MOAPA BAND OF PAIUTES MOAPA RIVER INDIAN RESERVATION

BOX 340

MOAPA, NEVADA 89025

TELEPHONE (702) 865-2787

Resolution No. M-94-04-12

Resolution of the Governing Body

of the

Moapa Band of Paiute Indians

Resolution

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

to: Approve Revised Tribal Gaming Ordinance

the Moapa Band of Paiute Indians is organized under the

Indian Reorganization Act of June 18, 1934, to exercise

rights of home rule and be responsible for the general

welfare of its tribal membership; and

the Business Council is empowered to enact legislation to

promote the health, welfare and safety of Band members;

and

the Council adopted a gaming ordinance on August 10,

1993, and submitted it to the National Indian Gaming

Commission for approval; and

the Commission identified certain deficiencies in such

gaming ordinance; and

the Council wishes to amend the ordinance to address the

deficiencies and also to address additional concerns

raised in the course of compact negotiations with the

State of Nevada.

NOW THEREFORE BE IT RESOLVED, that the Moapa Business Council

hereby approves the passage of the revised gaming code attached to

this Resolution.

CERTIFICATION

IT IS HEREBY CERTIFIED: the Moapa Business Council, composed of

six (6) members, of whom 6 constituting a quorum, were present

at a duly held meeting at the Tribal Office on the 12 of April

1994, and the foregoing resolution was adopted by the affirmative

vote of 5 FOR and 0 AGAINST pursuant to authority contained

under Article V, Section 1 (c) of the Constitution and By-laws of

the Moapa Band of Paiute Indians.

-~-

Att~e~si: Ro~1y~M. Mike, Chairperson
MOAPA BAND OF PAIUTE INDIANS

TRIBAL GAMING CODE

March 23, 1994

CLEAN DRAFT]
CHAPTER 1: LEGISLATIVE FINDINGS AND PURPOSE

SECTION 101. Authority. The !4oapa Band of Paiutes is a sovereign

Indian tribe organized under the Indian Reorganization Act, 25

U.S.C. §~ 461 ~ ~. The Business Council is the governing body

of the Tribe. This Code is enacted on the basis of inherent

sovereign tribal powers delegated to the Business Council under

art. V, § 1 of the Tribes Constitution and Bylaws, and the Indian

Gaming Regulatory Act, Pub. L. 100497, 25 U.S.C. §~ 2701 ~

SECTION 102. Findings.

1. Selfdetermination. An explicit goal of federal Indian

policy, as enunciated among other places in the Indian Gaming

Regulatory Act, is to promote tribal economic development, self

sufficiency, and strong tribal government. The Tribe is deeply

connuitted to these values.

2. Economic pressures. The Tribe needs additional revenues

to assist it in meeting its governmental responsibilities.

3. Gaming as an economic enterprise. Gaming is an

appropriate subject for a tribal enterprise because:

a. Congress has found that Indian tribes have the right to regulate gaming activity on Indian lands if the gaming activity

is not specifically prohibited by federal law and is conducted

within a state which does not, as a matter of criminal law and

policy, prohibit such activity. 25 U.S.C. § 2701(5).

b. Congress has provided a statutory basis for the

operation of gaming by Indian tribes as a means of promoting tribal

economic development, selfsufficiency, and strong tribal

government. 25 U.S.C. § 2702(1).

c. Nevada law is not directly applicable on the

Reservation, but federal law depends on the policy underlying state

gaming laws. In Nevada, gaming is not only lawful; it is the

states principal economic activity. Similar gaming operations

operated by the Tribe would not conflict with federal law.

SECTION 103. Purpose. The purpose of this Code is to provide for

the sound regulation of all gaming activities within the Tribes

jurisdiction, to prevent improper or unlawful conduct in the course

of such activities, and to promote tribal economic development,

selfsufficiency, and strong tribal government.

CHAPTER 2: GENERAL PROVISIONS

SECTION 201. Definitions. For purpose of this Code:

1. Act. Act means the Indian Gaining Regulatory Act, Pub.

:0129:

!code.mo3
L. 100497, 25 U.S.C. §~ 2701 ~

2. Agency. Agency means the I4oapa Gaming Agency

established by this Code.

