'bmv 

NATIONAL 

1 NDlAN 

GAMING 

COMMlSSlON 

Alvin Moyle, Chairman 

Fallon Paiute-Shoshone Tribes 

8955 Mission Road 

Fallon, Nevada 89406 

Dear Chairman Moyle: 

This letter responds to your request to review and approve the 

gaming ordinance adopted on April 11, 1995, by the Fallon PaiuteShoshone Tribes (Tribes), in Resolution 95-F-043. This letter 

constitutes approval of Resolution 95-F-043 under the Indian 

Gaming Regulatory Act (IGRA). 

Under the IGRA and the regulations of the National Indian Gaming 

Commission (NIGC), the Chairman is directed to review ordinances 

with respect to the requirements of the IGRA and the implementing 

regulations. Thus, the scope of the Chairman's review and 

approval is limited to the requirements of the IGRA and the NIGC 

regulations. Provisions other than those required under the IGRA 

or the NIGC regulations that may be included in a tribal 

ordinance are not subject to review and approval. Also, this 

letter does not constitute approval of specific games. 

With the Chairman's approval of the Tribes' gaming ordinance, the 

Tribes are now required to conduct background investigations on 

their key employees and primary management officials. The NIGC 

expects to receive a completed application for each key employee 

and primary management official pursuant to 25 C.F.R. S 556.5(a) 

and an investigative report on each background investigation 

before issuing a license to a key employee or primary management 

official pursuant to 25 C.F.R. S 556.5(b). 

Thank you for submitting the ordinance of the Tribes for review 

and approval. The NIGC staff and I look forward to working with 

you and the Tribes in implementing the IGRA. 

Sincerely yours, 1 \ 
FALLON PAIUTE-SHOSHONE TRIBES 

8955 Mission Road 

Fallon, Nevada 89406 

(702) 423-6075 FAX (702) 423-5202 

Resolution No. 95-F-043 

BE IT RESOLVED BY THE GOVERNING BODY OF THE FALLON PAIUTE-SHOSHONE 

TRIBES THAT: 

WHEREAS, the Fallon Business Council is the recognized governing body of the 

Fallon Paiute-S hoshone Tribes with the responsibility to exercise the 

privileges and powers of self-government, to conserve and develop our 

resources, and to secure the social and economic well-being of our 

Tribes; and 

WHEREAS, the Tribe has recently been notified by the National Indian Gaming 

Commission that its gaming ordinance adopted by Resolution #94-F-083, 

and amended by Resolution #95-F-021, has certain deficiencies, 

particularly relating to audits and the approval process for key 

employees and primary management officials; and 

WHEREAS, the Tribes wish to pass a new ordinance which addresses all issues 

identified thus far by the Commission; and 

NOW THEREFORE BE IT RESOLVED, that the Fallon Business Council hereby 

rescinds the gaming ordinance adopted by Resolutions #94-F-083, and #95-F-021, 

and adopts the Tribal gaming ordinance attached to and made part of this 

resolution; and 

BE IT FURTHER RESOLVED, that the Chairman or Vice-Chairman is instructed to 

submit the ordinance for approval by the National Indian Gaming Commission. 

CERTIFICATION 

At a duly held meeting of the governing body of the Fallon Paiute-Shoshone 

Tribes, consisting of seven members of which four (4) constitutes a quorum, 

there was present on the 11 day of APRIL 1995, and voted in favor, a 

against, and I abstaining, in the adoption of the foregoing resolution, according 

to the powers vested by the Fallon Paiute-Shoshone Tribes' Constitution and ByLaws. 

Austin, Secretary/Treasurer 

Council 
FUN PAIUTE-SHOSHONE TRIBE 

TRIBAL GAMING ORDINANCE 

1- 11,19951 
CHAPTER 1: LEGISLATIVE FINDINGS AND PURPOSE 

SECTION 101. Authority. The Fallon Business Council is the recognized 

governing body of the Fallon Paiute-Shoshone Tribes with the responsibility 

to exercise the privileges and powers of self-government, to conserve and 

develop our resources, and to secure the social and economic well-being of our 

Tribes. This Ordinance is enacted on the basis of inherent sovereign tribal 

powers delegated to the Business Council under art. VI, 9 1 of the Tribes' 

Constitution and Bylaws, and the Indian Gaming Regulatory Act, Pub. L. 100- 

497, 25 U.S.C. $4 2701 et seq. 

SECTION 102. Findings. 

1 Self-determination. 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 Tribes are deeply committed to these values. 

2. Economic pressures. The Tribes need additional revenues to assist 

them in meeting their governmental responsibilities. 

