February 22: 201 0 

Glenna J. Wallace, Chief 

Eastern Shawnee Tribe of Oklahoma 

P.O. Box 350 

Seneca, MO 64865 

Re: Eastern Shawnee Tribal Gaming Code of 2008, Resolution 1 1 1 809-R02 

Dear Chief Wdlace: 

This is in response to your request for review and approval. of the amendment to 

the Eastern Shawnee Tribal Gaming Code of 2008 enacted by Resolution No. 11 1809- 

R02 on November 18,2009. The amendment reduces the age requirement to play Class 

111 games from 21 to 28 years old. It is consistent with the requirements of the Indian 

Gaming ReguIatory Act (IGRA) and this agency's regulations and is therefore approved. 

Thank you fox submitting the amended ordinance for review and approval. The 

NIGC staff looks forward to working with you and the Tibe on futwe gaming issues. If 

you have any questions or require assistance, please contact Darinda Stmiska, Staff 

Attorney, at (2025 632-7003 

~eoGe Skibine 

Acting Chairman 

cc: Brett Barnes, Gaming Commissioner (via fax: (918) 666-7304) 

NATIONAL HEADQUARTERS 3441 L St NW. Suite 9100. Wash~ngton. DC 20005 Tel 202 631 7003 Fax 202 637 7066 WWW.NIGC.GOV 

REGIOMAL OFFICES Ponland. OR. Sacramento, CA Pho~n~rc, AZ; 51 Paul, MN, Tulsa, OK 
Q EASTERN SHAWNEE TRIBQ~ 

OF OKLAHOMA k 

w P.O. Box 350 . Seneca, MO 64865 - (918) 666-2435 - FAX (918) 666-2186 

/ 

'J 7:/ RESOLUTION NUMBER 11 1809-R &? b 3 V ,-I 

To Amend Section 3002. Class III Gaming (7) of the Eastern Shawnee Tribal 

Gaming Code of 2008. Revision is to ctarify who can play Class I1 and Class 

111 games. 

WHEREAS, the Eastern Shawnee Tribe of Oklahoma is a federally recognized Indian 

Tribe organized uridsr the Oklahoma Indian Welfare Act of 1936, with a 

Constitution approved by the Secretary of the Interior, April 4. 1 994 and 

Amended March 2,1999; and 

WHEREAS, the Constitution of the Eastern Shaknee Tribe of Oklahoma, Article IX, 

Section I, empowers the Business Conunittee to protect and preserve the 

interests of the Tribe; and 

WHEREAS, the Eastern Shawnee Tribe of OkIahoma is comrnitted to protecting and 

Preserving the interests of the tribal membership; and 

WHEREAS, the Eastern Sha\vner Tribe ofOklahoma is committed to the concept of 

Indian Tribes fimctioning as sovereign governments; and 

NOW THEREFORE BE IT RESOLVED, that the Business Committee of the Eastern 

Shawnee Tribe of Oklahorna does hereby wish to Amend the Eastern Shawnee Tribal Gaming 

Code of 2008 Section 3002. Class 111 Gaming (7) No person under the age of eighteen (1 8) years 

of agc shall be permitted to play any Class I1 game for any reason and no person under the age of 

twenty-one (2 1 ) years of age shall be permitted to play any U lass 111 game for any reason. 

FURTHER BE IT RESOLVED, that the Business Committee of the Eastern Shawnee Tribe of 

Oklahoma does hereby wish for the Eastern Shawnee Tribal Gaming Code of 2008 Section 3002. 

Class III Gaming (7) to read as follows: "No person under the age of (18) years shall be 

permitted to play any Class I or Class I11 game for any reason". 
CERTIFICATION 

The foregoing Resolution NUMBER illSO9-R-&was adopted at a duly called (regulur or 

speciau meeting of the Business Committee of the Eastern Shawnee Tribe of Oklahoma 

conducted on November 18, 2009 A quonun was present at said meeting with the vote 

reflecting, 

-7 FOR 

-GAINST 

-&- ARSTAINING 

J2 ABSENT 

Date Signed ack ROSS, Date Signed 

J~econd Chief 

EXECUTIVE BRANCH 

Vetoed: YES NO L/ Date: ///i;)-b?Time: /'FZ yQ #,m 

fl:u'.&cLClcnna allac ace, 

Chief 
EASTERN SHAWNEE TRIBAL GAMING CODE OR 2008 

INDEX 

ITEM 

TITtE ...........................................................*.................................................. 01 

ENACTMENT ................... , ................................*..................*.................... 01 

FINDINGS ........................, ............................................................ 01 

PUTCPOSE ...................................................................................................... 01 

DEFINITIONS ................................................................ w........................... 02 

EFFECT OF HEADIIYGS ......................, ............... .................... 06 

LIBERAL INTERPRETATION ............................... ...............................- 06 

SEVERABILITY ......................... ............. ................ ...................... 06 

MPLEMENTATION ...... . ...................~.................................................. 06 

AMENDMENT ......................... ......... ......................................... 06 

SECTlON I1 . . GAMING COMMISSION 

2000 . TRIBAL GAMING COMMISSION .............. I ............................................. 07 

2001 . GAlMINGCOMMISSIONERTERM ............ . ................................-. 07 

2002 . SELEmON OF GAMING COMMISSIONER ...................................... 07 

2003 . INTERIM GAMLNG COMMZSSIONER ...................... ..,... ....................... 07 

2004 . GAMING COMMISSIONER SUSPENSION OR REMOVAL ................. 07 

2005. GAMING COMMISSIOMR QUALIFICATIONS ................................... 08 

2006. GAMING COMMISSIONER SALARY ....... , ........................... ....... 09 

2007 . ABSENCE OF A GmG COMMISSIONER ......................................... 09 

2008 . DUTIES OF THE GAMING COMMISSION .......................................I... 09 

2009 . GAMING COMMISSIONER ....................................................................... 12 

2010 . DEPUTY GAMING COMMISSIOHE3 ................................................ 12 

2011 . ETHICAL OBLIGATIONS AND DUTIES ........................................... 13 

201 2 . REGULATIONS ............................ ..,... .....*.......*......*.,.....*..........,...... 14 

3000 . OWNERSBW OF GAMZNG ........................ ............................................ 15 

3001 . CLASS n GAMWG ......................... - ......... ........................................... 15 

3002 . CLASS XI1 GAMING ........................ ... .......................................................... 16 

01 
ITEM PAGE 

SECTION 1V . . LICENSING 

4000 . LlCENSES Rl3QUIRED .......*.....................................**.*.......*.....................*. 17 

4001 . APPLICATION FORMS FOR MANAGEMENT CONTRACTO13S, 

PKZMARY MANAGEMENT OIWiCIALS AND KEY EMPLOYEES .... 17 

4002 . BACKGROUND CHECKS ........................................................................ 23 

4003 . PROCEDURESFORPORWARDZNGAPPLlCATIONSAND 

REPORTS FOR KEY EMPLOYEES AND PlUMARY WAGEMENT OFFICIALS TO THE COMMISSION ......................................... 24 

4004 . PROCEIIURES FOR FORWARDING APPLICATIONS AND 

REPORTS FOR MANAGMENET CONTRACTORS TO TIN 

COMMISSION .................................... ................................................... 24 

4005 . ELIGIBILITY DETERMINATION AND ISSUANCE OF A 

TEMPORARY GAMING LICENSE .................... .................................. 24 . 4006 . ISSUANCE OF A GAMING LICENSE ...................................................... 26 

4007 . LICENSE SUSPENSION BASED UPON COMMISSION ACl'ION ....... 27 

4008. FACLLI'IYLICENSES .................................................................................. 27 

4009 . VENDOR AND LENDER LICENSES .................................................... 28 

4010 . LICENSE EXPIRATION ............................................................*.... 28 

SECTION V . HEARINGS 

5000 . SUSPENSION & REMOVAL HEARINGS ........................................... 28 

5001 . UEPOSITIONS ......................................................................................... 31 

5002 . SUBMISSION OF DOCUMENTS ..................... .................................... 31 

5003 . INFORMANTS ............................................................................................. 31 

5004 . PUBLIC HEARINGS ..., ................................................................. 31 

5005 . DISPUTJZS WITH MANAGEMENT .................................... ......... 31 

5006 . ALTERNATIVE TO GFUEVANCE REARING ........................................ 32 

SECTION VI . . SERVlCE 

6000 . SERVICE OF PROCESS ........................................................................... 32 

SECTION VII . . GAMlNG ACCOUNT & ANNUAL AUDIT 

7000 . GAMING ACCOUNT & DISTRlBUTIQN OF GAMING REVENUE .... 33 

1001 . ANNUAL AUDIT ..................................................................................... 33 

SECTEON VW.- REVENUES 

8000 . USE OF GAMING REVENUE ........................................... .................... 33 

3. Establish a Gaming Commission to regulate the conduct of gaming 

activities provided for by this Code and ensure Tribal gaming Is 

conducted fairly and honestly both by the operator and the players 

as a genuine means of providing both recreation and 

entertainment, free from organized crime and other corrupting 

influences. 

