EPROM analysis to verify the EPROM's
Signature validity. If the Electronic Gaming Device utilizes Non-Alterable
Storage Media, the approved protocol will be utilized to verify the validity of
the gaming program files.
b) In the event that a malfunction cannot be cleared or corrected
following the analysis under subsection (a), the Electronic Gaming Device may
be removed from service and secured. The Electronic Gaming Device may then be
transported to an industry-recognized laboratory selected by the Administrator
where the device will be fully analyzed to determine the status and cause of
the malfunction. All costs for transportation and analysis will be borne by
the owner licensee, and will be billed by the laboratory to the owner licensee
and, only if necessary, to the Board.
(Source: Amended at 25 Ill. Reg. 13292, effective October 5, 2001)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.272 CERTIFICATION OF VOUCHER SYSTEMS
Section 3000.272 Certification of Voucher Systems
a) The
Administrator will review all Voucher Systems for proper mechanical and
electronic functioning. Before certification of a Voucher System, the
Administrator may employ the services of an independent certification
laboratory to evaluate the system and its components.
b) After
completing evaluations of the Voucher System, the Administrator may certify the
Voucher System for use in Riverboat Gaming Operations.
c) The
holder of an Owner's License shall not alter the operation of a certified
Voucher System and shall maintain the Voucher System in an operable condition.
Each holder of an Owner's License shall keep a list of any repairs made to the
Voucher System. Repairs include, without limitation, replacement of parts that
may affect the redemption of Vouchers or the operation of a Voucher System. The
holder of an Owner's License shall make the list available for inspection by
the Administrator upon request.
d) The
holder of an Owner’s License, after receiving the appropriate documentation,
must reimburse the Board for any cost incurred in any certification or
evaluation process.
e) The
use of any Voucher System, including Voucher Validation Terminals, that has not
been certified by the Board is prohibited.
(Source: Added at 27 Ill.
Reg. 15793, effective September 29, 2003)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.280 REGISTRATION OF ALL GAMING DEVICES
Section 3000.280
Registration of All Gaming Devices
a) Any holder of an Owner's License who possesses any Gaming
Devices shall have a registration tag issued by the Board securely affixed on
each device.
b) Registration tags are not transferable from one Gaming Device
to another device.
c) Any Gaming Device without a current registration tag shall be
subject to seizure. Any agent of the Board may demand and gain access to any
property relating to a Riverboat Gaming Operation, inclusive of Support
Facilities, and seize any Gaming Device which does not bear a current
registration tag or is operating in a manner that violates any provision of the
Act, this Part or an owner licensee's Internal Control System. Such Gaming
Devices, so seized, shall be subject to confiscation and forfeiture. In the
event the Board seizes Gaming Devices in accordance with this Section, the
Board shall notify the owner licensee of such seizure and of the owner
licensee's right to a hearing under Subpart K of this Part.
(Source: Amended at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.281 TRANSFER OF REGISTRATION (REPEALED)
Section 3000.281 Transfer of
Registration (Repealed)
(Source: Repealed at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.282 SEIZURE OF GAMING DEVICES (REPEALED)
Section 3000.282 Seizure of
Gaming Devices (Repealed)
(Source: Repealed at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.283 ANALYSIS OF QUESTIONED ELECTRONIC GAMING DEVICES (REPEALED)
Section 3000.283 Analysis of
Questioned Electronic Gaming Devices (Repealed)
(Source: Repealed at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.284 DISPOSAL OF GAMING DEVICES
Section 3000.284 Disposal of
Gaming Devices
The holder of an Owner's License
shall not dispose of an Electronic or Live Gaming Device without prior written
approval from the Administrator. The owner licensee shall dispose of other
Gaming Equipment only as prescribed in its approved Internal Control System.
(Source: Added at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.285 CERTIFICATION AND REGISTRATION OF VOUCHER VALIDATION TERMINALS
Section 3000.285 Certification and Registration of
Voucher Validation Terminals
a) The
Administrator will review all Voucher Validation Terminals for proper
mechanical and electronic functioning. Before certification of a Voucher
Validation Terminal, the Administrator may employ the services of an
independent certification laboratory to evaluate the Terminals.
b) After
completing evaluations of a Voucher Validation Terminal, the Administrator may
certify a Voucher Validation Terminal for registration.
c) Any holder of an Owner's
License who possesses any Voucher Validation
Terminals shall have a
registration tag issued by the Board securely affixed on each device.
d) Registration
tags are not transferable from one Voucher Validation Terminal to another
Terminal.
e) The holder of an Owner's
License shall not alter the operation of registered
Voucher Validation Terminals and
shall maintain each Voucher Validation Terminal in a suitable condition. Each
holder of an Owner's License shall keep a list of any repairs made to each
Voucher Validation Terminal. Repairs include, without limitation, replacement
of parts that may affect the redemption of Vouchers or the operation of a
Voucher System. The holder of an Owner's License shall make the list available
for inspection by the Administrator upon request.
f) The
holder of an Owner's License shall keep a list of the date of each
distribution, the serial number of each Voucher Validation Terminal, and the
Illinois Gaming Board registration number.
(Source: Added at 27 Ill.
Reg. 15793, effective September 29, 2003)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.286 CONTRACTING GOALS FOR OWNERS LICENSEES
Section 3000.286 Contracting Goals for Owners Licensees
a) For purposes of this
Section:
1) The
terms "minority", "minority owned business", "women
owned business", and "business owned by a person with a
disability" shall have the meanings ascribed to them in Section 2 of the
Business Enterprise for Minorities, Women, and Persons with Disabilities Act
[30 ILCS 575].
2) "Veteran"
has the meaning ascribed in Section 10 of the Veterans Preference in Private
Employment Act [330 ILCS 56].
