NATIONAL INDIAN GAMING CONMISSION 

ST-TED NOTICE OF VXOUTION AM, CIVIL PN ASSESSMENT. 

I Ref: NOV-07-01 

Wallace, Chief (Agent for Service of Process) 

Shawnee Tribe of Oklahoma 

McAlister, Gaming Commissioner 

 hawn nee Tribe of Oklahoma 

Cornmiasion 

I STIPULATED NOTICE OF VIOLATION 

1- I. 

1. Tb Chairman of the National Indian Gaming Commission (MGC) hereby gives 

not ce that the Eastem Shawnee Tribe of Oklahoma (Tribe), located in Seaeoa, 

Mi souri, is in violation of thc Indian Gamhg ReguIatory Act (IGRA) gd NZK= 

re- ations for ~ilure to oonduet backgromd investigatione on key emp1oyees and 

P management officials, hilure to make eligibility determinations of suitability for mploymeut in a gaming operation based on mfficient background investigatim 

for ese individuals, and lkilure to not@ the MW when it licensed kcy employax 

an ptimary management offioials. 

cable Federal and Tribal Laws 

I . 25 U.S.C. 271 0@)(2)(F)(i) - IGRA mquires that a tribe have in place an 

adequate system to ensure that background investigationsl rn oonducted on 

key employees and primary management officials of a gaming operation. 

I . 25 U.S.C. !j 2710@)(2)~(ii)(l) - IGRA requires that tribal gaming 

operations issue fribal licenses to primary management officiale and key 

employees of the gaming enterprise with prompt notification to the 

Commission of the iesuance of such liceneea, 
c. 25 U.S.C. 1 2710@)(2)@)(ii)(TT) - 1GRA requires that a tribal gdog 

operation shall maintain a standard whereby any person whose prior 

activities, criminal record, if any, or reputation, habits and associations pose a 

threat to the public interest or to the effective regulation of gaming, or create 

or enhance the dangers of unsuitable, unfair, or illegal practices and methods 

and activities in the conduct of gaming shall not be eligible for employment. 

d. 25 U.S.C. 4 2710@)(2)(F)(ii)(III) - IGRA requires that a tribal gaming 

operation notify the Commission of the background inveatigation resuIts 

before issuing a license to key employees and primary management oBcials. 

25 C.P.R. § 502,14 -NICK regulations define a key employee as: (a) A 

person who perfonns one or more of the following functions:. (1) Bingo 

oaller; (2) Counting room supervisor; (3) Chief of security; (4) Custodian of 

gaming supplies or cash; (5) Floor manager; (6) Pit boss; (7) Dealer; (8) 

Croupier, (9) Approver of credit; (10) Custodian of gambling devices 

including persons with access to cash and accounting records within such 

devicea; (b) If not otherwise included, any other person whose total cash 

compensation is in excess of $50,000 per paq or, (c) If not otherwise 

included, the four most highly compensated persons in the gaming operation. 

f. 25 C.ER 4 502.19 - NlGC regulations define a primary management ofXIoial 

as: (a) The pmon having management responsibility for a management 

contract; (b) Any person who has authority: (1) To hire or fire employees; or 

(2) To set up working policy for the gatlling operation; or (c) The-chief 

financial officer or other pmon who has fkmoial management 

mpnaibility. 

g. 25 C.F.R § # 556.4 and 558.3(a)(2) - NIGC regulations require that a tribe 

conduct background investigations pursuant to 25 C,F.R. Part 556 to 

determine the eligibility of key employees and or primary management 

officials for continued employment in a gaming operation. 

I. 25 C.F.R. § 522.2(h) and 25 C.F.R 8 556.4(a)(14) - MGC regulations 

rquire that a tribe shall cullect fingerprints hm an applicant for a primary 

management official or key employee position and conduct a criminal history 

check including a che~k of the criminal history record information maintained 

by the FBI. 

i. 25 C.F.R. § 556.4(b) - NIGC regulatiotls require that a tribe shall conduct an 

investigation ~utrident to mske a suitability detexmination regarding the 

licensing of a koy employee or primary management officials pursuant to 25 

' C.F.R 6 558,2. I 

, . 25 C,F.R. 85 556.5(a) and 558.3(a)(l) -NIGC regulations require that when a 

tribe employs a primary management ofticia1 or a key employee, the tribe 

ahall forward to the Commission a wmpleted employment application. 