3. Class I gaming. Class I gaming has the meaning set

forth in the Act at 25 U.S.C. § 2703(6) and 25 CFR § 502.2. It

means social games solely for prizes of minimal value or

traditional forms of Indian gaming engaged in by individuals as a

part of, or in connection with, tribal ceremonies or celebrations.

4. Class It gaming. Class II gaming has the meaning set

forth in the Act at 25 U.S.C. § 2703(7) and 25 CFR § 502.3. In

general, it includes gaming such as bingo, pulltabs, lotto, punch

boards, tip jars, instant bingo, and other games similar to bingo.

It also includes certain card games (although not blackjack (21) or

other banking card games) to the extent such games are played in

conformity with state law.

5. Class III gaming. Class III gaming has the meaning set

forth in the Act at 25 U S C. § 2703(8) and 25 CFR § 502 4. It

includes all forms of gaming that are not Class I or Class II

gaming.

6. Code. Code means this Tribal Gaming Code, including any

amendments.

7. Commission. Commission means the National Indian Gaming

Commission established by the Act at 25 U.S.C. § 2704.

8. Compact. Compact means any gaming compact as described

in the Act at 25 U.S.C. § 2710(d) between the Tribe and the State

which has been fully approved under the Act.

9. Council. Council means the Business Council of the

Moapa River Indian Reservation.

10. Reservation. Reservation means the ?4oapa River Indian

Reservation.

11. State. State means the State of Nevada, its authorized

officials, agents, and representatives.

12. Tribe. Tribe means the Moapa Band of Paiutes, its

authorized officials, agents, and representatives.

CHAPTER 3: AUTHORIZATION OP TRIBAL GAMING

SECTION 301. Tribal gaming authorized. The Council hereby

authorizes one or more triballyowned gaming establishments to

offer all forms of gaming which are lawful, or which may become

lawful, under the Act.

~:O129:

~code.mo3 2
SECTION 302. Tribe to be sole gaming proprietor. The Tribe shall

have the sole proprietary interest in and responsibility for the

conduct of any class II or III gaming activity on the Reservation.

This provision shall not preclude the Tribe from entering into a

lawful management contract under 25 U.S.C. § 2711.

SECTION 303. Separate license for each location. The Tribe shall

issue a separate license to each place, facility, or location where

class II or III gaming will be allowed.

SECTION 304. Negotiation of compact authorized. The Chairperson

of the Council is directed to pursue negotiation of a class III

compact with the state. No such compact shall be in effect until

it is specifically approved by the Council.

SECTION 305. Compliance with law; inclusion of compact.

1. Applicable law. All class II and III gaming operations on

the Reservation shall be conducted in accordance with the Act, the

Commissions regulations, other federal law, tribal law (including

this Code and all regulations and orders of the Agency), and any

approved compact. This Code shall be construed in a manner which

conforms to applicable law.

2. Incorporation of compact. Upon approval of any compact,

such compact shall be incorporated into this Code. In the event

any inconsistencies between the compact and any other provision of

this Code, the compact shall govern.

CHAPTER 4: MOAPA GAMING AGENCY

SECTION 401. Agency established. The Council hereby establishes

a tribal agency to be known as the Moapa Gaming Agency, which shall

be responsible for the successful, safe, lawful, and honest

operation of the Tribes class II and III gaming operations on the

Reservation.

SECTION 402. Structure of Agency.

1. Number. The Agency shall consist of three members, one of

whom shall be designated by the Council as chairman.

2. Appointment. The three members of the Agency and one

alternate shall be appointed by the Council from tribal members

whom the Council deems qualified, giving due weight to the

candidates education, experience, and integrity. Members of the

Council may serve as members of the Agency.

3. Term. Initial appointments to the Agency shall be for the

following terms: Chairman  three years; one member  two years;

one member - one year; alternate member - three years.

Thereafter, all appointments shall be for threeyear terms,

:0129:

,code.mo3
provided that if a vacancy occurs for any reason, the Council shall

appoint a replacement for the remainder of the replaced persons

term. Agency members may only be suspended or removed by a vote of

at least four members of the Council (with the Chairman of the

Council entitled to vote), for good cause.

4. Registered Agent. The Chairman of the Agency shall be the

agent for service of process pursuant to 25 CFR § 522 2(g).

