Muckleshoot Indian Tribal Council

39015 172nd Avenue S.E. Auburn, Washington 98002 (206) 939-3311

RESOLUTION NO. _____________

TO APPROVE THE GANING LICENSE REGULATIONS AND

BACKGROUND INVESTIGATION PROCEDURES OF THE

MUCKLESHOOT GAMING COMMISSION

WHEREAS, the Muckleshoot Indian Tribal Council is the duly

constituted governing body for the Muckleshoot Indian Reservation

by the authority of, and is herein acting solely pursuant to, its

constitution and by-laws approved May 13, 1936, by the Secretary

of the Interior, and as amended June 28, 1977, and not pursuant

to its Indian Reorganization Act Corporate Charter ratified

October, 31, 1936; and

WHEREAS, the Muckleshoot Gaming Commission has proposed and

approved the attached Gaming License Regulations and Background

Investigation Procedures for the Commission pursuant to the

Muckleshoot Gaming Ordinance as Amended; and

WHEREAS, it is in the interests of the Muckleshoot Tribe to

assure that adequate licensing and background investigations take

place for gaming activities;

NOW THEREFORE BE IT RESOLVED by the Tribal Council of the

Muckleshoot Indian Tribe that the attached Gaming License

Regulations and Background Investigation Procedures of the

Muckleshoot Gaming Commission are hereby approved.

CERTIFICATION

As Secretary of the Muckleshoot Indian Tribal Counc~ij~~I h~eby

certify that the above resolution was adapted at a _____________

meeting of the Tribal Council on the ~ day of ______________

1994, held on the Muckleshoot Indian Reservation, Au1~(irn, WK, at

which a quorum was present by a vote of ~ for, ~ against,

and ..L abstentions.

Secretary

~

Chair erson

Resolution No. ______

Page-l
GAMING LICENSE REGULATIONS

and

BACKGROUND INVESTIGATION PR(XEDURES

Under the Muckleshoot Gaming Act of 1 992. as Amended

Muckleshoot Gaming Commission

Muckleshoot Indian Tribe

1 .01 Licensing Program

The Muckleshoot Indian Tribe (Tribe) gaming licensing program is an

investigative licensing process under which applicants for a Class III or Class II

gaming license or for a license to work in a non-gaming position in a tribal gaming

facility are evaluated against the standards set forth in, and subject to applicable

provisions of the following: Muckleshoot Gaming Act of 1 993, as amended, and

tribal regulations; the Indian Gaming Regulatory Act (IGRA) and regulations

promulgated thereunder; and any other applicable law or tribal-state compact

requirement. An applicant that meets the standards for licensing will be granted a

license and will be subject to relicensing at least annually. All Class II and Class Ill

gaming activities shall be licensed and controlled and no person shall engage in

any Class II or Class l!l gaming activities on the Reservation without a valid license

for that activity, issued by the Muckleshoot Gaming Commission (Gaming

Commission). Any gaming license granted shall be deemed a privilege that is

subject to suspension or revocation at any time.

1 .02 License Applications

A license applicant must submit all application materials, including any fees

required, to the office of the Gaming Commission. License applications are subject

to the following requirements:

a. Applications must be submitted on forms approved by the Gaming

Commission. An application is not considered complete until all information

requested is provided to the Gaming Commission. If the application is incomplete

or if the applicant fails to promptly provide any additional materials requested, the

license may be denied. If the applicant does not respond to written notification of

an incomplete application, the failure to submit additional materials, or the failure to

OZ\MuckIe~hoot\Uc-investtgReg~O6 1
submit required fees, within thirty (30) days of the written notice, the Gaming

Commission may close the applicants file.

b. Applications must be signed under oath by an individual attesting that

the information provided in the application and any accompanying materials is true,

accurate and complete.

c. Applications must be signed by the following:

(1) For a corporation (non-profit or for profit), the highest ranking

officer or official of the corporation.

(2) For a sole proprietorship, the principal owner.

(3) For a partnership, all partners; for a limited partnership, the

general partner.

(4) For employee licenses, the individual seeking a license.

d. The Gaming Commission may also require the following persons to

sign the application:

(1) The chair or members of the board of directors or trustees.

(2) The individual in charge of financial records.

(3) Any person with a substantial interest in the applicants

business, organization or corporation.

e. Applicants must provide a general release and waiver of any privilege

in connection with the release of all information required to conduct the review and

investigation, so that the Gaming Commission may obtain from any and all sources

that information which otherwise may be privileged.

f. The Gaming Commission reserves the right, at any time, to require

drug or alcohol testing for any gaming license applicant or licensee.

g. The Gaming Commission shall require fingerprinting and background

checks for Class A license applicants (to include any key employee or primary

management official, as defined in IGRA), and may require fingerprinting and

background checks as part of the licensing investigation for any person seeking a

license or holding an interest in any gaming activity, including but not limited to an

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interest in equipment, financing, supplies or services. The Gaming Commission

may submit fingerprints to the Federal Bureau of Investigation (FBI), the National

Indian Gaming Commission (NIGC), or another tribal, federal, local, or state agency

for the purpose of searching their records for any criminal background information.

h. The Gaming Commission will only consider applications which are fully

completed and submitted on the Gaming Commissions forms. Application forms

are available from the office of the Gaming Commission or will be mailed upon

request.