1004. DEFINITIONS 

As used in this Code, the following definitions shall apply: 

I. "BUSINESS COMMIITEE* means the Tribal Business Committee 

as described in the Constjtution of the Eastern Shawnee Tribe of 

Oklahoma. 

2. "CHAIRMAN" means the Chairman of the National Indian Gaming 

Commission, or his or her designee. 

3, 'CHEATING" means operating or playing a game in a manner in 

violation of the written or commonly understood rules of the game, 

wjth the intent t~ create for hhselflherself, or someone in privity 

with himlher, an advantage over and above the chance of the 

game. 

4. 'CLASS 11 GAMING" means that gaming defined in 25 U.S.C. $ 

2703(7) and 25 C.F.R. 3 502.3. 

5. "CLASS III GAMING" means that gaming defined in 25 U.S.C. 5 

2703(8) and 25 C.F.R. 5 502.4. 

6. 'COMPACT" means an agreement between the Tribe and the 

State of Oklahoma concerning Class Ill gaming negotiated 

pursuant to 25 U.S.C. 3 27tO(d). 

7. 'GAMING COMMISSfON" means the Eastern Shawnee Tribal 

Gaming Commission. 

8. "GAMING COMMISSIONER* means the Commissioner of the 

Gaming Commission, as provided by this Code. 

9. "GAMING EQUIPMENT means any and all goods, materials, 

machines or devices used to conduct gaming activities by the Tribe. 

10. "GAMING FACItlW means any facility licensed by the Gaming 

Commission to Mer Class I\ Gaming or Class Ill Gaming to the 

public. A Gaming Facitrty may be operated by the Tribe directly or 

operated by a Management Cantractor as provided by this Code. 
I. "GAMING OPERATION" means each economic entity that is 

licensed under this Code to operate Gaming Equipment, receive 

revenues, issue prizes and pay expenses associated with gaming 

conducted pursuant to this Code. A Gaming Operation may be 

owned by the Tribe directly or operated by a Management 

Contractor for the benefit of the Tribe. 

12. "GROSS REVENUES" means all monies collected or received by a 

Gaming Facility for Class II Gaming or Cfass Ill Gaming activittas, 

including admission fees. 

13. "IGRA" means the Indian Gaming Regulatory Act of 1988,102 Stat. 

2467, codifled at 25 U.S.C. 35 2701 et seq. 

14. "IN PRlVln WITH" means one who acts jointly with another or as 

an accessory before the fact to an act committed by the other or as 

a conspirator with the other. 

15. "INTERIM GAMING COMMISSIONER" means the Interim 

Commissioner of the Gaming Commission, as provided by this 

Code. 

16. "KEY EMPLOYEEu of a Gaming Operation or Gaming Facility 

means: 

a. a person who periorms one or more of the following 

functions: 

i. bingo catler; 

ii. counting room supervisor: 

iii, security personnel; 

iv. custodian of gaming supplies or cash; 

v. floor manager; 

ui. pit boss; 

vii. dealer; 

viii. croupier; 

ix, approver of credit; or 

x. custodian of gambling devices, including persons with 

access to cash and accounting records within such 

devlce; 
b. if not otherwise included, any other person whose total cash 

compensation is in excess of Fifty Thousand Dollars 

($50,000) per year; or 

c. if not otherwise included, the four most highly compensated 

persons in a Gaming Operation or Gaming Facility. 

17. "LENDER" means any person or entity extending financing, direcuy 

or indirectly, for the gaming related purposes to the Gaming Facility 

or the Tribe in excess of Fifty Thousand Dollars ($50,000) in any 

twelve-month period; provided, however, that financing provided by 

a federally regulated or state-regutated bank, savings and loan, or 

trust, or other federally or state-regulated lending institution; any 

agency of the federal, state, tribal or local government; or any 

person or entity, including, but not limited to, an Institutional 

investor who, alone or in conjunction with others, lends money 

through publicly or commercially traded bonds or other 

commercially traded instruments, including but not limited to the 

holders of such bonds or instruments or their assignees or 

transferees, or which bonds or commercially traded instruments are 

underwritten by any entity whose shares are publicly traded or 

which underwriter, at the time of the underwriting, has assets in 

excess of One Hundred Million Dollars ($100,000,000), shall be 

exempt from the licensing and background investigation 

requirements contained herein. 

18. "LICENSE" means the written permission to do any act, which 

without permission would be illegal, granted by the Gaming 

Commission to a person or to a location to pursue business subject 

to regulation under the jurisdiction of the Tribe and this Code. 

19. "LICENSEE" means any person, entrty or organization granted a 

license pursuant to the provisions of this Code. 

20. 'MANAGEMENT CONTRACT' means any contract, subcontract or 

collateral agreement between the Tribe and a contractor or 

between a contractor and a subcontractor if such contract or 

agreement provides for the management of all or part of a Gaming 

Facility. 

21. "MANAGEMENT CONTRACTOF means the person or entity 

holding a contract entered into pursuant to 25 U.S.C. 5 271 0(d)(9) 

or§ 2711. 

22. "NIGC" rneans National Indian Gaming Commission, created 

pursuant to IGRA, 102 Stat. 2467, codified at 25 U.S.C. $5 2701 et 

seq. 
23. "NET REVENUES" means Gross Revenues, less: 

a. amounts paid out as, or paid for, prizes; and 

b. total gaming-related operating expenses, excluding any 

management fee paid under any Management Contract. 

24. 'PATRON" means a person participating in a game at a Gamlng 

Facility with the hope of winning money or other benefit, but does 

not include a Licensee, or any assistant of a licensee. 

25. "PERSONm means any individual, Rm, partnership, corporation, 

company or assodation, 

26. 'PRIMARY MANAGEMENT OFFICIAL" means: 

a. the Person having management responsibility for a Gaming 

Facllity or a Management Contract; 

b. any Person who has authority: 

i. to hire or fire employees; or 

ii. to set up working policy for a Gaming Operation or 

Gaming Facility; or 

c. the Chief Financial Officer or other person who has financial 

management responsibility of a Gaming Operation or 

Gaming Facility. 

27. "STATE COMPLIANCE AGENCY* means the state agency that 

has the authority to any out the state's oversight responsibilities 

under the Tribal-Slate Compact, which shall be the Oklahoma State 

Office of State Finance or its successor agency. 

28. "TRIBAL COMPLEX" means the central oftices of the Tribe as 

specified from lime to time by the Business Committee. 

29. TRIBAL LANDS" means 

a. all lands within the limits of any Indian reservation; and 

b. any lands title to which is either held in'trust by the United 

States for the benefit of any Indian Tribe or individual or held 

by any Indian Tribe or Individual subject to restriction by the 

United States agalnst alienation and over which an lndian 

Tribe exercises governmental power. 
30. "TRIBE means the Eastern Shawnee Tribe of Oklahoma, a 

federally recognized Indian Tribe organized pursuant to the 

sovereign powers of the Eastern Shawnee people. 

31. 'VENDOR" means any Person who, directly or indirectly. provides 

or is likely to cumulatively provide at least Twenty-Five Thousand 

Dollars ($25,000) In goods or services to all Gaming Facilities in 

any helve-month period, or who has cumulatively received at teast 

Twenty-Five Thousand Dollars ($25,000) for goods or services 

provided to all Gaming F acillties In any consecutive twelve-month 

period within the imrnedlately preceding twenty-four-month period, 

or any person or entity who provides through sale, lease, renfal or 

othenuise covered games, or parts, maintenance or service in 

con~ection therewith to the Tribe or any Gaming Facilrty at any time 

and in any amount; provided, that attorneys or certified public 

accountants and their firms shall be exempt from the tlcensing and 

background investigation requirements contained herein to the 

extent that they are providing services covered by their professional 

licenses. 

1005. EFFECT OF HEADINGS 

Section and subsection headings wntained herein shall not be deemed to 

govern, limit, modify, or in any manner affect the scope, meaning or intent of the 

provisions of any section or subsection of this Code. 

1006. LIBERAL INTERPRETATION 

The provisions of thls Code, being necessary for the welfare of the Tribe and its 

members, shall be construed IiberaYy to effect the purpose and objective 

contained herein. 

The provisions of this Code are severable and if any part or provision hereof shall 

be held void by appropriate judicial authority, the decision of the court or agency 

so holding shall not affect or impair any of the remaining parts or provisions of 

the Code. 

It being immediately necessary for the preservation of the public peace, health 

and safety of the Trlbe and its members, this Code shall take effect and be in full 

force from and after its approval and passage. 