5. Gaming manager. The Council shall also appoint a gaming

manager, who shall report to the Agency and the Council, and shall

have the powers and duties described in section 405 and elsewhere

in this Code. The gaming manager shall be a salaried employee

whose salary shall not be dependent on a percentage of gaming

revenues. The gaming manager shall serve at the pleasure of the

Council.

SECTION 403. PowerS and duties of Agency. The Agency shall have

the following powers and duties:

1. Oversight. The Agency shall have primary responsibility

for oversight of the Tribes class II and III gaming operations.

The Agency shall supervise the gaming manager and any contract

manager, and shall report to the Council.

2. Inspection. The Agency may employ inspectors (all of whom

shall be licensed as gaming employees under this Code) who may be

present at any gaming facility during any hours of operation, and

who shall be under the sole supervision of the Agency and not under

the supervision of a contract manager. Such inspectors shall have

unfettered access to all areas of the gaming facilities at all

times, including locked or secured areas. Personnel employed by

the gaming operation or a contract manager shall provide such

inspectors immediate access to all such areas on request at any

time. Such inspectors shall report to the Agency regarding any

failure by the gaming operation to comply with any applicable law,

including this Code or any compact.

3. Protection of public health, safety, and the environment.

The Agency shall assure that the construction, maintenance, and

operation of any tribal Class II or Class III gaming facility shall

at all times be conducted in a manner which adequately protects

public health, safety, and the environment, and complies with all

applicable federal and tribal laws. In particular, the Agency

shall prepare a plan for the protection of public safety and the

physical security of patrons in each of its gaming facilities,

setting forth the respective responsibilities of the Agency, the

security department of the gaming operation, any tribal police

agency, and if appropriate, any federal, state, or local police

agency. The Agency shall review and approve floor plans and

surveillance systems for each gaming facility and may confer with

other governmental or private parties regarding the adequacy of

c:0129:

ecode.mo3 4
such plans and systems. The Agency shall enforce the health and

safety standards applicable to the gaming facilities in accordance

with this Code. Prior to the opening of any gaming facility, a

gaming operation shall obtain a certificate of compliance from the

Agency, which shall be issued upon a determination that the gaming

facility complies with such standards.

4. Resolution of complaints. All written complaints from any

person regarding any aspect of gaming operations shall be reviewed

by the Agency and retained for at least 5 years. The Agency,

including onsite inspectors, may assist in seeking voluntary

resolution of any complaints. The Agency may receive any complaint

from an employee of the gaming operation or any me3nber of the

public who claims to be adversely affected by an act or omission of

the gaming operation or any person associated with it which is

alleged to be unlawful or improper and may require such remedial

action as it deems appropriate to bring the gaming operation into

compliance. The Agency may for this purpose, in its sole

discretion, conduct a hearing and receive evidence with regard to

such complaint if it deems an evidentiary proceeding useful to

resolve such complaint. Notwithstanding the above, licensing

disputes, patron disputes regarding particular wagers, and disputes

regarding the imposition of penalties, shall be resolved as set

forth in chapter 8 of this Code.

5. Investigations. The Agency may on its own initiative

investigate any aspect of the gaming operation to protect the

public interest in the integrity of such gaming activities and to

prevent or remedy improper or unlawful conduct in the course of

such gaming activities. The Agency shall investigate any report of

a failure of the gaming operation to comply with applicable law,

including the provisions of any compact, and may require the gaming

operation to take any corrective action the Agency may determine

appropriate. The Agency may compel any licensee or person employed

by or doing business with the gaming operation to appear before it

and to provide such information, documents, or other materials as

may be in their possession or control to assist in any such

investigation.

6. Background investigations; gaming licenses. The Agency

shall conduct, or have conducted, any background investigations

required or permitted under applicable law, and shall issue,

suspend, and revoke all licenses pertaining to class II or III

gaming.

7. Co-ordination with other agencies. The Agency shall co

ordinate its activities and cooperate with other relevant agencies,

including the Commission and other federal agencies, and any

agencies of the State with which the Tribe cooperates pursuant to

a compact. The Agency may provide any information to such agencies

which must or may be provided under applicable law.

~:O129:

~code.mo3
8. Co-ordination with private entities. The Agency shall

supervise, oversee, and, to the extent appropriate, coordinate its

activities with, any contract manager, and any other contractors,

vendors, suppliers, or other private entities with any involvement

in any aspect of gaming operations.