1 .03 Burden on Applicant

The burden of proof with respect to the granting of any license is at all times

upon the person applying for or holding such license. No license shall be granted

unless and until the applicant has satisfied the Gaming Commission of their good

character, honesty and integrity.

1 .04 Waiver of Liability

a. The application to receive a gaming license constitutes a request for

determination of the applicants general character, integrity and ability to

participate or engage in, or to be associated with the gaming operation. Any

written or oral statement made in the course of an investigation, proceeding or

process of the Gaming Commission by any member, employee or agent of the Tribe

or by any witness, testifying under oath, which is relevant to the investigation,

proceeding or process, is absolutely privileged and shall not impose any liability for

slander, libel or defamation, or constitute any grounds for recovery in any legal

action. An applicant must accept all risk of adverse public notice, embarrassment

or other action which may result from the application and investigatory process,

and must expressly waive any claim for damages as a result of the process.

b. All applicants shall expressly waive any and all liability as to the Tribe,

its commissions, employees and agents for any damages resulting from disclosure

or publication in any manner of information acquired by the Gaming Commission

during its licensing or other investigations, inquiries or hearings.

1 .05 Applicant Claim of Privilege

At any time during the licensing process or later investigation, the applicant

O2\Muck1e~hoot\1Acinve~tigReg~ 06 3
may claim any privilege afforded by law in connection with the application or

investigation. The applicants claim of privilege, however, with respect to any

testimony or evidence, or the applicants failure to produce documents or

information required for licensing, may be grounds for denial, suspension or

revocation of the license.

1 .06 Withdrawal of Application

An applicant may request to withdraw the application by submitting to the

Gaming Commission a written request for withdrawal. The Gaming Commission

retains the right, in its sole discretion, to grant or deny a request for withdrawal.

To be effective, the written request to withdraw must be received by the Gaming

Commission at least twenty-four (24) hours prior to the Gaming Commissions

issuance or denial of the license.

1 .07 Classes of Licenses

a. Any license issued to an individual or entity for employment in,

association with, or to, do business with any Class II or Class III gaming activity or

enterprise in a gaming~related capacity, shall be considered a Class A license.

Further, any person associated with the Tribes gaming activities, including Class II

activities, as an investor or other person owning or controlling ten percent (10%) or

more of an interest in any management entity, or any primary management official,

key employee, or closely associated independent contractor, shall obtain a Class A

license.

b. Those individuals or entities employed by, associated with, or doing

business with a gaming activity or enterprise in a non-gaming related capacity, and

not identified in Section 1 .07 a. above may apply for a Class B or Class C license.

The Gaming Commission reserves the right to require such individual or entity to be

licensed under the Class A licensing criteria and requirements.

c. Minors employed at a gaming facility are only eligible to apply for a

Class C license. Class C licensees may not be employed to operate, participate in,

or supervise any gaming activities.

1 .08 Types of Licenses Issued

a. The Gaming Commission will license all persons employed in gaming

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related activities, whether working within or outside of the gaming facility, and all

employees working in~a gaming facility in a non-gaming related position.

b. Employees in any Class II or Class Ill gaming enterprise including, but

not limited to, those who perform one or more of the following functions are

considered to be key employees, and must qualify for and be licensed as Class A

employees: 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. If not otherwise included, all persons

whose total cash compensation exceeds $50,000 per year and the four (4) most

highly compensated persons in the gaming operation must qualify for and obtain a

Class A license.

c. The following persons whether employed at a Class II or a Class Ill

gaming enterprise, are considered primary management officials, and must qualify

for and be licensed as Class A employees: (a) any person having management

responsibility for a management contract; (b) any person who has authority to hire

and fire employees or to set up working policy for the gaming operation; and (c)

the chief financial officer or other person who has financial management

responsibility.

d. The Gaming Commission may issue the following types of licenses:

(1) Class II Gaming Employee License

All persons employed in or associated with Class II gaming activities,

including bingo, non-banking or other Class II card games, pulitabs, punchboards,

or any other Class II gaming activities, as well as any Class II employee who is

considered a key employee or primary management official must qualify for and

hold a Class A gaming employee license.

(2) Class Ill Gaming Employee License

All persons employed in Class Ill gaming activities, including banking

card games; lottery-type games; roulette; craps; and other table games or activities

designated as Class Ill gaming, must qualify for and hold a Class Ill gaming

employee license issued under the requirements for the Class A license.

(3) Employee License -

Non-Gaming Activities

All persons employed in a Class II or Class Ill gaming facility in a

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position unrelated to any gaming activity including, but not limited to, facilities

maintenance and food services employees, must qualify for and hold a non-gaming

employee icense issued under the criteria for the Class B license.

(4) Class C (Minors) License

An employee license for non-gaming activities granted to a minor shall

be a Class C license, valid for no more than six (6) months, and shall be revoked

when the minor reaches of the age of eighteen (18). At that time, the employee

may apply for a regular Class A or B license.

(5) Management Company I Financiers License

(a) Any individual or business entity with which the Tribe

enters into a contractual agreement for financing, development, management or

operation of any Class II or Class Ill gaming enterprise, must qualify for and receive

a Class A license. Any individual or entity, other than a commercial lending

institution, the tribal government or the federal government, who extends financing

either directly or indirectly to the gaming facility or operation must qualify for and

receive a Class A license.