3) "Veteran
owned business" is a business that is at least 51% owned by one or more
veterans or, in the case of a corporation, at least 51% of the stock of which
is owned by one or more veterans, and the management and daily operations of
which are controlled by one or more of the veterans who own it.
4) "Contract"
is an agreement for the provision of goods or services to an owners licensee.
5) "Contracting
goal" is the goal established by the Board for the award of contracts
by each owners licensee to businesses owned by minorities, women, persons with
disabilities and veterans, expressed as percentages of an owners
licensee's total dollar amount of contracts awarded during each calendar year
[230 ILCS 10/7.6(b)] except for contracts excluded from the coverage of this
Section by subsection (b)(3) .
6) "Good
faith effort" is the effort of an owners licensee to achieve a contracting
goal. A "good faith" effort shall require an owners licensee to give
consideration in the awarding of contracts to qualified businesses owned by
minorities, women, persons with disabilities, and veterans that are located in
Illinois. A "good faith effort" shall require the following actions
by an owners licensee:
A) Outreach
by an owners licensee to associations of minority owned businesses, women owned
businesses, businesses owned by persons with disabilities, and veterans whose
areas of operation include the unit of local government where the owners
licensee's riverboat gambling operation is located, to request their assistance
in identifying and contacting businesses owned by minorities, women, persons
with disabilities, and veterans that may be appropriate candidates for contract
awards by the owners licensee.
B) Publication
on a continuing basis in an owners licensee's website and, at least annually,
in the official State newspaper, of a statement informing potential bidders how
to obtain more detailed information from the owners licensee about future
contracts to be entered into by the owners licensee, including price, occupational,
and materials specifications. In addition, the owners licensee shall
distribute this statement to the Business Enterprise Program of the Department
of Central Management Services established under the Business Enterprise for
Minorities, Women, and Persons with Disabilities Act, the Director of the
Department of Commerce and Economic Opportunity and the Director of the
Department of Veterans' Affairs.
7) "Dollar
percentage" is the percentage of the total dollar value of an owners
licensee's vendor contracts with minority owned businesses, women owned
businesses, or businesses owned by a person with a disability during a calendar
year, to the total dollar amount of all vendor contracts entered into by the
owners licensee during that calendar year, except for contracts covered under
subsection (b)(2).
8) "Emergency"
is a situation in which one or more of the following have occurred or are at
imminent risk of occurring:
A) Damage
or disruption to all or part of a riverboat gambling operation; or
B) Danger
to the health, safety, comfort or welfare of patrons or employees.
b) For
each calendar year, the Board shall establish benchmark contracting goals, as
defined in subsection (a)(5), for each owners licensee expressed as a dollar percentage
as defined in subsection (a)(7). Separate benchmark contracting goals shall be
established for minority owned businesses, women owned businesses, businesses
owned by persons with disabilities, and veteran owned businesses. A benchmark
contracting goal shall provide for the greatest reasonable dollar percentage,
consistent with the ability of vendors that are not minority owned businesses,
women owned businesses, businesses owned by persons with disabilities, or
veteran owned businesses to bid fairly on contracts and not incur
discrimination in contract selection based on their non-inclusion in a category
of businesses subject to a contracting goal.
1) Beginning
August 1, 2020, the benchmark contracting goals under this Section shall be the
following:
A) 11% for
minority owned businesses;
B) 7% for women owned
businesses;
C) 2% for businesses owned
by persons with disabilities; and
D) 3% for veteran owned
businesses.
2) By
December 1 of each calendar year, each owners licensee shall submit to the
Board separate proposed contracting goals for the coming calendar year for
minority owned businesses, women owned businesses, businesses owned by persons
with disabilities, and veteran owned businesses. The final contracting goals
for each calendar year shall be established through a process of consultation
with each owners licensee and subsequent Board evaluation and approval. The
final contracting goals shall be based on the numbers and dollar amounts of new
and renewed contracts, as well as the owners licensee's evaluation of the
availability of minority owned businesses, women owned businesses, businesses
owned by persons with disabilities, and veteran owned businesses that are
qualified to perform the new and renewed contracts, and located in sufficient
geographical proximity to the owners licensee to be reasonable candidates for
contract selection. The final contracting goals for each owners licensee shall
approach, at a minimum, the benchmark contracting goals of subsection (b)(1) as
closely as the Board deems practicable. The Board may conduct fact-finding
hearings to determine the appropriateness of a final contracting goal.
3) When
setting the goals for the award of contracts, the Board shall not include
contracts in which:
A) any
purchasing mandates would be dependent upon the availability of minority owned
businesses, women owned businesses, businesses owned by persons with
disabilities, and veteran owned firms ready, willing, and able with
capacity to provide quality goods and services to a gaming operation at
reasonable prices;
B) there
are no or a limited number of licensed suppliers as defined by the Act
for the goods or services provided to the licensee;
C) the
licensee or its parent company owns a company that provides the goods or
services;
D) the
goods or services are provided to the licensee by a publicly traded company [230
ILCS 10/7.6(b)]; or
E) The
contract is entered into in response to an emergency.
