CasinoVendors.com

Oregon at a Glance
Gaming License: Yes
Non-Gaming License: Yes
Vendor License Exemptions Available: Yes
Temporary License: Yes
Ownership Disclosure Threshold: 5%
Institutional Investor Waiver: Contact Tribe
Fees: $250 - $50,000
State Gaming Lab: Contact Tribe
Term of License: Contact Tribe
Deadline to Reapply: Contact Tribe
Political Contribution Restrictions: No

Confederated Tribes of the Coos, Lower Umpqua and Siuslaw Indians of Oregon Gaming Commission

www.ctclusi.org
More Confederated Tribes of the Coos, Lower Umpqua and Siuslaw Indians of Oregon Gaming Commission Info

Confederated Tribes of Umatilla Gaming Commission

www.umatilla.nsn.us
More Confederated Tribes of Umatilla Gaming Commission Info

Coquille Gaming Commission

www.coquilletribe.org
More Coquille Gaming Commission Info

Cow Creek Gaming and Regulatory Commission

www.cowcreek.com
More Cow Creek Gaming and Regulatory Commission Info

Grand Ronde Gaming Commission

www.grandrondegaming.org
More Grand Ronde Gaming Commission Info

Klamath Tribe Gaming Regulatory Commission

www.klamathtribes.org
More Klamath Tribe Gaming Regulatory Commission Info

Oregon State Police Gaming Enforcement Division

www.oregon.gov/osp/gaming
More Oregon State Police Gaming Enforcement Division Info

Siletz Tribal Gaming Commission

https://www.siletztribalgaming.com/
More Siletz Tribal Gaming Commission Info

Warm Springs Gaming Commission

www.warmsprings.com
More Warm Springs Gaming Commission Info

Oregon Gaming Supplier Regulatory Overview


Introduction

The state of Oregon only allows for casino-style gaming on tribal lands as authorized through tribal gaming compacts with individual Native American tribes. There are currently nine tribal casinos in the state, with each casino operated by a separate tribe.

Licensing of vendors and contractors is conducted through each individual tribal gaming agency. The Oregon State Police, however, have been delegated the responsibility of conducting background investigations in connection with certain transactions through individual tribal-state gaming compacts. As such, depending on the type of services or products offered, interested vendors must participate in both the tribal and state licensing/disclosure procedures before being authorized to conduct business with a tribal casino.

Oregon State Police – Class III Gaming Contractor Background and Transaction Disclosures

The Oregon State Police (“OSP”) conduct vendor background investigations on behalf of the tribes, as negotiated through each individual tribal-state gaming compact. Investigations are conducted through the OSP Vendor Investigations Unit. State-approved vendors are listed as a “Class III Gaming Contractor” and are listed on the OSP’s Approved Vendor List with past procurement classifications.

Though the OSP does not officially “license” vendors, it does review and hold approval powers regarding specific transactions, in addition to its background investigation responsibilities. More specifically, the OSP reviews and approves transactions, including background investigations on interested parties.

Contractual arrangements may be classified as either a “Major” or a “Sensitive” Procurement, depending on the types of goods or services that are the subject of the arrangement. Those vendors that qualify for participation in a Major Procurement provide goods or services in connection with:

1. Printing tickets used in Class III gaming;
2. Any goods or services used to receive or record bets used in Class III gaming;
3. Any items used to determine winners of a Class III game;
4. Video devices or other equipment used in Class III games;
5. A contract or license agreement to use a patented game or game product;
6. Accounting and surveillance systems used for Class III gaming;
7. A contract for Class III gaming related goods/services that lasts for 30 days or longer;
8. A contract for Class III gaming related goods or services in which the total compensation is $100,000 or more.1

All other arrangements concerning Class III gaming equipment, or of goods or services that “directly relate to the operation and administration of Class III gaming activities such as replacement parts for video lottery terminals (bill acceptors, printers), locks and keys for secure storage areas or gaming devices, or individual surveillance cameras” are considered Sensitive Procurements.2 It is important to note that Major Procurements require a written contractual arrangement, while Sensitive Procurements do not.3 Below are the disclosure requirements for each of these types of transactions.

Major Procurement Disclosure Requirements

Those vendors interested in participating in a Major Procurement must complete the “Major Procurement Vendor Disclosure” Form provided by the OSP.

Fees and Duration

Although there are no initial or renewal application fees, the applicant is required to reimburse the OSP for the cost of the background investigation. These costs typically range from $2,500-$50,000 depending on the applicant and the services to be provided.