(b) No license shall be granted to a management company if

any elected official of the Tribe, or a member of a committee or agency of the

band serves on the board of directors or holds (directly or indirectly) ten percent

(10%) or more of the issued and outstanding stock of the corporation, or ten

percent (10%) or more of the beneficial interest in any partnership, trust, or other

entity, in any such corporation, partnership, trust or other entity, having a financial

interest in, or management responsibility for, such contract. Notwithstanding the

foregoing, no license shall be granted to a management company if any member of

the Gaming Commission holds any interest whatsoever (directly or indirectly), in

such company. Nor shall any such license be granted if any elected official of the

Tribe, member of the Gaming Commission, or a member of any other committee or

agency of the Tribe has a financial interest in or management responsibility for any

agreement between such management company and the Tribe.

(c) The Gaming Commission, in its sole discretion, may

require any employee, officer, or corporation director of a management or financing

company to be licensed individually if the public interest will be served by such

licensing. Upon request, the management or financing company shall require such

persons to apply for a Gaming Commission license in accordance with the laws and

regulations in effect at that time.

~06 6
(6) Suppliers. Distributors and Manufacturers License

(a) Any manufacturer, distributor or supplier of gaming

services or goods must qualify for and receive a Class A license. Individuals or

entities who supply legal and accounting services are not required to be licensed.

(b) The Gaming Commission reserves the right, in its sole

discretion, to waive the licensing requirements for suppliers, distributors or

manufacturers providing goods or services of no more than $25,000 in value in any

twelve (12) month period. Once goods or services provided by that entity total

$25,000 in any twelve (1 2) month period, all licensing requirements shall be

applicable.

(C) The Gaming Commission, in its sole discretion, may

require any employee, officer, or corporation director of a supplier, distributor or

manufacturer to be licensed individually if the public interest will be served by such

licensing. Upon request, the company shall require such persons to apply for a

Gaming Commission license in accordance with the laws and regulations in effect

at that time.

(7) Gaming Facility License

(a) The Gaming Commission will issue a license to each

facility or location where Class II or Class Ill gaming is to be conducted on the

Reservation. Gaming facility licenses are valid for no more than two (2) years from

date of issuance. Inspection of gaming facilities includes review of security and

surveillance procedures and equipment; compliance with tribal ordinances and other

applicable laws and regulations, including requirements of any tribal-state compact

to which the Tribe is a party; and compliance with applicable safety requirements

and codes.

(b) Tribal gaming facilities in operation on or before February

1 9, 1 993 shall be deemed by the Gaming Commission to be qualified for and

operating under such a license, but shall be subject to the license requirements no

later than two (2) years from the date of approval of the Muckleshoot Gaming Act,

and to inspection by the Gaming Commission at any time.

(c) The Gaming Commission may inspect a licensed gaming

facility at any time, with or without prior notice, and may take any action deemed

necessary to:

(i) Ensure the safety and welfare of employees, tribal

members, patrons, or the general public;

OZMuckJeshootd~cive~LigReg~ 06 7
(ii) Ensure the honesty and integrity of any gaming

activity offered;

(iii) Ensure that rules of conduct for employees and

patrons are provided and that regulation of alcoholic

beverages, food handling, entertainment, and other

matters as the Gaming Commission, in its sole discretion

shall determine, are provided; and

(iv) Ensure compliance with tribal ordinances and other

applicable laws or regulations and the requirements of

any tribal-state compact to which the Tribe is a party.

(8) Renewal License

All applicants for renewal of a license must submit updated

information as requested on the appropriate Class A, Class B, or Class C license

renewal application form. Applicants for a renewal license will not be required to

re-submit historical data already available to the Gaming Commission. With the

exception of Class C licenses, or as specifically provided in these regulations, all

licenses shall be effective for one (1) year from the date of issuance, unless

revoked or suspended prior to expiration. A licensed employee or entity that has

applied for renewal of their license in a timely manner may continue to be

employed or provide goods or services under an expired license until the Gaming

Commission takes action to grant or deny the license or until the license is revoked

or suspended.

(9) Temporary or Conditional License

Any person or entity applying for a license under these regulations

may, at the sole discretion of the Gaming Commission, be granted a temporary or

conditional license in lieu of a regular license, pending completion of a full and

complete investigation and review of the appication, or in order to address specific

areas of concern. The expiration date and any applicable conditions to be satisfied

prior to issuance of the regular license will be stated on the temporary or

conditional license. The Gaming Commission will not authorize the continuation of

employment of any person as a key employee or primary management official for

more than ninety (90) days, unless that person or entity holds a valid license

(issued under the criteria for Class A licenses), issued by the Gaming Commission.

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1 .09 Application Forms

a. The Gaming Commission shall provide application forms and

instructions, as applicable, to any individual or entity seeking to be licensed.

b. Class A license applicants (to include key employee and primary

management officials) and Class B license applicants unless specifically exempted

by the Gaming Commission, must acknowledge in writing the applicability of the

Privacy Act of 1 974 and sign a notice regarding the penalty for making false

statements on the application. The following notices shall be placed on the

application form.

(1) In Oompliance with the Privacy Act of 1974, the following

information is provided: Solicitation of the in formation 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. The

in formation 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 the tribes

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) 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, § 1001)

c. Any gaming employee identified in subsection b. above, who has not

signed an application containing the above notices, must either: (1) sign a

statement which contains the notices; or (2) complete and sign a new application

form which contains the notices.