2 
k. 25 C.F.R $556.5(b) -NIGC regulations require that, before issuing a license 

to a key employee or primary management official, a tribe shall forward to 

the Commission an investigative report on each background investigation 

inoluding the following: (1) Steps taken in conducting a background 

investigation; (2) Results obtained; (3) Conclusions reached, and (4) The ' bases for those conclusions. 

I 1. 25 C.F.R 8 556.5(~) - NlGC regulations require that a tribe shall submit a 

copy of the eligibility determination made by it pursuant to 25 C.F,R. 8 558.2 

when it forwards the investigative report. 

m. 25 C.F.R 558.2 - NXK regulations require that a tribe shall review a 

person's prior activities, criminal. record, if any, and reputation, habits and 

associations to make an eligibility determination. If the Tribe dete&es that 

employment of the person poses a threat to the public interest or to the 

effective regulation of gaming, or creates or enhances the dangers of 

unsuita6Ic, udbir, or illegal practices, methods and aotivitia in the conduct 

of gaming, a tribal gaming operation shall not employ that pewon in a key 

employee or primary management ofi~ial poaitioa 

n. 25 C.F.R $6 556.5(c) and 558.3(b) - NIGC regulations rquk that, upon 

completion of a background investigation and a detennination of eligibility 

for employment in a &g operation, a tribe shall foxward an invcstigativc 

repoa and eligibility determination to the Commission within sixty'(60) days 

ah an key employes or primary management official begins wok or within 

sixty (60) days of the Chairman's approval of an ordinance under 25 C.F.R 

Part 523. 

o. 25 C.F.R 1 558.3(c) - NIOC regulations require that during the thirty (30) 

days after the NIGC receives a investigative report and eligibility 

detennination for a key employee or primary management official, the 

Chairman may request additional information bm a tribe concerning the 

license applicant. Such a request shalI suspend the thirty (30) day period until 

the Chairinan receives the additional information Grom the be. 

25 C.F,R 9 558.4(a) -NIW regulatioas provide that if during the Ulirty (30) 

day& after the NlGC receives a investigative report and eligiiility . determination for a key employee or primary management official the 

I Commission notifies a tribe that it has no objection to the issuance of a 

license to such an employee, then the Tn'be may issue a license to such 

employee. 

1, 25 C,F,R 8 558,4(b) - NIOC regulations provide that if during the thirty (30) 

days after the MOC receives a investigative teport and eligibility 

detemhtion for a key employse or primary management official the 

~ommlssion providea the triie with a statement itemizing objections to the 

issuance of a liwe to such an employee, then the tribe shall reconsider the 

application, taking into account the itemized objections. The Taie shall 

make the final decision whether to ime a liceaee to sucb employee. I 
r. 25 C.F.R 4 558.3(b) - NlGC regulations require that a gaming operation shall 

not employ a key employee or primary management officiat who does not 

have a license after ninety (90) days. 

3. Section 1007(A)(l) of the Eastm Shawnee Gaming Code (Code), approved 

by the NIGC Chairman on October 9,1996, defines a key employee as a 

person who performs one or more of the EoIlowing hctions: (I) Bingo 

caIIer; (2) Count room supervisor; (3) Chief of security; (4) Custodian of 

Gaming supplies or cash; (5) Moor manager; (6) Pit boss; (7) Dealer; (8) 

Croupier, (9) Approver of credit; or (10) Custodians of gambling devices 

including persons with access to cash and acoounting records within such 

devices; If not otherwise included, any otber person whose total cash 

compensation is in excess of $50,000 per year; or if not otherwise included, 

the four most highly compensated pemons in the gaming operation, 

: Section 1007(A)(2) of the Code defines a primary management official as: the 

person having management responsibility for a management contract; any 

person who has authority (1) to hire and fire employees; or (2) to act up 

working policy for the gaming operation; or the chief limncia1 officer or 

other person who has financial management responsibility. 