1009. AMENDMENT 

This Code may be amended only by majority vote (of 3 or more) of the Tribe's 

Business Committee. 

8120108 
SECTION tl. GAMING COMMlSSION 

2000. TRIBAL GAMING COMMISSION 

The offrce of Gaming Commissioner of the Tribe is hereby created, whlch shall 

be called the Eastern Shawnee Tribal Gaming Commission. Such officer shall 

take an oath similar to that of elected officials and be sworn to service. 

2001. GAMING COMMLSSIONER TERM 

The position of the Gaming Commissioner of the Tribe shall be considered full 

time with a term of four years from the date of oath of office. 

2002. SELECTION OF GAMING COMMISSIONER 

At any time when a vacancy occurs in the office of Gaming commissioner, the 

office shall be filled by nomination of the Chief and confirmation by the Buslness 

Comrnmee. After written nomination by the Chief, the Chairman of the Business 

Committee shall put the appointment upon the agenda of the next regular or 

specially called Business Committee meeting and address the selection at such 

meeting. The Business Committee shall have thirty (30) days from written 

namination to confirm the appointment, Should the Business Committee fail to 

confirm the nomination by the Chief within ihe prescribed tlme period, the Chief 

shall make another nomina8on. This process shall cdntinue until a nomination is 

confirmed. Nothing herein shall requlre that a Gaming Commissioner be 

appointed, A vacancy shall be deemed to occur when a Commissioner is 

removed, resigns or upon expiration of his or her term without regard to whether 

the Commissioner seeks reappointment; however, a Commissioner whose term 

has expired shall hold histher seat until the office is filled according to the 

guidelines of this Code. This provision shall apply to the Deputy Gaming 

Commissioner as well, see Section 2010. 

2003. INTERIM GAMING COMMISSIONER 

An Interim Gamlng Commissioner may be selected in the same manner as the 

Gaming Commissioner any time a vacancy in the office exists. No person shall 

serve as Interim Gaming Commissioner more than sixty (60) days before the 

qualifications of the office are met. Should it be determined that the Interim 

Gamlng Commissioner does not meet the qualification of such office, the term of 

office shall expire upon such determinatlon. 

2004. GAMING COMMISSIONER SUSPENSION OR REMOVAL 

The Gaming Commissioner or Deputy Gaming Commissioner may be suspended 

or removed from ofice by a majority vote (3 or more) of the Business Committee 

upon conducting a hearing for such purpose in a regular or special meeting as 

provided in Subparagraph 6 hereof. Cause for a Gaming Commissioner to be 

suspended or removed from office shall Indude but not be limited to: 
A. Grounds for suspension or removal: 

I . if helshe is convicted in a court of law of any felony; 

2, if helshe is convicted in a court of taw of any misdemeanor related 

to illegal gambling or bribery, or a crime involving dishonesty; 

3. is convicted in a court of law of any crime involving moral turpitude; 

4. if helshe uses a tribe position for personal gain; 

5. if helshe fails to perform hislher Gaming Commission duties 

adequately or according to this Cde; and 

6. if hetshe is involved in rnismnduct reflecting on the dignity and 

integrity of the Gaming Commission or trlbal Government. 

B. Procedures for the Suspension or Removal Hearing. 

In the event allegations or information is brought to the attention of 

the Business Committee whereby the Gaming Commissioner or 

Deputy Gaming Commissioner has allegedly commitled grounds for 

suspension or removal as provided in Subparagraph A above, then, 

in that event, the Business Committee shall notrfy the Gaming 

Commissioner or Deputy Gaming Commissioner of a Suspension 

or Removal Hearing which shall employ the same notice and 

procedure provided in Sectlon 5000 - "Suspension and Removal 

Hearings". 

2, The Suspension and Removal Hearings shall be conducted as 

provided In Sectlon 5000 - 'Suspension and Removal Hearingsn - 

except the Business Committee shall conduct the hearing in lieu of 

the Gaming Commissioner. 

3. The Business Committee shall replace all references to the Garnlng 

Commissioner in Section 5000 - "Suspension and Removal 

Hearingsn. 

4. In Section 5000 - "Suspension and Removal* - Subparagraphs 5-C 

and 6 -shall NOT apply to the Suspension or Removal Hearing for 

tho Gaming Cornmissloner. 

5. The Business Committee's decision in the Suspension or Removal 

Hearing is final. The Business Committee's decision may be 

appealed to the CFR Court. 

2005. GAMING CQMMISSIQNER QUALIFICATIONS 
To be eligible to senre as Gaming Commissioner, a person must be at least 

twenty-five (25) years of age, be of high moral character and integrity, never 

have been convicted of a criminal offense other than misdemeanor traffic 

offenses, and be physically able to carry out the duties of office. Any person 

considered for the position of Gamlng Commissioner must be able to perform 

their duties of office free from political influence. The Gaming Commissioner of 

the Tribe shall not hold any managerial position within the Tribe other than 

committees whose purpose is not related to gaming. Should the Chief choose to 

nominate an individual whose current position within the Tribe is a managerial 

position, said Individual must resign their position upon confirmation of the 

nomination by the Business Committee. Prior to any nomination of a Gaming 

Commissioner by the Chief, such person shajl have passed a background 

investigation, examination and check of the same nature as a Key Employee 

pursuant to Section IV of this Code. A person may serve as lnterim Gaming 

Cornmissloner only until background review is completed. Thereafter, such 

person shall be nominated for Gaming Commissioner within thirty (30) days or 

hisher appointment shall terminate. Should an Interim Gaming Commissioner 

fail to pass the background review, helshe shall be deemed immediately 

terminated. 

2006. GAMING COMMlSSlONER SALARY 

The Gamlng Commissioner or lnterim Gaming Commlssloner shall be paid a 

salary or by a contract approved by the BusIness Committee. Nothing herein 

prevents a decrease of the Interim Gaming Commissioner's salary or requires 

that an Interim Gaming Commissioner be paid any salary whatsoever. 

2007. ABSENCE OF A GAMING COMMISSIONER 

In the absence of a Gaming Commissioner ~r Interim Gaming Commissioner, the 

Business Committee shatl be responsible for performing the duties of the Gaming 

Commissioner either by delegation to one or more of its members, one or more 

of its employees andlor one or more of its attorneys. 

2008. DUTIES OF THE GAMING COMMISSION 

The Gaming Commission shalt be responsible for promulgating regulations, if 

necessary, to admlnlster the provlslons of this Code. The duties involved in the 

administration of this Code shall include, but not be limited to, the following: 

The Gaming Commission shall have primary responsibility for 

overdght of Gaming Operations and GamIng Facilities to ensure 

the integrity of such operations and shall, for that purpose, employ 

non-uniformed inspectars who may be present in all Gaming 

Facilities durlng all hours of operation and who shall be under the 

sols supervision of the Gaming Commission and not under the 

supervision of any management employees of the Gaming 

Operations or Gaming Facilities. Such inspectors shall have 
unfettered access to all areas of the gaming area at all times, and 

personnel employed by the Gaming Operations and Gaming 

Facilities shall for such purposes provide such inspectors access to 

locked and secure areas of the Gaming Facilities in accordance 

wAh the standards of operation and management promulgated 

pursuant to any Compact. Such inspectors shall report to the 

Gaming Commission regarding any failure by any Gaming 

Operation or Gaming Facility to wmpiy with any of the provisions of 

any Compact or this Code and any other applicable laws and 

ordinances. Inspectots assigned by the Gaming Corn mission may 

also receive consumer complaints within the Gaming Facilities and 

shall assist in seeklng voluntary resolution of such complaints. 

Inspectors appointed by the Gaming Commission shall be Iicensed 

as gaming employees in accordance with any Compact. 

2. The Gaming Commission may, on its own initiative, investigate any 

aspect of the operations of any Gaming Operation or Gaming 

Facility in order to protKt the public interest in the Integrity of such 

gaming activities and to prevent improper or unlawful conduct in the 

course of such garnlng activities, and shall investigate any report of 

a failure of the any Gaming Operatian or Gaming Facility to comply 

with the provisions of any Compact or this Code and may require 

any Gaming Operation or Gaming Facility to take any corrective 

action deemed necessary by the Gamlng Commlsslon upon such 

terms and conditions as the Gaming Commission may deternine 

appropriate. The Gamlng Commission may compel any person 

employed by or doing business with any Gaming Operation or 

Gaming Facilrty to appear before it and to provide such information, 

documents or other materials as may be in their possesdon to 

assist in any such investigation. 

3. The Gaming Commission shall carry aut each of the responsibilities 

and duties set forth for the Tribal Gaming Agency in any Compact. 

4. The Gaming Commisslon shall enforce machine integrity and 

surveillance systems for each Gaming Facility and may confer with 

the State Compliance Agency or other organizatfons regarding the 

adequacy of such plans and systems. 