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1 .10 Information Required from License Applicants

a. All Class A license applicants (to include key employees and primary

management officials), as well as Class B license applicants unless specifically

exempted by the Gaming Commission, shall provide information to the Gaming

Commission including,: but not limited to, the following:

(1) For a corporate entity, a copy of the corporate applicants

articles of incorporation and bylaws; or, if a business entity or organization but not

a corporation, a copy of any bylaws and other documents which set out the

organizational structure and purposes of the organization.

(2) Details and copies of any franchise or other agreements,

whether written or oral, between the applicant and distributors or manufacturers or

suppliers of equipment, or between the applicant and any person or entity where

those agreements relate to gaming activities or gaming equipment.

(3) Full name, current address and telephone number(s) (both

business and residence), date and place of birth, social security number(s), any

other names used (oral or written), citizenship, gender, and all languages spoken or

written;

(4) The name, address, and telephone number for all businesses

and organizations in which the applicant has any financial interest and the details

of that financial interest;

(5) Completed copy of the Gaming Commissions Personal History

Information form;

(6) Currently and for at least the previous ten (10) years: business

and employment positions held, ownership interests in those businesses, business

and residence addresses, and drivers license numbers;

(7) Names and current addresses of at least three (3) personal

references, including cne personal reference who was acquainted with the

applicant during each period of residence listed in subsection (6) above;

(8). Description of any existing and previous business relationships

with Indian tribes, including ownership interests in those businesses;

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(9) Description of any existing and previous business relationships

with the gaming industry generally, including ownership interests in those

businesses;

(10) Name and address of any licensing or regulatory agency

(federal, tribal, state, local or foreign) with which the person has ever filed either:

(a) an application for a license or permit related to gaming, and whether or not such

license or permit was granted, or (b) an application for an occupational license or

permit, whether or not such license or permit was granted;

(11) For each felony for which there is currently or has been, during

at least the previous ten (10) years, an on-going prosecution or a conviction: the

charge, the name and~ address of the court involved, and the date and disposition,

if any, of the case;

(1 2) For each misdemeanor conviction or on-going prosecution

(excluding minor traffic violations for which the fine is no more than twenty-five

dollars ($25.00)), within at least ten (10) years of the date of the application: the

name and address of the court involved, and the date and disposition, if any, of the

case;

(13) For each criminal charge (excluding minor traffic charges),

whether or not there is or was a conviction, if such criminal charge is within no

less than ten (10) years of the date of the application and is not otherwise listed

above in subsections (11) or (12): the criminal charge, the name and address of

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

(14) Current photographs;

(1 5) Fingerprints consistent with procedures adopted by the Gaming

Commission consistent with 25 C.F.R. ~ 522.2(h); and

(16) Any other information the Tribe or the Gaming Commission

deems relevant.

b. The Gaming Commission may require any Class C applicant to submit

some or all of the information required under Section 1 .1 0 for Class A and Class B

applicants.

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1 .11 Supplemental or Additional Information

In addition to the completed application form and attachments, an applicant

or licensee shall submit to the Gaming Commission any supplemental or additional

information requested. Supplemental or additional information must be submitted

within thirty (30) days from the request, or within such other time as the Gaming

Commission may direct. Failure to submit any of the requested information in a

timely manner shalt be grounds for denial of the license sought, and for revocation

of any license held. Drug or alcohol testing may be required, at any time, for any

license applicant or licensee.

1 .1 2 Licensing Prior to Employment

Unless otherwise exempted by the Gaming Commission, or as provided for in

the Gaming Act or regulations promulgated thereunder, an individual or entity

required to be licensed must obtain the required license, whether regular, temporary

or conditional, prior to the commencement of their employment at or by any tribal

gaming activity or enterprise.

1.13 License in Compliance with Applicable Laws

No gaming license shall be granted in violation of any provision of tribal laws

and regulations, provisions of an applicable tribal-state compact, IGRA and

regulations promulgated thereunder, or other applicable law. The Gaming

Commission shall deny a license to any individual or entity based on such criteria.

1.14 Continuing Duty to Provide Information

Any applicant or licensee shall have a continuing duty to provide any

materials, assistance or other information required by the Gaming Commission, and

to fully cooperate in any investigation conducted by or on behalf of the Gaming

Commission. Any information relevant to the application or to the licensee or

applicants character or fitness to be involved with the gaming activity or

enterprise, shall be delivered to the Gaming Commission promptly, with or without

a formal request from, the Gaming Commission. If any information provided on the

application changes or becomes inaccurate in any way, the applicant or licensee

shall promptly notify the Gaming Commission of such changes or inaccuracies. If,

subsequent to a formal request to respond or produce information, evidence, or

testimony, an applicant or licensee or any person with a substantial interest in the

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applicant or licensee, refuses or fails to comply with such request, the Gaming

Commission may denythe application or revoke the license.

1 .1 5 License Information / Confidentiality

The Gaming Commission may disclose to the public or discuss at a public

meeting all information set forth in the application and all supplemental information

provided. All licensing information submitted becomes the property of the Gaming

Commission and is subject to inspection and disclosure unless otherwise protected

under provisions of a tribal law or regulation, or under an applicable exception as

indicated below:

a. Documents Designated as Confidential

An applicant may designate specific materials or documents it

reasonably believes to contain confidential information by clearly marking, prior to

providing the information to the Gaming Commission, the materials or documents

as Confidential. These materials and documents shall not be subject to public

disclosure or made part of a public record of the Gaming Commission without first

providing the license applicant notice and an opportunity to seek a ruling by the

Gaming Commission that the materials or documents or information contained

therein should not be made public. The Gaming Commission will balance the

license applicants claimed confidentiality concerns against the materiality of the

information to the license application, the publics right to be made aware of the

information, and the Gaming Commissions need to make the information part of

the pubiic record in order to remain fully accountable for the licensing decision.

