Nelis S. Captain 

Second Chief 

Eastern Shawnee Tribe of Oklahoma 

P.O. Box 350 

Seneca, Missouri 64865 

Dear Chief Captain: 

This letter responds to your request to review and approve 

the tribal gaming ordinance adopted by the Eastern Shawnee Tribe 

of Oklahoma (Tribe) on December 7, 1994. This letter constitutes 

such approval 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 kegulations. 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. Such 

approval does not constitute approval of specific games. Also, 

the gaming ordinance is approved for gaming only on Indian lands 

as defined in the IGRA. 

With the Chairman's approval of the Tribe's gaming 

ordinance, the Tribe is now required to conduct background 

investigations on its 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 556.54b). 

Thank you for submitting the ordinance of the Eastern 

Shawnee Tribe of Oklahoma for review and approval. The NIGC 

staff and I look forward to working with you and the Tribe in 

implementing the IGRA. 

Sincerely yours, 

Harold i. Monteau 

Chairman 
EASTERN SHAWNEE TRIBE 

OF OKLAHOMA 

P.O. Box 350 Seneca, M0 64865 (918) 666-2435 (417) 776-2435 

RESOLUTION 

KESO1,UTION NUMBER 12794- 1 

WHEREAS, the Eastern Shawnee ~ribe of Oklahoma's Business Committee is empowered to act 

behalf of the Tribe as pcr Article IX of the Constitution of the Tribe, and 

WHEREAS, the btem Shawnee ~ribe isa Federally recognized ~ribe, and 

WHEREAS, the Eastern Shawnee ~ribe ofOklahoma is committed to the concept of Indian Tribes 

functioning as governments, and 

WHEREAS, ,the ~ribe inordcr to maintain and expand its capabilities in strengthening thc .ITribc in 

becoming more self-sufficient does place emphasis on economic developmenl, a sound management structure, an 

informed knowledgeable governing body, as well as Tribal Members, and 

WHEREAS, no elected official will benefit from his. 

NOW THEREFORE BE IT RESOLVED, that the Business Committee does here 

by approve the attached Gaming Ordinance subject to amendment as required and said Gaming 

Ordinance will become effective immediately. 

CERTIFICATION 

The foregoing action being duly taken at a regular Business Committee meeting of the htem Shawnec l'ribe of 

Oklahoma conducted on 12-07-94 with a quorum present and voting. The vote reflecting for, Oagainsl 

abstaining. MOTION CARRIED YES or NO. 

Nelis S. Captain, 2nd ~hicf 

Eastem Shawnee Tribe of Oklahoma Eastern Shawnee Tribe of 0klahoma 

EXECUTIVE BRANCH 

Vetoed: [Yes - 1, [NO ace: /z-pb?y ~ime: A 

George J. ciPptafn. Chief 

Eastern Shawnee Tribe of Oklahoma 
EASTERN SHAWNEE 

GAMING CODE 

December 7, 1994 
EASTERN SHAWNEE GAMING CODE 

1001. Pumose 

The Eastern Shawnee Tribe of Oklahoma (hereinafter "Tribe") hereby enacts this 

ordinance in order to set the terms for gaming operations on Tribal lands. 

1002. Gaming Authorized 

Class 11 gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-447, 25 U.S.C. 

2703 Section (7) ss (a) ("IGRA") and by the regulations promulgated by the National Indian 

Gaming Commission at 25 C.F.R. ss 502.3 (as published in the Federal Register at 57 FR 

1238- 12393, April 9, 1992) is hereby authorized. Class 1 1 1 gaming as defined in the Indian 

Gaming Regulatory Act, P.L. 100-447, 25 U.S.C. 2703 Section (8), and by regulations 

promulgated by the National Indian Gaming Commission, is authorized only to the extent allowed 

by such law and pursuant to an approved Tribal State Compact. 

1003. owners hi^ of Gaming 

The Tribe shall have the sole propriety interest in and responsibility for the conduct of any 

gaming operation authorized by this ordinance. 

1004. Use of Gaming Revenue 

A. Net revenues fiom gaming shall be used only for the following purposes: to hnd 

tribal government operations and programs: provide for the general welfare of the Tribe 

and its members: promote Tribal economic development: donate to charitable 

organizations: or help hnd operations of local government agencies. 

B. No Per Capita payments to tribal members shall be made fiom Gaming Revenue 

unless pursuant to IGRA, 2710 Section (I 1) ss (3). 

