Guideline: Casino special employee disciplinary actions

Licensees must uphold their obligations for the period of their CSE licence, regardless of whether they are working at a casino in NSW.

These obligations include:

• upholding the objects of the Casino Control Act 1992 (the Act)
• providing all information required by the Act to the NICC or its delegates
• continuing to be a suitable person to hold a CSE licence
• abiding by any conditions placed upon the CSE licence
• notifying the NICC when one of the following occurs to the licensee:
  • change in name, principal residential address, telephone number or email address
  • suspension or termination of employment by a casino operator
  • the issuing of an exclusion order or withdrawal of licence by a casino operator, including outside NSW
  • disciplinary action is taken against the licensee in respect of any liquor, gaming, racing or wagering authorisation held by the licensee in another jurisdiction, including overseas
  • being involved as a party to any or all of the following proceedings in any jurisdiction, including overseas, and the particulars of the matter:
    • the commencement, settlement, discontinuance or finalisation of civil proceedings
    • the commencement or finalisation of criminal proceedings
    • the commencement or finalisation of alternative dispute resolution proceedings.
  • a judgement made against the licensee and the particulars of the matter
  • undertaking one of the following, including the particulars of the matter:
    • declares bankruptcy;
    • applies to take the benefit of any law for the relief of bankrupt or insolvent debtors;
    • compounds with creditors or makes an assignment of remuneration for their benefit; or
  • enters into a compromise or scheme of arrangement with creditors.

1. Referral: The matter is referred to the NICC.
2. Investigation: Liquor & Gaming NSW investigates and reports to the NICC.
3. Show cause: The NICC invites the CSE licensee to make a written submission.
4. Decision: The NICC decides whether to take disciplinary action.

Referral to the NICC

Matters can be brought to the NICC’s attention for potential disciplinary action through a variety of sources, including mandatory self-reporting by CSE licensees. Once received, Liquor & Gaming NSW (L&GNSW) will investigate the matter under delegation from the NICC.

Investigation

L&GNSW investigates all matters referred for potential disciplinary action and reports the findings to the NICC for consideration. During an investigation the NICC may, by written direction, suspend the licensee’s CSE licence for up to 90 days pending a decision on disciplinary action.

Show cause

If the NICC proposes to take disciplinary action, it will give the individual notice of the proposal and at least 14 days to make submissions on the matter. The NICC may also suspend the CSE licence during this period. Should this occur, the NICC will give the individual an opportunity to make submissions on the proposed suspension. While it is not mandatory for the individual to make submissions, the NICC will consider them when determining whether to take disciplinary action.

Decision

When deciding whether to take disciplinary action, the NICC will consider all material before it and any relevant factors, including the severity of the conduct, mitigating factors, and the individual’s submissions.

The NICC is not under an obligation to take disciplinary action. The NICC will give written notice of the outcome to the individual, whether or not disciplinary action is taken. The NICC is not required to give reasons for its decisions, but it may do so if it thinks fit.

Appeals

A decision of the NICC under the Act relating to disciplinary action against a CSE licence holder is final and not subject to appeal or review.

When undertaking investigations and determining disciplinary action, the NICC ensures it meets procedural fairness and confidentiality obligations.

Procedural fairness

Procedural fairness is a fundamental principle of decision-making and applies to all stages of the decision-making process.

The NICC (and its delegates) will abide by the following principles:

• the individual has the opportunity to respond
• the investigator and decision-maker act in good faith
• the decision is based on the facts.

Confidentiality

The NICC (and its delegates) are under a general obligation to maintain confidentiality of all parties in a disciplinary action matter, in line with the Privacy and Personal Information Protection Act 1998.

Information gathered by the NICC and its delegates cannot be divulged to any court without either prior certification by the NICC that it is in the public interest or has the individual’s consent. However, information may be shared with law enforcement agencies under the Gaming and Liquor Administration Act 2007.

The bias rule

The bias rule requires all participants in the decision-making process to act impartially when considering a disciplinary action matter. This ensures all matters are treated fairly. Generally, the NICC will not determine any matters where an appropriately informed and fair-minded observer might reasonably believe that the NICC has not acted impartially.

The hearing rule

The hearing rule is comprised of two parts, where the individual should be given:

• notice of the matter in sufficient detail to respond
• an opportunity to respond.

Reasonableness in decision making

It is important that all disciplinary actions are decided in a reasonable manner. As the decision maker, the NICC considers all relevant material and its decision must be one that a reasonable person in the decision-maker's position could have made.

Conflict of interest

All participants in the decision-making process are under a duty to mitigate any actual or perceived conflict of interest in their role. To determine whether a conflict of interest arises, the relevant person will consider whether a member of the public would reasonably believe that the conflict might influence their decision.

The NICC may manage conflicts of interest by:

• disclosing and recording of any potential conflicts of interest
• engaging an independent party to oversee the decision-making process
• appointing an alternate person to the decision-making process.

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This guideline is effective from 28 June 2023 and remains in place until amended or revoked. The NICC may amend this policy from time to time as appropriate.

Approved by:

Philip Crawford

Chief Commissioner, NSW Independent Casino Commission

 Date: 28 June 2023

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