4) An
owners licensee may satisfy its goal for the award of contracts, in whole or in
part, by counting the total dollar amount of first and second tier subcontracts
and purchase orders to businesses certified as vendors under the Business
Enterprise for Minorities, Women, and Persons with Disabilities Act or by any
other certifying agency approved by the Board.
c) In
evaluating whether an owners licensee has made a good faith effort as defined
in subsection (a)(6), the fulfillment of a contracting goal as defined in
subsection (a)(5) shall be significant but not determinative. An owners
licensee that has failed to meet a contracting goal nevertheless may be deemed
to have complied with the provisions of this Section if it can establish that
it has made diligent efforts to achieve the contracting goal through outreach,
advertising or other types of efforts designed to inform minority owned
businesses, women owned businesses, businesses owned by persons with
disabilities, or veteran owned businesses about potential contracting
opportunities with the owners licensee and has engaged in a fair bidding
process.
d) The
owners licensee shall have the right to request a waiver from the requirements
of this Section. The Board shall grant the waiver when the owners
licensee demonstrates that there has been made a good faith effort to comply
with the goals for participation by minority owned businesses, women owned
businesses, businesses owned by persons with disabilities, and veteran
owned businesses. [230 ILCS 10/7.6(d)]
e) If
the Board determines that its goals and policies are not being met by an owners
licensee, then the Board may:
1) Recommend
remedies for those violations; and
2) Recommend
that the owners licensee provide additional opportunities for
participation by minority owned businesses, women owned businesses, businesses
owned by persons with disabilities, and veteran owned businesses; the
recommendations may include, but shall not be limited to:
A) Assurances
of stronger and better focused solicitation efforts to obtain more minority
owned businesses, women owned businesses, businesses owned by persons with
disabilities, and veteran owned businesses as potential sources of
supply;
B) Division
of job or project requirements, when economically feasible, into tasks or
quantities to permit participation of minority owned businesses, women owned
businesses, businesses owned by persons with disabilities, and veteran
owned businesses;
C) Elimination
of extended experience or capitalization requirements, when programmatically
feasible, to permit participation of minority owned businesses, women owned
businesses, businesses owned by persons with disabilities, and veteran
owned businesses; and
D) Identification
of specific proposed contracts as particularly attractive or appropriate for
participation by minority owned businesses, women owned businesses, businesses
owned by persons with disabilities, and veteran owned businesses, such
identification to result from and be coupled with the efforts described in
subsections (e)(2)(A) through (C). [230 ILCS 10/7.6(e)]
f) The
Board shall not establish any type of quota in connection with its enforcement
of this Section and Section 7.6 of the Act.
g) By
March 31 of each year, each owners licensee shall file with the Board an
annual report of its utilization of minority owned businesses, women owned
businesses, and businesses owned by persons with disabilities during the
preceding calendar year. The reports shall include a self-evaluation of the
efforts of the owners licensee to meet its goals under this Section. [230
ILCS 10/7.6(c)] Beginning in calendar year 2021, this report shall
include information on an owners licensees' utilization of veteran owned
businesses.
h) The
dollar percentages for an owners licensee shall be determined according to data
in an owners licensee's annual report submitted to the Board under subsection
(g).
(Source: Amended at 44 Ill. Reg. 13653,
effective August 6, 2020)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.287 INDEPENDENT OUTSIDE TESTING LABORATORIES
Section 3000.287 Independent Outside Testing
Laboratories
a) Any
independent outside testing laboratory that holds an accreditation in
accordance with ISO/IEC 17025 by an accreditation body that is a signatory to
the International Laboratory Accreditation Cooperation Mutual Recognition
Agreement and is authorized to perform independent testing laboratory services
in a gaming jurisdiction comparable to Illinois is licensed to perform
independent testing laboratory services in Illinois, subject to the
requirements of this Subpart.
b) A "gaming
jurisdiction comparable to Illinois" means a jurisdiction with more than
one casino that operates a mix of slot machines and table games approved by the
regulator. For purposes of this subsection, "slot machines" and
"table games" shall have the meanings ascribed in Section 4 of the
Illinois Gambling Act.
c) Any
independent outside testing laboratory may apply by submitting to the
Administrator its accreditations and the jurisdictions in which it is
authorized to perform independent testing laboratory services.
d) The
Administrator shall determine whether the jurisdictions in which the applicant
independent outside testing laboratory is licensed to perform independent
testing laboratory services is a gaming jurisdiction comparable to Illinois.
e) The
Administrator shall provide a written determination whether the applicant
independent outside testing laboratory meets the criteria in subsection (a).
f) If
the Administrator determines that the applicant independent outside testing
laboratory does not meet the criteria in subsection (a), the applicant may request
a determination by the Board, in writing, within 21 days after the date of
service of the Administrator's determination.
(Source: Added at 44 Ill. Reg. 521,
effective December 30, 2019)
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CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.288 MINIMUM DUTIES OF INDEPENDENT OUTSIDE TESTING LABORATORIES
Section 3000.288 Minimum Duties of Independent Outside
Testing Laboratories
a) As a
condition of licensure, a licensed independent outside testing laboratory is
obligated to do the following:
1) Provide
support contacts to the Board who are available 24 hours per day, seven days
per week.
2) Provide
written reports regarding casino testing and test results submitted, which
include, at a minimum:
A) All
testing performed;
B) A
description of the products tested;
C) The
unique identification code or signature, as approved by the Administrator,
assigned to the product;
D) A
secure hash using a cryptographic function designated by the Administrator;
E) A list
of pay tables or other settings on the tested product, if applicable;
F) A
description of the modifications between the tested product and previous
versions of the tested product, if applicable; and
G) A list
of components with which the product was verified to be compatible.
3) Provide
the Board and its staff with real-time online access to all casino testing
services, reports and documents via secure communication protocol and allow the
Board to view updated reports of all pending, approved and obsolete video
gaming terminals and any terminals for which the Administrator's approval has
been revoked (see 11 Ill. Adm. Code 1800.940(d)).
4) Disclose
all locations of any laboratory or factory at which independent outside testing
services may be conducted. Upon request of the Board, the licensed independent
outside testing laboratory shall reimburse the Board for all travel costs, in
accordance with CMS travel regulations (80 Ill. Adm. Code 1800), incurred by up
to two Board employees to inspect each laboratory or facility annually.
5) Assign
a unique identification code or signature, as approved by the Administrator,
and a secure hash using a cryptographic function designated by the
Administrator to all Critical Program Storage Media upon testing. For purposes
of this subsection (a)(5), "Critical Program Storage Media" means any
program storage media containing software that is involved in, or that
significantly influences, the operation and calculation of game play, game
display, game result determination, game accounting, revenue or security.
