TITLE 4 GAMING

Chapter Seven—MISCELLANEOUS PROVISIONS

Section 7-701. Effect of Repeal

Subsequent repeal of this Ordinance or any portion thereof shall not have the effect
of reviving any prior law of the Nation theretofore repealed or suspended.

Section 7-702. Savings Provision
If any provision of this Ordinance or the application thereof to any entity, or

circumstance is held invalid, the invalidity shall not affect other provisions or applications of
this Title which can be given effect. Any invalid provisions shall be severed without effect on

the remaining provisions of this law.

Section 7-703. Effective Date

This Ordinance shall take effect immediately upon its approval by the NIGC Chair.

Section 7-704. Reserved

56




TITLE 4 GAMING

(1) Date;
(2) Time;
(3) Place;

(4) Circumstances of the claim;

(5) The identities of tribal or gaming employees, and witnesses, as
applicable;

(6) The amount of compensation or other.relief demanded;
(7) The name, address, and telephone number of the claimant; and

(8) The name, address, and telephone number of any representative
authorized to settle the claim.

(D) The Gaming Operation shall promptly review, investigate, and make a
determination regarding the tort claim within ninety (90) days from the filing date. Failure to
notify the claimant of a decision within the specified ninety-day (90-day) period shall be
deemed a denial of the claim.

(E) To appeal the Gaming Operation’s decision, the claimant must file an appeal
with the District Court of the Nation not later than thirty (30) days after the Gaming Operation’s

decision or constructive denial.

(F) The District Court of the Nation shall have exclusive jurisdiction to adjudicate
a claim by a gaming Patron for personal injury or property damage provided for herein, but
only if:

(1) The purported injury occurred on the premises of a gaming facility
licensed under this Title;

(2) The claimant has filed a timely and valid tort claim notice as provided
herein;

(3) The claimant has followed all required procedures pursuant to the
Nation’s laws, including the pertinent terms of any Compact relating to tort claims;

(4) The Gaming Operation has denied the claim; and

(5) The claimant has filed an appeal with the District Court of the Nation
no later than on the thirtieth (30th) day after the date on which the claim was denied
by the Gaming Operation.

22


D. Nothing in this Compact shall be deemed to authorize the state to impose any tax, fee,
charge or assessment upon the tribe or enterprise except as expressly authorized pursuant
to this Compact; provided that, to the extent that the tribe is required under federal law to
report prizes awarded, the tribe agrees to copy such reports to the SCA.

E. In consideration for the covenants and agreements contained herein, the state agrees
that it will not, during the term of this Compact, permit the nontribal operation of any
machines or devices to play covered games or electronic or mechanical gaming devices
otherwise presently prohibited by law within the state in excess of the number and
outside of the designated locations authorized by the State-Tribal Gaming Act. The state
recognizes the importance of this provision to the tribe and agrees, in the event of a
breach of this provision by the state, to require any nontribal entity which operates any
such devices or machines in excess of such number or outside of the designated location
to remit to the state at least quarterly no less than fifty percent (50%) of any increase in
the entities’ adjusted gross revenues following the addition of such excess machines. The
state further agrees to remit at least quarterly to eligible tribes, as liquidated damages, a
sum equal to fifty percent (50%) of any increase in the entities’ adjusted gross revenues
following the addition of such excess machines. For purposes of this Part, “eligible
tribes" means those tribes which have entered into this Compact and are operating
gaming pursuant to this Compact within forty-five (45) miles of an entity which is
operating covered game machines in excess of the number authorized by, or outside of
the location designated by, the State-Tribal Gaming Act. Such liquidated damages shall
be allocated pro rata to eligible tribes based on the number of covered game machines
operated by each Eligible Tribe in the time period when such adjusted gross revenues
were generated.

F. In consideration for the covenants and agreements contained herein, the tribe agrees
that in the event it has currently or locates in the future a facility within a radius of twenty
(20) miles from a recipient licensee as that term is defined in subsection K of Section 4 of
the State-Tribal Gaming Act that it shall comply with the requirements of subsection K of
Section 4 of the State-Tribal Gaming Act.