1005. Audit 

A. The Tribe shall cause to be conducted annually an independent audit of gaming 

operations and shall submit the resulting audit reports to the National Indian Gaming 

Commission. 

B. All gaming related contracts that result in the purchase of supplies, services, or 

concessions in excess of $25,000.00 annually, except contracts for professional 

legal and accounting services, shall be specifically included within the scope of the 

audit that is described in subsection A above this section. 
1006. Protection of the Environment and Public Health and Safetv 

All gaming facilities shall be constructed, maintained and operated in a manner that 

adequately protects the environment and the public health and safety. 

1007. Licenses for Kev Em~loyees and Primarv Management Ofiicials 

The Tribe shall ensure that the policies and procedures set out in this section are 

implemented with respect to key employees enterprise operated on Indian lands. 

A. Definitions 

For the purposes of this section, the following definitions apply: 

1. Kev employee means 

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

Bingo caller; 

Counting room supervisor; 

Chief of security; 

Custodian of gaming supplies or cash; 

Floor manager; 

Pit boss; 

Dealer; 

Croupier; 

Approver of credit; or 

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 $50,00 per year; or 

(c) If not otherwise included, the four must highly compensated 

persons in the gaming operation. 

2. Primav management official means 

(a) The person having management responsibility for a 

management contract; 

b) Any person who has authority: 

(1) To hire and fire employees; or 
(2) To set up working policy for the gaming operation; or 

(c) The chief financial officer or other person who has financial 

management responsibility. 

B. Application Forms 

1. The following notice shall be placed on the application form for a key 

employee or a primary management official before that form is filled out by 

an application: 

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. 270 1 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 be used by National Indian Gaming 

Commission 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 requirement by a 

tribe 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 

gaming 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 or 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. 

2. Existing key employees and primary management officials shall be notified 

in writing that they shall either: 

(a) Complete a new application form that contains a Privacy Act 

notice; 

(b) Sign a statement that contains the Privacy Act notice and consent 

to the routine uses described in that notice. 

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

employee or a primary official before that form is filled out by an applicant: 

A false statement on any part of your application may be grounds for not 

hiring you, or for firing you after you begin work. Also, you may be 
punished by fine or imprisonment. (US. Code, title 18, section 1001 .) 

4. The Tribe shall noti& in writing existing key employees and primary 

management officials that they shall either: 

(a) Complete a new application form that contains a notice regarding 

false statements; or 

(b) Sign a statement that contains the notice regarding false 

statements. 

Background Investigations 

1. The Tribe shall request from each primary management official and from 

each key employee all of the following information: 

(a) Full name, other 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 5 years: business and employment 

positions held, ownership interests in those businesses, business and 

residence addresses, and drivers license numbers; 

(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; 

(d) Current business and residence telephone numbers; 

(e) A description of any existing and previous business relationships 

with Indian Tribes, including ownership interests in those 

businesses; 

(0 A description of any existing and previous business relationships 

with the gaming industry generally, including ownership interests in 

those businesses; 

(g) 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; 
(h) 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; 

(i) 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; 

(i) For each criminal charge (excluding minor trffic 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 paragraph (I) (h) or (I) (i) or this section, the criminal 

charge, the name and address of the criminal charge, the name and ' 

address of the court involved and the sate and disposition; 

(k) 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; 

(1) A current photograph with notarized affidavit as to date taken ad 

person depicted; 

(m) Any other information the Tribe deems relevant; and 

(n) Fingerprints consistent with procedures adopted by the Tribe 

according to 25 C.F.R. ss 522.2 (h). 

2. The Tribe shall conduct an investigation sufficient to make a determination 

under subsection D. below. In conducting a background investigation, the Tribe 

or its agent shall promise to keep confidential the identity of each 

person interviewed in the course of the investigation. 

D. Eliaibilitv Determination 

The Tribe shall review a person's prior activities, criminal record, if any, and 

reputation, habits and eligibility of a key employee or primary management official for 

employment in a gaming operation. If the Tribe 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 and methods and activities in 

the conduct of gaming, a Tribal gaming operation shall not employ that person in a key 

employee or primary management official position. 
E. Procedures for Forwarding. Ap~lications and Reports for Kev Employees and 

 prima^ Management Officials to the National Lndian Gaming, Commission 

1. When a key employee or primary management official begins work at a 

gaming operation authorized by this ordinance, the Tribe shall forward to the 

National Indian Gaming Commission a completed application for employment and 

conduct the background investigation and make the determination referred to in 

subsection D of this section. 

2. The Tribe shall forward the report referred to in subsection F of this 

section to the National Indian Gaming Commission within 60 days after an 

employee begins work or within 60 days of the approval of this ordinance by the 

Chairman of the National Indian Gaming Commission. 

3. The gaming operation shall not employ as a key employee or primary 

management official a person who does not have a license after 90 days. 

F. Report to the National Indian Gaminn Commission 

1. Pursuant to the procedures set out in subsection E of this section, the Tribe 

shall prepare and forward to the National Indian Gaming Commission an 

investigative report on each background investigation. An investigative report 

shall include all of the following: 

(a) Steps taken in conducting a background investigation: 

(b) Results obtained; 

(c) Conclusions reached; and 

(d) The basis for those conclusions. 

2. The Tribe shall submit, with the report, a copy of the eligibility 

determination made under subsection D of this section. 

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

(a) Shall notifjl the National Indian Gaming Commission; and 

(b) May forward copies of its eligibility determination and investigative 

report (if any) to the National Indian Gaming Commission for 

inclusion in the Indian Gaming Individuals Records System. 

4. With respect to key employees and primary management officials, the Tribe 

shall retain applications for employment and reports (if any) of background 
investigations for inspection by the Chairman of the National Indian Gaming 

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

termination of employment. 

G. Granting a Gaming License 

1. If, within a thirty (30) day period after the National Indian Gaming 

Commission receives a report, the National Indian Gaming Commission notifies 

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

application filed by a key employee or a primary management official for whom the 

Tribe has provided an application and investigative report to the National Indian 

Gaming Commission, the Tribe may issue a license to such applicant. 

2. The Tribe shall respond to a request for additional information from the 

Chairman of the National Indian Gaming Commission concerning a key employee 

or a primary management official who is the subject of a report. Such a request 

shall suspend the thirty (30) day period under paragraph G. 1. of this section until 

the chairman of the National Indian Gaming Commission receives the Additional 

information. 

3. If, within the thirty (30) day period described above, the National Indian 

Gaming Commission provides the Tribe with a statement itemizing objections to 

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

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

National Indian Gaming Commission, the Tribe shall reconsider the application, 

taking into account the objections itemized by the National Indian Gaming 

Commission. The Tribe shall make the final decision to issue a license to such 

applicant. 

H. License Suspension 

1. If, after the issuance of a gaming license, the Tribe receives from the 

National Indian Gaming Commission reliable information indicating that a key 

employee or a primary management official is not eligible for employment under 

subsection D. above, the Tribe shall suspend such license and shall notitjl in writing 

the licensee of the suspension and the proposed revocation. 

2. The Tribe shall noti@ the licensee of a time and a place for a hearing on 

the proposed revocation of a license. 

3. After a revocation hearing, the Tribe shall decide to revoke or to reinstate a 

gaming license. The Tribe shall noti@ the National Indian Gaming Commission of 

its decision. 
I. License Locations 

The Tribe shall issue a separate license to each place, facility, or location on 

Indian lands where gaming is conducted under this ordinance. 

All prior gaming ordinances of the Tribe are hereby repealed. 

1008. gamin^ Commissioner 

The office of Gaming Commissioner of the Tribe is hereby created. Such officer shall take 

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

1009. Gaming Commissioner Term 

The Gaming Commissioner of the Tribe shall serve a term of four years fiom the date of 

oath of office. 

101 0. Selection of gamin^ 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 Business Committee. 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 at such 

meeting, address the selection. The Business Committee shall have thirty (30) days fiom written 

nomination to confirm the appointment. Should the Business Committee fail to confirm the 

nomination by the Chief within the prescribed time period, the Chief shall make another 

nomination. This process shall continue until a nomination is confirmed. Nothing herein shall 

require that a Gaming Commissioner be appointed. 

101 1. Interim Gaminp Commissioner 

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

Commissioner anytime a vacancy in the office exists. No person shall serve as Interim Gaming 

Commissioner more than 60 days before the qualifications of office are met. Should it be 

determined that the Interim Gaming Commissioner does not meet the qualifications of such office, 

upon such determination, the term of office shall expire. 

10 12. gamin^ Commissioner Removal 

A Gaming Commissioner may be removed from office at any time upon a vote of no 

confidence by a majority of the members of the Eastern Shawnee Business Committee in a regular 

or special meeting. 
10 13. Gamine Commissioner Qualifications 

Prior to any nomination of a Gaming Commissioner for the Tribe by the Chief, such 

person shall have passed a background investigation, examination and check of the same nature as 

a key employee of a gaming enterprise pursuant to Section 1007. Nothing in this section shall 

prohibit a person fiom serving as Interim Gaming Commissioner pending the outcome of key 

employee review. A person may serve as Interim Gaming Commissioner only until background 

review is completed. Thereafter, such person shall be nominated for Gaming Commissioner 

within 30 days or his appointment shall terminate. Should an Interim Gaming Commissioner fail 

to pass the background review, he shall be deemed immediately terminated ... 

10 14. gamin^ Commissioner Salarv 

The Gaming Commissioner or Interim Gaming Commissioner shall be paid a salary set by 

the Eastern Shawnee Tribal Business Committee, provided that the salary shall not be decreased 

while the Gaming Commissioner remains in office. Nothing herein prevents decrease of Interim 

Gaming Commissioner salary or requires that an Interim Gaming Commissioner be paid any 

salary. 

10 15. Absence of a gamin^ Commissioner 

In the absence of a Gaming Commissioner or Interim Gaming Commissioner, the Business 

Committee of the Tribe shall be responsible to perform such duties either by delegation to one or 

more of its members, one or more of its employees, and/or one or more of its attorneys. 

1016. Duties and Authoritv of gamin^ Commissioner 

The Gaming Commissioner shall be responsible to determine that provisions of the 

Gaming Code are followed and may exercise any proper power and authority necessary to 

perform the duties assigned. Such Commissioner shall be responsible to make regulations which 

shall include but not be limited to: 

A. Design forms for background checks; and employee applications; 

B. Design and describe procedures for conducting background checks; 

C. Design and describe procedures to issue Tribal licenses to primary management 

officials and key employees; 

D. Design and describe procedures for resolving disputes between the gaming public 

and the Tribe or the Gaming enterprise management; 

E. Designate an agent for service of legal notice; and. 

F. Designate a law enforcement agency that will take fingerprints; 
G. Design and describe procedures for conducting criminal and credit history and 

checks; 

H. Design and describe procedures to prevent theft and insure the integrity of the 

gaming enterprise; 

I. Design and describe procedures for collection of license fees, taxes, other fees and 

levies as the same relates to the gaming enterprise; 

J. Supervise collection of all gaming enterprise receipts and the payment of gaming 

enterprise obligations. 

10 17. Regulations 

Any regulations promulgated by the Gaming Commissioner shall have full force and effect 

fiom the date of issuance, provided however, the Business Committee may by affirmative action 

repeal, amend and/or 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 he has made. 

1 0 1 8. Notice of Pro~osed Reeulations 

A. In adopting, amending or repealing any regulations under this code, the Gaming 

Commissioner shall give a minimum of five (5) days notice of proposed regulations 

changes to all key employees, primary management officials, and the members of the 

Business Committee and the Chief. 

B. No notice is required for regulation changes made by the Eastern Shawnee Tribal 

Business Committee. 

C. Notice shall be deemed made by regular posting to the address of all persons 

described herein, by hand delivery fiom the Gaming Commissioner or his designate, or by 

telephone confirmed facsimile. 

1019. Notice of Re~ulations 

A. A copy of all adopted regulations shall be maintained at the Tribal Office and 

Gaming Enterprise. 

B. Copies will be available to the public for copy costs of twenty five cents ($.25) per 

page at either location. 

1020. Sus~ension of License or Ri~hto Partici~ate in Gaming 
The Gaming Commissioner shall have the right to suspend any licensee, employee, or 

participant in gaming for violation of any Tribal Regulations Tribal Compact, Tribal Ordinance, 

Federal Regulations or Federal Law. Such suspension shall be for a period of not more than 

ninety (90) days for licensees and not more than two (2) years for participants in gaming. Prior 

to any such suspension the person reviewed shall: 

A. Be given notice of specific facts, concerning the violation alleged. Such allegation 

shall describe in writing the offense and give ten (10) days prior the any hearing; 

B. Such notice of proceedings shall be accomplished by regular mail to the last know 

address and by publicly posting the same within gaming enterprise. Service by 

mail is not necessary if the Gaming Commissioner has no address for the person or entity; 

C. At the hearing, the Gaming Commissioner shall state the Gaming Commissioner's 

understanding of the facts and allow the person or entity subject to the hearing the 

opportunity to be heard and present evidence; 

D. At the hearing the subject shall show cause that specific facts alleged are 

inaccurate or that special conditions exist which should mitigate suspension; 

E. Following the hearing, the Gaming Commissioner shall issue in writing an order 

regarding the subject within seven (7) days, or the matter shall be deemed dismissed. If 

a suspension order is made, it shall state: 

1. The specific violation of law or regulation of the subject, and 

2. The suspension period imposed stating beginning date and concluding 

date of suspension. 

F. Notice of order shall be accomplished in the same manner as notice of 

proceedings. 

102 1. Sus~ended Persons 

All persons or entities that are subject to the suspension order shall be excluded fiom the 

gaming enterprise during such suspension. The Gaming Commissioner shall have the authority to 

direct gaming enterprise security to enforce the exclusion of any person suspended under terms of 

Section 1022. 

1022. Informants 

The Gaming Commissioner may rehse to reveal, at any court proceedings, the identity of 

any informant. 
1023. Public Hearings 

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

public comment about operation of the gaming enterprise. The manager of any gaming enterprise 

shall attend such hearings and may be directed by the Gaming Commissioner to respond to 

questions or explain operations at the Gaming Commissioner's discretion. 

The Gaming Commissioner shall have authority upon three (3) days written notice to 

depose any licensee, employee or gaming participant. 

1025. Submission of Documents 

Any document, &davit, return or report fee, instrument or payment required to be filed, 

delivered or served upon the Gaming Commissioner or Tribe shall be deemed to be properly filed, 

delivered or served if it is filed , delivered or served as the case may be upon the Gaming 

Commissioner or the Chairman of the Eastern Shawnee Tribal Business Committee at the Tribal 

Complex or as the Gaming Commissioner may otherwise direct by regulation. 

1026. Deputy gamin^ Commissioners 

The Gaming Commissioner may authorize in the same fashion as a law enforcement officer 

the issuance of positions of Deputy Commissioner on a temporary, part time and/or full time 

basis. Any person who is employed full time as a Deputy Gaming Commissioner shall be required 

to meet the same qualifications as the Gaming Commissioner in accord with Section 1007. 

1027. Salary of De~utv Commissioners 

The salary of the Deputy Gaming Commissioners, if any, shall be subject to the budgeting 

process of the Eastern Shawnee Tribal Business Committee and shall be established by the 

Business Committee. 

1028. Gross Revenues Tax 

SEE TAX CODE. 

1029. Dis~utes with Mana~ement 

Any gaming enterprise participant or supplier may file a grievance against management 

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

give notice to all parties, hold hearing(s) and rule upon the grievance. The ruling of the Gaming 

Commissioner may be appealed to the Tribal Court if any shall exist or to the Code of Federal 
Regulations Court of Lndian Offenses for the Eastern Shawnee Tribe. This section shall in no way 

be construed as a waiver of the Tribes sovereign immunity. 

A. Nature of Grievance 

Any participant who has been denied benefits of gaming by manager or 

management, who is injured on the premises due to the fault of manager or 

management, or has any other claim for relief against management or any supplier 

who may have a claim for relief may have his grievance against management heard 

by filing the same with the Gaming Commissioner in writing. If no Gaming 

Commissioner is Interim Gaming Commissioner exists, the same shall be filed with 

the Tribal Administrator. The grievance shall describe the date, time and event 

which gives rise to the grievance and be signed by any legal counsel he may have. 

B. Time for Hearing 

The Gaming Commissioner shall set a date for hearing the grievance within 

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

C. Notice of Hearing 

The Gaming Commissioner shall give notice of such hearing together with 

a copy of the grievance to the manager and management of the gaming enterprise 

involved in the grievance and give notice of the hearing to the person filing the 

grievance by regular mail posted not less than ten (10) days in advance of the 

hearing. 

D. Hearing; 

At hearing on any grievance, the person filing the same, manager and 

management shall be entitled to legal counsel. The person filing the grievance 

must be present for hearing of the same and shall be responsible to present prima 

facie case for relief before response by the manager is required. The Gaming 

Commissioner shall be free to question any person present, continue the hearing 

ffom time to time and conduct independent investigation of facts. Upon 

conclusion of 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. 

1030. Alternative to Hearing Grievance 

The Gaming Commissioner shall at any time prior to decision of any grievance have the 

authority to suspend proceedings and direct arbitration or mediation of the grievance under such 

terms as the Gaming Commissioner may direct. 
103 1. Fingerprints 

The Commissioner shall keep the official fingerprint cards for the National Indian Gaming 

Commission on file in the office of the Commissioner. 

A. As a part of any employment application, fingerprints shall be given upon the cards 

issued by the National Indian Gaming Commission. 

B. To obtain such prints, the Commissioner shall issue card(s) with request for 

assistance from Code of Federal Regulations (CFR) police officers for the local area. CFR 

officers shall establish a time and location to take such prints and such law enforcement 

shall take the prints. 

1. Nothing herein shall prevent the Commissioner &om making separate 

arrangements with law enforcement officials outside the local area for 

fingerprints to be taken outside the local area. Such arrangements to 

obtain fingerprints shall substantially comport with local procedures 

involving CFR officers. 

C. After fingerprints have been taken, the CFR officers shall send the cards directly to 

the National Indian Gaming Commission in envelopes with cover letters provided by the 

Commissioner of the Tribe that includes an affidavit by the officer taking such prints that 

the prints were taken and posted by law enforcement. 

D. Fees charged by the National Indian Gaming Commission for processing of 

fingerprints shall be paid by the Tribe, excepting those individuals and 

organizations that have posted bonds for such reports 

1032. Bacbround Checks 

The Commissioner shall request local CFR officers perform initial criminal background 

check for each application for Hall employment. 

A. The commissioner of the Tribe shall receive the actual printout or a summary of 

any initial background check which shall identify any felony, criminal history, or crime of 

moral turpitude that is known by CFR officers. The Commissioner shall be considered a 

Tribal law enforcement officer for such review. 

B. The Commissioner shall review any background check report issued to the Tribe. 

The Commissioner shall share any information revealed by such checks to the manager of 

Tribal gaming hall(s) which in the Commissioner's judgment affects the consideration of an 

individual for employment. 
C. The Commissioner shall use the results of any background check to perform the 

lawfbl duties of Commissioner. 

1033. Service of Process 

1. The Tribe may be served notice of process for official determination, order, or notice of 

violation of the Indian Gaming Regulatory Act by the National Indian Gaming Commission or 

other Federal entity by service upon the Tribal Gaming Commissioner or upon the Chief of the 

Tribe. 

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

immunity. 

B. Nothing herein shall be deemed a grant ofjurisdiction or venue for any court to 

review cases or controversies which such court is not otherwise empowered to review. 

11. The Commissioner shall forward fingerprints and information to the National Indian 

Gaming Commission on all Tribal gaming employees and other persons for whom background 

checks are required. 

A. The Commissioner shall request report from the National Indian Gaming 

Commission which shall include a check through the Federal Bureau of Investigation's 

National Criminal Information Center. 

B. Fees charged by the National Indian Gaming Commission for processing such 

reports shall be paid by the Tribe excepting those individuals and organizations that have 

posted bonds for such reports. 

1034. Regulation 

The Tribal Gaming Commissioner shall conduct an appropriate investigation andlor cause 

to be conducted on key employees and primary management officials. 

A. Such procedures shall include as a minimum: 

1. Obtain and process fingerprints; 

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

explanation of how individual was selected for position; 

3. Credit check; 
4. Verification of resume; 

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

habits and associations, including but not limited to personal interview 

summaries with a sufficient number of knowledgeable people such as former 

employees, personal references and others to form a basis for character 

suitability determination; 

6. Document all potential problems and possible disqualification information; 

B. After completion of the background investigation, the Commissioner shall prepare 

an investigative report setting for the following: 

1. Who conducted various parts of the report, their qualifications and address; 

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 

investigation; 

4. Statement of basis for conclusion; 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. 

1035. Licenses 

The Tribal Gaming Commissioner shall issue Tribal licenses and sign the same for primary 

management officials and key employees who are involved in gaming. 

A. Such licenses shall not be required until background investigations are complete. 

B. Such licenses shall be issued when the results of background investigations are 

available to the Commissioner and such reports indicate that the individual is of 

appropriate character to participate in a Tribal gaming enterprise. 

C. The Commissioner may access a license fee.