u. Sections 1007@) of the Code requires that the Tribe shall review a person's 

prior activities, criminal record, if any, reputation, habits and eligibility of a 

key employee and primary managemerit official for employment in a gaming 

operation. If the Tribe debtmines that employment of the person poses a 

threat to the public interest or to the efkctive regulation of gaming, or creates 

or enhance8 dangers of unsuitable, unfifair, or illegal practices and methods 

and activities in the conduct ofgaming, a Tribal or individually owned 

gaming operation shall not employ that person in a key employee or primary 

management oflicial position. 

v. Section 2007(E) of the Code requites that when a key cmplope or primary 

management official begins work, the Tribe BW fbrward to the NIW a 

completed application for employment, conduct the background investigation 

and make a determination of the applicant's eligibility for employmeat in a 

gaming operation. The gaming operation shall not employ as a key employee 

or primary management official a person who does not have a license after 

(9 dayslw. Section 1007(F) of the Me requires that the Tribe shall prepare and forward 

to the MGC an investigative report on each background investigation. An 

investigative report shall include all of the following: (a) steps taken in 

conducting a background investigation; (b) results obtained, (c) conclusions 

reached; and (d) the basis for those conclusions. 

c. Section 1007@)(2) and o(2) of the Code requires that the Tribe shall submit 

the investigative report to the NIGC within sixty (60) days after an employee 

begins work at tha Tribe's gaming Eacility. 

I 
y. Section 1007(F)(3) of the Codc provides that if a license is not issued to an 

applioant, the Tribe: (a) shall notify the NIOC; and (b) may forward copies of 

its eligibility determination and investigative report (if any) to the NIGC for 

inclusion in the Indian Gaming Individuals Rec;ords System. 

z. Section 1007(F)(4) of the Code provides that with respect to key employees 

and primary management offioials, the Tribe shall retain applications for 

employment and report (if any) of background investigations for inspection 

by the Chairman of the MGC or his or her designee for no less Ulan three (3) 

years &om the date of ternination of employment. 

aa, Seotion 1007(G) of the Code provides: (1) & within a thirty (30) day period 

aRer the NIGC receives a investigative report, the NIGC notifies the Tribe 

that it has no objection to the issuance of a liceme pursuant p a license 

application filed by a key employee or a primary management ofllcial fbx 

whom the Tribe has provided an application and investigative report to the 

NIGC, the Tribe . may . isme a license to such applicant. (2) The Tribe shall. 

respond to a request for additional infonation from the Chairman of the 

NIGC concerning a key employee or a primary management oacial who is 

the subject of a report. Such a request shall suspend the thirty (30) day period 

under paragraph G(1) of this aection until the Chab of the NCSC receives 

the additional Mrmation. (3) If, within the thirty (30) day period described 

abovc, the ;MGC provides the Trii with a statement itemizing objections to 

the issuance of a license to a key employee or to a primary management 

official for whom the Tribe has provided an application and investigative 

report to the NIGC, the Tribe shall reconsider the application, taking into 

account &e objections itemized by the NIGC. The Tnie shall. make the final 

decision to issue ii license to such applicant. 

3b. Section 10070 of the Code provides that if, after the issuance of a gaming 

license, the Tribe receives fiom the NIGC reliable information indicating that 

a key employee or a primary management o5cid is not eligiilefor 

employment pursuant to the eligibility determination critt?ria, the Tribe sblll 

suspend such license and shall notify in writing the licensee of the suspension 

and the proposed revocation. After a revocatioh hearing, the Tribe shall. 

decide to revoke or to reinstate a gaming license. The Tribe shall notify the 

NIGC of its decision. 

c. Section 1022 (II) of thc Code provides that the Commissioner shall fmard 

fingerprints ,and information to the NIGC on all Tnial gaming employees and 

other persons for whom background checks are required. (A) The 

Commissioner shall request a report hm the NIGC which shall include a 

chock through the Federal Bureau of Investigation's National Criminal 

Infortnation Center. (33) Fees charged by tho NIGC Eor processing such 

reporCs shall be paid by the Trii excepting those individuals and 

organizations that have posted bonds for such reports. 
id. Section 1032 of the Code requires that the Commissioner shall request the 

local CPR officers to perform an initial criminal background check for each 

application for employment. (A) The Commissioner of the TrFbb shall 

receive the actrrsl printout or a summary of any initial background check 

which shall identify any felony, criminal history, or crime of moral turpitude 

that is known by CPR officers. The Commissioner shall be considered a 

Wbal law enforcement officer for such review. (8) The Commissioner shall 

review any background chwk report issued to the Tribe. The Commissioner 

shall share any information revealed by euch checks to the manager of a 

Tribal or individually owned gaming hall(s) which Ih the Commissioner's 

judgment affects the consideration of an individual Eor employment. (C) The 

Commissioner shall use the results of any background check to perform the 

lawfir1 duties of Commiesioner. 