9. Regulations. The Agency may promulgate, review, and

revise as necessary regulations, rules, and procedures to govern

and facilitate the operation and management of the gaming operation

in accordance with applicable law. Such regulations, rules, and

procedures shall be subject to rescission or amendment by the

Council.

10. Compact. The Agency shall carry out each of the

responsibilities and duties set forth for the Agency in a Compact.

11. Establishment of list of barred persons. The Agency may

bar any person from working or gaming at the Tribes gaming

facilities if in the view of the Agency such persons history,

associations, reputation, or habits poses a threat to the integrity

of tribal gaming activities. This list may be shared with other

public or private agencies under subsections 7 and 8 above.

12. Technical standards. The Agency shall promulgate,

review, and revise as necessary technical standards and rules of

each game of chance operated by the Tribe.

13. Penalties. The Agency may impose penalties for

violations of this Code or any compact in accordance with chapter

9 of this Code.

14. Legal remedies. The Agency may in its own name bring any

civil action or criminal complaint in the courts of the Tribe,

State or the United~ States to enforce the provisions of this Code,

the Act or any compact, or to enjoin or otherwise prevent any

violation of this Code, the Act, or compact, occurring on the

Reservation. However, the Tribe, including the Agency and any of

its agents acting within their authority shall retain sovereign

immunity from suit in any court or tribunal, including immunity

from counterclaims, except as specifically provided otherwise in

this Code.

15. Emergency~ action by Agency members. If emergency action

is required to protect the public interest in the integrity of

gaming operations, and there is insufficient time to convene a

meeting of the Agency, the chairman of the Agency, or any other

member of the Agency acting in the absence of the chairman, may

issue in the name of the Agency any order which the Agency has the

power to issue to any employee or contractor of the gaming

operation or to any other person within the jurisdiction of the

Tribe to take any action or cease and desist from any action as may

be required to protect such interest. Any such emergency order

c:0129:

~ecode.cno3
must be reviewed by the Agency at its earliest opportunity,

whereupon it may be confirmed or vacated by the Agency. An

unreviewed or unconfirmed emergency order issued under this section

will lapse within 10 days, and must so state.

SECTION 404. Agency operations.

1. Quorum and voting. Two Agency members shall constitute a

quorum. The Chairman may vote and shall preside over all meetings.

Action by the Agency should be by consensus, but if consensus

cannot be achieved, shall be by majority vote. Whenever Agency

action is by majority vote, majority and minority views shall be in

writing, shall be retained in the records of the Agency, and shall

be reported to the Council.

2. Recusal. No member of the Agency shall participate in any

decision directly involving the gaming license, employment, or the

direct monetary interest of his or her spouse, child, parent, or

sibling, by blood or adoption. A member of the Agency may

voluntarily recuse himself and decline to participate in any Agency

action or decision when the member, in his own discretion, believes

he could not act fairly or without bias, or that there would be an

appearance that he could not so act.

3. Vicechairman: alternative and temporary members. The

Agency shall select one of its members to serve as vicechairman.

If the chairman is unavailable because of recusal or any other

reason, the vicechairman shall serve as acting chairman. If the

vicechairman is also unavailable, the third member of the Agency

may serve as acting chairman. The alternate member shall serve

temporarily as a member of the Agency only when necessary for the

Agency to achieve a quorum. The Council may appoint additional

alternative or temporary members, which may include nontribal

members, as needed to obtain a quorum, on such terms as the Council

deems appropriate.

4. Meetings.

a. Regular meetings of the Agency may be held upon such

notice, or without notice, at such times and places as the Agency

determines. Unless otherwise specified by the Agency, no notice of

such regular meetings shall be necessary. Special meetings may be

called by the chairman or the gaming manager. Neither the business

to be transacted at, nor the purpose of any regular or special

meeting need be specified in any notice of the meeting.

b. Any action required or permitted to be taken at a

meeting of the Agency may be taken without a meeting if each member

signs a written consent to the action. Such consents shall be

filed with the minutes of the Agency.

c. Members of the Agency may participate in a meeting by

sc:0129:

łecode.mo3
conference telephone or similar communications equipment by which

all persons participating in the meeting can hear each other.