A) Software
in program storage media includes, but is not limited to:
i) game
accounting software;
ii) system
software; and
iii) peripheral
firmware devices.
B) Critical
Program Storage Media shall be verified utilizing an external third-party
methodology approved by the Administrator.
C) Critical
Program Storage Media may be required, as determined by the Administrator, to
have security seals attached.
6) Conduct
its operations in a manner that does not reflect adversely on the security or
integrity of gaming in the State of Illinois.
7) Conduct
its operations in a manner that deals fairly with other licensees of the Board.
8) Conduct
its operations in accordance with Section 3000.110.
b) In
addition to the violations in Section 3000.110, any violation of the
requirements of this Section may result in discipline in accordance with
Section 3000.110.
c) Any
licensed independent outside testing laboratory that fails to maintain its
accreditation in accordance with Section 3000.287(a) shall have its license
suspended until such time as the independent outside testing laboratory
reobtains its qualifications.
(Source: Added at 44 Ill. Reg. 521,
effective December 30, 2019)
SUBPART C: OWNER'S INTERNAL CONTROL SYSTEM
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.300 GENERAL REQUIREMENTS INTERNAL CONTROL SYSTEM
Section 3000.300 General
Requirements – Internal Control System
The holder of an Owner's License
shall establish, maintain and update an Internal Control System, the purposes
and the procedures of which shall be designed to reasonably insure that:
a) Assets are safeguarded;
b) Financial records are accurate and reliable;
c) Transactions are performed only in accordance with the
specific or general authorization of the holder of an Owner's License;
d) Transactions are recorded adequately to permit proper
reporting of Adjusted Gross Receipts and of fees and taxes, to maintain
accountability for assets, and in conformity with generally accepted accounting
principles;
e) Access to assets is permitted only by authorized personnel;
f) Recorded accountability for assets is compared with actual
assets at reasonable intervals and appropriate action is taken with respect to
any discrepancies;
g) Functions, duties and responsibilities are appropriately
segregated and performed in accordance with sound practices by competent,
qualified personnel;
h) Gaming is conducted with integrity; and
i) The Act and rules of the Board are followed.
(Source: Amended at 20 Ill. Reg. 5814, effective April 9, 1996)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.310 APPROVAL OF INTERNAL CONTROL SYSTEM
Section 3000.310 Approval of
Internal Control System
a) The Board has delegated to the Administrator responsibility
for approving, on behalf of the Board, the Internal Control Systems of Owner
Licensees if the Administrator finds that the Internal Control System meets the
requirements of Sections 3000.300 and 3000.320 of this Part.
b) The Internal Control System of an applicant that is found
preliminarily suitable must be initially approved by the Administrator prior to
the commencement of Gaming operations.
c) Proposed changes to the Internal Control System must be
submitted in writing to the Administrator for approval. No Internal Control
System change may be implemented by the Owner Licensee unless approved by the
Administrator.
d) The holder of an Owner's License is subject to Board
disciplinary action for violations of its Internal Control System.
e) Employees of a Riverboat Gaming Operation are subject to
disciplinary action by the Board for the violation of an Owner Licensee's
Internal Control System.
f) The Internal Control System of each Owner Licensee or
applicant found preliminarily suitable may be reviewed for compliance with the
requirements of these rules by an independent certified public accountant
selected by the Administrator. Each certified public accountant must be
registered in the State of Illinois under the Illinois Public Accounting Act.
(Source: Section repealed, new Section adopted at 20 Ill. Reg. 5814,
effective April 9, 1996)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.320 MINIMUM STANDARDS FOR INTERNAL CONTROL SYSTEMS
Section 3000.320 Minimum
Standards for Internal Control Systems
a) Subject to the approval process outlined in Section 3000.310,
the Internal Control System shall be updated in a timely manner to reflect
changes made by the Owner Licensee in operating procedures, changes required by
the Administrator and changes recommended by external or compliance auditors.
Each Owner Licensee shall provide copies of its approved Internal Control
System and any modifications of that system to the Administrator.
b) The Internal Control System shall include a detailed narrative
description of the Owner Licensee's Gaming, administrative and accounting
procedures, including without limitation separate sections comprehensively
describing the specific procedures that the Owner Licensee will follow in
meeting the requirements of Section 3000.300. The procedures shall discuss at
a minimum, when applicable, the topics listed in subsection (c) of this
Section. The Board will provide guidelines to further assist Owner Licensees in
meeting the requirements of this Subpart by maintaining and making available to
Owner Licensees and applicants its review guidelines entitled Minimum Internal
Control Standards (MICS).
c) The Internal Control System shall address the following
topics:
1) Submission, Approval, and Amendment of Internal Control System
2) General and Administrative
A) General – Organization Chart and Job Duties
B) Management Information System (MIS)
3) Sensitive Key Controls
A) General – Location and Access
B) Sensitive Key Procedures
C) Sensitive Key Access List
D) Sensitive Key Log
E) Broken, Lost or Missing Keys
4) Live Games (Table Games)
A) Disposal of Live Gaming Devices, Equipment and Layout
B) Table Inventory
C) Opening of Gaming Tables
D) Shift Change at Gaming Tables
E) Closing of Gaming Tables
F) Table Fills
G) Table Credits
H) Accepting Cash at Gaming Tables
I) Markers Issued at Gaming Tables
J) Cards and Dice Control
K) Control over Table Layouts
L) Tips and Gratuities
M) Statistics
5) Rules of the Game – For Each Authorized Game Played
A) Object of Game and Method of Play
B) Physical Characteristics of Gaming Equipment and Table
C) Permissible Wagers and Payout Odds
D) Inspection Procedures for Gaming Equipment
E) Collection of Bets and Payout Procedures
F) Dispute Arbitration
G) Suspected Cheating Procedures
H) Dealer Relief
I) Suspected Defective or Malfunctioning Equipment
J) For Games Using Cards
i) Shuffling Procedures
ii) Card Cutting Procedures
iii) Dealing and Taking Card Procedures
iv) Burning Cards Procedures
6) Electronic Gaming Devices (EGDs)
A) General – EGD Access and Computer Monitoring Procedures
B) Voucher Systems
C) Printer Paper Replacement
D) Hopper Fills
E) Hand-Paid Payouts
F) Other EGD Occurrences
G) Issuance of Markers at EGDs
H) Location, Conversion and Movement of EGDs
I) Resetting/Clearing the Random Access Memory (R.A.M.)