ee. Section 1034 of the Code requires that the Tribal Gaming Cornmiseioner shall 

conduct an appropriate investigation andlor cauae to be conducted on key 

employees and primary management officials. (A) Such procedures shall 

include at a midmum: (1) obtain and process fingerprints; (2) qlmation of 

job description, fitntss of individual to pe&m the job, and explanation of 

how individual was selected for. the position; (3) orodit check; (4) verification 

of resume; (5) character check regarding prior activities, criminaI record, 

reputation, habits and associations, including but not limited to personal 

interview summaries with a rmflicient number of knowledgeable people such 

as former employees, personal references and others to form a basis for 

character suitability determination; (6) document all poteutial problems and 

possible disqualification idonnation; (B) ARcr completion of the background 

investigation, thc Commissioner hall prepare an investigative report setting 

fbrth the following: (I) who conducted various parts of the report, their 

qualitications and address; (2) an outIine of the background investigation 

process including steps taken in the investigation; (3) a description of the 

information obtained together with conclusioas of investigations; (4) 

statement of basis for conclu~ions; and (5) an organizatioaal chart showing 

the location within the organization of the individual investigated and the 

positions or people over which the individual investigated may be 

mponsible. 

ff. Swtion 1035 of the Code providcs that the Tribal Gaming Commissioner 

shall issue Tribal licenses and sign the same for primary management 

officials and key employees who are involved in gaming. (A) Such licenses 

shall not bc required until background investigations ate complete. (B) Such 

licenses shall be.issued when the resulte of background investigations ue 

available to the Commissioner and such xeports indicate that tho individual is 

of appropriate character to participate in a Tribal or individually owned 

gaming enterprise. (C) The Commissioner may assess a license fee as may be 

necessary to detkay the Commissioner's costs in scouring a background 

investigation and issuing any license. 
for key employees and primary 

officials is crucial to maintaining the integrity of Indian gaming. 

the completed application, background investigation report, and 

to the NIGC so that it may object to the issuance of a license 

Gaming is a cash intensive 

screened empIoyee base and careful implementation 

investigation and licensure process helps ensure 

and other gaming resources are worthy of 

the licensure of key employees and 

ary management officials is an important tribal governmental responsibility. 

vumstances of the Violation: 

a. The Eastcm Shawnee Tribe of Oklahoma, a federally recognized Indian 

Tribe, operates Bordeitown Casino, located in Seneca, Missouri, and the 

Eastern shaukiee Travel Plaza casino, located in Wyandotte, Oklahoma, 

pumant to the Indian Gaming Regulatary Act (IGRA) and its implementing 

regu1ations. 

b. On February 21,2006, Tim Harper, NIGC Region V Director, executed a 

Warning Notim to the Triie citing the Tribe's failure to omduot background 

investigations and issue licenses to key employees and prh~ managmeut 

officials pursuant to 25 C.F.R §$556 and 558. The Warning Notice 

requested that the Tribe initiate oorrective action immediately. The cover 

letter provided with the Warning Notice gave met notice to the Tribe that it 

was in violation of lGRA and NIGC regulations for Mure to conduct 

background investigations; submit employment applications, investigative 

reports and eligibility determinations to thc NIGC; and issue gaming licenses 

to key employees and primary management officials pursuant to 25 C.F.R. 