3. Gaming as an economic enterprise. Gaming is an appropriate subject 

for a tribal enterprise because: 

a. Omgress 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 operathn of 

gaming by Indian tribes as a means of promoting tribal economic development, 

self-sufficiency, and strong tribal government. 25 U.S.C. 99 2702(1). 

o 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 state's principal economic activity. Similar 

gaming operations operated by the Tribes would not conflict with federal law. 

SECTION 103. Purpose. The purpose of this Ordinance 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, self-sufficiency, and strong tribal 

government. 

CHAPTER 2: GENERAL PROVISIONS 

SECTION 201. Definitions. For purpose of this Ordinance: 

1. Act. "Act" means the Indian Gaming Regulatory Act, Pub. L.100-497, 

25 U.S.C. $9 2701 et seq. 

2. Agency. "Agency" means the Fallon Tribal Gaming Agency established by 

this Ordinance. 

approved PBC APRIL ll, 1995 
3. Class I gaming. "Class I gaming" has the meaning set forth in the Act 

at 25 U.S.C. 5 2703(6) and 25 CFR 502.2. It means social games played 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 I1 gaming. "Class I1 gaming" has the meaning set forth in the Act 

at 25 U.S.C. 6 2703(7) and 25 CFR § 502.3. In general, it includes gaming such as 

bingo, pull-tabs, 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 111 gaming. "Class I11 gaming" has the meaning set forth in the Act 

at 25 U.S.C. 8§ 2703(8) and 25 CFR 4 502.4. It includes all forms of gaming that 

are not Class I or Class I1 gaming. 

6. Commission. "Commission" means the National Indian Gaming Commission 

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

7. Compact. "Compact" means any gaming compact as described in the Act 

at 25 U.S.C. 5 2710(d) between the Tribes and the State which has been fully 

approved under the Act. 

8. CounciL "Council" means the Fallon Business Council. 

9. Key Employee. "Key employee" means: 

a. A person who performs one or more of the following functions: 

i. Bingo caller; 

ii. Counting room supervisor; 

iii. Chief of security; 

iv. Custodian of gaming supplies or cash; 

v. Floor manager; 

vi. Pit boss; 

vii. Dealer; 

viii. Croupier; 

ix. Approver of credit; 

x. Custodian of gambling devices including persons with access to 

cash and accounting records within such devices; 

b. If not otherwise included, any other person whose total cash 

compensation is in excess of $50,000 per year; or 

c. If not other wise included, the four most highly compensated persons 

in the gaming operation. 

10. Net Revenues. "Net revenues" means gross gaming revenues of an Indian 

gaming operation less: (a) amounts paid out as, or paid for, prizes; and (b) total 

gaming-related operating expenses, excluding management fees. 

11. Ordinance. "Ordinance" means this Tribal Gaming Ordinance, including any 

amendments. 

approved PBC APRIl U, 1995 
12. Primary management officials. "Primary management official" means: 

a. The person having management responsibility for a management 

contract; 

b. Any person who has authority to (i) to hire and fire employees; and 

(ii) to set up working policies for the gaming operation; or 

c. The chief financial officer or other person who has financial 

management responsibility. 

13. Reservation. "Reservation" means the Fallon Indian Reservation or Colony 

as now or hereafter constituted. 

14. State. "State" means the State of Nevada, its authorized officials, agents, 

and representatives. 

15. Tribes. "Tribes" means the Fallon Paiute-Shoshone Tribes and their 

authorized officials, agents, and representatives. 

CHAPTER 3: AUTHORIZATION OF TRIBAL GAMING 

SECTION 301. Tribal gaming authorized. The Council hereby authorizes the 

establishment of one or more tribally-owned gaming operations to offer class I1 

and/or class 111 gaming under the Ordinance. The Council shall determine the 

form of gaming to be offered, the number of gaming establishments, and the size 

and mix of games at each establishment. 

SECTION 302. Tribes to be sole gaming proprietor. The Tribes shall have the sole 

proprietary interest in and responsibility for the conduct of any class I1 or 111 

gaming activity on the Reservation. This provision shall not preclude the Tribes 

from entering into a lawful management contract under 25 U.S.C. 8 2711. 

SECTION 303. Separate license for each location. The Tribes shall issue a 

separate license to each place, facility, or location where class I1 or I11 gaming 

will be allowed. 

SECTION 304. Negotiation of compact authorized. The Chairperson of the Council 

is directed to pursue negotiation of a class I11 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. AU class I1 and I11 gaming operations on the Reservation 

shall be conducted in accordance with the Act, the Commission's regulations, 

other federal law, tribal law (including this Ordinance and all regulations and 

orders of the Agency), and any approved compact. This Ordinance shall be 

construed in a manner which conforms to applicable law. 

approved PBC APfUL ll, 1995 
2. Incorporation of compact. Upon approval of any compact, such compact 

shall be incorporated into this Ordinance. In the event any inconsistencies 

between the compact and any other provision of this Ordinance, the compact shall 

govern. 