SECTXON 405. Powers and duties of gaming manager. The gaming

manager shall have the following powers and duties:

1. The gaming manager shall manage the day-to-day activities

of the Agency and the Tribes class II and III gaming operation as

directed by the Agency, in a manner which insures all aspects of

tribal gaming and agency operations comply with applicable law. If

the Tribe hires a contract manager, the gaming manager shall be the

Tribes principal liaison with such contract manager.

2. The gaming manager shall have day-to-day responsibility

for coordination of the functions of the Agency with those of the

state under any compact, and with other agencies as necessary.

3. The gaming manager shall have initial responsibility for

conducting or arranging for background investigations.

4. The gaming manager shall make recommendations to the

Agency regarding the grant or denial of any license, the imposition

of any penalty, the investigation of any complaint, or any other

action within the jurisdiction of the Agency.

5. The gaming manager may be delegated the authority by the

Agency to conduct any hearing, investigation, or inquiry. In the

course of such activities, the gaming manager shall have authority

to compel the production of any information or documents, and

otherwise exercise the investigatory powers of the Agency.

6. The gaming manager shall perform such tasks as assigned by

the Agency or the Council, and shall report to the Agency and to

the Council.

7. If emergency action is required to protect the public

interest in the integrity of gaming operations, and there is

insufficient time to convene a meeting of the Agency, or to locate

the chairman of the Agency, or any other member of the Agency, the

gaming manager may issue in the name of the Agency any order which

the Agency has the power to issue to any employee or contractor of

the gaming operation or to any other person within the jurisdiction

of the Tribe to take any action or cease and desist from any action

as may be required to protect such interest. Any such emergency

order must be reviewed by the Agency at its earliest opportunity,

whereupon it may be confirmed or vacated by the Agency. An

unreviewed or unconfirmed emergency order issued under this section

will lapse within 10 days, and must so state

CRAPTER 5: FINMCIAL MATTERS

SECTION 501. Application of net revenues. Net revenues from any

c:0129:

ecode.mo3
gaming activity are not to be used for any purpose other than:

1. to fund tribal government operations or programs;

2. to provide for the general welfare of the Tribe and its

members (including per capitas conforming to the Act at 25 U.s.c.

§ 2710(b)(3));

3. to promote the Tribes economic development;

4. to donate to charitable organizations;

5. to help fund operations of local government agencies, or

6. other purposes permitted under the Act.

SECTION 502. Budgets. The Agency shall propose to the Council an

annual operating budget, and may in accordance with the budget

employ staff necessary to fulfill its responsibilities, and may

retain legal counsel, consultants, and other professional services,

including investigative services, to assist it. Such expenses of

the Agency shall be assessed against the gaming operation.

SECTION 503. Audits. All gaming authorized under this Code shall

be audited by an independent certified public accountant, at least

annually, and copies of the annual audit shall be provided to the

Council and the Commission. All gaming-related contracts that

result in purchase of supplies, services, or concessions for

$25,000 in any year (except contracts for professional legal or

accounting services) shall be specifically included within the

scope of such audit. The Agency, Council, or Commission may call

for special audits at any time.

CHAPTER 6: BACKGROUND INVESTIGATIONS FOR PRIMARY MANAGEMENT

OFFICIALS AND KEY EMPLOYEES.

SECTION 601. Required background investigations. All primary

management officials and key employees of any class II or III

gaming operation, including members of the Agency and the gaming

manager, shall be subject to background investigations required by

the Act, Commission regulations, this Code, and any approved

compact. Background investigation shall be conducted at the outset

of employment, and shall be ongoing. The Tribe may, by compact,

accord responsibility to the state or other entity with respect to

background investigations. Otherwise, the Agency shall be directly

responsible for such investigations.

SECTION 602. Statement of Responsibilities. The Tribe is

responsible for the conduct of background investigations and

suitability determinations. The Agency shall have primary

responsibility of conducting and causing to be conducted the

~:O129:

,code.mo3 9
background investigations, except that the Council shall have such

responsibility with respect to members of the Agency. Once a

gaining manager has been fully investigated and approved, the Agency

may delegate to the gaming manager the duty of conducting or

causing to be conducted investigative work regarding other key

employees and primary management officials, if any, subject to the

review and approval of the Agency. Selection of the above approach

is based on the necessity of assuring adequate oversight and

investigation of all key employees and primary management

officials.

SECTION 602. Notices to applicants. Any application forms for a

key employee or primary management official shall include a privacy

notice, a notice regarding penalties for false statements, and any

other notices required by applicable law.