Part 12. DISPUTE RESOLUTION

In the event that either party to this Compact believes that the other party has failed to
comply with any requirement of this Compact, or in the event of any dispute hereunder,
including, but not limited to, a dispute over the proper interpretation of the terms and
conditions of this Compact, the following procedures may be invoked:

1. The goal of the parties shall be to resolve all disputes amicably and voluntarily
whenever possible. A party asserting noncompliance or seeking an interpretation
of this Compact first shall serve written notice on the other party. The notice shall
identify the specific Compact provision alleged to have been violated or in dispute
and shall specify in detail the asserting party’s contention and any factual basis



SAC AND FOX NATION GAMING ORDINANCE OF 2018

EXHIBIT A.

Sac and Fox Nation Business Committee Resolution
No. SF-18-175, adopted July 5, 2018

Submission to Chairman, National Indian Gaming
Commission, July 19, 2018


RESOLUTION SF-11-19 / NOVEMBER 12, 2010 ESBCM. 2

NOW, THEREFORE,

Be it enacted by the Business Committee of the Sac and Fox Nation, pursuant to the
authority vested therein by the Constitution and Charter:

That: The following language, which amends and replaces the language of Section 1-512(A)
and (B) of the Ordinance, in its entirety, shal] be enacted as the law of the Nation:

“(A) The following notice shall be placed on the application form for a Key
Employee or a Primary Management Official:

‘In compliance with the Privacy Act of 1974, the following information is
provided: Solicitation of the information on this form is authorized by et seq.
The purpose of the requested information is to determine the eligibility of
individuals to be granted a gaming license. The information will be used by the
Tribal gaming regulatory authorities and by the 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 issuance, denial, or revocation of a
gaming license, or investigations of activities while associated with a tribe or a
gaming operation. Failure to consent to the disclosures indicated in this notice
will result in a tribe’s being unable to license you for 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.’

(B) The following additional notice shall be placed on the application form for
a Key Employee or a primary official:

‘A false statement on any part of your license application may be grounds for
denying a license or the suspension or revocation of a license. Also, you may be
punished by fine or imprisonment.’

And, be it further enacted by the Business Committee of the Sac and Fox Nation, pursuant
to the authority vested therein by the Constitution and Charter:

That: Upon cnactment of these amendments, these amendments shall be submitted forthwith to
the Chairman of the NIGC for approval pursuant to 25 U.S.C. §§ 2710(b) and (d); and

That: These amendments shall be effective as set forth herein upon their approval by the
Chairman of the NIGC, and such shall be promptly filed in the Office of the Court Clerk
of the Sac and Fox Nation upon such approval; and


FILED
IN THE DISTRICT COURT
2008 OCT 29 P 2 2u
SAG AD LUX SATION
cuanloTTE Cai weigh) COURT CLERK

BY: DEPUTY

SAC AND Fox
GAMING ORDINANCE OF 2008

(As Amended October 17, 2008)

APPROVED MAY 8, 2008
APPROVED AUGUST 5, 2008
APPROVED OCTOBER 17, 2008


2. Approval of this Compact by the Secretary of the Interior as a tribal-state
compact within the meaning of IGRA and publication in the Federal Register or
satisfaction of any other requirement of federal law; and

3. Payment of the start-up assessment provided for in subsection C of Part 11 of
this Compact.

B. This Compact shall have a term which will expire on January 1, 2020, and at that time,
if organization licensees or others are authorized to conduct electronic gaming in any
form other than pari-mutuel wagering on live horse racing pursuant to any governmental
action of the state or court order following the effective date of this Compact, the
Compact shall automatically renew for successive additional fifteen-year terms; provided
that, within one hundred eighty (180) days of the expiration of this Compact or any
renewal thereof, either the tribe or the state, acting through its Governor, may request to
tenegotiate the terms of subsections A and E of Part 11 of this Compact.

C. This Compact shall remain in full force and effect until the sooner of expiration of the
term or until the Compact is terminated by mutual consent of the parties.

D. This Compact may be terminated by state upon thirty (30) days’ prior written notice to
the tribe in the event of either (1) a material breach by the tribe of the terms of a tobacco
Compact with the state as evidenced by a final determination of material breach from the
dispute resolution forum agreed upon therein, including exhaustion of all available
appellate remedies there from, or (2) the tribe’s failure to comply with the provisions of
Section 346 et seq. of Title 68 of the Oklahoma Statutes, provided that the tribe may cure
either default within the thirty-day notice period, or within such additional period as may
be reasonably required to cure the default, in order to preserve continuation of this
Compact.