Required Documents and Information

The following information is necessary to complete the Major Procurement Vendor Disclosure Form:

1. Basic identification information;
2. State and date of incorporation or formation;
3. Federal Tax ID;
4. List of other states where the company is incorporated;
5. List of goods or services supplied;
6. List of tribes with which the applicant does business in Oregon;
7. Parent/Affiliated/Subsidiary company identification information;
8. Whether the applicant’s stock is privately or publicly held;
9. List of all control persons (officers, directors, partners, members, key employees, and management contractors) and stockholders holding 5% or more interest in the applicant;
10. List of the applicant’s Certified Public Accountant(s);
11. List of all gaming licenses held in any jurisdiction;
12. List of gaming licensing actions taken against the applicant;
13. List of all sales agreements and contracts with Oregon tribes, past 12-month period;
14. Legal action history;
15. List of all attorneys/law firms that represent the applicant in Oregon;
16. Bankruptcy and financial history, past 7 years; and
17. Mortgage/Lease/Rental agreements details.4

The following documents must be submitted with the Major Procurement Vendor Disclosure Form:

1. Organizational chart;
2. Financial Statements, past three years;
3. Articles of Incorporation/Partnership Agreement;
4. Corporate Ownership chart;
5. List of all gaming licenses held;
6. Minutes of Board of Directors and Shareholders meetings, past three years; and
7. Current real property lease summary agreements.5

Sensitive Procurement Disclosure Requirements

Those vendors interested in participating in a Sensitive Procurement must complete the “Sensitive Procurement Vendor Disclosure” Form provided by the OSP.

Fees and Duration

Although there are no initial or renewal application fees, the applicant is required to reimburse the OSP for the cost of the background investigation. These costs typically range from $2,500-$50,000 depending on the applicant and the services to be provided.

Required Documents and Information

The following information is needed to complete the Sensitive Procurement Vendor Disclosure Form:

1. Basic identification information;
2. Type of business organization
3. List of states where incorporated or have filed with the State Corporations Division;
4. List of goods or services supplied;
5. List of Oregon tribes with which the applicant does business;
6. Parent/Affiliated/Subsidiary company identification information;
7. Whether applicant is privately/publicly held;
8. List of control persons (officers, directors, partners, members, key employees, management contractors, and shareholders holding 5% or more interest);
9. List of the applicant’s accountant(s);
10. List of all gaming licenses held in any jurisdiction;
11. List of gaming licensing actions taken against the applicant;
12. List of all sales agreements and contracts with Oregon tribes, past 12-month period;
13. Legal action history;
14. List of all attorneys/law firms that represent the applicant in Oregon;
15. Bankruptcy and financial history, past seven years; and
16. Mortgage/Lease/Rental agreements details.6

The following documents must be submitted with the Sensitive Procurement Vendor Disclosure Form:

1. Organizational chart;
2. Financial Statements, past three years;
3. Articles of Incorporation/Partnership Agreement;
4. Corporate Ownership chart;
5. List of all gaming licenses held;
6. Minutes of Board of Directors and Shareholders meetings, past three years; and
7. Current real property lease summary agreements.7

Key Persons Licensing Requirements

In addition to the corporate disclosure requirements listed above, all officers, directors, partners, members, key employees, management contractors, and shareholders holding 5% or more interest in the corporate applicant must file a Personal Disclosure Form. These individual disclosure requirements apply to both Major and Sensitive Procurements. There are no independent fees associated with an individual applicant as these costs are included in the background investigation costs assessed to the corporate applicant.

Required Documents and Information

The following information must be submitted with the Personal Disclosure Form:

1. Basic identification information;
2. Marital history;
3. List of children, parents, siblings, and dependents;
4. Education history;
5. Military history;
6. Residences, past 10 years;
7. Employment and association history, past 10 years;
8. Character references, at least five people who have known the applicant for five years or more;
9. Criminal/Civil/Administrative action history;
10. Professional license history;
11. Financial interests in gaming establishments;
12. Past elected offices held;
13. Past campaign contributions, past five years;
14. Associations with Oregon state employees;
15. Past lobbying activity;
16. Financial history (including loans, investments, advances, ownership interests, and bankruptcy history); and
17. Tax audit history.8

The following documents must be submitted with the Personal Disclosure Form:
1. Photograph, taken within past year; and
2. Fingerprint cards.9

Oregon Tribes – Vendor Licensing Requirements

In addition to the state review process, Oregon tribes maintain oversight over licensing vendors to tribal casinos. Because each tribe maintains an independent compact with the state and independent regulatory bodies, the information below is a general analysis of the vendor licensing requirements established by Native American tribes in Oregon. For the purpose of this analysis, information from the Confederated Tribes of the Coos, Lower Umpqua and Siuslaw Indians was used.

As a general matter, vendors are considered “any manufacturer, consultant or supplier of goods or services related to Class II or Class III gaming.”10

Duration

A vendor license can be issued for a period of up to seven years, depending on the applicant and the applicant’s business.11

Fees

Initial and renewal fees will depend on the tribe with which the applicant will be conducting business. As an example, the Confederated Tribes of the Coos, Lower Umpqua and Siuslaw Indians require an initial $500 fee for applicants associated with a Major Procurement and $250 for applicants associated with a Sensitive Procurement.