$# 556.4,558.3 and 558.4. The letter requested that the Tnie immediately 

initiate background invatigationa on all key employees and primary 

management officials who were not currently licensed by the Tribe. The 

letter noted that the Triic should not employ any key employm or primary 

management official who did not have a license after ninety (90) days. The 

letter also wmed that a violation of NIGC regulations may result in the 

issuance of a Notice of Violation, civil he assessment or closure of the 

Tribe's gaming hcility. 

c. On February 27,2006, Field Investigator Brian Moody met with Charles 

Enyart, Chief of the Eastern Shawnee Tribe of Oklahoma, Nancy McAlister, 

Gaming Commissioner, and Bryce Washington, Business Manager, at the 

tribal offices and hand delivered the Wming Notice and cover letter to Chief 

Enyart. 

d. On April 11,2006, Deborah Carnes, Bord8ttown Casino Human Reaoutoes 

Manager, provided Field Investigator Moody with a repart titlad ''Active 

licensed Employees." This repod identifies all employec~ by first md la& 
name, provides the cmployee'a social swurity number, and identifie8 each 

employee's date of hire and labor level. Field Investigator Moody was also 

provided with a list that identifies the job title and department associated with 

each labor level code" 

e. On June 8,2006, the NGC received correspondence hm Jody DeClue, 

Deputy Gaming Commissioner, enclosing twenty five (25) fingerprint cards 

and questing that the NIGC process'the flngerprin~. This correspondence 

was dated March 5,2006. The Tribe submitted the fingerprints more than 

ninety (90) days after each of these employees began employment at the 

Tribe's gaming facility. 

f. On January 30,2007, Jalene Wells, Deputy 'Gaming Commissioner, provided 

Field Xnvestigator Brian Moody with the date of hire and date of termination, 

where applicable, fbr each employee listed on the Tn'be's fingerprint 

submission dated Mmh 5,2006. Fourteen (14) cmployeea qualify as key 

empIoyces, becauae they herd the following positions: ten (10) were 

employed as slot clerks, two (2) were employed as blackjack d8aItrs, one (1) 

was employed as an OTB clerk, and one (1) was employed on the puIl team 

These fourteen (14) employees were each employed in excess of ninety (90) 

days* 

g. Consequently, in regards to those fourteen (14) key employees identified 

above, the Tribe in in violation of 25 CF.R $8 556.5(c) and 558.3@). The 

'Zh'be failed to submit the investigative report and eligibility determination for 

such employees to the NIG€ within sixty (60) c!ays after the date that each 

key employee began work at a tribal gaming facility. 

h. Further, in regards to those fourteen (14) key employees identified above, the 

Tribe was also in violation of 25 C.F.R 558.4(a), because the 'ISiie did not 

properly issue a license to these kcy eqloyees within ninety (90) days as 

required by 25 C.F.R 4 558.4(a). 

i. Moreover, in regardsl to those fourteen (14) key employces identified above, 

the Tribe is in violation of 25 C.F.R 558.3(b) which requires that a gaming 

operation not employ a key employee or primary management official who 

does not have a licewe after ninety (90) days. The Tribe continued to employ 

each of these fourteen employees in excess of ninety (90) daya without 

having properly issued these employees a license and as such violated 25 

C.P.R 4 558.3@). 

5.' .~o$ective Action to be Th 

acknowledges, however, that prlor to the execution of this ~ti~ulated 

and Civil Fine Assessment, the Warn Shawnee Tribe took 

attempt to eomt the cimrmstanoss giving ria6 to Lbis mattm by 

the fingerprinte of some key empbyees and primary 

agcment officials, and submitting employment applications, investigative reports, 

for eome of ita employees to the NIGC. While such . 

8 
compliance, the following additional 

a. Within 15 daya, starting from the date of service of this Stipulated Notice of 

Violation and Civil Fine Assessment, collect and process 'Ihgerprint cards for 

all cmnt key employeea and primary management officials employed at the 

Tribes gaming facilities who have not y& been licensed pursuant to 25 C.F.R 

85 556 and 558; 

b. Withiin 30 days, starting fiom the date of service of this Stipulated Notice of 

Violation and Civil Fine Assessment, oomptete background investigations 

and obtain FBI criminal history checks on all cumnt primary management 

oficials and key employees whose background investigations and Dl[ 

criminal history mord checks have not been completed and create 

background investigation reports for tbem; 

c. Within 45 days, starting £torn the date of service of this Stipulated Notice of 