J) Statistics
7) Live Games and EGD Drops and Counts
A) Drop Devices, Separate Drop and Count Procedures
B) Table Game Drop Box Characteristics
C) Emergency Table Game Drop Boxes
D) EGD Drop Bucket Characteristics
E) Bill Validator Drop Box Characteristics
F) Emergency Bill Validator Drop Boxes
G) Collection/Transportation of Drop Devices
H) Soft and Hard Count Rooms Characteristics
I) Count Standards
J) Weight Scale Standards (Hard Count)
K) Counting and Recording Drops
8) Casino Cashiering and Credit
A) Fills, Credits, Markers, Payouts and Drops
B) Location and Functions
C) Casino Cage Accountability
D) Main Bank/Vault Accountability
E) Even Exchanges
F) Chip and Token Inventories
G) Credit Transactions
H) Issuance of Markers
I) Redemption and Consolidation of Markers
J) Redemption of Vouchers
K) Customer Deposits and Withdrawals
L) Check Cashing Privileges
M) Returned Checks
N) Other Cash Transactions
O) Redemption of Gratuities for Non-Gaming Employees
P) Exchange of Foreign Tokens
Q) Coupon Redemption and Other Complimentary Distribution Programs
9) Casino Accounting
A) Accounting Records
B) Controls over Locked Accounting Box
C) Storage of Unused Forms
D) Signature Records
E) Deposit of Admission Tax and Wagering Tax
F) Sensitive Key Logs
G) Complimentary Services
H) Procedures for Monitoring and Reviewing Gaming Operations
I) Casino Accounts Receivable
J) Monthly Reporting Requirements
10) Admissions
Admission Procedures and Computation of Admission Tax
11) Currency Transaction Reporting
A) Reporting Requirements, Federal and State Regulations,
Alternative Systems
B) Reportable Transactions
C) Obtaining and Verifying Identification
D) Logging Cash Transactions
E) Circumvention of Currency Transaction Reporting Requirements
F) Currency Transaction Reports
G) Surveillance Photographs
12) Internal Audit
A) Independent Internal Audit Department
B) Required Internal Audits
C) Reporting Guidelines
D) Review of Changes to the ICS
13) Surveillance
A) Independent Surveillance Department
B) Surveillance Room Access and Control
C) Daily Operations
D) Chain of Evidence
14) Security
A) Security Department
B) Notice to Gaming Board
C) Detailed Procedures for:
i) Case Number System/Incident Reports
ii) Lost Badges/Temporary Badges
iii) Visitor/Vendor Badges
iv) Use of Metal Detectors
v) Fund Transfer Control
vi) Power Failure/Camera Outage
vii) Enforcement of Gambling Restrictions/21 Years Old Minimum
viii) Firearms Prohibition
ix) Alcohol Beverage Control
x) Disorderly/Disruptive Patrons
xi) Trespass Policy
xii) Handling of Emergencies
xiii) Eviction Procedures
15) Purchasing and Contract Administration
A) General – Purchases and Contracts, Leases, Management
Contracts, Owners
B) Statement of Policy
C) Normal Purchasing Transactions
D) Capital Expenditures
E) Related Party Transactions
16) Forms
A) Forms Index
B) General – Forms Requirements
C) Signatures
D) Control of Forms
E) Numbering
F) Manual Forms Dispensers
G) Voiding Forms
H) Forms Description
(Source: Amended at 27 Ill.
Reg. 15793, effective September 29, 2003)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.330 REVIEW OF PROCEDURES (REPEALED)
Section 3000.330 Review of
Procedures (Repealed)
(Source: Repealed at 20 Ill. Reg. 5814, effective April 9, 1996)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.340 OPERATING PROCEDURES (REPEALED)
Section 3000.340 Operating
Procedures (Repealed)
(Source: Repealed at 20 Ill. Reg. 5814, effective April 9, 1996)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.350 MODIFICATIONS (REPEALED)
Section 3000.350
Modifications (Repealed)
(Source: Repealed at 20 Ill. Reg. 5814, effective April 9, 1996)
SUBPART D: HEARINGS ON NOTICE OF DENIAL, RESTRICTION OF LICENSE, PLACEMENT ON BOARD EXCLUSION LIST OR REMOVAL FROM BOARD EXCLUSION LIST OR SELF-EXCLUSION LIST
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.400 COVERAGE OF SUBPART
Section 3000.400 Coverage of
Subpart
This Subpart shall govern all
hearings requested upon issuance of a Notice of Denial or Restriction of
licensure, Notice of Denial of an application for transfer of ownership
interest, a Notice of Placement on the Board Exclusion List, Petition for
Removal from the Board Exclusion List or Petition for Removal from the
Self-Exclusion List, except that Section 3000.405(a), (b), (c) and (d) shall
not apply to hearings on Petitions for Removal from the Board Exclusion List or
the Self-Exclusion List. Hearings under this Subpart are de novo proceedings
for the creation of an evidentiary record regarding restriction of license, the
placement of an individual on an exclusion list or an applicant's suitability
for licensure or transfer. A hearing under this Subpart is not an appeal of
Board action.
(Source: Amended at 31 Ill.