5- The Gaming Commisslon shall enforce Standards of Operation and 

Management for Class Ill gaming activities in accordance with any 

Compact, 

6, The Gaming Commisslon may issue, suspend or revoke Licenses 

for Class II garnlng employees in accordance with this Code. 

7. The Gaming Commission may Issue, suspend or revoke Licenses 

for Class Ill gaming employees in accordance with this Code. 

8M0108 10 
The Gaming Commission shall establish a list of persons barred 

from the Gaming Facilities because their criminal history or 

association with career offenders or career offender organizations 

poses a threat to the integrity of Ihe gaming activities of the Tribe. 

The Gaming Commission shall enforce the rules of each game of 

chance operated by any Gaming Operation or Gaming Facility 

pursuant to any Compact and shall, in accordance with the 

provisions of any Compad, notify the State Compliance Agency of 

such rules and of any change in such rules. 

The Gaming Commission may impose monetary or Injunctive 

penalties for violations of this Code or any Compact. 

The Gaming Commission may, in the name of the Tribe, bring any 

civil action in the courts of the Tribe, or any cumpetent 

administrative or other court system to enforce the provisions of this 

Code, lGRA or any Compact, occurring where Tribal gaming is 

conducted. The bringing of any such action by the Gaming 

Commission shall not be deemed to be a waiver of suit immunity by 

the Gaming Commission or the Tribe. 

The Gaming Commission's annual operating budget shall be 

determined and approved by the Business Committee and may, in 

accordance with said budget, employ such staff frnm time to time 

as it deems necessary to fulfill its responsibilities under this Code. 

and may retain legal counsel, consultants and other professional 

services including Investigative services to assist the Gaming 

Commission with respect to any of the issues over which the 

Gaming Commission exercises jurisdiction. The Chief shall provide 

oversight duties for the Gaming Commission Office. 

The Gaming Commission may employ inspectors to conduct 

background investigations on Key Employees and Primary 

Management Officials. Inspectors employed to conduct 

background investigations shall not be licensed as a gaming 

emptoyee. 

The Gaming Commission shall design applications for employee 

and vendor licensure and renewal licensure. 

The Gaming Commission shall design and describe procedures for 

resolving disputes between the gaming public and the Tribe, the 

Gaming Facilities or the Gaming Operations. 

The Gaming Cornrnisslon shall designate an agent for service of 

legal notlce. 
17. The Gaming Commission shall design and describe procedures for 

conducting criminal and credit history checks for License 

applicants. 

18. The Gaming Commission shall design and describe procedures to 

prevent theft and insure the integrity of the gaming enterprise. 

19, The Gaming Commission shall design and describe procedures for 

collection of license fees, taxes, other fees and levies as the same 

relates to any Gaming Operation or Gaming Facility. 

20. The Gaming Commission shall review collection of ail Gaming 

Facility receipts and the payment of all Gaming Facility obligations. 

2009. GAMING COMMISSIONER 

The Gaming Commissioner shall have the power and duty to make the final 

determination with respect to any decision to be made by the Gaming 

Commission Staff. The Gaming commissioner or any other member of the 

Commission Staff acting in the absence of the Gaming Commissioner may, 

whenever the Gaming Commissioner deems it necessary to protect the public 

interest in the integrity of Tribal gaming operations. issue in the name of the 

Commission any order which the Commission has the wwer to issue, to any 

Gaming Operation or Gaming facility or to any employee or contractor of the 

Enterprise 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 the 

public interest; provided, that such order shall be subject to review by the 

Business Committee at its earliest opportunity, whereupon it may be confirmed or 

vacated by the Business Committee. 

2010. DEPUTY GAMING COMMlSSlONER 

The appointment of a Deputy Gaming Commissioner shall comply with the same 

appointment procedures found in Section 2002 of this Coda The Deputy 

Gaming Commissioner shall perform all tasks assigned to himlher by the Gaming 

Commisslaner. In the absence of the Gamhg Commissioner, the Deputy 

Gaming Commissioner shall have the authority to take any action necessary to 

protect the gaming assets of the Tribe. However, any action taken by the Deputy 

Gaming Commissioner shall be subject to review and given final approval by the 

Gaming Commissioner. The Deputy Gaming Commissbner's salary shall be set 

by the Business Committee. The Removal of the Deputy Gaming Commissioner 

shall follow the same procedure as the Removal of the Gaming Commissioner as 

provided in Section 2004 hereof. 

The Deputy Gaming Commissioner shall serve at the direction of the Gaming 

Commissioner, The Deputy Gaming Commissioner may be responsible for 

coordination of the functions of the Gaming Commission with the NlGC, any , 

State Compliance Agency, and other state and local agencies as necessary. 
The Gaming Commissioner may request the Deputy Gaming Commissioner 

conduct preliminary investigations and render interim recommendations to the 

Gaming Commissioner regarding background checks of Key Employees and 

Primary Management Officials. In the absence of the Gamlng Commissioner, 

then in that event, the Deputy Gaming Commissioner may exercise the power 

and authority of the Gaming Cornmlssioner until his return. The Deputy Gaming 

Commissioner may have the power, in the name of the Gaming Commission, to 

conduct any hearing, investigation or inquiry, compel the production of any 

information or documents. 

2011. ETHICAL OBUGATIONS AND DUTIES 

1. ETHICS 

The Tribe recognizes that the duties of the Gaming Commission 

include making important decisions on highly sensitive issues, As 

such, the Tribe has determined that the Gaming Cornrnlssion shall 

be held to extremely high ethical standards. Prior to taking their 

positrons on the Gaming Commission, employees of the Gaming 

Commission, induding the Gaming Commissioner, Interim Gaming 

Commissioner and Deputy Gaming Commissioner, if any, shall 

agree to be bound by the following principles: 

a. Employees shall not hold financial interests that conflict with 

the conscientious performance of their duties as managers 

and regulators of a Gaming Facility. 

b. Employees shall not engage in Financial transactions using 

nonpubtic information or allow the improper use of such 

information by others on their behalf to further any private 

interest. 

c. Employees shali not solicit or accept any gift or other item of 

monetary value, including complimentary items, from any 

person or entlty seeking official action or inaction from, doing 

business with, or conducting activities reguIated by the 

member's entity, or whose interests may be substantially 

affected by the performance or nonperformance of the 

employees' duties. 

d. Employees shall make no unauthorized commitments or 

promises of any kind purporting to bind the Gamlng Facility 

or the Tribe. 

e. Employees shall not use their positions for private gain. 

f. Employees shall act impartially, in accordance with all 

relevant Tribal, Federal, and State laws (where applicable), 
and shail not give preferential treatment to any private 

organization or individual, including any persons related to 

employees. 

g. Employees shall ensure that Tribal Gaming Facijities, Tribal 

property, and gaming assets shall be properly segregated 

and safeguarded, and that such property and assets shall 

not be used for unauthorized activities. 

b. Employees shall not engage in outside employment or 

activities, including seeking or negotiating for future 

employment, which conflict with their official duties and 

responsibilities. 

i. Employees shall disclose waste, fraud, abuse, and 

corruption to appropriate authorities. 

j. Employees shall endeavor to avoid any actions creating the 

appearance that they are violating the law or the ethical 

standards listed herein. 

k. Employees shall disclose any real or apparent financial or 

personal conflicts to the Business Committee. If there is a 

real conflict or the appearance of one, the respective 

employee shall not take part in any decision related to the 

conflict. 

2. COMPLIMENTARY ITEMS 

a. Use of complimentary items shall be governed by 

regulations established by the Gamlng Commission, which 

shall be in accord with the Commission's Minimum Internal 

Control Standards, found at 25 C.F.R.5 542.17. 

b. No Key Employee, Prlmary Management Offlclal, Business 

Committee member, or Gaming Commission member, or 

any person directly related to or sharing a resident with the 

persons, shall be authorized to receive complimentary items. 

2012. REGULATIONS 

Any regulatlans promulgated by the Gaming Commissioner shall have full force 

and effect on this Code from the date of issuance; provided, however, the 

Business Committee may by affirmative action repeal, amend andlor enact such 

regulations, Any regulation enacted by the Business Committee shall not be 

subject to amendment by the Gaming Commissioner. Nonetheless, the 

Commissioner may withdraw, replace or amend any regulation that hetsha has 

made. 
1. NOTICE QF PROPOSED REGULATIONS 

a. No notice is required for regulation changes made by the 

Business Committee. 

b. Notice shall be deemed made by regular posting to the 

address of all persons described herein, by hand delivery 

from the Gaming Commissioner or hislher designate, by 

telephone confirmed facsimile, ar by confirmed electronic 

mail. 

c. Any new regulations promulgated by the Gaming 

Commission shall not take effect until thirty (30) days after 

notice is posted at all Gaming Facilities, pursuant to this 

Code. 

