GAMING 

: COMMISSION 

PROPOSED CIVIL FINE ASSESSMENT 

Ref No. : NOV-99-03 

April 1, 1999 

Via Facsimile and Certified Mail 

To: Jerry Haney, Principal Chief 

Seminole Nation of Oklahoma 

P.O. Box 1498 

Wewoka, Oklahoma, 74884, 

Respondent. 

1. Under the authority of 25 U.S.C. 8 2713(a) of the Indian Gaming Regulatory Act 

(IGRA) and 25 C.F.R.. 9 575, the Chairman of the National Indian Gaming Commission (NIGC or 

l~lr~v, Commission) hereby provides notice of his intent to assess a civil fine against the Seminole Nation 

of Oklahoma (hereinafter referred to as the "Tribe" or the "Respondent"), located in Wewoka, 

Oklahoma for violations of 25 C.F.R. 5 558.3@) and 25 C.F.R. $ 573.6(a)(5). The violations are set 

forth in detail in Notice of Violation No.: NOV-99-03, issued on March 2, 1998. 

2. Pursuant to 25 U.S.C. 9 2713(a) and 25 C.F.R. $ 575.4, the Chairman may assess a 

civil fine, not to exceed $25,000 per violation per day, against a tribe, management contractor, or 

individual operating Indian gaming for each violation cited in a notice of violation issued under 25 

C.F.R. tj 573.3. In the subject proceeding, the gaming operation is owned by the Tribe and is located 

on tribal lands in Wewoka, Oklahoma. 

In arriving at the proposed civil fine, the Chairman has considered the factors outlined in 25 

C.F.R. 9 575.4, as follows: 

a. Economic benefit of noncompliance. The violation resulted in no economic 

benefit to the Tribe. 

b. Seriousness of the violation. The failure to conduct background investigations 

and forward applications and reports to the NIGC is a substantial violation. The failure to properly 

complete background investigations of key employees and primary management officials undermines 

the regulatory scheme adopted in the IGRA and Commission regulations. Such regulations are to 

ql r*rl ensure the suitability of all individuals performing critical hnctions within a gaming operation. 

Without properly completed background investigations there is no mechanism for excluding 

individuals whose past conduct indicates they may be a threat to the honesty or financial integrity of 

1441 L STREET, N.W. sTH ROOR WASHINGTON, D.C. 20005 EL: 202-632-7003 FAX: 202-632-7066 
w 

the gaming operation 

c. Historv of violations. The Tribe has no prior history of regulatory violations. 

d. Negligence or willfidness. The violation addressed in the Notice of Violation 

appears to be the result of the Tribe's willhl disregard for Commission regulations. On numerous 

occasicns the Tribe was advised by Commission representatives of the necessity to submit the 

required information and to perform the necessary background investigations. Despite these repeated 

warnings the Tribe submitted only a minimal amount of the required information prior to the issuance 

of the Notice of Violation and failed to complete the required background investigations. 

e. Good faith. The Chairman of the Commission may adjust a fine based on the 

degree of good faith of the Tribe in attempting to achieve rapid voluntary compliance after a Notice 

of Violation has been issued. The Chairman has determined that subsequent to the issuance of the 

March 2, 1999, Notice of Violation, the Tribe has accelerated its effort to submit the-required 

information to the Commission and has demonstrated a good faith effort to come into compliance 

with the IGRA. 

THEREFORE, the Chairman having carefUy reviewed the above factors, has determined that 

a fine in the amount of $4,500.00 is assessed against the Tribe. This amount represents an 

appropriate balancing of the factors cited above. 

' 11' 

Pursuant to 25 C.F.R. $577.3, the Tribe may appeal the proposed fine to the full Commission 

within thirty (30) days after service of this Proposed Civil Fine Assessment, by submitting a notice 

of appeal to the National Indian Gaming Commission, 1441 L Street, N.W., Ninth Floor, Washington, 

D.C. 20005. The Tribe has a right to assistance of counsel in such an appeal. A notice of appeal 

must reference this Notice Proposed Civil Fine Assessment. Within ten (10) days after filing a notice 

of appeal, the Tribe must file with the Commission a supplemental statement that states, with 

particularity, the relief desired and the grounds therefore, including, when available, supporting 

evidence in the form of affidavits. If the Tribe wishes to present oral testimony or witnesses at a 

hearing, the Tribe must include a request to do so with the supplemental statement. The request to 

present oral testimony or witnesses must spec@ the names of proposed witnesses and the general 

nature of their expected testimony, and whether a closed hearing is requested and why. The Tribe 

may waive its right to an oral hearing and instead elect to have the matter determined by the 

Commission solely on the basis of written submissions. 

Montie R. Deer, Chairman 

National Indian Gaming Commission 

- ' Ifi,. ;. 

 odd J h&o, Attorney 

National ~ndian Gaming Commission