CHAPTER 4: FALLON TRIBAL GAMING AGENCY 

SECTION 401. Agency established. The Council hereby establishes a tribal 

agency to be known as the Fallon Tribal Gaming Agency, which shall be 

responsible for the successful, safe, lawful, and honest operation of the Tribes' 

class I1 and I11 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, provided that if a vacancy occurs for any reason, the Council shall 

appoint a replacement for the remainder of the replaced person's 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 4 522.2(g). Until a Chairman is appointed, 

the Chairperson of the Council shall serve as agent. 

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 Ordinance. 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 I1 and 111 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 Ordinance) 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. 

approved PBC APRIL ll, 1995 
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 Ordinance 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 

I1 or Class I11 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 such plans and systems. The Agency shall enforce 

the health and safety standards applicable to the gaming facilities in accordance 

with this Ordinance. 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 an$ person 

regarding any aspect of gaming operations shall be reviewed by the Agency and 

retained for at least 5 years. The Agency, including on-site 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 member 

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 Ordinance. 

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. 

approved PBC APRIL 11, 1995 
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 I1 or I11 gaming. 

7. Coordination with other agencies. The Agency shall coordinate its 

activities and cooperate with other relevant agencies, including the Commission 

and other federal agencies, and any agencies of the State with which the Tribes 

cooperate pursuant to a compact. The Agency may provide any information to 

such agencies which must or may be provided under applicable law. 

8. Coordination 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 shd 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 person's 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 Tribes. 

13. Penalties. The Agency may impose penalties for violations of this 

Ordinance or any compact in accordance with chapter 9 of this Ordinance. 

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

or criminal complaint in the courts of the Tribes, State or the United States to 

enforce the provisions of this Ordinance, the Act or any compact, or to en join 

or otherwise prevent any violation of this Ordinance, the Act, or compact, 

occurring on the Reservation. However, the Tribes, 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 Ordinance. 

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 

approved PBC APRIL U, 1995 
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 Tribes 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. 

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. Vice-chairman; alterative and temporary members. The Agency shall select 

one of its members to serve as vice-chairman. If the chairman is unavailable 

because of recusal or any other reason, the vice-chairman shall serve as acting 

chairman. If the vice-chairman 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 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 conference 

telephone or similar communications equipment by which all persons participating 

in the meeting can hear each other. 

approved PPB C ll, 1995 
SECTION 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 I1 and 111 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 Tribes hire 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 shd 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 Tribes 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. 

CHAPTER 5: FINANCIAL MATTERS 

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

activity are not to be used for any purpose other than: 

1 to fund tribal government operations or programs, including the 

acquisition of land and water rights, both on and off the Reservation; 

2. to provide for the general welfare of the Tribes and its members 

(including per capitas conforming to the Act at 25 U.S.C. 4 2710(b)(3)); 

approved PBC APRIL ll, 1995 
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. The Agency and Council shall cause to be conducted 

independent audits of gaming operations at least annually, as required under 25 

CFR § 522.4 (b) (3), and shall submit the results of those audits to the 

Commission. All gaming-related contracts that result in purchase of supplies, 

services, or concessions for $25,000 in any year 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 I1 or 111 gaming operation, including 

members of the Agency and the gaming manager, shall be subject to background 

investigations required by the Act, Commission regulations, this Ordinance, and 

any approved compact. Background investigations shall be conducted at the 

outset of employment, and shall be ongoing. The Tribes may, pursuant to 

compact, accord responsibility to the state or other entity with respect to 

background investigations. Other wise, the Agency shall be directly responsible 

for such investigations. 

SECTION 602. Statement of Responsibilities. The Tribes are responsible for the 

conduct of background investigations and suitability determinations. The Agency 

shall have primary responsibility for conducting and causing to be conducted the 

background investigations, except that the Council shall have such responsibility 

with respect to members of the Agency. Once a gaming 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. 

approd PBC APRIL 11, 1995 
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 

gaming 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; 

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 Tribes' Police Department. 

approved PBC APRIL ll, 1995 
SECTION 603. Rules regarding background investigations. 

1. Confidentiality of third party sources. The Tribes, 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 Tribes shall retain applications for employment 

and reports (if any) of background investigations for at least 3 years from the 

date 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 investigations 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 applicant's 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 

Tribes to make a finding concerning the eligibility for employment in a gaming 

operation. The disposition of all potential problem areas 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 person's 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. 

approved PBC APRIL ll, 1% 
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 above; 

c. the Agency's eligibility determination described in section 604; 

d. a notification of the Agency's hiring decision; 

2. Procedure following decision to hire key employee or primary management 

0mciaL 

a, When a key employee or a primary management official begins work at 

a gaming operation, the Agency shall: 

