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 Agency. 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 decision of the Gaming Agency may be appealed to the Tribal Court in 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 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. 0
(b) Gaming Operation. 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) Display 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. §§556 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


EASTERN SHOSHONE TRIBE OF THE WIND RIVER RESERVATION

EASTERN SHOSHONE GAMING AGENCY

PROCEDURES REGARDING THE
CONDUCT OF CRIMINAL HISTORY CHECKS

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


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 IT gaming” means Class II gaming as defined in 25 U.S.C. §2703(7), and
any regulations promulgated thereunder.

(d) “Class III gaming” means Class III 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.

( “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 exterjor 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.”

(i) “Key Employee” means:
(1) A person who performs one or more of the following functions:
(i) Bingo caller;
(ii) Counting room supervisor;
(iii) Chief of security;

Page 3 of 21


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


25 U.S.C. §2710(b)(2)(C); 25 C.F.R. §§522.4(b)(3) and $71.13.

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. §502.14.
25 C.F.R. §502.19.
25 C-F.R. §§558.1(b) and 556.4.

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

25 CER. §556.4,
25 CER. §556.4(a).

. §556.2(a).

. §556.3(a).

, §522.2(h).

. §558.3(a).

. §558.3(b).

. §§556.4(b) and 558.2.
. §556.4(b).

. §556.5(b) and (c).
. §558.3(b).

. §558.3(c).

. §558.4(a).

. §558.4(b).

. §556.5(d).

. §558.1(c).

. §558.5(a).

. §558.5(b).

. §558.5(c).

. §558.5(4).

. §522.3(a).

. §519.1.

Page 21 of 21


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, that person shall not be employed as a primary management official or a key
employee.!

(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
and/or its agents shall promise to keep confidential the identity of each person interviewed in the
course of the investigation.” 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 Report.

(1) Compilation, 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;

(ii) | Conclusions reached;

(iv) The bases for those conclusions; and

(vy) Acopy of the eligibility determination.’

(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.”

Section 5.04 Granting a Gaming License

(a) Investigative 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 information.”

(1) No Objection 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.”

Page 16 of 21


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;

Gj) 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;

0) 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 21


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 of their term for neglect of duty, misconduct, malfeasance, or 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


0)

(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.

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

regulations promulgated thereunder.

(k)
a)

(m)

“NIGC” means the National Indian Gaming Commission.

“Primary Management Official” means:

qd 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 officer or other person who has financial management
responsibility.”

“Tribe” means the Eastern Shoshone Tribe of the Wind River Reservation.

Page 4 of 21


(2)  Qbjection 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.?>

(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 System.?®

(c) Record Retention. The Gaming Agency shall retain applications for employment,
documentation of background investigations, and investigative reports for inspection by the
NIGC for no less than three (3) years from the date of termination of employment. 7

Section 5.05 License Suspension and Revocation

(a) Gaming License is a Privilege. 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 Agency.”®

(1) | Temporary 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 revocation.”?

(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.”

(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 decision.”

Page 17 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 of Gifts. N o Commissioner of the Gaming 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) Complementary S ervices or Items. C ommissioners 0 f the Gaming A gency are
prohibited from 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 21


L
oe ‘No,

=
*

a
>.

RYN
“On <

; Uy,
WAR i 0 2004 G comm”
MAR 10 2004

Veron Hill, Chairman

Eastern Shoshone Business Council
P.O. Box 538

Fort Washakie, WY 82514

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
defined in the IG jurisdicti

Philip N. Hogen
Chairman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 WWW.NIGC.GOV

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


(b) Special Meetings. Special meetings shall be convened by the Gaming Agency
Chair as necessary to carry 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) | Emergency 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.

(4) 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 10 of 21


(n) Conduct hearings as provided in this Gaming Code;

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


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


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 Eastem 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.”
Section 7.03 Repeal

To the extent that they are inconsistent with this Gaming Code, any and all prior gaming
ordinances, laws, and/or 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.”

Section 7.05 Effective Date

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

1 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 552.11,
3 25 U.S.C. §2710(b)(2)(B) and 25 C.F.R. §522.4(b)(2).

Page 20 of 21


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

(c) Class III] Gaming. Class III gaming, as defined in the Indian Gaming Regulatory
Act and any regulations promulgated thereunder, is hereby authorized, provided that any Class
Ill 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 fund 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 Payments. If the Tribe elects to make per capita payments to its
members, it shall authorize such payments only in accordance w ith a revenue allocation p lan
submitted to and approved by the Secretary of the Interior under 25 U.S.C. §2710(b)(3).

Section 1.06 Audit

(a) Independent 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 Commission.‘

(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.>
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.®

Page 2 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 employee."

(b) | The Gaming Agency shall ensure that any person involved with the conduct of
gaming activities on Indian lands is:

ay
(2)

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 Application Form. Each person subject to a background investigation
shall complete a license application form requesting the following information:

ay

(2)

3)

(4)
(5)

Full name, other names used (oral or written), social security number(s),
birth date, place of birth, citizenship, gender, all languages (spoken or
written);

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;

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;

Current business and residence telephone numbers;

A description of any existing and previous business relationships with
Indian tribes, including ownership interests in those businesses;

Page 13 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 bya
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
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.'*

(c) Notice Regarding 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. (U.S. Code, Title 18, section 1001) 5

(d) Fingerprints. The Police Department of the Bureau of Indian Affairs, Wind River
Agency, is hereby designated to take fingerprints on behalf of the Gaming Agency.’

(e) Hiring of a Primary Management Official or a Key Employee. 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 completed license application form to the NIGC and shall conduct a background
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.'*

Section 5.03 Performance of Background Investigations

(a) Eligibility 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 of 21


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 thereunder.

Section 1.04 Authorized Gaming

(a) Class 1 Gaming. Class I gaming, as defined in the Indian Gaming Regulatory Act
and any regulations promulgated thereunder, is hereby authorized.


Fo Washakie, WY 82514
A 607 332.3532/4932
3) Fax: (307) 332-3055
|G -—«- RESOLUTION
SY By of the Ee | |
SHOSHONE TRIBE 2003

WIND 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

BEITFINALLY 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 21st 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 21st day of November, 2003

| Py) 1A

‘ernon Hill, Chairman
Shoshone Business Council

Attest:

Kv /Yurwe
arbara K. Mireau, Executive Secretary
Shoshone Business Council

Eastern Shoshone Business Council


Section 3.20 Personnel

(a) Gaming Agency 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 Responsibilities. 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


(>)

applicant:

(6)

1)

(8)

(9)

(10)

qty

(12)
(13)
(14)

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)."?

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

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. 2701 etseq. The purpose of the requested information is
to determine the eligibility of individuals to be employed in a gaming operation.

Page 14 of 21