The Gaming Commission shall consider all facts and circumstances relevant to

making a proper ruling. All decisions of the Gaming Commission shall be final

when issued.

b. Protection of Arrest and Conviction Records

Information or statements regarding arrests or convictions of any

person will not be disclosed to the public, except as relevant to the applicants

suitability in an administrative hearing to appeal denial, revocation, or suspension;

or other legal proceeding.

c. Protection of Persons Interviewed

The identity of each person interviewed in the course of a license

applicant background investigation shall be kept confidential.

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1 .16 License Investigations -

General

a. All Class A license applicants, and other applicants unless exempted

by the Gaming Commission, shall be subject to a complete background

investigation, including fingerprinting, prior to granting of a license. The Gaming

Commission will refer persons to the King County Sheriffs Office or the Auburn

Police Department for fingerprinting, and will coordinate with these law

enforcement agencies regarding criminal history check procedures. The Gaming

Commission shall use any information available to it in conducting such

investigation.

b. Inspection of Applicant Books and Records

The books and records of any person, organization or entity applying

for a license shall be subject to inspection at any time, on demand and with or

without notice, during the background investigation process and the term of any

license granted.

1 .1 7 License Investigations -

Authority. Responsibility and Standards

a. The Gaming Commission shall have the responsibility for the conduct

of any required background investigations, development and transmittal to the

NIGC of the eligibility determination and investigative reports, and the licensing of

all gaming employees as well as other individuals and entities involved in gaming

activities or doing business with the gaming enterprise on the Reservation. For

each Class A applicant (to include key employees and primary management

officials), and other applicants unless exempted by the Gaming Commission, the

Gaming Commission will conduct, or cause to be conducted, a background

investigation. After independent review of all background investigation materials,

the Gaming Commission will issue or deny the license requested.

b. Each applicant for a gaming license will be assessed and evaluated

and the investigation shall be conducted under standards at least as stringent as

those contained in tribal laws and regulations as well as other applicable laws and

regulations, including IGRA and regulations promulgated thereunder and the

provisions of any applicable tribal-state compact to which the Tribe is a party. All

background investigations will be conducted to ensure that the Tribe does not

employ or contract with persons whose prior activities, criminal record, reputation,

habits and associations pose a threat to the public interest or the effective

regulation of gaming, or create or enhance the danger of unfair, unsuitable or illegal

practices, methods and activities in the conduct of such gaming. The Gaming

OZ\Muckie3hoot\IIcinve~tigReg~ 06 14
Commission reserves the right to conduct a more comprehensive background

investigation than required by other licensing jurisdictions or any applicable law.

1 .18 Conduct of Investigations

The Gaming Commission is authorized to conduct investigations and develop

eligibility and suitability determinations using Gaming Commission employees; by

using the State Gambling Commission, as may be required under a tribal-state

compact for Class Ill gaming; or contracting for such services with a qualified

independent investigatory entity (either private or public entity) to perform all or

any portion of the work required in completing the background investigation and

providing information for the eligibility or suitability determination. The Gaming

Commission shall make such determinations regarding how investigations are

conducted based on requirements under applicable law, availability of staff and

resources, and other considerations and requirements. In the event the Gaming

Commission contracts with an independent investigatory entity for such

investigative work, the Gaming Commission Supervisor and Agents (as necessary)

will review each background investigation report from the independent investigator

(whether public or private), approve or disapprove the investigative work, compile

the eligibility determination materials, and make a preliminary recommendation to

deny or issue a license. This recommendation, together with the application

materials, shall be forwarded to the members of the Gaming Commission for a final

determination. In all cases, the final decision regarding the issuance or denial of

any license remains, at all times, with the Gaming Commission.

1 .1 9 License and Investigation Reports to NIGC

a. Within sixty (60) days after a Class A license applicant or licensee

begins work in a gaming operation, or within sixty (60) days after approval of the

Gaming Act by the NIGC, the Gaming Commission will complete and forward to

the NIGC the application materials, investigative report and eligibility determination

used to evaluate the applicant or licensees eligibility for a license. The

responsibility for transmittal (or causing the transmittal) of investigative reports to

the NIGC remains with the Gaming Commission Chairman at all times. The

investigative report provided shall include at least the following information:

(1) Steps taken in conducting the background investigation;

(2) Results obtained;

O2\MuckJe3hoot\1icinve~ti~Reg~ 06 15
(3) Conclusions reached; and

(4) The basis for those conclusions.

b. If, upon investigation and for any reason, the Gaming Commission

does not issue or renew a Class A license, the Gaming Commission will notify the

NIGC of such denial and may forward copies of the eligibility determination and

investigative report, if any, to the NIGC for inclusion in the Indian Gaming

Individuals Records System.

c. The Gaming Commission will retain applications for Class A licenses,

including reports of baôkground investigations, for a period of no less than three (3)

years from the date oflicense denial or termination of employment, whichever is

later. Those records will be made available for inspection by the Chair of the NIGC

or his or her designee.

d. For Class B or Class C license applicants who are not key employees

or primary management officials, no investigative report or eligibility determination

will be forwarded to the NIGC, unless specifically requested by the NIGC and

approved by the Gaming Commission.