1 Forward to the Commission a complete application for employment 

that contains the notices and information listed in 25 CFR 44 556.2 (privacy 

notice), 556.3 (notice regarding false statements), and 556.4 (background 

investigations); and 

(2) Conduct a background investigation under 25 CFR part 556, and 

sections 601 through ,604 of this Ordinance to determine the eligibility of the key 

employee or primary management official for continued employment in a gaming 

operation. 

b. Upon completion of a background investigation and a determination of 

eligibility for employment in a gaming operation under subsections 604 and 

605.2(a) (2) of this Ordinance, the Agency shall forward a report under 25 CFR 

8 556.5 (b) and section 603.3 of this Ordinance to the Commission within 60 days 

after an employee begins work or within 60 days of the approval of this 

Ordinance by the Chairman of the Commission. A gaming operation shall not 

employ a key employee or primary management official who does not have a 

license after 90 days. 

c. During a 30-day period beginning when the Commission receives a 

report submitted under subsection 605.2(b) of this Ordinance, the Chairman of the 

Commission may request additional information from the Tribes concerning a key 

employee or a primary management official who is the subject of such report. 

Such a request shall suspend the 30-day period until the Chairman receives the 

additional information. 

d. If, within the 30-day period described in subsection 605(2) (c) above, 

the Commission notifies the Tribes 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 for whom the Tribes has provided the required application 

and investigative report to the Commission, the Agency may go forward and issue 

a license to such applicant. 

approved PBC APRIL 11, lJ%i 
e. If, within the 30-day period described in subsection 605.2(c) above, the 

Commission provides the Tribes with a statement itemizing objections to the 

issuance of a license to a key employee or to a primary management official for 

whom the Tribes has provided the required application and investigative report 

to the Commission, the Tribes shall reconsider the application, taking into account 

the objections itemized by the Commission. The Tribes shall make the final 

decision whether to issue a license to such application. 

f. If, after the issuance of a gaming license, the Commission notifies the 

Tribes that it has received reliable information indicating that a key employee or 

primary management official is ineligible for employment under applicable law, the 

Tribes shall suspend the license of such person and notify in writing the 

licensee of the suspension and the proposed revocation. The Tribes shall notify 

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

a license. After a revocation hearing, the Tribes shall decide to revoke or to 

reinstate a gaming license. The Tribes shall notify the Commission of their 

decision. 

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 the Agency determines, on the basis of a 

background investigation and such other information as it may obtain, that the 

applicant is qualified for a gaming 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 applicant's 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 non-gaming 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 Tribes are required to obtain a license from the Tribes. 

appmved PBC APRIL ll, 1995 
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: BEARINGS AND APPEALS 

SECTION 801. Licensing Decisions. Any person whose application for a gamingrelated 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 Council 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 Agency's decision to Council. The Council 

shall give appropriate deference to the expertise of the Agency. The Council 

shall either affirm the Agency's decision, or: 

a in a licensing. dispute, award or reinstate a license; 

b. in a patron dispute regarding a particular wager, order that a patron 

is entitled to a jackpot or payoff, or to return of the wagered amount; 

or 

c. regarding assessment of penalties, reverse, abate, reduce, or enhance a 

penalty assessed by the Agency. 

The Council may impose conditions on the above awards of relief. In no event 

may the Council assess prejudgment interest, costs, or attorneys fees against the 

Tribe the Agency or any tribal employee, agent, or instrumentality. All 

determinations of the Council 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 Agency's decision, and the aggrieved person shall have no right to such 

confidential information in proceedings before either the Agency, Council, or any 

other forum. 
The public interest in the integrity of gaming is such that the burden of proof 

with respect to gaming issues, especially regarding fitness for Licensing, shall be 

upon the individual. 

SECTION 805. Hearing procedures. The Agency or Council 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 Ordinance and 

other provisions of applicable law. 

CHAPTER 9: PROHIBITED ACTS AND PENALTIES 

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

person to: 

1. Conduct or participate in any Class I1 or 111 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 Ordinance, a compact or the Act. 

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

11. Engage in class I1 or I11 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 

Ordinance, 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, possible exclusion from the 

Reservation if a non-member of the Tribes, or, with respect to any person 

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

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

Ordinance shall have the jurisdiction to impose any such penalties on any person 

within the jurisdiction of the Tribes to impose such penalties, except with respect 

to exclusion from the Reservation, which the Agency may recommend for action 

by the Council. 

CERTIFICATION 

At a duly held meeting of the governing body of the Fallon Paiute-Shoshone 

Tribes, consisting of seven members of which four (4) constitutes a quorum, 

there was present on the 11 day of APRIL 1995, and voted in favor,o 

against, and abstaining, in the foregoing amended Tribal Gaming Ordinance, 

according to the powers vested by the Fallon Paiute-Shoshone Tribes' 

Constitution and By-Laws. 

Fallon xusiness Council