2. NOTICE OF REGULATIONS 

a. A copy of all adopted regulations shall be maintained at the 

Tribal Complex and at all Gaming Facilities. 

b. Copies of all adopted regulations shall be available to the 

public for copy costs of twenty five cents ($.25) per page at 

all locations where the regulations must be maintained. 

Requests for such copies shall be processed within two (2) 

business days of receipt of the request and prepayment of 

any applicable copy costs. 

c. Copies of Tort and Prize Claim Procedures shall be posted 

within Gaming Facilities in a prominent place by the Primary 

Management Official to inform Patrons of such procedures. 

The Primary Management Official shall train employees 

regarding the existence of such Procedures and refer 

Patrons to them in the event of a tort claim or prize dispute. 

SECTION Ill. GAMING AUTHORIZATION AND IMPLEMENTATION 

3000. OWNERSHIP OF GAMING 

The Tribe shatl have the sole proprietary interest in and responsibility for the 

conduct of any gaming activity and any Gaming Facility authorized by this Code. 

3001. CLASS I1 GAMING 

The Tribe shall be authorized to conduct all forms oi Class I[ Gaming within 

Trlbal Jurisdiction, including without limitation any form of bingo (whether or not 

electronic, computer, or other technologic aides are used in connection 

therewith), and (if plaved in the same location) pull-tabs, lotto, punch boards, tip 

jars, instant bingo, and other games similar to bingo. 
3002. CLASS Ill GAMING 

The Tribe may conduct or operate all forms of Class Ill gaming authorized 

pursuant to a Compact and in accordance with IGRA. 

CONDUCT OF GAMING OPERATIONS, TRIBAL INTERNAL CONTROL 

STANDARDS, AND MINIMUM INTERNAL CONTROL STANDARDS 

The Tribe acknowledges its obligation to adopt and implement Minimum Internal 

Control Standards for the operation of its Tribal gaming operations, no less 

stringent than those found in 25 C.F.R. Part 542. The Minimum Internal Control 

Standards shall be developed by the Gaming Commission to be reviewed and 

approved by the Business Committee, The Gaming Commission shall enforce 

the Minimum internal Control Standards. 

The Gaming Commission shall enforce the operation of Tribal gaming consistent 

with the following: 

1. In compliance with 25 U.S.C. § 2710(b)(2)(E), the construction and 

mainlenance of any Gaming Facility, and the operation of gaming 

activities, shall be conducted in a manner which adequately 

protects the environment and the public health and safety and for 

that purpose shall comply with the requirements of the Compact 

and all other applicable health, safety and environmental standards 

enacted by the Tribe. 

2. The rules of play and operation of all games shall be prescribed 

and appmved by the Business Committee. 

3. Each and every player shall have a fair and equal opportunity to 

win. 

4. The method of winning and the prize or prizes for each game 

should be clearly outlined on or near each game such that a patron 

has an opportunity to review them before playing. 

5. The winner or winners of each game shall be verified in a manner 

that all present may witness. 

6. No person who is conduciing or assisting in any Gaming Operadon 

shall participate directly or indirectly in the play of any game. 

7. No person under the age of eighteen (18) years of age shall be 

permitted to play any Class II game for any reason and no person 

under the age of twenty-one (21) years of age shall be- permitted to 

play any Class 11 I game for any reason. 

8. A Gaming Facility shall make the sole and final determination as to 

the validity of a winner or winners at the conclusion of that game at 

8M0108 16 
which they were a winner. A patron may challenge the validity of 

this determination pursuant to the provisions of this Code, a 

Compact, and Procedures adopted by the Gaming Commission. 

9. No alcoholic beverages shall be permitted in the facility during the 

time that the facility is belng used for the gaming operation, unless 

the Business Committee has approved an alcoholic beverage 

license for on-site consumption. 

10. No person under the influence of either intoxicants or drugs, or who 

is in any violation of any Tribal law or ordinance, sha! be permitted 

to engage in any form of gaming or to remain in any Gaming 

Facility. 

SECTION IV. LICENSING 

4000. LICENSES REQUIRED 

A Tribal gaming license shall be requlred for: 

1. Each Person having a Management Contract. 

2. Each Primary Management Official and each Key Employee. 

3, Each Gaming Facility and Gaming Operation. 

4. Each Vendor and its employees and agents. 

4001. APPLlCATlON FORMS FOR MANAGEMENT CONTRACTORS, 

PRIMARY MANAGEMENT OFFlClALS AND KEY EMPLOYEES 

1. The Tribe shall request from each Management Contractor (if the 

Management Contractor is an individual), Primary Management 

Official and Key Employee all of the following information: 

a. Full name, ather names used (oral or written), Social 

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

gender, all languages (spoken or written); 

b. Currently and for the previous five (5) years: business and 

employment positions held, a\l ownership interests as 

required by 25 CFR §556,4(a)(5), (61, business and 

residence addresses, and drivers license number@); 

c. 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 paragraph (1) (b) of the section; 
Current business and residence telephone numbers; 

A description of any existing and previous business 

relationships with any Indian Tribes, including ownership 

interests in any such businesses; 

A description of any existing and previous business 

relationships with the gaming industry generally, including 

ownership interests in any such businesses; 

The name and address of any licensing or regulatory agency 

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

permit related to gaming, whether or not such license or 

permit was granted, and the status of such license or permit 

application (i.e., granted, denied, withdrawn, etc.); 

For each felony for which there is an ongoing prosecution or 

a conviction in a court of law, the charge, the name and 

address of the caurt involved, and the date and disposition, if 

any; 

For each misdemeanor for which them is an ongoing 

prosecution or a mnvidian in a court of taw (exduding minor 

traffic violations) and which is within ten (10) years of the 

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

the court involved and the date and disposition, if any; 

For each criminal charge (exduding minor traffic charges), 

whether or not there is a conviction, if such criminal charge 

is withln ten (10) years of the date of the applimtion and is 

not othewise listed pursuant to paragraph (1XH) or (I)(]) of 

this section, the criminal charge, the name and address of 

the court involved and the date and disposition, if any; 

The name and address of any licensing or regulatory agency 

with which \he person has filed an application for an 

occupation~lllcense or permit, whether or not such license 

or permit was granted, excluding any such Information 

ajready Included in paragraph (1 #G) of this section ; 

A current photograph; 

A current financial statement; 

Military sewice history record; 

Any other information the Tribe deems relevant; and 
p. Fingerprints consistent with procedures adopted by the Tribe 

according to 25 C.F.R. 5 522.2(h) which shall require that 

the Gaming Commission take fingerprints and submit them 

to the Federal Bureau of Investigation rFB1") for a criminal 

check against FBI records. In the event that the Gaming 

Commission is temporarily unabte to take the applicant's 

fingerprints, then the Gaming Commission may cause the 

fingerprints to be taken by Tribal taw enforcement or any 

other city, county, state or federal law enforcement agency. 

2. The Tribe shall request from each Management Contractor (if the 

Management Contractor is an entity): 

a. the following informatlan for the entity: 

i. List of all officers, partners, limited partners, and 

owners of equity security or other ownership interest. 

If the Applicant is an association, list each officer and 

director. If the Applicant is a trust, list each trustee 

and beneficiary. 

ii. Type of business (corporation, limited liability 

company, partnership, association, sole 

proprietorship, etc.). 

iii. State of incorporation or formation. 

iv. Date of incorporation or formation. 

v. Date of qualification to do business in any state in 

which the entity h so qualified. 

vi. Registered agent, address, and telephone number. 

vii. Certified copy of the Articles of Incorporation or, if not 

a corporation, a true copy of the membership 

agreement, partnership agreement or other 

organizational document. 

viii. Evidence of other license or permit applications 

related to gaming in any Jurisdiction, including Native 

American Nations, whether or not such license or 

permit was granted, and the status of such license. 

ix. Atl civil litigation, Including all members of such 

litigation, (Including bankruptcies and collection 

agencies) to which tbe applicant has been a party as 

a plaintiff or defendant during the immediately 

preceding ten (10) years. 