The state hereby agrees that this subsection is severable from this Compact and shall
automatically be severed from this Compact in the event that the United States
Department of the Interior determines that these provisions exceed the state’s authority
under IGRA.

Part 16. AUTHORITY TO EXECUTE
This Compact, as an enactment of the people of Oklahoma, is deemed approved by the
State of Oklahoma. No further action by the state or any state official is necessary for this
Compact to take effect upon approval by the Secretary of the Interior and publication in
the Federal Register. The undersigned tribal official(s) represents that he or she is duly
authorized and has the authority to execute this Compact on behalf of the tribe for whom
he or she is signing.



Sac and Fox Code Title

(AA) “Prize Claim” means a patron's dispute, in connection with (1) the play of
any authorized game of chance; (2) the amount of any prize which has been awarded;
(3) the failure to be awarded a prize; (4) or the right to receive a refund or other
compensation brought by a patron against a Gaming Operation pursuant to the
Compact and any subsequent revisions or amendments to the Compact.

[History: Public Law No. SF-08-180.]

(AB) “Tort Claim” means a claim for personal injury or property damage brought
by a patron against a Gaming Operation pursuant to the Compact and any subsequent
revisions or amendments to the Compact.

[History: Public Law No. SF-08-180.]
Section 1-103. Gaming Authorized

(A) _Class |, Class Il and Class IIl Gaming are hereby authorized within the
jurisdiction of the Nation.

[25 C.F.R, §522.6(b)-(c)]

(B) Class | Gaming shall continue to be exercised and controlled in the
traditional manner, and shall not be regulated by this Title.

(C) Class Il Gaming on Indian lands of the Nation shall continue to be within
the jurisdiction of the Nation, but shall be subject to the applicable provisions of the Act
of October 17, 1988, P.L. 100-497, 102 Stat. 2467.

[25 U.S.C. §2710(a)(2)]

(D) _ Class Il Gaming on Indian lands of the Nation shall continue to be within
the jurisdiction of the Nation, but shall be subject to the provisions of any Compact
which is in effect, or any Secretarial procedures approved by the Secretary of the
Interior in lieu of a compact, and applicable provisions of the Act of October 17, 1988,
P.L. 100-497, 102 Stat. 2467. In any conflict between this Law and the Compact or
Secretarial procedures, the relevant Compact provision(s) or Secretarial procedures
shall govern.

[26 U.S.C. §§2710(d)(1)(C), 2710(0)(5))
[History: Public Law No. SF-08-180.]
Chapter Two—PROVISIONS REQUIRED BY P.L. 100-497
Section 1-201. Ownership of Gaming
(A) _ The Nation shall have the sole proprietary interest in and responsibility for

the conduct of any Gaming Operation authorized by this Title. For purposes of this
section, the term “Nation” includes the Sac and Fox Tribe, Inc., other political and

8


TITLE 4 GAMING

Office of the Principal Chief
Sac and Fox Nation
920883 S. Highway 99
Stroud, Oklahoma 74079

Section 2-208. Payment of Taxes and Regulatory Fees to the Nation

Each Gaming Facility shall pay all Tribal taxes due, and its fair share of the regulatory
fees imposed by law to reimburse the Nation for the cost of regulating gaming within its Indian
lands.

Chapter Three—GENERAL PROVISIONS

Section 3-301. Complimentary Items

(A) The issuance, tracking, and reporting of complimentary items in a Gaming
Facility shall be governed by the Tribal Internal Control Standards regulations established by
the Commission and in accordance with policies and procedures adopted by the Gaming
Operation and approved by the Commission.

(B) Complimentary items may be distributed solely for the purpose of inducing
patronage of the Gaming Operation. Key Employees, Primary Management Officials,
members of the governing body of the Nation’s Gaming Operations, Commissioners,
employees of the Commission, and elected officials of the Nation, including judicial officers,
and their spouses, domestic partners, and household members shall not be eligible to receive
complimentary items; provided, however, that food and beverages reasonably and
appropriately provided and received in the normal course of business, such as business
meetings, seminars, and other business functions are not prohibited by this provision; and
provided further, that at public events held at a gaming facility, such as trade fairs,
conferences, or similar public activities, free food and beverages and other items offered to
all attending members of the general public may be equally offered to, and received by, such
persons.