SECTION 603. Information from applicants. The Agency shall obtain

from any candidate for primary management official or key employee

at least the following information:

1. Full name, other names used (oral or written), social

security number(s), birth date, place of birth, citizenship,

gender, all languages (spoken or written);

2. Currently and for the previous 5 years: all business and

employment positions held, ownership interests in those businesses,

business and residence addresses, and drivers license numbers;

3. The names and current addresses of at least three

personal references, including one personal reference who was

acquainted with the applicant during each period of residence

listed under subsection 2 above;

4. Current business and residence telephone numbers;

5. A description of any existing and previous business

relationship with Indian tribes, including ownership interests in

those businesses;

6. A description of any existing and previous business

relationships within the gaining industry, including ownership

interests in those businesses;

7. The name and address of any licensing or regulatory agency

with which the person has filed an application for a license or

permit related to gaming, whether or not such license or permit was

granted;

8. For each felony for which there is an ongoing prosecution

or a conviction, the charge, the name and address of the court

involved, and the date and disposition if any;

C: 0129:

10
9. For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations) within 10 years of

the date of the application, the name and address of the court

involved and the date and disposition;

10. For each criminal charge (excluding minor traffic

charges) whether or not there is a conviction, if such criminal

charge is within 10 years of the date of the application and is not

otherwise listed pursuant to subparagraph 8 or 9 above, the

criminal charge, the name and address of the court involved and the

date and disposition;

11. The name and address of any licensing or regulatory

agency with which the person has filed an application for an

occupational license or permit, whether or not such license or

permit was granted;

12. A photograph;

13. Any other information the Agency or Council deems

relevant; and

14. Fingerprints certified as adequate by a professional law

enforcement agency. The Agency shall arrange for the obtaining and

processing of fingerprints through the Las Vegas Metropolitan

Police Department facilities at Las Vegas/Mesquite, Nevada.

SECTION 603. Rules regarding background investigations.

1. Confidentiality of third party sources. The Tribe, the

Agency, and all affiliated agents and employees shall keep

confidential the identity of each person interviewed in the course

of a background investigation.

2. Retention of records. The Tribe shall retain applications

for employment and reports (if any) of background investigations

for at least 3 years from the late of the date made or date of

termination of employment. Such records shall be made available on

request of the Council or Commission.

3. Content of investigation report. Background investiga

tions must be of sufficient quality to enable the Agency to make a

determination under section 604. All relevant information

submitted by the applicant should be verified by written or oral

communication and noted in the report. The investigation must

include a thorough inquiry into the applicants prior activities,

criminal record, if any, and reputation, habits and associations.

It must also include interviews with a sufficient number of

knowledgeable people such as former employers, personal references,

and others referred to in order to provide a basis for the Tribe to

make a finding concerning the eligibility for employment in a

gaming operation. The disposition of all potential problem areas

::0129:

ecode.mo3 11
noted and disqualifying information obtained must be thoroughly

documented. An investigative report shall include:

a. a statement of all steps taken in conducting the

background investigation;

b. a statement of the results obtained;

c. a statement of the conclusions reached by the

investigator; and

d. the bases for those conclusions.

SECTION 604. Eligibility determinations.

a. The Agency shall carefully review a persons prior

activities, criminal record, if any, and reputation, habits and

associations to make a finding concerning the eligibility of a key

employee or a primary management official for involvement in a

tribal gaming operation. If the Agency in the course of this

review determines that such involvement may pose a threat to the

public interest or to the effective regulation of gaming, or might

create or enhance the dangers of unsuitable, unfair, or illegal

practices and methods and activities in the conduct of gaming, no

management contractor or tribal gaming operation shall employ that

person in a key employee or primary management official position.

b. The Tribes gaming operation shall not employ in a

key employee or primary management official position a person who

has supplied materially false or misleading information or who has

omitted material information required by law.

SECTION 605. Reporting to the Commission.