19 
x. Description of the nature of applicant's business, 

including types of supplies, senrices, andlor 

equipment offered by applicant. 

xi. Applicant's audited financial statements and auditor's 

opinion for the applicant's last three fiscal years. If 

the statements and opinions for the most recently 

completed fiscal years are not available, explain why, 

and submit copies of statements and opinlons for the 

mast recent three fiscal years for which they are 

available. 

b. the following information for each person or entity (including 

individuals comprising such entity) having a direct financial 

interest in, or management responsibility for, such 

Management Contract, and, in the case of a corporation, 

those individuals who serve on the board of directors of such 

corporation and each of its stockholders who hold (directly or 

indirectly) any of its Issued and outstanding stock; 

i. full name, other names used (oral ar written), Social 

Security number(s), blrth date, place of birth, 

citizenship, gender, all languages (spoken or written); 

ii, a description of any previous experience such person 

has had with other gamlng cantracts with Indian tribes 

or with the gamlng industry generally, including 

specifically the name and address of any licensing or 

regulatory agency with which such person has had a 

contract relating to gaming, or ownership interests in 

any business that has had such a relationship; 

iii. a complete and current financial statement of such 

person and such persons tax filings for the last three 

(3) years: 

iv. currently and for the previous five (5) years: business 

and employment positions held, all ownership 

interests in any business, business and residence 

addresses, and drivers license number(s); 

v. 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 (iv) of this 

section; 

vi. current business and residence telephone numbers; 
vlil. 

ix. 

xi. 

xii. 

xiii, 

xiv, 

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, and the status 

of such license or permit application (i.e., granted, 

dented, withdrawn, etc.); 

for each fetony for which there is an ongoing 

prosecution or a conviction in a court of taw, the 

charge, the name and address of the court involved, 

the case number or numbers, and the date and 

disposition, if any; 

for each misdemeanor for which there is an ongoing 

prosecution or a conviction in a court of law 

(excluding minor traffic violations) and which is within 

ten (10) years of the date of the application, the 

charge, the name and address of the court involved, 

the case number or numbers, and the date and 

disposftion, if any; 

for each criminal charge (excluding minor traffic 

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

criminal charge is wHhin ten (I 0) years of the date of 

the application and is not othehvise listed pursuant to 

Subsection (viii) or (ix) of this section, the criminal 

charge, the name and address of the court involved, 

the case number or numbers, and the date and 

disposition, if any; 

name and address of any licensing or regutatory 

agency with which the person has filed an application 

for an accupatIonal license or permit, whether or not 

such license or permit was granted. excluding any 

such informatlon already included in Subsection (vii) 

of this section ; 

current photograph; 

any other information the Tribe deems relevant; and 

fingerprints consistent with procedures adopted by the 

Tribe according to 25 C.F.R. 5 522.2(h) which shall 

requlre that the Gaming Commission take fingerprints 

and submit them to the Federal Bureau of 

Investigation (uFFBl") for a criminal check against FBI 

records. In the even1 that the Gaming Commission is 

temporarily unable to take the applicant's fingerprints, 
then the Gaming Commission may cause the 

fingerprints to be taken by Tribal law enforcement or 

any other city, county, state or federal law 

enforcement agency, 

3. The following notice shall be placed on the application form for 

llcensure as a Management Contractor, Key Employee or a Primary 

Management Official, before that form is filled out by an applicant: 

In compliance with the Privacy Act of 1974, the following 

information is provided: Solicitation of the information on this 

form is authorized by 25 U.S.C. $5 2701 et seq. The 

purpose of the requested information is to determine the 

eligibility of individuals to be employed in a gaming 

operation. The information will he used by National Indian 

Gaming Cornmisston members and staff who have need for 

the information in the performance of their official duties. 

The information may be disclosed to appropriate Federal, 

Tribal, State, local or foreign law enforcement and regulatory 

agencies when relevant to civil, criminal or regulatory 

investigations or prosecutions or when pursuant to a 

requjrement by a Trlbe or the National Indian Gaming 

Commission in connection with the hiring or firing of an 

employee, the issuance or revocation of a gaming license. or 

investigations of activities while associated with a Tribe or a 

gamlng operation. Failure to consent to the disclosures 

indicated in this notice will result in a Tribe's being unable to 

hire you in a primary management official ar key employee 

position. 

The disclosure of your Social Security Number (SSN) is 

voluntary. However, failure to supply a SSN may result in 

errors in processing your application. 

4. Existing Management Contractors, Licensees, Key Employees and 

Primary Management Officials shall be notified In writing that they 

shall either: 

a. Complete a new appkation form that contains a Privacy Act 

notice; or 

b. Sign a statement that contains the Privacy Ad notice and 

consent to the routine uses described In that notice. 

5. The following natlce shall be placed an the application form for 

licensure as a Management Contractor, Key Employee or a Primary 

Management Official, before that form is filed out by an applicant: 
A false statement on any part of your application may be 

grounds for License denial, not hiring you, or for firing you 

after you begin work. Also, you may be punished by fine or 

imprisonment as allowed by applicable law. (U.S. Code, 

Title 18, Section 100-1 .) 

6. The Tribe shall notify in writing existing Management Contractors, 

Licensees, Key Employees and Primary Management Officials that 

they shall either: 

a. complete a new appllcation form that contains a notice 

regarding false statements; or 

b. Sign a statement that contains the notice regarding false 

statements. 

4002. BACKGROUND CHECKS 

The Gaming Commissioner shall conduct an appropriate investigation and/or 

cause such investigation to be conducted on all applicants for licensure as 

Management Contractors, Key Employees or Primary Management Officials. 

Such procedures should include as a minimum: 

1. Obtain and process fingerprints; 

2. Explanation of job description, fitness of individual to perform the 

job, and explanation of how the individual was selected for position; 

3. Credit check; 

4. Verification of appllcatlon; 

5. Character check regarding prior activities, criminal record, including 

case numbers, reputation, habits and associations including, but 

not limited to, personal interview summaries with a sufficient 

number of people famlllar with the character of the applicant, such 

as former employees, persanat references and others to form a 

basis for character suitabilify determination; and 

6. Document all potential problems and possible disquatificatlon 

information. 

After complatlon of the requisite background investigation, the Gaming 

Commissioner or hislher staff shall prepare an Investigative report setting for the 

following 

1. Who conducted and compiled various parts of the report; 
2. An outline of the background investigation process including steps 

taken in the investigation; 

3. A description of the information obtained together with 

conclusions of the investigation; 

4. A statement setting forth the basis for the conclusions of the 

investigation; and 

5. An organization chart showing the location within the organization 

of the individual investigated and the positions or people over which 

the individual investigated may be responsible. 

4003. PROCEDURES FOR FORWARDING APPLlCATiONS AND REPORTS 

FOR KEY EMPLOYEES AND PRIMARY MANAGEMENT OFFICIALS TQ THE 

COMMISSION 

f. When a Key Employee or Primary Management Official begins 

work at a Gaming Operation or Gaming Facility authorized by this 

Code, the Tribe shall forward to NlGC a completed application far 

employment and conduct the backgrnund investigation and make 

the determination ~Eferred to in Subsection 4002 of this Code. 

2. The Tribe shall fonvard the report referred to in this section to NtGC 

within sixty (60) days after an employee begins work or within sixty 

(60) days of the approval of this Code by the Chairman of NIGC. 

4004. PROCEDURES FOR FORWARDING APPLICATIONS AND REPORTS 

FOR MANAGEMENT CONTRACTORS TO THE COMMlSSlON 

I No Management Contractor shall be licensed and no Management 

Contract shall be approved by the Gaming Commission or the Tribe 

until the Commission has approved such Management Contractor 

and Management Contract in accordance with 25 U.S.C. 55 

27 1 O(d)(Q) and 271 1. 

2. Upon submission of an application for licensure as a Management 

Contractor or approval of a Management Contract, the Gaming 

Commfssion shall fanvard such application and contract NIGC for 

review in accordance with 25 U .S.C. $5 271 0(d)(9) and 271 1. 

4005. ELIGIBILITY DETERMINATION AND ISSUANCE OF A TEMPORARY 

GAMING LICENSE 

1. The Gamlng Commission shall review a person's prior activities, 

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

make a finding concerning the eligibiiity for licensure of the 

individual as a Key Employee or Primary Management OffidaI for 

employment in a gaming operation. If the Gaming Cornmisslon 

8120108 24 
determines that employment of the person poses a threat to the 

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

enhances dangers of unsuitable, unfair, or illegal practices, 

methods and activities in the conduct of gaming, a Gaming Facility 

shall not employ that person in a Key Employee or Primary 

Management Official position. Management Contractors of the 

Tribe shall be required to comply with the provisions of this section 

of this Code. 

2. If a license is not issued to an applicant, the Tribe: 

a. Shall notify the Commission of such denial; and 

b. May foward copies of its eligibility determination and 

investigative report (if any) to NlGC for inclusion in the Indian 

Gaming Individual's Records System. 

If the Gaming Cammissioner denies an individual with a temporary 

gaming license a permanent license, and a Gaming Facility or a 

Tribally Managed Gaming Operation currently employs that 

individual In the position of manager or key employee, the Gaming 

Commissione~ shall notify the General Manager of such facility that 

the individual in question is not eligible to receive a permanent 

gaming license. It is the responsibility of the General Manager to 

remove immediately such a person from their position. 