Violation and Ciyil Fine Assessment, review the completed background 

investigation reports, containing FBI oriminal history information, for the key 

employees and primary management offioials and make eligiiility 

determinations of suitability for employment in a gaming operation; 

d. Within 60 days, starting from the date of service of this Stipulated Notioe of 

Violation and Civil Fine Assessment, notify the NIGC whether each key 

employee and primary management official has been granted a Tribal gaming 

license and submit to the NIGC a copy of tho completed employment 

application, background investigation rep& and eligibility deterhination; 

e. Commencing 90 daya after date of service of thia Stipulated Notice of 

Violation and Civil Fine Assessme~t, not employ any persons 'red as of thc 

date of service of this Stiput'ated Notice of Violation, as key employees or 

primary management oficials whose ninety (90).day temporary licenses have 

expired; 

I f. Lice~sing for all new key emplo9es and primaty management 08Eicials hired 

after the date of senrice of this Stipulated Notioe of Violation and Civil Fine 

Assessment be completed within ninety (90) days fjrom date of hire., and 

g, Notify the NIQC in fi&cn.(15) day intervals, swng &om the date of service 

of this Stipulated Notioe of Violation and Civil Fine Assessment, of the 

measures taken to correct this violation. The requi~d information must be 

submitted to the Chairman, National Indian Gaming Commission, 1441 L 

Street, NW, Suite 9100, washington, DC 20005. 

AGREEMEpm FOR SE'JTLEMENT 

is entered into by and between the Eastern Shawnee Tni of 

authorized officers or agents, and ,the Chairman of the NlOC 
J p uant to 25 C.P,R, 1 575.60) and shall be effective upon execution by the parties 

receipt of the initial payment from the 'kibe to the NIGC. 

Tribe admits the facts set forth in Paragraph 4 of this Agreement; agrees that the 

C possesses jurisdiction over this action; and agrees to comply with the 

measures set forth in Paragraph 5 of this Agreement. 

is awm of its rights b: 

a. submit written information about the violation to the Chairman prior to 

issuance of a civil fine asseasment by the Chairman and to have at least 

fifteen (15) days after the issuanoe of a notice of violation to do so under 25 

C.F.R 4 575.5; 

I 1 b. appal the notics of violation to the fill Commission under 25 C.F.R Q 577; 

1 I c. obtain a hearing b cantest the matter under 25 C.F.R 4 577; 

I I d. seek a reduction or waiver of a oivil fine under 25 C.F.R. 8 575.6; and 

I e. appeal any fmal determination by the fhn Commission to a federal diahiot 

oourt.w1dtx 25 U.S.C. 8 2714, 

9. In change for the terms, conditions, and under6tandings set forth herein, the Tn'be 

h by waives the rights specified in Paragraph 8 of this Agreement and any other 

ri t to seek judiolial review or otherwise ohallengc or contest the Chairman's actions 

er this Agreement, mcluding the right to have the Chairman provide his writtea 

lpis of the factors to be considered in assessing a civil he set forth under 25 J C. ,R Q 575.4. 

more, the Tribe attests that: 

~ 

a. The Tribe agrees to fully comply with the comctive measures set forth in 

Paragraph 5. 

b. he Ikibe'agrees to provide fill cooperation to the NICK so that the NICK 

can confirm that the Tribe has entirely complied with the required corre~tivc 

measures set forth in Paragraph 5. 

Tribe and the NICSC Chairman desire to resolve this matter without undertaldng 

costs, risks, and unccrtaintiea asswiated with formal administrative and 

agreement is acoepted by the Tribe and the Wnnan, the Chairman will - 

further notice, simultaneously issue the Notioe of Violation (set fortb. in 

1 through 4 of this Agreement) and a Final Civil Fine Assessment Wer 

hme a Anal or& of the Codssion. 