1 .20 Gaming Commission Staff

Gaming Commission staff responsible for review of gaming applications,

either directly or by outside investigators, includes the Administrator, Reviewing

Agents (Agents), and the Supervisor. Gaming Commission staff selected must

be qualified for such review and investigatory work to ensure accurate and

complete review and investigation of all applicants. In general, staff will be trained

and have experience in auditing, or law enforcement, or both. At least one Agent

in the review section must be qualified by experience or training to review law

enforcement matters. All candidates for Gaming Commission positions must apply

through the Gaming Commission office, and will be tested and pre-screened by that

office prior to interviewing for a position with the Gaming Commission. The

Gaming Commission may request any potential employee to submit an application

and authorize a background investigation to be conducted. At the discretion of the

Gaming Commission, such investigation of potential employees may include a

review of the individuals personal history, criminal history and financial history.

OAMuckIe5hoot\L~cinve31lgReg~ 06 16
1 .21 Gaming Commission Office

In addition to the responsibility of the Gaming Commission staff in

background investigations and licensing of applicants, the office will distribute

application materials, provide information regarding the application and licensing

process, and accept license applications for processing. Any individual or business

entity seeking a license to work in, or to do business with, the Tribes gaming or

other enterprise(s) may contact the Gaming Commission for application information

and materials.

1 .22 Review Process -

License Applications

a. Upon receipt, applications will be date stamped, logged in, accepted

and reviewed for completeness by the Gaming Commission Administrator. Each

application question will be checked to ensure that information requested has been

provided, including any required attachments. The Administrator will contact the

applicant by telephone, facsimile or in writing regarding any incomplete information

or additiona materials required prior to processing of the application. Fingerprint

cards, if required, will be handled according to the process required by the agency

transmitting such cards to the FBI for processing. All fingerprint cards that are

required to be or will be sent to the NIGC for processing through the FBI must be

sent directly from the law enforcement agency completing those cards to the

NIGC. If the Tribe receives fingerprint cards under other requirements for

processing, such as those imposed under an applicable tribal-state compact, the

fingerprint cards will be processed according to the required procedures of the

authorized processing agency and, if appropriate, the Administrator will forward the

fingerprint cards to the authorized agency for processing.

The Administrator will ensure that a check or money order in the correct

amount of the basic license fee is included with the application, note the amount

received, and forward the check or money order for deposit.

b. When the application is deemed complete and ready for full review

and investigation, the Administrator will separate the application sections and

forward each section (or the entire application) to the appropriate Agent for review.

The Administrator will maintain a complete and updated record of each license

application, noting each portion of the application and the date and to whom is it

forwarded for investigation and review.

c. All portions of the license application will be fully reviewed by one or

more Gaming Commission Agents. An Agent with experience or training in law

~ 17
enforcement will, at minimum, review the Criminal History portion of each

application prior to completion of the review process.

d. Any application, and in particular those for management companies,

manufacturers, suppliers, or distributors, may require an on-site review of records

and operations prior to completion of the review process. This review will be

conducted by at least one Agent who is experienced in auditing and is qualified to

review and assess applicants records.

e. On or before the date a key employee or primary management official

begins work at a gaming operation, the Gaming Commission Administrator will

forward a copy of the employees application for employment to the NIGC.

1 .23 Class A License Review Process

a. For all Class A license applicants (to include key employees and

primary management Officials), reviewing Agent(s) will complete, during their

review and investigation, a checklist containing the information required for

development of the eligibility determination. Information will be verified, any

problem areas and discrepancies will be noted, and other comments will be

provided as applicable.

b. At minimum, the review of a Class A license application will include

a complete review of applicants criminal history, personal history, and financial

history in order to detect any unusual relationships or criminal associations, and to

assess applicants reputation. Background investigations will include, but are not

limited to:

(1) Verification (written or oral) of information submitted by

applicant.

(2) A search of law enforcement records (such as NCIC) to ensure

the applicant that has no outstanding warrants.

(3) A request for information about the applicant, directed to the

law enforcement authority in each jurisdiction where the applicant has worked or

lived in at least the past ten (10) years. Agents may send such a request for

information to jurisdictions where applicant has lived prior to the ten (10) year

period in order to obtain complete background information. At minimum, the

Gaming Commission Agent will inquire into applicants prior activities, criminal

record, if any, and reputation, habits and associations. Personal and professional

O2\J1uck]e~hoot\1Acinve!tIgReg5 06 1 8
references, as well as other individuals may be interviewed in order to develop a

complete and accurate picture of the applicant, including any unusual relationships,

financial problems, or ôriminal record. Such inquiries shall be of sufficient number

and depth for the Gaming Commission to make a finding concerning the applicants

eligibility or suitability for employment in or association with the gaming enterprise.

(4) A complete review of the criminal history record information

(CHRI) from the FBI fingerprint check.

(5) A review of applicants credit report.

(6) Documentation of the disposition of all potential problem areas

noted and any disqualifying information obtained.

c. During the investigation, reviewing Agent(s) will note all potential

problem areas and any possible disqualifying information obtained for development

of the eligibility determination statement. When the Agent(s) has completed the

review process, the completed file with comments and other information received

by the Agent(s) will be forwarded to the review section Supervisor. The Supervisor

will review all materials, approve investigative work performed, and make a

preliminary recommendation to approve or disapprove issuance of the license based

on the recommendations of reviewing Agents, and an independent review of all

investigative materials. The eligibility (suitability) determination will be completed

by the Supervisor for review and approval by the Gaming Commission.