If a Management Contractor employee has a temporary gaming 

license and such employee is in management or is in a key 

employee position, the Gaming Commlssioner shall notify the 

Management Contractor that such employee cannot receive a 

permanent gaming license. It will be the responsibility of the 

Management Contractor to take steps immediately to remove such 

an individual from their position. 

If any Tribally Managed Gaming Facility or Management Contractor 

fails to comply with the Gaming Commissioner's notification and 

order, such Gaming Facility may rlsk the revocation of the Facility's 

license. The Gaming Commissioner shall notify the Tribe's 

Business Committee immediately In writing if any Manager fails to 

comply with such orders. 

4. If the Gaming Commission determines that an applicant is suitable 

to serve as a Key Employee of Primary Management Official, the 

Gaming Commlssioner shall issue a temporary gaming license to 

the applicant, with the issuance of a permanent gaming license 

subject to the further restrictions contained in Section 4006 of this 

Code. A temporary gaming license shall expire after ninety (90) 

days if a permanent License is not issued by such time. 
5. With respect to applicants for Ijcensure as Management 

Contractors, Key Employees or Primary Management Ofticials, the 

Tribe shall retain applications for employment and reports (if any) of 

background investigations for inspection by the Chairman or his or 

her designee for no less than three (3) years from the date of 

termination of employment or denial of licensure. 

6. A temporary LIcense shall not be issued to a Management 

Contractor, and a Management Contractor shall not be issued a 

permanent License until the applicable Management Contract has 

been approved by the Commission as provided for in Section 

4004(1) of this Code. 

4006. ISSUANCE OF A GAMING LICENSE 

The Gaming Commissioner shall be responsible for issuing Tribal Licenses and 

sign the same for Licenses of Primary Management Officials and Key Employees 

who are Involved in gaming. The issuance of a gaming license shall be subject 

to the following restrictions: 

If, within a thirty (30) day period after NIGC receives an 

investigative report on an applicant, NIGC notifies the Gaming 

Commission that it has no objedon to the issuance of a license 

pursuant to a license appllcatlon filed by a Key Employee or a 

Primary Management Official for whom the Gamlng Commissioner 

has provided an application and investigative report to NIGC, the 

Gaming Commission may issue a permanent license to such 

applicant, 

2. The Gaming Commission shall respond to a request for additional 

information from NIGC cunceming a Key Employee or a Primary 

Management Official who is the subject of an investigative report. 

Such a request shall suspend the thirty (30) day period under 

paragraph I of this section until they receive the additional 

information. 

If, within the thirty (30) day period described under paragraph 1 of 

this section, N IGC provides the Gaming Commission with a 

statement itemizing objections to the issuance of a license to a Key 

Employee or to a Primary Management Official for whom the 

Gaming Commission has provided an application and investigative 

report to NIGC, the Gaming Commission shall reconsider the 

application, taking into account the objections itemized by N IGC. 

The Gaming Commission shall make the final decision to issue a 

permanent license to such applicant. 

4. At any time prior to the issuance of a permanent license, should the 

Gaming Commissioner receive information on an applicant that in 
the Cornrnissionefs opinion disqualifies the applicant meeting the 

eligibility requirements of Section 4002 above, the Gaming 

Commissioner has the authority to deny the license. The denial of 

a temporary license by the Gaming Commissioner is final with no 

appeal. 

4007. LICENSE SUSPENSION BASED UPON COMMlSSlON ACTION 

I. If, after issuance of a permanent License, the Gaming Commission 

receives from NlGC reliabk information indicating that a Key 

Employee or a Primary Management Official is not eligible for 

licensure and employment under Section 4002 above, the Gaming 

Commission shall suspend such license and shall notify the 

licensee, in writing, of the suspension and the proposed revocation. 

2. The Gaming Commission shall notify the licensee of a time and a 

place for a hearing on the proposed revocation of a license, and 

such hearing shall be conducted in accordance with the provisions 

set forth in Section 5000. 

3. After a revocation hearing under this Section, the Gaming 

Commissioner shall decide to revoke or to reinstate a gaming 

license. The Gaming Commissioner shalt notify the license holder 

and NlGC of its decldon within ten (1 0) days of such decision. 

4008. FACILITY LICENSES 

The Gaming Commission shall issue a separate License to each Gaming Facility. 

Such License must be renewed every two (2) years. The Gaming Commission 

shall specify the form, conditions and content for the application of such 

Licenses, and the initial License application shall include the following: 

1. a legal description of the lands on which the Gaming Facility is 

located ; 

2. a certification that said lands constitute "Indian lands" as defined in 

I G RA: 

3. an identification of the environmental, health and public safety 

standards with which the applicant must comply; and 

4. a certification that the applicant is in compliance with such 

environmental, health and public safety standards. 

Each renewal application under this Section shall identify any changes or 

additions to sald legal description and applicable environmental, health and 

public safety standards, and inctude a current certification of compliance 

therewith. 
4009. VENDOR AND LENDER LICENSES 

Vendors and lenders shall be subject to the same licensing requirements as 

Management Contractors prior to providing goods, sewices or financing to the 

Tribe or any Gaming Facility. 

4010. LICENSE EXPIMTION 

Key Empioyee, Primary Management Official, Vendor and Lender Licenses shall 

be issued for periods of no more than two (2) years, after which they may be 

renewed only following review and update of the information upon which the 

License was based; provided, the Gaming Commission may extend the period in 

which the License is valid for a reasonable time pending the outcome of any 

Investigation being conducted In connechn with the renewal of such license. 

The Gaming Commission may issue any Llcense for a period of less than two (2) 

years if it deems it in the best interests of the Tdbe. 

SECTION V, HEARINGS 

5000. SUSPENSION AND REMOVAL HEARINGS 

The Gaming Commissioner shall have the right to immediately suspend the 

License of any Licensee, Key Employee or Primary Management Official, or bar 

a patron from entering any Gaming Facility, for violation of any Tribal Regulation, 

Tribal Compact, Tribal Law or Ordinance, Federal Regulation, or Federal law. 

Special provisions shall apply to a "management employee" employed by a 

Primary Management Official as provided below in Section 5000 (6). An 

Individual Licensee who has had hisher license suspended by the Gaming 

Commissioner, or a patron that has been barred from entering a Gaming Facility, 

shall: 

1. Be entitled to a hearing before the Gaming Commissioner within 

fourteen (14) days of the suspension ot exclusion and shall be 

provided with written notice at least ten (1 0) days prior to the 

hearing date. The notice shall contain the date, time and place of 

the hearing and shall also contain a concise statement of the 

alleged vlolatlon(s) and the specific facts concerning the alleged 

violation(s) that led to the suspension of the license or ban from the 

Gaming Facility; 

2. Such notice of proceeding shall be accomplished by (1 ) regular 

mail to the last known address or by physical service by an 

employee of the Gaming Commission or Tribal Police; and (2) 

publicly pasting the same within the Gaming Facility where the 

affected employee works or from which the Patron was barred. 

Sewice by mail Is not necessary if the Gaming Commissioner has 

no address for the person or entity; 
3. At the hearing, the Gaming Commissioner shall state hislher 

understanding of the facts and allow the Person subject of the 

hearing the opportunrty to be heard and present evidence; 

4. At the hearing the Person subject of the hearing may show that 

specific allegations are inaccurate or that special conditions exist 

which mitigate suspension of the Person's license or exclusion 

from the Gaming Facility; 

5. Following the hearing, the Gaming Commissioner shall issue an 

order, in writing, regarding the hearing and its outcome within 

seven (7) business days and pruvids interested persons copies of 

the written decision, or the matter shall be considered dismissed. A 

final License Suspension Order shall be made if, after examination 

of at1 of the evidence presented, the Gaming Commissioner has 

reasonable cause to believe that the Licensee vidated a Tribal 

Regulation, Tribal Compact, Tribal Law, a Federal Regulation or 

Federal law. If the Gaming Commissioner determines that there is 

no reasonable =use to believe the Licensee committed a violation, 

the Licensee shall be reinstated immediately. In ma event the 

Gaming Commissioner has reasonable cause to believe that the 

Licensee has committed a violation of any Tribal Regulation, Tribal 

Compact, Tribal law, Federal Regulation or Federal law, but that 

the violation does not warrant revocation of hislher License, th~ 

Gaming Commissioner may order the License to be suspended for 

up to ninety (90) days. If the Gaming Commissioner determines 

that there is reasonable cause to believe that the Licensee has 

committed a violation of law which threatens the integrity or safety 

of the Tribe, the Gaming Commissianer may revoke said License. 