10 

I 
has authority to levy and collect appmpriate civil fiaes, not to exceed 

against a tribe for each violation of any provision of IGRA, 

ordinance. 25 U.S.C. 4 2713(a)(1); 

~ontinues for more than one day, the Chairman 

a separate violation. 25 C.P.R. 1 575.4(a)(2). 

ant to the IORA, 25 U.S.C. 9 2701 et seq., hd by virtue of the authority vested 

Chairman of the NIGC, the Chairman has found that th~ F3astem Shawnee 

of Oklahoma is in violation of 25 U.S.C. 5 2710(a)(2) and 25 C.F.R $1 556 and 

the Tn'bc shall pay a civil fine of twenty thowand doIlars 

shall be submitted to the NIGC, 1441 L Street N.W., Suite 

20005, according to the schedule specified in Rmgraph IS. 

the aforementioned civil fine to the NIGC pursuant to the 

a. The Tribe shall pay ten thousand dollars ($10,000.00) of the Civil Fine 

Assessment to the NIGC upon the Tribe's execution of this Stipulated Notice 

of Violation and Civil Fine Assessment. 

I b. The remaining ten thousand dollars ($10,000.00) will be suspended and 

potentially forgiven acoordjng the fbIlowing schedule: 

i. lfthe Tribe demonstrates, and the MCSC is able to oonfirm, that it haa 

~ attained compliance with IGRA and NIaC reguladons regarding 

licensing of key employees and primary managemerit,offioials within 

ninety (90) days fkom the date this Stipulated Notice of Violation and 

Civil Pine Assessment is issued, then the NIGC will forgive three 

. thousand three hundrcd thirty three dollars and thirty three c& 

($3,333.33). 

ii. Atter the initial ninety (90) day period referenced in Paragraph 

15@)(i), if the Tribe demomlmtea, and the NIGC is able to confirm., 

that it has remained in compliance with IGRA and NLGC reguhtiona 

rejpding licewing of key employees and primary management 

offioials for an additional six (6) months, then the NIaC will firgive 

an additional three thousand three hundred thirty three dollars and 

thirty tbree cents ($3,333.33). 

iii. ARer the aix (6) month perid'referenced in Paragraph 15(b)(ii), if the 

Tribe demonstratee, and the NIGC is able to confirm, that it has 

remained in compliance with lORA and NIGC regulations regarding 

licensing of key employees and primary management ofRcials for an 

additional six (6) month, then the NIGC will forgive the remaining 

tbne thowand three hundred thirty three dollan and thirty four cents 

($3,333.34). 

. If NIM: field staff am unable to coafTrm that tho 'Ribe is in oompliame with 

IGRA and NMH: regulations regarding licansing of key employees hd 
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primary management oflRcials at the times described in Paragraph tS(b), them 

the NICK will provide written notice to the Tribe stating such andwill 

identi@ the licensing files and the specific reguIation(a) which haw not been , 

satiefied. Due to non-compliance, payment of the wforgiven portion of the 

remaining fine will be due within thirty (30) days of such notice. 

Chairman agrees upon execution of thie Agreement that the NIGC shall not 

ate further proceedings or actions or assess any additional sanctions agaiust the 

te arising out of, or related to the subject matter of this Agreement for actiona or 

ssions ominring prior to the date this Stipulated Notice of Violation and Civil 

: Assessment is fully executed, unlefik the Tribe fails to comply with this 

eement. If the Tribe fhils to comply with this Agreement, the Chairman reserves 

dght to initiate an enfixcement action as outlined under 25 C.F.R 8 573,6, which 

fre.sult in additional fines ox closure of the Tnie's gaxning ficilities. 

. ADDITIONAL, COVENANTS 

I Agreement constitutes the endre agreement between the Chairman and tlxc Tribe 

supersedes all prior verbal or written agrementa and undemtmdings between the 

ies related to the subject matter hereof. No warranties, representations, 

:nants, or agreement shall be binding upon any party except as set forth herein, 

modification or.waiver of any term of this Agreement, inciluding the . 

lification or waiver of term, must be in writing and signed by both parties. 

Tribe agrees that this Stipulated Notice of Violation and Civil .Fine Assesnment 

I be deemed a final order of the Cammission and a final agency action pursuant to 

:.Fa. 577.9(d). 

Chairman and the Tribe expressly agree and aolmwledge that time is of the 

nce in this Agreement. The recitals herein and above set shall be binding upon 

~arties and their successors in their professional capacities. 

pture produced by himile &all. be deemed to be an origiaa1 signature and 

1 be cMve and biding for purpose of this Agreement. 

n, National Indian Gaming Commiseioa I"" 

D~te: G?-J[-' 7 

Date: