Vernon Hill, Chairman 

Eastern Shoshone Business Council 

P.O. Box 538 

Fort Washakie, WY 825 14 

Re: Eastern Shoshone Tribe of the Wind River Reservation Tribal Gaming Code 

Dear Chairman Hill: 

This letter is in response to your request for the National Indian Gaming 

Commission (NIGC) to review and approve the Eastern Shoshone Tribe of the 

Wind River Reservation (Tribe) Gaming Code. The Code was received in this 

office on December 11, 2003. The Tribe adopted the Code by Resolution No. 

2003-8708 on November 21, 2003. This letter constitutes approval of your 

submission under the Indian Gaming Regulatory Act (IGRA). It is important to 

note that the Gaming Code is approved for gaming only on Indian lands, as 

hich the Tribe has jurisdiction. 

Gaming Code for review and approval. The NIGC 

ith you and the Tribe on future gaming issues. 

Chairman 

Philip N. Hogen 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington. DC 20005 TeI: 202.632.7003 Fax: 202.632.7066 www.NlGc.cOv 

REGIONAL OFFICES Portland. OR; Sacramento. CA: Phoenix. AZ: St. Paul. MN; Tulsa. OK 
Eastern Shoshone Business Council 

PO. Box 538 

Fort Washakie. WY 82514 

(307) 332-353214932 

Fax: (307) 332-3055 

RESOLUTION 

of the 

SHOSHONE TRIBE 

RIVER INDIAN RESERVATION 

RESOLUTION NO. 2003-8708 

A RESOLUTION APPROVING THE EASTERN SHOSHONE TRIBE'S GAMING CODE. 

WHEREAS, the Shoshone Business Council ("SBC") of the Eastern Shoshone Tribe ("Tribe") is the 

governing body duly authorized by the General Council to conduct business on behalf of the Tribe; and 

WHEREAS, the Shoshone General Council established and adopted a Gaming Code for the Eastern 

Shoshone Tribe; and 

WHEREAS, the Shoshone General Council, the supreme governing body of the Tribe, composed 

of enrolled members, 18 years and older, approved the Eastern Shoshone Tribe's Gaming Code in a General 

Council meeting on September 17,2003 by the vote of two hundred forty-two (242) for and five (5) against; 

and 

BE IT FINALLY RESOLVED, that the Chairman or Co-Chairman of the Shoshone Business Council 

are directed and authorized to execute any documents necessary to implement this resolution. 

CERTIFICATION 

1, THE UNDERSIGNED, of the Shoshone Business Council hereby certify that in a meeting of the 

Shoshone Business Council, which is composed of six (6) members, of whom four (4) members of the 

Shoshone Business Council, constituting a quorum, were present at a meeting duly and specially called, 

noticed, convened, and held this 21 st day of November, 2003; that the foregoing resolution was adopted by 

the affirmative vote of four (4) members of the Shoshone Business Council, and that the said resolution has 

not been rescinded or amended in any way. 

Done at Fort Washakie, Wyoming this 2 1 st day of November, 2003 

Shoshone Business Council 

Attest: 

Shoshone Business Council 
EASTERN SHOSHONE TRIBE 

GAMING CODE 

CHAPTER 1 

GENERAL PROVISIONS 

Section 1.01 Authority 

The Business Council of the Eastern Shoshone Tribe is authorized under tribal law to 

promulgate tribal codes. This Gaming Code is enacted pursuant to the Tribe's inherent 

sovereign powers, tribal law, and the Indian Gaming Regulatory Act. 

Section 1.02 Purpose 

(a) The Business Council of the Eastern Shoshone Tribe of the Wind River 

Reservation hereby enacts this Gaming Code to: 

(1) Authorize, license, and regulate gaming activities within the jurisdiction of 

the Eastern Shoshone Tribe; 

(2) Promote tribal economic development; 

(3) Enhance employment opportunities for tribal members; 

(4) Strengthen the economy of the Wind River Indian Reservation; 

(5) Generate revenue for use in improving the health, education, and general 

welfare of Reservation residents; and 

(6) Establish a foundation for the educational and recreational needs of 

children. 

Section 1.03 Ownership of Gaming 

(a) Sole Proprietary Interest. The Tribe shall have the sole proprietary interest and 

responsibility for the conduct of any gaming activity on Indian lands, except as specified in 

paragraph (b) of this section.' 

(b) Individually Owned Gaming. The Tribe hereby authorizes individually owned 

gaming in accordance with 25 U.S.C. §2710(b)(4) and any regulations promulgated there~nder.~ 

Section 1.04 Authorized Gaming 

(a) Class I Gaming. Class I gaming, as defined in the Indian Gaming Regulatory Act 

and any regulations promulgated thereunder, is hereby authorized. 
(b) Class I1 Gaming. Class I1 gaming, as defined in the Indian Gaming Regulatory 

Act and any regulations promulgated thereunder, is hereby authorized. 

(c) Class I11 Gaming. Class I11 gaming, as defined in the Indian Gaming Regulatory 

Act and any regulations promulgated thereunder, is hereby authorized, provided that any Class 

I11 Gaming shall be operated pursuant to an approved Tribal-State compact as required by the 

Indian Gaming Regulatory Act. 

Section 1.05 Use of Gaming Revenue 

(a) Use of Net Revenues. Net revenues from any form of gaming authorized by this 

Gaming Code shall be used only for the following purposes: 

(1) To fhd tribal government operations or programs; 

(2) To provide for the general welfare of the Tribe and its members; 

(3) To promote tribal economic development; 

(4) To donate to charitable organizations; or 

(5) To help fund operations of local government agencies.' 

(b) Per Capita Pavments. If the Tribe elects to make per capita payments to its 

members, i t shall authorize s uch p ayments o nly in accordance w ith a revenue allocation p Ian 

submitted to and approved by the Secretary of the Interior under 25 U.S.C. $27 1 O(b)(3). 

Section 1.06 Audit 

(a) Inde~endent Audit. An independent audit of all gaming operations shall be 

conducted on an annual basis. The results of such audit shall be submitted to the National Indian 

Gaming om mission.^ 

(b) Purchases in Excess of $25.000. All gaming related contracts that result in 

purchases of supplies, services, or concessions in excess of $25,000 in any year (except contracts 

for professional legal or accounting services) shall be specifically included within the 

independent audit.5 

Section 1.07 Protection of the Environment and Public Health and Safety 

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

adequately protects the environment and the public health and safety.6 

Page 2 of 2 1 
CHAPTER 2 

DEFINITIONS 

For purposes of this Gaming Code, the following terms shall have the following 

meanings. 

(a) "Business Council" means the Business Council of the Eastern Shoshone Tribe of 

the Wind River Reservation. 

(b) "Class I gaming" means Class I gaming as defined in 25 U.S.C. $2703(6), and 

any regulations promulgated thereunder. 

(c) "Class I1 gaming" means Class I1 gaming as defined in 25 U.S.C. §2703(7), and 

any regulations promulgated thereunder. 

(d) "Class 111 gaming" means Class 111 gaming as defined in 25 U.S.C. §2703(8), and 

any regulations promulgated thereunder. 

(e) "Gaming Agency" means the Gaming Agency of the Eastern Shoshone Tribe of 

the Wind River Reservation established by this Gaming Code. 

(f) "Gaming Code" means this Gaming Code of the Eastern Shoshone Tribe of the 

Wind River Reservation, including any amendments. 

(g) "IGRA" means the Indian Gaming Regulatory Act, 25 U.S.C. $2701 et.seq. 

(h) "Indian lands" means: 

(1) All lands within the ate jor boundary of the Wind River Reservation; 

(2) Any lands title to which is held in trust by the United States for the benefit 

of the Tribe or any individual, and over which the Tribe exercises 

governmental power; or 

(3) Any lands title to which is held by the Tribe or any individual subject to 

restriction by the United States against alienation, and over which the 

Tribe exercises governmental power.7 

(i) "Key Employee" means: 

(1) A person who perfoms 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; or 

(x) Custodian of gambling devices including persons with access to 

cash and accounting records within such devices. 

(2) If not otherwise included, any other person whose total cash compensation 

is in excess of $50,000 per year. 

(3) If not otherwise included, the four most highly compensated persons in the 

gaming operation. * 

(4) The Gaming Agency may designate any other employee or classes of 

employees as a Key Employee for licensing or any other purposes. 

6) "Net revenues" means net revenues as defined in 25 U.S.C. §2703(9), and any 

regulations promulgated thereunder. 

(k) "NIGC" means the National Indian Gaming Commission. 

(1) "Primary Management Official" means: 

(1) The person having management responsibility for a management contract; 

(2) Any person who has authority to hire and fire employees or to set up 

working policy for the gaming operation; or 

(3) The chief financial oficer or other person who has financial management 

responsibility.9 

(m) "Tribe" means the Eastern Shoshone Tribe of the Wind River Reservation. 
CHAPTER 3 

EASTERN SHOSHONE GAMING AGENCY 

Article 1 

Organization 

Section 3.01 Establishment of the Eastern Shoshone Gaming Agency 

The Eastern Shoshone Gaming Agency is hereby established for the purpose of 

regulating all gaming on Indian lands. 

Section 3.02 Composition 

The Eastern Shoshone Gaming Agency shall consist of three (3) Commissioners 

("Commissioners") appointed by a majority of the Business Council, one of whom shall be 

designated to serve as the Chair. Commissioners of the Gaming Agency must be enrolled 

members of the Tribe, and shall be selected based upon their educational background, relevant 

experience, and integrity. Members of the Business Council may not simultaneously serve as 

Commissioners of the Gaming Agency. 

Section 3.03 Terms of Office 

The Commissioners of the Gaming Agency shall serve staggered three-year (3) terms of 

office. The initial Commissioners shall be appointed to terms as follows: the Chair shall serve 

an initial term of three (3) years; one Commissioner shall serve an initial term of two (2) years; 

and one Commissioner shall serve an initial term of one (1) year. Thereafter, all appointments to 

the Gaming Agency shall be three (3) years in length, or until successors are duly appointed and 

installed. 

Section 3.04 Removal 

Commissioners of the Gaming Agency may only be removed from office before the 

expiration o f t heir t em for n eglect o f d uty, misconduct, m alfeasance, o r any acts that would 

render them unsuitable for the position. Such removal must be by a vote of four (4) or more 

Members of the Business Council. 

Page 5 of 21 
Section 3.05 Vacancies 

If for any reason a vacancy should occur on the Gaming Agency prior to the expiration of 

a Commissioner's term, the Business Council shall appoint a qualified replacement for the 

balance of the Commissioner's seat that became vacant. 

Article 2 

Standards of Conduct 

Section 3.06 Suitability Standards 

All Commissioners of the Gaming Agency must satisfy the suitability standards set forth 

within this Gaming Code for primary management officials and key employees. Background 

investigations shall be performed under the direction of, and a determination of suitability may 

be made by, the Business Council, prior to appointing any person as Commissioner. The 

suitability of each Commissioner shall be reviewed in accordance with the licensing standards 

for Key Employees and shall be reviewed every two years. The Business Council may delegate 

the investigation and determination of suitability to any outside legal counsel or accounting firm. 

Section 3.07 Financial Interests 

Commissioners shall not hold financial interests that conflict with their ability to perform 

the duties and responsibilities of their position. No person having a direct or indirect financial 

interest in or relationship to a person or entity holding a valid management contract with the 

Tribe shall be eligible to serve as a Commissioner of the Gaming Agency. 

Section 3.08 Use of Tribal Assets 

No Commissioner of the Gaming Agency shall use or receive any pay or thing of value 

from the Tribe, other than their salary or reimbursement for reasonable expenses, for any work 

within the scope of their duties. No Commissioner of the Gaming Agency shall receive or 

convert to their own use, even temporarily, any property or money belonging to the Tribe for 

other than official purposes. No Commissioner of the Gaming Agency shall use tribal 

purchasing authority for personal acquisitions, even where reimbursement is made. 

Page 6 of 21 
Section 3.09 Gaming 

No Commissioner of the Gaming Agency shall be permitted to participate in any gaming 

activity within any tribal gaming operation, except for any such participation engaged in solely 

for educational or instructional purposes. 

Section 3.10 Gifts 

(a) Use of Position for Private Gain. Commissioners of the Gaming Agency shall not 

use their position for private gain. 

(b) Solicitation or Acceptance o f G ifis. N o C ommissioner o f t he G aming Agency 

shall solicit or accept, directly or indirectly, any gift or other item of monetary value from any 

person or entity that is: 

(1) Seeking official action or inaction from the Gaming Agency; 

(2) Conducting activities regulated by the Gaming Agency; or 

(3) Whose interests may be substantially affected by the performance or 

nonperformance of the Commissioners' duties. 

(4) "Gift" shall not include modest food items (such as coffee or donuts), 

greeting cards, presentational plaques or certificates, anything for which 

the Commissioner paid market value, or gifts given by friends or relatives 

when the reason for the gift is based upon a previous, personal 

relationship. 

(c) Corn~lementarv S ervices or Items. C ommissioners o f t he G aming A gency are 

prohibited fiom accepting complimentary services or items from any tribal gaming operation. 

Section 3.11 Sanctions 

Any person who violates this section shall either be removed from their position or 

otherwise disciplined in a manner as determined by the Business Council. 

Page 7 of 2 1 
Article 3 

Duties and Responsibilities 

Section 3.12 Powers and Duties 

The Gaming Agency shall have the authority and responsibility to: 

(a) Administer, monitor, and enforce all provisions of this Gaming Code; 

(b) Inspect, examine, and monitor all gaming activities on Indian lands to ensure 

compliance with all applicable tribal, state, and/or federal laws and regulations; 

(c) Have immediate and unrestricted access to review, inspect, examine, photocopy, 

and audit all records of any gaming operation; 

(d) Investigate any suspicion of wrongdoing associated with any gaming activities on 

Indian lands; 

(e) Conduct or cause to be conducted any background investigation required by this 

Gaming Code; 

(f) Determine the eligibility of persons to serve as a Primary Management Official, 

Key Employee, or other employee of any tribal gaming operation; 

(g) Determine the suitability of a management contractor based on the character of 

persons having a direct or indirect financial interest in a management contract; 

(h) Issue and renew gaming licenses as provided in this Gaming Code; 

(i) Revoke, suspend, condition, or deny an application or gaming license as provided 

in this Gaming Code; 

6) Assess and collect any fees, penalties, or interest as provided for in this Gaming 

Code; 

(k) Maintain a correct and full accounting of all fees, penalties, and interest received, 

as well as all expenses incurred, under the authority of this Gaming Code; 

(1) Develop an operational budget for the Gaming Agency and submit the same to the 

Business Council for approval; 

(m) Comply with any and all applicable reporting requirements; 

Page 8 of 2 1 
(n) Conduct hearings as provided in this Gaming Code; 

(0) Promulgate appropriate regulations, including those necessary to comply with the 

Minimum Internal Control Standards of the NIGC; and 

(p) Perform such other duties as the Gaming Agency deems appropriate to fully 

perform its duties and responsibilities under this Gaming Code, and to ensure the proper 

regulation of all gaming on Indian lands. 

Article 4 

Gaming Agency Operation 

Section 3.13 Quorum and voting 

Two Commissioners of the Gaming Agency shall constitute a quorum. The Chair shall 

preside over all meetings and may vote. Gaming Agency action should be by consensus, but if 

consensus cannot he reached, majority and minority views may be offered in writing and shall be 

retained within the records of the Gaming Agency. 

Section 3.14 Vice-Chair 

The Commissioners of the Gaming Agency shall, by majority vote, select one of its 

Commissioners to serve as Vice Chair. If for any reason the Chair is unavailable, the Vice Chair 

shall serve as Chair. If the Vice-Chair is also unavailable the third Commissioner of the Agency 

may serve as Chair. 

Section 3.15 Recusal 

No Commissioner of the Gaming Agency shall participate in any decision directly 

involving his or her spouse, child, parent, or sibling, by blood or adoption. A Commissioner of 

the Gaming Agency may voluntarily recuse themselves and decline to participate in any action or 

decision of the Gaming Agency when the Commissioner, in their own discretion, believes they 

could not act fairly or without bias, or that there would be an appearance that they could not so 

act. 

Section 3.16 Meetings 

(a) Regular Meetings. The Gaming Agency shall meet at least once a month. 

Page 9 of 21 
(b) Special Meetin~s. Special meetings shall be convened by the Gaming Agency 

Chair as necessary to cany out the official duties of the Gaming Agency. Special meetings may 

also be convened by a majority of the Commissioners of the Gaming Agency. The Chair shall 

give notice of each special meeting to each Commissioner either in writing or by telephone. 

Notice shall be received at least 24 hours in advance of such meeting and shall include the date, 

time, and place of the proposed meeting. 

(c) Emergencv Meetings. An emergency meeting may be called by the Chair with 

less than 24 hours notice; provided, however, that the Chair shall use their best efforts to assure 

that all Commissioners are notified of such meetings, with as much prior notice as possible under 

the circumstances. 

(d) Meetings Open to the Public. All meetings of the Gaming Agency shall be open 

to the public; provided, however, that the Gaming Agency may, in its discretion, close any 

portion of any meeting to the public when discussing any information that the Gaming Agency 

deems confidential. 

Section 3.17 Issuance of Regulations 

The Gaming Agency shall have the authority to promulgate and issue such regulations as 

it deems appropriate in order to implement and enforce the provisions of this Ordinance, 

including, but not limited to rules of procedure governing the conduct of Agency business and 

meetings, and rules governing the promulgation and issuance of all regulations, which at a 

minimum shall require the posting of all proposed regulations, notifying the Business Council of 

all proposed regulations, and providing a reasonable opportunity for the Business Council to 

provide comment. 

Section 3.18 Compensation 

Commissioners of the Gaming Agency shall be compensated at a rate to be established 

annually by the Business Council. Commissioners shall be reimbursed for actual expenses 

incurred in the course of conducting official Gaming Agency business, including necessary and 

reasonable travel expenses, in accordance with all applicable rules and regulations. 

Section 3.19 Reports to the Business Council 

The Gaming Agency shall submit quarterly reports to the Business Council, including, at 

a minimum, a summary of all licensing and enforcement actions taken by the Gaming Agency. 

Page 10of21 
Section 3.20 Personnel 

(a) Gaming Anencv Staff. The Gaming Agency may hire an Executive Director and 

any other staff as deemed necessary to fulfill its duties and responsibilities within this Gaming 

Code. 

(b) Executive Director. The Executive Director shall be a salaried employee whose 

salary shall not be dependent upon a percentage of gaming revenues. The Chair of the Gaming 

Agency may serve as the Executive Director. 

(c) Duties and Res~onsibilities. The Executive Director shall have the following 

duties and responsibilities: 

(1) Coordinate and oversee the daily operations of the Gaming Agency; 

(2) Supervise all staff of the Gaming Agency; 

(3) Develop, implement, and monitor a process for conducting background 

investigations and issuing gaming licenses; 

(4) Make recommendations to the Commissioners of the Gaming Agency 

regarding the issuance or denial of any license, the imposition of any 

penalty, the investigation of any complaint or suspicious activity, or any 

other action within the jurisdiction of the Gaming Agency; and 

(5) Perform any and all duties and responsibilities delegated by the Gaming 

Agency. 

Page 11 of 21 
CHAPTER 4 

GAMING LICENSES 

Section 4.01 Licensing Authority 

The Gaming Agency is hereby authorized to issue all licenses for the conduct of gaming 

authorized by this Gaming Code. 

Section 4.02 Requirement of Gaming Licenses 

(a) Persons. A tribal gaming license is required of the following individuals: 

(1) Primary management officials; 

(2) Key employees; 

(3) All other employees of any gaming operation; and 

(4) All Commissioners and employees of the Gaming Agency. 10 

(b) Gaming &eration. The Gaming Agency shall issue a separate license to each 

place, facility, or location on Indian lands where gaming is conducted under this Gaming code." 

(c) Disulav of Licenses. All licenses issued under this Gaming Code to individuals 

must be worn by the licensee in a conspicuous place at all times while working in the gaming 

operation. All licenses issued under this Gaming Code to a gaming operation shall be posted in a 

conspicuous place in the operation for which it is issued. 

(d) Licensing Standards. Licenses issued hereunder to primary management officials 

and key employees shall be issued according to requirements at least as stringent as those set 

forth at 25 C.F.R. $5556 and 558, and any amendments thereto. 

Section 4.03 Licensing Fee 

The Gaming Agency shall develop a fee structure for license applications, background 

investigations, and the issuance and renewal of gaming licenses. The Business Council shall 

approve such fee structure. 

Page 12 of 21 
CHAPTER 5 

BACKGROUND INVESTIGATIONS 

Section 5.01 Requirement of Background Investigations 

(a) The Gaming Agency shall conduct, or cause to be conducted, a background 

investigation of each primary management official and key 

(b) The Gaming Agency shall ensure that any person involved with the conduct of 

gaming activities on Indian lands is: 

A person of good character, honesty, and integrity; and 

A person whose prior activities, criminal record, reputation, habits, and 

associations do not pose a threat to the public interest of the Wind River 

Reservation or to the effective regulation and control of gaming, or create 

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

and activities in the conduct of gaming or the carrying on of the business 

and financial arrangements incidental to the conduct of gaming. 

Section 5.02 Information Required for Background Investigations 

(a) License A~plication Form. Each person subject to a background investigation 

shall complete a license application form requesting the following information: 

(1) Full name, other names used (oral or written), social security number(s), 

birth date, place of birth, citizenship, gender, all Ianguages (spoken or 

written); 

(2) 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; 

(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 paragraph (a)(2) of this 

section; 

(4) Current business and residence telephone numbers; 

(5) A description of any existing and previous business relationships with 

Indian tribes, including ownership interests in those businesses; 

Page 13 of21 
A description of any existing and previous business relationships with the 

gaming industry generally, including ownership interests in those 

businesses; 

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; 

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; 

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; 

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 paragraph (a)(8) 

or (a)(9) of this section, the criminal charge, the name and address of the 

court involved and the date and disposition; 

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; 

A current photograph; 

Any other information the Tribe deems relevant; and 

Fingerprints consistent with procedures adopted by the Tribe according to 

25 C.F.R. §522.2(h).I3 

(b) Privacy Notice. The following notice shall be placed on the license application 

form for a primary management official or a key employee before such form is completed by the 

applicant: 

In compliance with the Privacy Act of 1974, the following information 

isprovided: Solicitation of the information on this form is authorized 

by 25 U.S.C. 2701 et.seq. The purpose of the requested information is 

to determine the eligibility of individuals to be employed in a gaming operation. 

Page 14 of 21 
The information will be used by the Eastern Shoshone Gaming Agency and 

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 necessary pursuant to a requirement by a 

hibe 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 

investigation 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.'4 

(c) Notice Re~ardinrr False Statements. The following notice shall be placed on the 

license application form for a primary management official or a key employee before such form 

is completed by the 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)'~ 

(d) Finnemrints. The Police Department of the Bureau of Indian Affairs, Wind River 

Agency, is hereby designated to take fingerprints on behalf of the Gaming ~~enc~.'~ 

(e) Hiring of a Primary Management Official or a Key Em~loyee. A primary 

management official or a key employee may be hired upon completion of the license application 

form and before a background investigation is completed. When a primary management official 

or a key employee begins work at a gaming operation, the Gaming Agency shall forward the 

individual's c ompleted 1 icense application form to the N IGC and shall conduct a b ackground 

investigation to determine the individual's eligibility for continued employment." A gaming 

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

a license after ninety (90) days.IR 

Section 5.03 Performance of Background Investigations 

(a) Elinibilitv Determination. The Gaming Agency shall conduct an investigation 

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

associations to make a finding concerning their eligibility for employment as a primary 

management official or a key employee in a gaming operation. If the Gaming Agency, in 

applying standards contained in this Gaming Code, determines that employment of the person 

Page 15 of21 
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 aming, that person shall not be employed as a primary management official or a key 

employee. 1 F 

(b) Documentation. The Gaming Agency shall document the results of the 

background investigation, including all potential problem areas and any disqualifying 

information. 

(c) Confidentiality. In conducting a background investigation, the Gaming Agency 

andfor its agents shall promise to keep confidential the identity of each person interviewed in the 

course of the investigation.20 The Gaming Agency shall ensure that all records and information 

obtained as a result of a background investigation shall remain confidential and shall not be 

disclosed to persons who are not directly involved in the licensing process. 

(d) Investigative Rmort. 