Required Information and Documents

The following information is necessary when completing a tribal vendor license application:

1. Basic identification information;
2. Ownership interests, past 10 years;
3. Description of past and present business relationships with tribal entities;
4. Description of past and present relationships with businesses in the gaming industry;
5. Gaming license history;
6. Criminal history;
7. Financing sources; and
8. Business experience and ability.

In addition, the following documents are necessary to complete a tribal vendor license application:

1. Audited financial statements;
2. Federal tax returns;
3. All filings with other gaming commissions or agencies; and
4. All SEC filings, if applicable.

Key Persons Licensing Requirements

In addition to the corporate licensing provisions above, key individuals associated with the applicant may be required to file individual disclosure forms with the tribal gaming regulatory body. A Key Employee is “any officer or any person who can substantially affect the course of business, make decisions, or is in a sensitive position in an organization or corporation.”12

Duration

Individual disclosures do not have an independent expiration date, but are tied to the corporate applicant with which the individual is associated.

Required Information and Documents

The following information is needed to complete the appropriate tribal key persons disclosure forms:

1. Basic identification information;
2. Residence history, past 10 years;
3. Employment history, past 10 years;
4. Languages, spoken and written;
5. Three personal references, including references for each period of residency for the past 10 years;
6. Ownership interests, past 10 years;
7. Description of past and present business relationships with tribal entities;
8. Description of past and present relationships with businesses in the gaming industry;
9. Gaming license history;
10. Criminal history;
11. Financing sources; and
12. Business experience and ability.

In addition, the following documents are necessary to complete the tribal key persons disclosure forms:

1. Photograph;
2. Financial Disclosure;
3. The Results of a Drug Test; and
4. Fingerprint Card.

Licensing Process

All interested vendors should begin the licensing process with the tribal gaming operation. The tribal gaming operation will refer interested vendors to the tribal gaming regulatory body for licensing and will also execute a letter of intent to conduct business. The letter of intent is a necessary document for the Oregon State Police and will allow the vendor to begin the state disclosure and review process.

Tribal and state licensing and transaction review will occur on parallel tracks. However, if either the state or the tribe objects to the transaction or the licensing of the applicant, then the applicant may be denied authorization to conduct business until the objection is properly resolved among all parties.

Temporary licenses may be issued to applicants pending completion of a background investigation.13 A temporary license may only be issued for a period of up to 180 days, unless extended by the tribal gaming commission.14

Disclosure and Reporting Requirements

Before License Is Issued

The applicant is required to report any change in information related to any question or supplemental item contained in the tribal vendor application or the procurement disclosure materials to the appropriate governing body.

After License Is Issued

After issuance, the licensee has the responsibility to immediately report any change in the controlling interest in the licensee or any issue that would affect the suitability of the licensee or its key persons.15

Reapplying after License Has Been Denied

After a tribal license application has been denied, the applicant must wait for a period of one year from the denial before reapplying for licensure.16
1Tribal-State Compact for Regulation of Class III Gaming Between the Confederated Tribes of Siletz Indians of Oregon and the State of Oregon, Sec. 3(P).
2Tribal-State Compact for Regulation of Class III Gaming Between the Confederated Tribes of Siletz Indians of Oregon and the State of Oregon, Sec. 3(U).
3See Tribal-State Compact for Regulation of Class III Gaming Between the Confederated Tribes of Siletz Indians of Oregon and the State of Oregon, Sec. 7(B).
4'Major Procurement Vendor Disclosure,' Oregon State Police, Gaming Division.
5'Major Procurement Vendor Disclosure,' Oregon State Police, Gaming Division.
6'Sensitive Procurement Vendor Disclosure,' Oregon State Police, Gaming Division.
7'Sensitive Procurement Vendor Disclosure,' Oregon State Police, Gaming Division.
8'Personal Disclosure Form,' Oregon State Police, Gaming Division.
9'Personal Disclosure Form,' Oregon State Police, Gaming Division.
10Statutes of the Confederated Tribes of the Coos, Lower Umpqua and Siuslaw Indians, 5-2-3(x).
11Statutes of the Confederated Tribes of the Coos, Lower Umpqua and Siuslaw Indians, 5-2-16(d).
12Statutes of the Confederated Tribes of the Coos, Lower Umpqua and Siuslaw Indians, 5-2-3(m)(1).
13Confederated Tribes Gaming Commission, Regulation 2.4.3
14Confederated Tribes Gaming Commission, Regulation 2.4.3(d).
15Confederated Tribes Gaming Commission, Regulation 2.4.5.
16Confederated Tribes Gaming Commission, Regulation 2.1.8.

This article is provided by Regulatory Management Counselors, P.C. For information about the services they provide please visit our information on gaming licensing and compliance advisors.