Reg. 8098, effective June 14, 2007)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.405 REQUESTS FOR HEARINGS
Section 3000.405 Requests
for Hearings
a) All requests for hearings must:
1) Be in writing;
2) State the name, current address and current telephone number
of the petitioner; and
3) State in detail the reasons why and the facts upon which the
petitioner will rely to show, in cases involving licensing or transfer of
ownership, that the petitioner is suitable for licensure or transfer, including
specific responses to any facts enumerated in the Board's Notice of Denial. In
matters involving exclusion, the petitioner shall state in detail the reasons
why and the facts upon which the petitioner will rely to demonstrate why he
should not be excluded. In matters involving restriction of licensure the
petitioner shall state in detail the reasons why and the facts upon which the
petitioner will rely to demonstrate why the license should not be restricted.
4) All requests for hearings must be verified. Such verification
shall be notarized and shall include a certification in the following form:
The undersigned certifies that the statements set forth in
this request for hearing are true and correct, except as to matters therein
stated to be on information and belief and as to such matters the undersigned
certifies as aforesaid that he verily believes the same to be true.
b) A request for hearing must be submitted within five days after
the date of delivery of the Notice of Denial or Restriction of license. A
request for hearing must be submitted within 30 days after the date of delivery
of Notice of Exclusion.
1) The petitioner may submit a request for hearing by:
A) Personal Delivery;
B) Certified Mail, postage prepaid; or
C) Overnight express mail, postage prepaid.
2) All requests for hearings must be submitted to the
Administrator, with a copy sent to the Chief Legal Counsel at the Board's
offices in either Springfield or Cook County.
3) A request for hearing submitted by certified mail or overnight
express mail shall be deemed timely submitted if it is postmarked no later than
five days after date of delivery of a Notice of Denial or Restriction in
accordance with the Act, or 30 days after service of the Notice of Exclusion.
c) A request for hearing should be deemed granted, unless
denied. The Board may deny a request for hearing if the statement of reasons
and facts which it contains does not establish a prima facie case or fails to
comply with any of the other requirements of subsection (a) or (b) of this
Section. The Board's denial of a request for hearing is a final decision, and
the denial or restriction of licensure, denial of ownership transfer, or the
order of exclusion becomes a final order on the date the Board denies the
request for hearing.
d) A request for hearing may not be withdrawn or voluntarily
dismissed if the Board determines that withdrawal or voluntary dismissal is not
in the best interests of the public and the Gaming industry. If the Board
allows a petitioner to withdraw a hearing request, the initial denial or
restriction of license or the order of exclusion becomes a final Board order on
the date leave to withdraw is granted. If the Petitioner does not prosecute
his case after 21 days, the Board may move for entry of default judgment.
Failure to prosecute shall result in the entry of a default judgment against
Petitioner.
e) The Chairman of the Board may appoint a Board member or an
attorney admitted to the practice of law by, and in good standing with, the
Illinois Supreme Court as an Administrative Law Judge to conduct a hearing in
accordance with this Subpart. If designated, the Administrator may appoint the
Administrative Law Judge to conduct a hearing in accordance with this Subpart.
The petitioner will be copied on the letter of appointment and such letter will
serve as notice of the pendency of the hearing. The Administrative Law Judge
shall establish a status date and notify the parties thereof.
f) If the petitioner believes the Administrative Law Judge is
biased or has a conflict of interest, the petitioner may file with the Board a
motion to disqualify the Administrative Law Judge from conducting the hearing.
The motion must be in writing, accompanied by an affidavit signed and dated by
the petitioner setting forth the specific grounds for disqualification. The
petitioner shall serve a copy of the motion on the Administrative Law Judge.
Prior adverse rulings against the petitioner or its attorney in other matters
shall not, in and of themselves, constitute grounds for disqualification. On
satisfactory evidence submitted by the petitioner in support of the motion to
disqualify, the Board shall remove the Administrative Law Judge and provide for
the reassignment of the case to another Administrative Law Judge to continue
the hearing. Any Administrative Law Judge may voluntarily disqualify himself
or herself upon determining that bias or conflict of interest exists. Grounds
for disqualification of an Administrative Law Judge shall include, but not be
limited to:
1) Financial interest or pecuniary benefit derived from the
gaming industry;
2) Personal friendship with any of the parties, witnesses or
attorneys involved;
3) Past representation of any of the parties or witnesses
involved; and
4) Demonstrable pre-disposition on the issues.
If the motion to disqualify an Administrative Law Judge is
denied, the Board shall set forth in writing the reasons for the denial and the
Administrative Law Judge will proceed with the hearing. The motion to
disqualify the Administrative Law Judge and the reasons for the denial of the
motion will be part of the administrative record in the appeal of a final
administrative decision upon conclusion of the hearing.
(Source: Amended at 22 Ill. Reg. 4390, effective February 20, 1998)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.410 APPEARANCES
Section 3000.410 Appearances
a) A petitioner may be represented by an attorney who is licensed
in Illinois. All attorneys who appear in a representative capacity on behalf of
a petitioner must file written notice of appearance setting forth:
1) The name, address and telephone number of the attorney(s);
2) The name and address of the petitioner represented; and
3) An affirmative statement indicating that the attorney is
licensed in Illinois.
b) Only individual attorneys may file appearances. Any
petitioner's attorney who has not filed an appearance may not address the
hearing officer or sign pleadings.
c) An attorney may only withdraw his appearance upon written
notice to the hearing officer.
d) A petitioner may appear on his own behalf.
e) A partnership may be represented by a partner.
(Source: Amended at 22 Ill. Reg. 4390, effective February 20, 1998)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.415 DISCOVERY
Section 3000.415 Discovery
a) Upon written request served on the opposing party, a party
shall be entitled to:
1) The name and address of any witness who may be reasonably
expected to testify on behalf of the opposing party; and
2) All documents or other materials in the possession or control
of the opposing party which the opposing party reasonably expects will be necessary
to introduce into evidence. Petitioner's burden of production includes those
documents Petitioner reasonably expects to introduce into evidence either in
his case-in-chief or in rebuttal. Rebuttal documents, to the extent they are
not immediately identifiable, shall be tendered to Respondent within two weeks
after receipt of documents tendered to Petitioner by Respondent unless
additional time is granted by the hearing officer.
b) Discovery may be obtained only through written requests to
produce witness lists, documents or other materials, as specified in subsection
(a) of this Section. Witnesses and documents responsive to a proper request
for production that were not produced shall be excluded from the hearing and
additional sanctions or penalties may be imposed.
(Source: Amended at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.420 MOTIONS FOR SUMMARY JUDGMENT
Section 3000.420 Motions for
Summary Judgment
The hearing officer may
recommend the granting or denial of a summary judgment motion upon the filing
of an appropriate motion by any party. A recommendation for denial of a summary
judgment motion shall not be considered by the Board until the completion of
proceedings held pursuant to Section 3000.425.
(Source: Amended at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.424 SUBPOENA OF WITNESSES
Section 3000.424 Subpoena of
Witnesses
a) Subpoenas for the attendance of witnesses at hearing may be
served by the Petitioner only upon application to the hearing officer.
1) The Petitioner must show good cause, state the testimony to be
elicited from a witness, state why the evidence to which the testimony relates
cannot otherwise be obtained, and state the reasons why the testimony is
necessary and relevant.
2) An agent or employee of the Board may not be required by the
Petitioner to appear except under the procedures provided in this Section.
b) The Chief Counsel of the Board or the Administrator may issue
subpoenas for the attendance of witnesses or subpoenas duces tecum for the
production of relevant documents, records or other material at a proceeding
conducted under this Subpart D.
(Source: Added at 21 Ill. Reg. 4642, effective April 1, 1997)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.425 PROCEEDINGS
Section 3000.425 Proceedings
a) The burden of proof is at all times on the petitioner. The
petitioner shall have the affirmative responsibility of establishing by clear
and convincing evidence that the petitioner is suitable for licensing or a transfer
of ownership, that the petitioner should not be excluded under Section
3000.720, that the petitioner's name should be removed from the Board Exclusion
List under Section 3000.740 or that the petitioner's name should be removed
from the Self-Exclusion List under Section 3000.785.
b) Any testimony shall be given under oath or affirmation.
c) Both parties may present an opening statement on the merits.
Petitioner proceeds first.
d) The petitioner shall then present its case-in-chief.
e) Upon conclusion of the petitioner's case-in-chief, the
respondent may move for a directed finding. The hearing officer may hear
arguments on the motion or may grant, deny or reserve decision thereon, without
argument.
f) If no motion for directed finding is made, or if such motion
is denied or decision reserved thereon, the respondent may present its case.
g) Each party may conduct cross-examination of adverse witnesses.
h) Upon conclusion of the respondent's case, the petitioner may
present evidence in rebuttal.
i) Both parties may present closing argument. The petitioner
proceeds first, then the respondent and thereafter the petitioner may present
rebuttal argument.
(Source: Amended at 31 Ill.
Reg. 8098, effective June 14, 2007)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.430 EVIDENCE
Section 3000.430 Evidence
a) The hearing need not be conducted according to technical rules
of evidence. Any relevant evidence may be admitted and shall be sufficient in
itself to support a finding if it is the sort of evidence on which responsible
persons are accustomed to rely in the conduct of serious affairs, regardless of
the existence of any common law or statutory rule which might make improper the
admission of such evidence over objection in a civil action. Hearsay may
support a finding of the Administrative Law Judge if it is the best evidence
available, has sufficient indicia of trustworthiness and reliability and is of
the type reasonably and customarily relied on in the gaming industry.
1) If relevant, and not precluded from the hearing by Section
6(d) of the Act relating to all license applicants under the Act and these
Rules, official Illinois Gaming Board records or certified copies thereof shall
be admissible into evidence.
2) Official Illinois Gaming Board records are documents either
prepared by or provided to the Board for use in evaluating an applicant or for
use in determining whether an individual should be excluded from a Riverboat
Gaming Operation.
3) A petitioner must afford the Board an opportunity to
investigate and verify information that petitioner intends to offer in support
of his case. Petitioner shall not be permitted to introduce into evidence any
information which the Board has not been afforded the opportunity to
investigate and verify.
b) The parties should, to the fullest extent possible, stipulate
to all matters which are not or fairly should not be in dispute.
c) The parties may make objections to evidentiary offers. When
an objection is made, the hearing officer may receive the disputed evidence
subject to a ruling at a later time.
d) The hearing officer may take official notice of any generally
accepted information or technical or scientific matter within the field of
gaming, and any other fact which may be judicially noticed by courts of this
State. The parties shall be informed of any information, matter or facts so
noticed, including any staff memoranda or data, and shall be given reasonable
opportunity to refute such information.
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.431 PROHIBITION ON EX PARTE COMMUNICATION
Section 3000.431 Prohibition
on Ex Parte Communication
A party or its representative
shall not communicate directly or indirectly with the hearing officer regarding
any pending matter, except upon notice to and opportunity for all parties to
participate.
(Source: Added at 17 Ill. Reg. 11510, effective July 9, 1993)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.435 SANCTIONS AND PENALTIES
Section 3000.435 Sanctions
and Penalties
a) The hearing officer may impose sanctions and penalties if the
hearing officer finds that a party has acted in bad faith, for the purpose of
delay, or has otherwise abused the hearing process. Such sanctions and
penalties include but are not limited to default judgment or directed finding
on one or more issues.
b) If a petitioner fails to testify on his own behalf with
respect to any question propounded to him, the hearing officer may infer
therefrom that such testimony or answer would have been adverse to the case of
the party refusing to testify.
c) If the petitioner or its agent fails to answer a subpoena or
refuses to testify fully at the request of the Board, such failure or refusal
may be deemed independent grounds for a finding that the petitioner is
unsuitable for licensing or that the petitioner should be placed or remain on
the Board Exclusion List or that the petitioner should remain on the
Self-Exclusion List. In addition, the hearing officer may infer therefrom that
such testimony would have been adverse to the petitioner.
d) Failure of petitioner to appear at a hearing shall constitute
an admission of all matters and facts contained in the Notice of Denial. In
such cases the hearing officer may take action based upon such admission or upon
any other evidence, including affidavits, without any further notice to the
petitioner.
(Source: Amended at 31 Ill.
Reg. 8098, effective June 14, 2007)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.440 TRANSMITTAL OF RECORD AND RECOMMENDATION TO THE BOARD
Section 3000.440 Transmittal
of Record and Recommendation to the Board
a) The record shall consist of the following:
1) The Notice of Denial or Notice of Exclusion, the Request for
Hearing and all motions and rulings thereon;
2) All evidence received;
3) A statement of matters officially noticed;
4) Offers of proof, objections and rulings thereon;
5) The recommendations and any findings of fact and conclusions
of law made by the hearing officer.
b) Oral proceedings or any part thereof involving contested
issues shall be recorded stenographically or by such other means as to
adequately insure the preservation of such testimony or oral proceedings and
shall be transcribed on request of any party. The transcript shall be paid for
by the requesting party.
c) Upon conclusion of the hearing, the hearing officer shall
issue to the Board written findings of fact and conclusions of law and his or
her recommendations. Findings of fact shall be based exclusively on the
evidence and on matters officially noticed.
d) Any party to the hearing may file exceptions to the
recommendations of the hearing officer with the Board no later than 14 days
after receipt of the recommended decision. Exceptions shall specify each
finding of fact and conclusion of law to which exception is taken. There shall
be no oral argument on exceptions.
e) Final Board Order
1) The Board shall review the entire record, including any
exceptions filed, and shall render a written order including the bases for its
decision.
2) Copies of the final Board order shall be served on petitioner
by personal delivery, certified mail or overnight express mail.
3) A final Board order shall become effective upon personal
delivery to a party or upon posting by certified or overnight express mail.
(Source: Amended at 40 Ill. Reg. 12776, effective August 19, 2016)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.445 STATUS OF APPLICANT FOR LICENSURE OR TRANSFER UPON FILING REQUEST FOR HEARING
Section 3000.445 Status of
Applicant for Licensure or Transfer Upon Filing Request for Hearing
An applicant who has been denied
a license or seeks transfer of an ownership interest and has requested a
hearing under this Subpart shall still be considered an applicant for purposes
of compliance with applicable statutory provisions and Board Rules.
(Source: Added at 17 Ill. Reg. 11510, effective July 9, 1993)
SUBPART E: CRUISING
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.500 RIVERBOAT CRUISES
Section 3000.500 Riverboat
Cruises
a) Gaming may be conducted while a Riverboat is docked. In the
event the holder of an Owner's license decides to cruise, the Riverboat captain
shall decide whether to cancel or disrupt a cruise.
b) For the purpose of orderly ingress of passengers to a Riverboat,
in the event of a cruise, the owner licensee shall schedule the time at which
the gangplank or its equivalent shall be raised and further boarding shall not
be permitted.
c) For the purpose of orderly egress of passengers from a
Riverboat at the end of a cruise, the holder of the Owner's license shall
schedule the time at which the gangplank or its equivalent is lowered.
d) The route any Riverboat takes during a cruise must be approved
by the Board.
(Source: Amended at 23 Ill. Reg. 1037, effective January 1, 2000)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.510 CANCELLED OR DISRUPTED CRUISES
Section 3000.510 Cancelled
or Disrupted Cruises
a) In the event of a scheduled cruise where a Riverboat captain
reasonably determines that either of the following circumstances exist, he
shall either not leave the dock or immediately return thereto:
1) The captain deems it unsafe to transport passengers on the
waterway due to inclement weather; or
2) The Riverboat has been rendered temporarily inoperable by
river icing or unforeseeable mechanical or structural difficulties. In the
case of unforeseeable mechanical or structural difficulties, the holder of an
Owner's license shall make all reasonable effort to remedy the problem
promptly.
b) If a Riverboat captain deems it necessary to take any action
specified in this Section, the holder of an Owner's license shall promptly file
with the Administrator a report detailing the basis for such action.
(Source: Amended at 23 Ill. Reg. 1037, effective January 1, 2000)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.520 ORGANIZATION GAMING FACILITIES
Section 3000.520 Organization Gaming Facilities
a) Organization gaming
facilities shall be restricted to patrons over 21 years of age.
b) The
organization gaming facility portion of an organization gaming licensee's
racetrack facilities shall be maintained physically separate and apart from
inter-track wagering and all other activities conducted at the racetrack. The
separation may be by physical barrier if located within the same structure.
c) Direct
access to organization gaming facilities without requiring entry to their
associated licensee racetrack is permitted.
d) All
entries and exits shall be recorded at turnstiles allowing access to
organization gaming facilities regardless of whether a patron is entering from
the racetrack facility or from outside.
e) If
the organization gaming facility is housed in the same structure as racetrack
facilities, patrons must have direct access between both facilities.
(Source: Added at 44 Ill. Reg. 13653,
effective August 6, 2020)
| TITLE 86: REVENUE
CHAPTER IV: ILLINOIS GAMING BOARD
PART 3000
RIVERBOAT AND CASINO GAMBLING
SECTION 3000.530 MODIFICATION OF ORGANIZATION GAMING FACILITIES
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