(1) Com~ilation. Upon completion of a background investigation and an 

eligibility determination, an investigative report shall be compiled. The 

investigative report shall include the following: 

(i) Steps taken in conducting the background investigation; 

(ii) Results obtained; 

(iii) Conclusions reached; 

(iv) The bases for those conclusions; and 

(v) A copy of the eligibility determinati~n.~' 

(2) Forward to the NIGC. The Gaming Agency shall forward a copy of the 

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

begins work.22 

Section 5.04 Granting a Gaming License 

(a) Investinative Report Review. The NIGC shall have thirty (30) days after receipt 

of an investigative report in which to review the report. Within this thirty (30) day period, the 

NIGC may request additional information from the Gaming Agency concerning the investigative 

report. Such a request shall suspend the thirty (30) day period until the NIGC receives the 

additional inf~rmation.~~ 

(1 No Obiection by the NIGC. If within this thirty (30) day period, the NIGC 

notifies the Gaming Agency that it has no objection to the issuance of a 

gaming license, the Gaming Agency may issue a license to the applicant.24 

Page I6 of 21 
(2) Objection by the NIGC. If within this thirty (30) day period, the NIGC 

provides the Gaming Agency with a statement itemizing objections to the 

issuance of a license, the Gaming Agency shall reconsider the application, 

taking into account the objections raised by the NIGC. The Gaming 

Agency shall make the final decision whether to issue a license to the 

applicant.25 

(b) Failure to Issue a License. If the Gaming Agency does not license an applicant: 

(1) The Gaming Agency shall notify the NIGC; and 

(2) The Gaming Agency may forward copies of its eligibility determination 

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

Gaming Individuals Records 

(c) Record Retention. The Gaming Agency shall retain applications for employment, 

documentation of background investigations, and investigative reports for ins ection by the R NIGC for no less than three (3) years from the date of termination of employment. 

Section 5.05 License Suspension and Revocation 

(a) Gaming License is a Privilene. No applicant has an absolute right to a gaming 

license. A gaming license is a revocable privilege and no holder acquires any vested rights 

therein or thereunder. 

(b) NIGC Receipt of Information. If, after the issuance of a gaming license, the 

NIGC receives reliable information that a primary management official or a key employee does 

not satisfy the eligibility determination for employment in a gaming operation, the NIGC shall 

notify the Gaming ~~enc~.~' 

(1) Temporan License Suspension. Upon receipt of such notification, the 

Gaming Agency shall suspend such license and shall notify the licensee in 

writing of the suspension and the proposed rev~cation.~~ 

(2) Notification of Licensee. The Gaming Agency shall notify the licensee of 

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

license. 30 

(3) Revocation Hearing. After a revocation hearing, the Gaming Agency shall 

decide to revoke or to reinstate the license. The Gaming Agency shall 

notify the NIGC of its de~ision.~' 

Page 17 of 21 
CHAPTER 6 

HEARINGS AND APPEALS 

Section 6.01 Patron Disputes 

(a) Management. Patron complaints should be brought to the attention of the 

manager of the gaming operation or their designee. If the manager or their designee cannot 

resolve the dispute, the situation should be brought to the attention of the Executive Director of 

the Gaming Agency or their designee. 

(b) Executive Director. Where the patron claims to be adversely affected by an act or 

omission of a gaming operation that is alleged to be in violation of this Gaming Code, the IGRA, 

or any other applicable law or regulation, the complaint shall be brought to the attention of the 

Executive Director of the Gaming Agency or their designee. 

(c) Gaming Aaency. Any patron not satisfied with the actions of either management 

or the Executive Director may request a hearing before the Gaming Agency. Such request must 

be in writing, and must be submitted within fifteen (15) days following the date of the incident of 

which the patron complains. The request must also state in detail all relevant facts and 

circumstances. The Gaming Agency shall hold a hearing within forty-five (45) days of receiving 

the written request. The Gaming Agency shall render a decision in a timely fashion and any such 

decision will be final when issued. 

Section 6.02 Gaming Agency Hearings 

Any person aggrieved by a decision made or action taken by the Gaming Agency may 

petition the Gaming Agency for a hearing and reconsideration. Such request must be in writing, 

and must be submitted within thirty (30) days following notice of the decision or action of the 

Gaming Agency. The Gaming Agency shall hold a hearing within sixty (60) days of receiving 

the written request, and shall reconsider its decision or action in light of the evidence and 

argument presented at the hearing. 

Section 6.03 Tribal Court Appeal 

Any final d ecision o f t he G aming Agency may be appealed to the Tribal C ourt i n an 

action naming the Gaming Agency as the sole defendant. Such action shall specifically set forth 

the reasons for appeal, and must be filed with the Tribal Court no later than thirty (30) days after 

the final decision of the Gaming Agency. 

Page 18 of21 
Section 6.04 Sovereign Immunity 

The Gaming Agency is an instrumentality of the Eastern Shoshone Tribe of the Wind 

River Reservation, a federally-recognized Indian Tribe. Accordingly, the Gaming Agency shares 

the same sovereign immunity as that of the Tribe. 

Page 19 of 21 
CHAPTER 7 

MISCELLANEOUS PROVISIONS 

Section 7.01 Severability 

The provisions of this Gaming Code are severable and if any provision of this Gaming 

Code, or any portion of any provision of this Gaming Code, is held invalid by a court of 

competent jurisdiction, the invalidity shall not effect any other provision of this Gaming Code. 

The remainder of this Gaming Code shall remain valid and in full effect. 

Section 7.02 Amendment 

All provisions of this Gaming Code are subject to amendment by the Business Council of 

the Eastern Shoshone Tribe of the Wind River Reservation. Any such amendment to this 

Gaming Code shall be submitted to the NIGC for approval within fifteen (15) days after 

adoption.32 

Section 7.03 Repeal 

To the extent that they are inconsistent with this Gaming Code, any and all prior gaming 

ordinances, laws, andlor regulations of the Tribe are hereby repealed. 

Section 7.04 Agent for Service of Process 

The Tribe hereby designates the Chair of the Eastern Shoshone Gaming Agency as agent 

for service of any official determination, order, or notice of violation. Until such time as a Chair 

is appointed, the Chairman of the Business Council shall serve as agent for such service.33 

Section 7.05 Effective Date 

This Gaming Code shall be effective on the date of enactment. 

' 25 U.S.C. §2710(b)(2)(A) and 25 C.F.R. §522.4(b)(1). 

25 U.S.C. $2710(b)(4) and 25 C.F.R. §§552.10 and 552.1 1. 

25 U.S.C. §2710(b)(2)(B) and 25 C.F.R. §522.4(b)(2). 

Page 20 of 2 1 
' 25 U.S.C. $2710(b)(2)(C); 25 C.F.R. §§522.4(b)(3) and 57 1 .l3. ' 25 U.S.C. §2710(b)(2)(D) and 25 C.F.R. §522.4(b)(4). 

25 U.S.C. §2710(b)(2)(E) and 25 C.F.R. §522.4(b)(7). ' 25 U.S.C. §2703(4) and 25 C.F.R $502.12. 

* 25 C.F.R. 8502.14. 

25 C.F.R. 6502.19. 

25 C.F.R. i§558.1(b) and 556.4. 

25 U.S.C. §2710(b) and 25 C.F.R. §522.4(b)(6). 

25 C.F.R. 9556.4. 

25 C.F.R. §556.4(a). 

25 C.F.R. §556.2(a). 

25 C.F.R. §556.3(a). 

25 C.F.R. §522.2(h). 

25 C.F.R. $558.3(a). 

25 C.F.R. §558.3(b). 

25 C.F.R. §§556.4(b) and 558.2. 

25 C.F.R. §556.4(b). 

25 C.F.R. $556.5(b) and (c). 

25 C.F.R. §558.3(b). 

25 C.F.R. §558.3(c). 

25 C.F.R. §558.4(a). 

25 C.F.R. §558.4(b). 

25 C.F.R. §556.5(d). 

25 C.F.R. $558.1(c). 

25 C.F.R. §558.5(a). 

25 C.F.R. §558.5(b). 

25 C.F.R. $558.5(c). 

25 C.F.R. §558.5(d). 

25 C.F.R. §522.3(a). 

25 C.F.R. 8519.1. 

Page 21 of 21 
EASTERN SHOSHONE TRIBE OF THE WIND RIVER RESERVATION 

PROCEDURES REGARDING THE 

CONDUCT OF CRIMINAL HISTORY CHECKS 

As required by Chapter Five of the Eastern Shoshone Gaming Code, the Eastern 

Shoshone Gaming Agency will conduct background investigations to ensure that any person 

involved with the gaming activities of the Eastern Shoshone Tribe is a person of good character, 

honesty, and integrity, and that their prior activities pose no threat to the effective regulation of 

tribal gaming activities. Such background investigations shall include a criminal history check 

evaluating the criminal history records maintained by both local and state governments, as well 

as those maintained by the Federal Bureau of Investigation (FBI).