1. Notification regarding background investigations and

eligibility determinations. The Agency shall forward to the

Commission the following with respect to all persons investigated as candidates for primary management official or key employee:

a. all application information described in section 602

above;

b. the investigative report described in section 603;

c. the Agencys eligibility determination described in

section 604;

d. a notification of the Agencys hiring decision;

2. Procedure following decision to hire key employee or

primary management official.

c:0129:

ecode.mo3 l2
a. The Agency shall notify the Commission of the hiring

of a key employee or a primary management official decision within

30 days of commencement of work.

b. If the Commission asks for any additional information

regarding such key employee or primary management official, the

Agency shall promptly obtain and provide such information.

a. If the Commission notifies the Tribe that it has no

objection to the issuance of a license pursuant to a license

application filed by a key employee or a primary management

official, the Agency may issue a license to such applicant.

d. If the Commission provides the Tribe with a statement

itemizing objections to the issuance of a license to a key employee

or to a primary management official, the Agency shall reconsider

the application, taking into account the objections.

e. Upon receipt of notification from the Commission that

a key employee or primary management official is ineligible for

employment under applicable law, the Agency shall suspend such

license and notify in writing the licensee of the suspension and

the proposed revocation. The Agency shall notify the licensee of

a time and place for a hearing on the proposed revocation of a

license. After the hearing, the Agency shall determine whether to

revoke or reinstate a gaming license and notify the Commission of

its decision.

f. A gaming operation shall not employ a key employee or

primary management official who does not have a license after 90

days.

CHAPTER 7: LICENSES

SECTION 701. Licenses. All gaming employees shall be required to

obtain a tribal license as a gaming employee from the Agency, and

for that purpose the Agency shall conduct or cause to be conducted

background investigations of all such employees and shall deny or

revoke such licenses for any employee 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.

SECTION 702. Background investigations. Before issuing a license

to a gaming employee, the Agency shall forward the results of any

background investigation to the Commission.

SECTION 703. LicensIng decision. If theAgency determines, on the

basis of a background investigation and such other information as

it may obtain, that the applicant is qualified for a gaming

c:0129:

ecode.mo3 13
employee license, the Agency may, but shall not be required to

issue such license. The Agency, at its sole discretion, may impose

any qualifications to such license it deems appropriate, or may

refuse to issue such license despite an applicants qualifications.

SECTION 704. Work permits. All persons who are not gaming

employees but work at any facility where authorized gaming occurs

or is supervised or administered, must obtain a nongaming work

permit. Such work permits shall be issued upon determining that

the employee is not a threat to the effective regulation of gaming

and creates no risk or enhances no danger of unfair or illegal

practices, methods or activities in the conduct of gaming on the

Reservation. All applicants for work permits shall provide the

information required in any compact.

SECTION 705. Licensing of vendors, etc. Any person or entity

proposing to sell, lease, or otherwise provide electronic games of

chance, other gaming devices, or gaming services to the Tribe are

required to obtain a license from the Tribe. The standards with

respect to such licenses are the same as those applicable to gaming

employees, except that if applicant is a corporation, trust, or

partnership, applications must be made by any person or entity

holding 10% or more of any beneficial or legal interest in such

entity.

CHAPTER 8: HEARINGS AND APPEALS

SECTION 801. Licensing Decisions. Any person whose application

for a gaming-related license is denied, or whose license has been

suspended or revoked, may request a hearing before the Agency by

written request submitted within 15 days following receipt of

notice of the action of the Agency. The Agency shall hold a

hearing within 30 days of the filing of the request.

SECTION 802. Patron disputes regarding particular wagers. Any

complaint by a patron regarding a particular wager must be brought

to the attention of the gaming manager by the patron immediately,

or such complaint is deemed waived. If the gaming manager cannot

promptly resolve, the dispute, the gaming manager shall take witness

statements and reasonable steps to secure physical evidence, if

any. The patron may request a hearing before the Agency by written

request submitted within 72 hours from the events complained of,

stating the relevant facts and circumstances in detail. The Agency

shall hold a hearing within 30 days of the filing of the request.

SECTION 803. Appeal to tribal court. Any rulings of the Agency

under sections 801 or 802 above, or assessment by the Agency of a

penalty under chapter 9, may be appealed within 15 days of the

Agencys decision to Tribal Court, in an action naming the Agency

as sole defendant. In any such action, the Tribal Court shall give

appropriate deference to the expertise of the Agency. The

sovereign immunity of the Agency is waived, only with respect to

C: 0129:

*code.cno3 14
such action, but only if filing deadlines are strictly followed,

and only to the extent of either an order affirming the Agencys

decision, or:

a. in a licensing dispute, to an order awarding or

reinstating a license;

b. in a patron dispute regarding a particular wager, to an

order that a patron is entitled to a jackpot or payoff,

or to return of the wagered amount; or

c. regarding assessment of penalties, to an order reversing,

abating, reducing, or enhancing a penalty assessed by the

Agency.