(1) The investigative report for each applicant, to be completed by

the Gaming Commission Supervisor, will establish a record of the review process,

including the steps taken in conducting the background investigation, the results

obtained, conclusions reached, and the process in reaching such conclusions and

determinations.

(2) All applicant materials and pertinent investigative work will be

reviewed, and approved or disapproved by action of the members of the Gaming

Commission.

(3) For key employees and primary management officials, if the

determination of the Gaming Commission is that a license be issued to the

applicant, all portions of the file which must be reviewed by the NIGC will, at that

time, be copied and forwarded by the Gaming Commission, together with a copy of

the license eligibility determination and the investigative report, to the NIGC for

review.

OZMuckJe3hoot\bc-inve~tIgReg3 06 1 9
d. Upon approval by the Gaming Commission a license, either with or

without restrictions, may be issued to the applicant.

e. The Gaming Commission may issue a temporary license to the

applicant prior to completion of the investigative process; provided, no temporary

license will be valid for more than ninety (90) days.

1 .24 Review Process for Class B and C Applicants

a. Class B and Class C license applicants will obtain and submit

forms as above. Applications will be reviewed by Agents of the Gaming

Commission and an eligibility determination will be developed for internal use.

Licenses will be granted or denied based on information obtained during the review

process.

b. Although the background investigation will generally be narrower than

that for Class A applicants, it will be conducted in a similar manner by the

Gaming Commission staff. At minimum, investigative procedures to be performed

for all license applicants shall include the following:

(1) Review of application for completeness.

(2) Verification of information submitted by applicant.

(3) Search of law enforcement records for any outstanding

warrants.

(4) Review of credit history including a review of applicants credit

report if necessary.

(5) Sufficient inquiry into applicants prior work record, personal,

and criminal record, if any, to develop an understanding of

applicants reputation, habits and associations. This inquiry

may include interviewing (by phone or in person) personal and

professional references, former employers, and others in order

to provide a basis for the development of an eligibility

determination, and to assess the applicants chance for

development of a successful working relationship with the tribal

gaming operation.

O2\Mucke3hoot\!Jcinve~tigReg~ 06 20
(6) Documentation of any potential problem areas and disqualifying

information obtained.

1 .25 Applicants and Licensees / Penalty for Bribes and Rewards

No applicant or licensee shall give or provide, or offer to give or provide,

either directly or indirectly, to any official of the Tribe, the Gaming Commission or

any other Commissions or agents of the Tribe any compensation or reward or share

of the money received through gambling activities, in consideration for obtaining

any license, authorization or privilege to participate in any gaming activity or

enterprise. Any violation shall result in denial or revocation of any license held or

sought.

1 .26 License Fees

a. Basic license fees are established by the Gaming Commission, and

may be changed without prior notice at any time, for any class of license. The

Gaming Commission will publish notice of the basic fees for license applications.

If the cost of investigation and processing the license exceeds the fee established,

the Gaming Commission may request that additional fees be paid prior to issuance

of the license. License application fees, including renewal fees, may include an

amount sufficient to cover the reasonable costs of regulation and enforcement

under the requirements of tribal laws and regulations, a tribal-state compact, and

other applicable laws and regulations. Applicants must comply promptly with any

requests for a deposit to cover the estimated cost of investigation and processing.

The applicants failure to pay any deposit as and when requested may result in

denial of the license. The Gaming Commission, in its sole discretion, may delay the

issuance of a license for a sufficient period of time to ensure that a check offered

to cover such fees has cleared the bank.

b. The Gaming Commission reserves the right to waive or adjust license

fees for a member of the Tribe or a member of another tribe. The decision of the

Gaming Commission regarding such requests shall be final and non-appealable.

1 .27 NIGC Review of Licensing

a. The NIGC has a period of thirty (30) days after receipt of the report

provided by the Gaming Commission as established above, to notify the Tribe of

any objections to the issuance of the Class A license. If the NIGC, within the

O2uck]e~hoot\L~cinvestigReg~ 06 2 1
thirty (30) day period, provides to the Tribe a statement itemizing objections to the

issuance of a license to a Class A license applicant, the Gaming Commission will

reconsider the application taking into account the objections raised. The Gaming

Commission will fully consider the information provided by the NIGC and issue a

final decision after full reconsideration of the application and additional information.

b. If, within the thirty (30) day period, the NIGC requests additional

information concerning a Class A applicant for whom a report is provided, that

request will suspend the thirty (30) day period until the Chairman of the NIGC

receives the information requested.

c. If, after issuance of a Class A license, the Tribe receives reliable

information from the NIGC that the licensee is not eligible for employment under

the above provisions, the Gaming Commission will take the following steps:

(1) Suspend the license and notify the licensee immediately of the

suspension and proposed revocation of the license;

(2) Notify the licensee of a time and a place for a hearing on the

proposed revocation of the license;

(3) Conduct the revocation hearing and make a determination

whether to revoke or to reinstate the Class A license; and

(4) Notify the NJGC of the final decision regarding the revocation or

reinstatement of the Class A license.

d. The above provisions may, in the sole discretion of the Gaming

Commission, be applicable to Class B licenses.

