1. Case Assignment
The Intake Officer routes the file to a Supervisor for review and assignment. If the Applicant is a Class A or B vendor, the file is assigned to an investigative team comprised of a Special Agent and a Financial Investigator. If the Applicant is a Class D vendor, the case is assigned to a Special Agent.
2. Temporary Certification
The Department has twenty days (20) from receipt of a complete Application to issue a Temporary Certification “…unless the background investigation undertaken by the State Gaming Agency discloses that the Applicant has a criminal history, or unless other grounds sufficient to disqualify the Applicant pursuant to subsection (f) of Section 5 are apparent on the face of the Application.” Section 5(n)*
The Applicant receives notification by mail that Temporary Certification has been granted. The sponsoring Tribe receives notification via facsimile. Any Tribe, other than the sponsoring Tribe, desiring to use a vendor who has received a Temporary Certification may request from ADG an extension of the temporary certification to their Tribe. Also, the vendor may submit a written request to ADG to transact business with a Tribe(s) other than the sponsoring Tribe.
The Temporary Certification allows the vendor to conduct business with the Tribe(s) during the time necessary for the ADG to conduct an in-depth background investigation.
3. State Certification
After issuance of the Temporary Certification, the Investigator or Investigative Team conducts the necessary in-depth investigation to ensure suitability of the Applicant. This will include a review of the finances of the vendor and key management personnel (cursory or in-depth depending on the classification of the vendor) and may entail visits to the headquarters and manufacturing facilities of Class A or B vendors and in-person interviews of key management personnel, including but not limited to CEO’s, CFO’s, COO’s, etc. Upon completion of all necessary steps, the Investigator(s) document the findings and make a recommendation to management. After review and discussion, a final determination is made regarding State Certification.
The Applicant receives notification by mail that State Certification has been granted or denied. The Tribes receive notification via facsimile.
4. Certification is for Two Years
State Certification expires on the last day of the month two years from the date it is initially issued or subsequently renewed. If the vendor intends to continue providing services exceeding $10,000 per month it is required to renew its certification. However, if a vendor provides services to the Tribe at less than $10,000 per month, then renewal is not required.
It should be noted that the $10,000 per month amount does not apply to Class A vendors who must be certified irrespective of the dollar amount of services being provided.
A vendor that has applied for renewal may continue to provide product or service under the expired certification until the Unit takes action is taken on the renewal.
5. Certification of Vendor Employees
With respect to Vendor Certification, there are two types of individuals who are required to obtain State Certification:
a) Employees of Management Contractors. Section 4(c)*
b) Those vendors who employ individuals in gaming facilities who have unescorted access to secure areas, for example, check cashing, cleaning contractors, food and beverage contractors. Section 4(b)*
The background investigation of these individuals is conducted by the Gaming Employee Certification Unit.
c) Vendors who employ individuals in gaming facilities who require or are authorized access to restricted areas of a gaming facility not otherwise opened to the public must be licensed by the Tribal Gaming Office.