The Tribal Court may impose conditions on the above awards of

relief. In no event may the Tribal Court assess prejudgment

interest, costs, or attorneys fees against the Agency. All

determinations of the Tribal Court under this section are final,

and subject to no further appeal.

SECTION 804. Confidential information. Where Agency action is

based upon confidential information, which may not as a matter of

law or policy be disclosed to the aggrieved person, such

circumstances shall not be grounds for reversal of the Agencys

decision, and the aggrieved person shall have no right to such

confidential information in proceedings before either the Agency,

Tribal Court, or any other forum. The public interest in the

integrity of gaming is such that the burden of proof with respect

to gaining issues, especially regarding fitness for licensing, shall

be upon the individual.

SECTION 805. Hearing procedures. The Agency, Council, or Tribal

Court may adopt such additional procedures and rules for the

conduct of hearings as either deems necessary or convenient so long

as they are consistent with this Code and other provisions of

applicable law.

CHAPTER 9: PROHIBITED ACTS AND PENALTIES

SECTION 901. Prohibited acts. It shall be a violation of this

Code for any person to:

1. Conduct or participate in any Class II or III gaming

operation on the Reservation other than at licensed tribally-owned

gaming facilities.

2. Receive, distribute, apply, or divert any property, funds

proceeds, or other assets of the gaming operation to the benefit of

any person except as authorized by this Code, a compact or the Act.

3. Tamper with any equipment used in the conduct of tribal

c:O129~

ecode.mo3
gaming operations, or do any other act in connection with tribal

gaming operations, with the intent to cause any person to win or

lose any wager other~ than in accordance with the publicly announced

rules of such gaming operation.

4. Alter or misrepresent the outcome or other event on which

wagers have been made after the outcome is made sure but before it

is revealed to the players.

5. Place, increase, or decrease a bet or to determine the

course of play after acquiring knowledge not available to all

players of the outcome of the game or any event that affects the

outcome of the game or which is the subject of the bet, or to aid

anyone in acquiring such knowledge.

6. Claim, collect, or take, or attempt to claim, collect or

take, money or anything of value in or from a gaming device, with

intent to defraud, without having made a wager, or to claim,

collect, or take an amount greater than the amount won.

7. Place, increase, or reduce a bet after acquiring knowledge

of the outcome of the game or other event which is the subject of

the bet, including past-posting, pressing, and pinching bets.

8. Manipulate, with the intent to cheat, any component of an

electronic game of chance or gaming device in a manner contrary to

the designed and normal operational purpose for the component.

9. Use other than coins or tokens approved by the Agency or

other lawful legal tender, or use a coin not of the same

denomination as the coin is intended to be used in the gaming

device.

10. Possess or use any device or means to cheat while at the

gaming facility.

3.1. Engage in class II or III gaming if under the age of 21,

or assist, permit, or facilitate gaming by such person.

SECTION 902. Penalties. Any person who violates any provision of

this Code, including the provisions of a compact, shall be subject

to civil penalties including exclusion from employment or other

involvement with any tribal gaming operation, denial or revocation

of a tribal gaming license, exclusion from attendance at any tribal

gaming facility, exclusion from the Reservation if a nonmember of

the Tribe, or, with respect to any person subject to the

jurisdiction of the Tribe to impose such fines, a fine of not more

than $5,000 for each such violation. The Agency established

pursuant to this Code shall have the jurisdiction to impose any

such penalties on any person within the jurisdiction of the Tribe

to impose such penalties, except with respect to exclusion from the

Reservation, which the Agency may recommend for action by the

c:0129;

ecode.mo3
Council.

CERTIFICATION

The foregoing Noapa Gaining Code was duly adopted at a meeting

of the Business Council held on this ____

day of _____________,

1993, at which ____

members were present constituting the required

quorum, by a vote of ____

FOR, ____

AGAINST, ____

ABSTAINING.

Rosalyn Mike, Chairperson

Moapa Business Council

Attest:___________________________

Secretary

Moapa Business Council

c:0129:

~e~ode.mo3 17