If, upon examlnatiin of the evidence and testimony, the Gaming 

Commissioner finds Ihat a Patron has committed wiIIful violations of 

any Tribal Regulation, Tribal Compact, Tribal Law, Federal 

Regulation or Federal law, the Gaming Cornmissloner bars the 

Patron from a Gaming Facility for a period up to two (2) years. If a 

suspension, revocation or disbarment Decision is issued, it shall be 

served upon all interested parties within seven (7) days fmrn the 

hearing and shall Include the following, tewit: 

a. The specific vblation, or violations, of law or regulation 

which forms the basis for the Decision, and 

b. Specify the suspension period imposed, stating beginning 

date and concluding date of suspension, or the Decision to 

revoke the subject License or ban the patron from the 

Gaming Facility; 

c. The aggrieved Icense holder may appeal such Decision of 

the Gaming Commissioner to the Business Committee and 

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he or she and the Gaming Commissioner or his or her 

designee may appear before the Business Committee and 

argue their positions. The Business Committee may uphotd, 

modify or reverse and remand the Gaming Commissioner's 

determination based upon the record made before the 

Gaming Commissioner. No new evidenke may be brought 

fonvard to the Business Committee. The Business 

Committee's Decision shall be final. The Business 

Committee's decision may be appealed to the CFR Court. 

6. Whenever the Gaming Commissioner or his or her designee has 

reasonable cause to believe that a Primary Management Official 

employed at a Garnfng Facility has violated a tribal regulation, tribal 

ordinance or law, the Tribe's Compact with the State, Federal 

Regutation or Federal Law, the Gaming Commissioner shall 

describe hisher findings in a detailed statement to the Business 

Committee stating the reasons helshe reached the conclusion that 

such alleged violations did occur. Included with this report to the 

Business Committee shall be a detailed statement and respnnse by 

the Primary Management Official responding to allegations of the 

Gaming Commission. 

The Business Committee shall independently research the 

circumstances surrounding the Gaming Commissianets 

allegations, and the Primary Management Official response shall be 

provided he opportunity to appear in person with counsel before 

the Business Committee to plead hidher case. 

The Primary Management Official shall be given the opportunity to 

produce documents, witnesses, and other evidence on hislher 

behalf regarding the alleged violation(s). 

After hearing th~ evidence provided by the Gaming Commissioner 

and the response by the Primary Management Official, the 

Business Committee shall take action necessary or appropriate in 

conjundon with the Business Committee Contractual agreement 

with the Primary Management OFficial and the Gaming Operation. 

All persons or entities subject to a suspension, revocation or 

exclusion order pursuant to this Section shall be excluded from any 

Gaming Facility during such period of suspension, revocation ar 

exclusion. The Gaming Commissioner shall have the authority to 

direct Gamlng Facility security to enforce the exclusion of any 

person as requlred by this Section. 
5001. DEPOSITIONS 

Either party to a Suspension Hearing shall have seven (7) days written notice to 

the other side to depose under oath any Licensee, employee or gaming 

participant or Patron. 

5002. SUBMISSION OF DOCUMENTS 

Any document, affidavit, return, deposition transcript, instrument or payment 

required to be filed, delivered or served upon the Gaming Comrnlssioner or Tribe 

shall be deemed to be properly filed, delivered or served if it is filed, delivered or 

served upon the Gaming Commissioner or the Chairman of the Business 

Committee at the Tribal Complex. 

The Gaming Commissioner may refuse to reveal, in any judicial proceeding, the 

identity of an informant. 

5004. PUBLIC HEARINGS 

The Gaming Commissioner shall hold public hearings not less than annually to 

allow public comment on the operation of Tribal Gaming Facilities. The manager 

of each Gaming Facility shall attend the hearing and may be directed by the 

Gaming Commissioner, at hislher discretion, to respond to questions or explain 

operations to attendees at the hearing. 

5005. DISPUTES WtTH MANAGEMENT 

In the event a tort claim or Prize Claim is made by a Patron of a Gaming Facility, 

which is covered by the Tribal State Gaming Compact, Part 6, between the 

Eastern Shawnee Tribe and the State of Oklahoma, effective February 9,2005, 

then the respective provisions of the Compact control; athawise, the following 

procedure shall control. Any Gaming Facility Patron or supplier may file a 

grievance against management of a Gaming Facility with the Gaming 

Commissioner. The Gaming Commissioner shall establish a time for hearing, 

give notice to all parties, hold hearlng(s), and rule upon the grievance as set 

forth below. The ruling of the Gaming Commissioner may be appealed to the 

Code of Federal ReguIations Court of Indian Offenses for the Tribe. This section 

is not a waiver of the Tribe's sovereign Immunity. In resolving any dispute under 

this section, the Gaming Commissioner shall proceed as follows: 

1. A Patron who has been denied the benefits of gaming by the 

management of a Gaming Facility, was injured on the premises due 

to the fault of the management of a Gamjng Facility, or has any 

other claim for relief against the management of a Gaming Facility 

shall be heard by filing a written grievance with the Gaming 

Cornmissloner. The grievance shall contain the date, time and 
event which give rise to the grievance, provide an address where 

the complainant may be served and signed by the complainant or 

hislher legal counsel. 

2. The Gaming Commissioner shall set a date for hearing the 

grievance within ninety (90) days of the filing of the same. 

3. The Gaming Commissioner shall give notice of such hearing, 

together with a copy of the grievance, to the management of the 

Gamlng Facility involved in the grievance and to the complainant by 

regular mail to the address contained in the complaint, posted not 

less than ten (10) days in advance of the hearing. 

4. At the hearing of any grievance, the complainant and management 

of the Gaming Facillty shaII be entitled to legal counsel. The 

complainant must be present for the hearing of the same and shall 

be responsible to present a prima facie case for reIief before 

response by management of the Gaming Facility is required. The 

Gaming Cornmissloner shall be free to question any person 

present, continue the hearing from time to time and conduct 

independent investigations of facts. Upon conclusion of any such 

hearing, the Gaming Commissioner shall have forty five (45) days 

to render a written opinion. In the absence of a written opinion by 

the Gaming Commissioner within the time specified, the matter 

shall be deemed dismissed in favor of the Gaming Facilily. 

5006. ALTERNATIVE TO GRIEVANCE HEARING 

The Gaming Commissioner shall have, at any time prior to the decision regarding 

any grievance, the authority to suspend proceedings conducted under Section 

5005 and direct arbitrattan, mediation or ofher alternative dispute resolution 

process of the grievance under such terms as the Gaming Commissioner may 

direct. 

SECTION VI. SERVICE 

6000. SERVICE OF PROCESS 

The Tribe may be served notice of process for oficial determination, order or 

notice of violation of IGRA by NlGC or other Federal entity by service upon the 

Gaming Commissioner and upon the Chief of the Tribe. 

1. Nothing herein shall be deemed to waive or impair the Tribe's right 

to sovereign immunity. 

2. Nothing herein shall be deemed a grant of jurisdiction or venue for 

any court to review cases OF controversies invotving the Tribe when 

such court is not otherwise empowered to review. 
SECTION VII. GAMING ACCOUNT & ANNUAL AUDIT 

7000. GAMING ACCQUNT AND DISTRIBUTION OF GAMING REVENUE 

1. Gaming Account. 

The Business Committee shall designate one banking account as the 

Tribal 'Gaming Account." The account shall be maintained in a financial 

institution designated by the Business Committee. The Gaming Account 

shall be included in the Tribe's annual audit. Gross Revenues shall be 

deposited daily in the Gaming Account. No other funds shall be 

commingled with the funds held in the Gaming Account. 

2. General Fund Account. 

Net gaming revenues shall be transferred monthly to the Tribe's General 

Fund Account. These funds from the Tribe's General Fund Account shall 

be disbursed to other Tribal accounts as authorized solely by the Business 

Committee. The Business Committee shall determine the percentage of 

gaming revenue funds to be reiained in the Gaming Account for gaming 

operational expenses. 

7001. ANNUAL AU DlT 

In compliance with 25 U.S.C. $5 2710(b)(2)(C) and (01, all gaming activities shall 

be subject to an audit by an independent certified public accountant, not less 

than annually, and copies of the annual audit shall be provided to NIGC. All 

cantracts for supplies, services, or concessions for a contract amount In excess 

of Twenty-Five Thousand Dollars ($25,000) annually (except contracts for 

professional legal or accounting services) relating to Class II Gaming or Class 111 

Gaming shall be subject to such audits. 

SECTION Vlfl. REVENUES 

8000. USE OF GAMING REVENUE 

1. Net revenues from gaming shall be used only for the following 

purpases: (i) to fund Tribal government operations and programs; 

(ii) to provide for the general welfare of the Tribe and its members; 

(iii) promote Tribal economic development; (iv) donate ta charitable 

organizations; or, (v) help fund operations of local government 

agencies. 

2. No per capita payments to Tribal members shall be made from 

Tribal gaming revenues unless pursuant to 25 U.S.C. § 271 O(b)(3) 

and applicable Code of Federal Regulations provisions. 

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