1 .28 Grounds for Denial. Suspension or Revocation of License

The Gaming Commission may deny a license, or suspend or revoke a license

when the applicant or licensee, or any other person or entity with any interest in

the applicant or licensee:

a. has violated, failed or refused to comply with the provisions,

requirements, conditions, limitations or duties imposed by the Tribes Gaming Act

and regulations, provision of any applicable tribal-state compact, the IGRA and

regulations promulgated thereunder, or any other applicable laws or regulations;

O2\i1uck]e~hootM~cinve~ttgReg~O6 22
b. knowingly causes, aids, abets or conspires with another to cause, any

person to violate any of the Tribes laws or regulations or applicable laws or

regulations;

c. has obtained a license by fraud, misrepresentation, concealment, or

through inadvertence or mistake;

d. fails to promptly produce for inspection or audit any book, record, or

document required by the Tribes laws or regulations;

e. has been convicted of, or forfeited bond upon a charge of, or pleaded

guilty to the crime of fàrgery, larceny, extortion, conspiracy to defraud, tax

evasion, or similar offenses, or of any crime, whether a felony or misdemeanor,

involving moral turpitude or any gambling activity; or

f. allows any person who has been convicted of, or forfeited bond upon,

any of the offenses above to participate in the management or operate in a key

position with the entity licensed by the Gaming Commission, without prior notice to

and written approval from the Gaming Commission;

Upon receiving written notice of the suspension or revocation of any license

issued by the Gaming Commission, the licensee is required, within five (5) days, to

surrender and return the license to the Gaming Commission.

1 .29 License Suspension or Revocation Process

Any license issued under these regulations may be suspended or revoked

by the Gaming Commission for the breach or violation of the requirements or

provisions of the Tribes laws or regulations, upon a hearing before the Gaming

Commission held no more than twelve (12) or less than eight (8) working days

from the time licensee is given notice of the alleged breach or violation. The

licensee, and any person directly affected by the license action shall have the right

to be present and to offer sworn oral or documentary evidence relevant to the

breach or violation charged. Notwithstanding the foregoing, the Gaming

Commission may summarily suspend or revoke any license if the continued

licensing appears to constitute a threat to the public health, safety or welfare.

O~MuckIe~hootIAcinve~tigRe~ 06 23
1 .30 Appeal of Denial. Suspension or Revocation of License

a. Decisions of the Gaming Commission regarding the denial, suspension

or revocation of licenses shall be final and effective when issued.

b. An applicant or licensee whose license is denied, revoked or

suspended may, within fifteen (1 5) days after the date of receipt of a written

decision of the Gaming Commission, file a petition with the Gaming Commission

requesting a hearing to reconsider the decision. The petition must set forth the

basis of the request for reconsideration. If no petition for reconsideration is filed

within the time prescribed, the decision shall be deemed final and not subject to

further reconsideration or appeal to and review by the Gaming Commission.

c. Notwithstanding the above, a member of the Tribe may, in addition,

appeal a denial, suspension or revocation of a license to the Gaming Commission

under the following procedures. Such appeals from Tribal Members must be in

writing and be delivered to the Gaming Commission within sixty (60) days of

receiving notice of the denial, suspension or revocation. The Gaming Commission

shall consider the evidence presented by the applicant and the Gaming

Commission, prior to making a determination on the licensing decision. The

appellant and the Gaming Commission may offer such information and documents

as are relevant to the determination of the applicants suitability for a license and

may call witnesses to testify in such a proceeding if such witnesses can provide

information regarding the applicants suitability. No determination of the Gaming

Commission shall be considered valid if it would place the Tribe in violation of an

applicable tribal-state compact, the IGRA and regulations promulgated thereunder,

or any other applicable law. Any license so issued, based on a reversal of the

Gaming Commission denial shall be issued for a period no longer than one (1) year.

1 .31 Hearings Closed to Public

All hearings regarding gaming licensing proceedings or reconsideration of an

application shall be closed to the public unless specifically opened to the public by

a two-thirds (2/3) majority vote of the Gaming Commission.

1 .32 Notification of Licensing Action

The Gaming Commission shall promptly notify, in writing, each applicant

upon the grant or denial of the license. To the extent required under federal or

state laws and regulations, or other applicable law, the Gaming Commission shall

O2\MuekIe!hoot\1Icinve~tigReg3 06 24
promptly notify the NIGC and any other applicable federal or state agency of all

licenses issued.

1 .33 Other Licensee Duties and Responsibilities

a. The licensee and the licensees employees shall be legally responsible

for any violation of the Tribes laws and regulations, license requirements, all

applicable laws and regulations, and any applicable tribal-state compact provisions.

b. Each licensee shall assume the full responsibility for providing to the

Gaming Commission on an on-going basis, complete, updated and accurate

information such as that provided in the original license application, or any other

information that may impact the licensees suitability for continued licensing.

Failure to provide such information on a timely basis may result in suspension,

revocation or denial of the license.

c. Each licensee issued a conditional or provisional license shall assume

the full responsibility fOr full and timely compliance with any conditions or

restrictions set forth in such license.

d. The issuance or renewal of any license may be conditioned on

successful completion of training required for employment, or the presentation of

evidence of the individual or entitys ability to successfully perform the duties for

which the license is sought.

1 .34 License Creates No Vested Right

The issuance of any license by the Gaming Commission shall not be

construed as granting a vested right in any of the privileges the license confers.

OZ\MuckIe~hoot\Uc-inve~tigReg3 06 25