(C) Complimentary Items shall be included in the annual budget for each gaming
facility, within maximum limits specified and approved by, the governing body of the Gaming
Operation.

Section 3-302, Compliance with Federal Law
In addition to its authority to enforce compliance with this Title and regulations issued

hereunder, the Commission is hereby delegated the authority to monitor, enforce, and
sanction violations of all federal laws and regulations applicable to the Nation’s gaming

12


care, housing, sewer and water projects, police, corrections, fire, judicial services,
highway and bridge construction, general assistance for tribal elders, day care for the
children, economic development, educational opportunities and other typical and
valuable governmental services and programs for tribal members.

6. The state recognizes that the positive effects of this Compact will extend beyond the
tribe’s lands to the tribe’s neighbors and surrounding communities and will generally
benefit all of Oklahoma. These positive effects and benefits may include not only those
described in paragraph 5 of this Part, but also may include increased tourism and related
economic development activities.

7. The tribe and the state jointly wish to protect their citizens from any criminal
involvement in the gaming operations regulated under this Compact.

Part 3. DEFINITIONS

As used in this Compact:

1. "Adjusted gross revenues" means the total receipts received from the play of all
covered games minus all prize payouts;

2. "Annual oversight assessment" means the assessment described in subsection B of Part
11 of this Compact;

3. "Central computer" means a computer to which player terminals are linked to allow
competition in electronic bonanza-style bingo games;

4. "Compact" means this Tribal Gaming Compact between the state and the tribe, entered
into pursuant to Sections 21 and 22 of the State-Tribal Gaming Act;

5. “Covered game" means the following games conducted in accordance with the
standards, as applicable, set forth in Sections 11 through 18 of the State-Tribal Gaming
Act: an electronic bonanza-style bingo game, an electronic amusement game, an
electronic instant bingo game, nonhouse-banked card games; any other game, if the
operation of such game by a tribe would require a compact and if such game has been: (i)
approved by the Oklahoma Horse Racing Commission for use by an organizational
licensee, (ii) approved by state legislation for use by any person or entity, or (iii)
approved by amendment of the State-Tribal Gaming Act; and upon election by the tribe
by written supplement to this Compact, any Class II game in use by the tribe, provided
that no exclusivity payments shall be required for the operation of such Class II game;

6. "Covered game employee" means any individual employed by the enterprise or a third
party providing management services to the enterprise, whose responsibilities include the
rendering of services with respect to the operation, maintenance or management of
covered games. The term "covered game employee" includes, but is not limited to, the



f. the identity, including identification information, of any persons
involved in the incident and any known witnesses to the incident, and

g. the tribal compliance officer making the report and any other persons
contributing to its preparation;

5. Books and records on all covered game activities of the enterprise shall be
maintained in accordance with generally accepted accounting principles (GAAP);
and

6. All documents generated in accordance with this Compact.

D. Use of Net Revenues. Net revenues that the tribe receives from covered games are to
be used for any one or more of those purposes permitted under IGRA:

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.

E. 1. The tribe’s rules and regulations shall require the enterprise at a minimum to
bar persons based on their prior conduct at the facility or who, because of their
criminal history or association with criminal offenders, pose a threat to the
integrity of the conduct of covered games.

2. The TCA shall establish a list of the persons barred from the facility.

3. The enterprise shall employ its best efforts to exclude persons on such list from
entry into its facility; provided, neither persons who are barred but gain access to
the facility, nor any other person, shall have any claim against the state, the tribe
or the enterprise or any other person for failing to enforce such bar.

4. Patrons who believe they may be playing covered games on a compulsive basis
may request that their names be placed on the list. All covered game employees
shall receive training on identifying players who have a problem with compulsive
playing and shall be instructed to ask them to leave. Signs and other materials
shall be readily available to direct such compulsive players to agencies where they
may receive counseling.

F. Audits.



Sac and Fox Code Title

operation of such card games or limitations on wagers or pot sizes in such card
games.

(3) The term "Class |! Gaming" does not include:

(a) Any banking card games, including baccarat, chemin de fer, or
blackjack (21), or

(b) Electronic or electromechanical facsimiles of any game of chance
or slot machines of any kind.

[25 U.S.C. §2703(7); 25 C.F.R. §502.3; United States v. 103 Electronic Gambling Devices, 223 F.3d 1091
(9th Cir. 2000); United States v. 1062 MegaMania Gambling Devices, 231 F.3rd 713 (10th Cir. 2000);
Diamond Games Enterprises v. Reno, 230 F.3rd 365 (D.C. Cir. 2000); Seneca-Cayuga Tribe of OK v.
NIGC, 327 F.3rd 1019, (10th Cir. 2003), cert. denied, 540 U.S. 1218 (2004).]

(D) _ “Class IIl Gaming” means all forms of gaming that are not Class | Gaming
or Class Il Gaming.

[25 U.S.C. §2703(8); 25 C.F.R. §502,4]

{E) “Collateral Agreement” means any contract, whether or not In writing, that
is related, either directly or indirectly, to a Management Contract, or to any rights, duties
or obligations created between the Nation (or any of its members, entities, or
organizations) and a management contractor or subcontractor (or any person or entity
related to a management contractor or subcontractor).

[25 C.F.R. §502.5; See, 25 U.S.C. §§2711(a)(3), 2712(a)}

(F) “Commission” or “Gaming Commission” means the Nation’s Gaming
Commission established to perform regulatory oversight and to monitor compliance with
Tribal, Federal, and State regulations or obligations made applicable by the Compact.

(G) “Commissioner” means any member of the Gaming Commission.

(H) “Compact” means the Tribal-State Compact concerning Class {I} Gaming
approved by Sac and Fox Resolution SF-05-74 (2005) and Oklahoma State Question
712 (2004) approved by the Secretary of the Interior and published in the Federal
Register pursuant to 25 U.S.C. §2710(d) on June 1, 2005 (70 Fed. Reg. 31499), and
any successor or additional class III Tribal-State Compacts entered into by the Nation
and approved pursuant to federal law.

(I) “Complimentary” means a service or item provided by a gaming facility at
no cost, or at a reduced cost.

(J) “Confidential Information’? means all private and proprietary information
belonging to the Nation, or to any political or business subdivision thereof which is
authorized to conduct gaming activities on the Indian lands of the Nation, or involved in
any way with the regulation of gaming which, if compromised, may have a significant

3


TITLE 4 GAMING

Commissioner may continue to serve beyond the expiration of his or her term until the
successor to such Commissioner has been appointed and confirmed.

(P) No person with a felony conviction for an offense an element of which involves
dishonesty or violence may be considered for appointment to the Commission.

(Q) The independence of the Commission is essential to a well-regulated Gaming
Operation. For that reason, Commissioners may only be removed from office by the Business
Committee prior to the expiration of their respective terms for neglect of duty, misconduct,
malfeasance, misfeasance, or other acts that would render a Commissioner unqualified for

his/her position.

(R) Any allegations of neglect of duty, misconduct, malfeasance, misfeasance, or
other acts that would render a Commissioner unqualified for his/her position must be
substantiated by a preponderance of the evidence.

(S) Any Commissioner subject to removal hereunder shall be given notice in
writing of the specific grounds for a pending removal and an opportunity at a hearing before
the Business Committee, which hearing shall be held not less than thirty (30) days after the
Commissioner's receipt of the Notice of Removal hereunder, to appear and present evidence
rebutting the grounds for his or her removal. Notice required hereunder may be made by
personal service or by certified mail with return receipt requested.

(T) | While a removal proceeding is underway pursuant to this section, the Business
Committee may, in its discretion, order immediate suspension, pending a final determination
concerning removal of a Commissioner who is subject to such proceeding.

(U) A final determination of the Business Committee removing a Commissioner
shall be subject to review by the Nation's courts solely with respect to errors of law, and all
findings of fact made by the Business Committee may be overturned only if clearly erroneous.

(Vv) A majority of the Commission shall constitute a quorum. A quorum shall be
required for a final determination by the Commission. The Commission may act in its official
capacity even if there is an absence.

(W) Gaming Commissioners shall be compensated at a level determined by the
Business Committee, provided that once established, compensation shall not be reduced
during a Commissioner's term. Commissioner compensation shall not be based on a
percentage of gaming revenue to ensure the Commission is not improperly influenced.

(X) Commissioners shall be reimbursed from Commission budgeted funds for all
necessary and reasonable travel and other reasonable and necessary expenses which may

be incurred by them from time to time, in accordance with tribal policies and procedures as
may be in effect from time to time for the Nation generally.

Section 4-402. Buildings and Equipment

29


Sac and Fox Code Title

(A) The Commission shall prepare and forward a report on each background
investigation of each Key Employee or Primary Management Official to the NIGC. An
investigative report shall include all of the following:

(1) Steps taken in conducting a background investigation;
(2) Results obtained;
(3) Conclusions reached; and

(4) The bases for those conclusions.
[25 C.F.R. $556.5(a), (6)]

(B) The Commission shall forward the completed investigative report to the
NIGC within 60 days after a Key Employee or Primary Management Official begins
work,

[25 C.F.R. §558,3(b)}

(C) The Commission shall submit, with the investigative report, a copy of the
eligibility determination, unless the NIGC shall have advised the Commission that the
submission of the eligibility determination is not necessary.

[25 C.F.R. §556,5(o)]
(D) Ifa license is not issued to an applicant, the Commission:
(1) Shall notify the NIGC; and

(2) Shall forward coples of its eligibility determination and investigative
report (if any) to the NIGC for inclusion in the Indian Gaming Individuals Records
System.

[25 C.F.R. §556.5(d)}

(E) The Commission shall retain all applications for employment and reports
(if any) of background investigations for no less than three (3) years from the date of
termination of employment, or denial of a license application. Records concerning
applicants for licenses as Key Employees or Primary Management Officials shall be
made available for inspection by the Chairman of the NIGC or his or her designee.

[25 C.F.R. §558.1 (c)]
[History: Public Law No. SF-08-180.]
Section 1-519. Granting a Gaming License

(A) __ If, within a thirty (30) day period after the NIGC receives a report, the
NIGC notifies the Gaming Commission that it has no objection to the issuance of a

32


TITLE 4 GAMING

Nation’s Court or any other court of competent jurisdiction.

Section 4-435, Record of Final Assessments

The Commission shall keep a continuing record of all civil fines and civil penalties
owing to the Nation and shall include a summary thereof in its annual report. The Commission
may recommend charge offs of such civil fines and civil penalties which, in the judgment of
the Commission, are uncollectible, and upon formal resolution of the Business Committee
these fines may be charged off as uncollectible, and all records shall be properly amended to

reflect such charge offs.

Section 4-436, Deposit of Fines and Penalties Collected

All income from the collection of civil fines and civil penalties shall be deposited into
the Treasury Account of the Nation and may be appropriated by the Business Committee for
the same purposes for which general revenues from taxation may be used.

Section 4-437. Personal Jurisdiction

(A) Any person who:

(1) Applies for and/or is granted a license under this Title;

(2) Applies for employment in any Gaming Facility licensed and/or
regulated under this Title;

(3) Enters into any contract, engagement, or agreement with a Gaming
Operation, Gaming Facility; or Ancillary Activity of a Gaming Operation, or enters into
a management contract with the Nation; or

(4) Participates in any Gaming Activity authorized by this Title or enters
onto the premises of any Gaming Facility licensed under this Code — is subject to the
civil jurisdiction of the Nation, Commission, and the Nation's Courts and a person’s
performance of any of these acts shall constitute consent to the Nation’s exercise of

such jurisdiction.

(B) Limitation. Nothing in this Section shall limit the jurisdiction of the Nation, the
Commission, or the Nation’s Court under any circumstances not explicitly contemplated in
this Title, nor shall this Title be construed to waive, in whole or in part, the Nation’s or
Operator’s sovereign immunity from unconsented suit.

Section 4-438. Failure to Comply

36


sonal 'No,

©)

5»
w N,
“ony

1}, S
Me comN?

November 20, 2008

George Thurman
Principal Chief
Sac and Fox Nation
Box 246

Stroud, OK 74079

Dear Chief Thurman:

This is in response to your request, dated October 29, 2008, to review and
approve the second amended Sac and Fax Nation Gaming Ordinance of 2008, adopted
through Resolution SF-09-10 on October 17, 2008. Your request is hereby approved
under the Indian Gaming Regulatory Act (IGRA), 25 U.S.C. § 2710.

The Sac and Fox Nation Gaming Ordinance of 2008 is a comprehensive rewrite
of the Nation’s first gaming code adopted in 1993 and approved in 1994, Among other
things, the new code adds authorization to play Class III games in accordance with the
Nation’s tribal-state compact. The new code also sets forth the powers delegated to the
Nation’s Gaming Commission. I believe that the new gaming code will serve the Nation
well, and I wish you and the Nation success on your gaming endeavors.

If you have any questions about this matter, you may contact Senior Attorney
Jeffrey Nelson at (202) 632-7003.

Sincerely, ?p

y, x MEE”
Af
La

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


requirement herein to the extent that they are providing services covered by their
professional licenses.

2. Background investigations and licensing shall follow the same process and
apply the same criteria as for covered game employees set forth in paragraph 6 of
subsection A of this Part.

3. In the case of a license application of any entity, all principals thereof shall be
subjected to the same background investigation required for the licensing of a
covered game employee, but no license as such need be issued; provided, no
license shall be issued to the entity if the TCA determines that one or more of its
principals will be persons who would not be qualified to receive a license if they
applied as covered game employees.

4, Nothing herein shall prohibit the TCA from processing and issuing a license to
a principal in his or her own name.

5. Licenses issued under this subsection shall be reviewed at least every two (2)
years for continuing compliance, and shall be promptly revoked if the licensee is
determined to be in violation of the standards set forth in paragraph 6 of
subsection A of this Part. In connection with such a review, the TCA shall require
the person or entity to update all information provided in the previous application.

6. The enterprise shall not enter into, or continue to make payments pursuant to,
any contract or agreement for the provision of goods or services with any person
or entity who does not meet the requirements of this Part including, but not
limited to, any person or entity whose application to the TCA for a license has
been denied, or whose license has expired or been suspended or revoked.

7, Pursuant to 25 C.F.R., Part 533, all management contracts must be approved by
the Chair of the National Indian Gaming Commission. The SCA shall be notified
promptly after any such approval.

8. In addition to any licensing criteria set forth above, if any person or entity
seeking licensing under this subsection is to receive any fee or other payment
based on the revenues or profits of the enterprise, the TCA may take into account
whether or not such fee or other payment is fair in light of market conditions and

practices.

1. Subject to the exceptions set forth in paragraph 4 of this subsection, any person
or entity extending financing, directly or indirectly, to the facility or enterprise in
excess of Fifty Thousand Dollars ($50,000.00) in any twelve-month period shall
be licensed prior to providing such financing. Principals thereof shall be subjected
to background investigations and determinations in accordance with the
procedures and standards set forth in subsection A of this Part. Licenses issued
under this section shall be reviewed at least every two (2) years for continuing



TITLE 4 GAMING

(E) Provide written annual reports to the Business Committee and Governing
Council on the status of the Nation's Gaming Operations no later than June 1st of each
calendar year.

Section 4-408. Record Keeping System

(A) | Each Gaming Operation shall keep and maintain sufficient books and records
to substantiate the receipts, expenses, and uses of revenues relating to the conduct of
Gaming and Ancillary Activities.

(B) All books and records relating to the gaming and Ancillary activities, including
the records of any Primary Management Official, the Nation, and the Commission, must be
maintained separately from each other to facilitate auditing of these books and records to
ensure compliance with applicable gaming laws and regulations.

(C) All records shall be maintained for a period of five (5) years pursuant to
generally accepted accounting principles and shall be suitable for audit pursuant to the
standards of the American Institute of Certified Public Accountant (AICPA).

(D) The Commission shall establish a complete record keeping system and
procedures necessary to ensure efficient record keeping and secure administrative control of
the record keeping system. At a minimum, this record keeping system will:

(1) | Maintain all records concerning licenses issued, persons denied
licenses, persons prohibited from engaging in gaming activities, persons who have
voluntarily requested that they not be allowed to participate in gaming within the
Nation's jurisdiction, and all other official activities of the Gaming Commission.

(2) Upon request, furnish such information as may be in its possession to
the Principal Chief, the Business Committee, the Governing Council, or any relevant
committee or department thereof, concerning: (1) proposed management contracts
and the principals of any entity proposing such management contract; (2) proposed
gaming sites or locations; or, (3) transactions for the purchase or lease of gaming
machines, equipment, supplies, and the manufacturers and/or suppliers thereof.

(3) Maintain an administrative record for actions taken by the Commission.

(4) Provide adequate safeguards to protect confidential information and
guard against its disclosure other than as may be authorized or required by law.

(5) Unless otherwise specified in this Title, the record retention period for
Commission records shall be five (5) years.

Section 4-409. Reporting NIGC Actions

32


Sac and Fox Code Title

THAT: this Ordinance shall be effective upon its approval by the Chairman of the
National Indian Gaming Commission, and shall be promptly filed in the Office of
the Court Clerk of the Sac and Fox Nation upon such approval, and

Tat: this Ordinance shall be codified at the appropriate locations in the Sac and Fox
Code of Laws.

CERTIFICATION

WE, George Thurman, Principal Chief, and Gwen McCormick Wilburn, Secretary of the
Sac and Fox Nation, do hereby certify the foregoing Resolution: P.L. #SF-09-10, to be
a true, complete, and exact copy of the resolution as approved by the Business
Committee in a properly called, noticed, and convened meeting held at the Sac and Fox
Capitol Grounds, Sac and Fox Reservation, Stroud, Oklahoma on the day and year
above stated, a quorum being present, by a vote of: George Thurman-yes, Cheryl

McClellan Tofpi-yes, Michael Hackbarth-yes, Gwen McCormick Wilburn: n-yes, and Stella
Nullake Nanaeto-yes.

i aa Zi /
ihr

George Thurman, Principal Chief ‘Gwen Motor Witbtirt'Seore hap
N ‘

Sac and Fox Nation Sac and Fox



Sac and Fox Code Title

license pursuant to a license application filed by a Key Employee or a Primary
Management Official for whom the Gaming Commission has provided an application
and investigative report to the NIGC, the Commission may issue a license to such
applicant.

[25 C.F.R. §558.4(a)]

(B) |The Commission shall respond to a request for additional information from
the Chairman of the NIGC concerning a Key Employee or a Primary Management
Official who is the subject of a report. Such a request shall suspend the 30-day period
under paragraph (A) of this section until the Chairman of the NIGC receives the
additional information.

[25 C.F.R. §558.4(b)}

(C) If, within the thirty (30) day period described above, the NIGC provides the
Gaming Commission with a Statement itemizing objections to the issuance of a license
to a Key Employee or to a Primary Management Official for whom the Commission has
provided an application and investigative report to the NIGC, the Gaming Commission
shall reconsider the application, taking into account the objections itemized by the
NIGC.[25 C.F.R. §558.4(b)]

(D) The Gaming Commission shall make the final decision whether to issue a
license to such applicant.

(25 C.F.R. §558.4(b)}
{History: Public Law No. SF-08-180.]
Section 1-520. License Term

The Key Employee or a Primary Management Official gaming license issued
Shall be valid for a period of two years from the date of issue so long as the employee
remains employed within the gaming industry in the Nation, and shall be renewable on
such terms and conditions as the Commission may establish by regulation.

[See, 25 C.F.R. §§558.2, 558.4(b)]
[History: Public Law No. SF-08-180,]
Section 1-521. License Suspension or Revocation

(A) _ If, after the issuance of a gaming license, the Commission receives from
the NIGC or any other source reliable information indicating that a Key Employee or a
Primary Management Official is not eligible for employment, the Commission shall
suspend such license and shall notify in writing the licensee of the suspension and the
proposed revocation.

[25 CFR. §558.5(b)]


3A O.S. §280. Offer of Model Tribal Gamin:

The State of Oklahoma through the concurrence of the Governor after considering the
executive prerogatives of that office and the power to negotiate the terms of a compact
between the state and a tribe, and by means of the execution of this act, and with the
concurrence of the State Legislature through the enactment of this act, hereby makes the
following offer of a model tribal gaming compact regarding gaming to all federally
recognized Indian tribes as identified in the Federal Register within this state that own or
are the beneficial owners of Indian lands as defined by the Indian Gaming Regulatory
Act, 25 U.S.C., Section 2703(4), and over which the tribe has jurisdiction as recognized
by the Secretary of the Interior and is a part of the tribe’s "Indian reservation" as defined
in 25 C.F.R., Part 151.2 or has been acquired pursuant to 25 C.F.R., Part 151, which, if
accepted, shall constitute a gaming compact between this state and the accepting tribe for
purposes of the Indian Gaming Regulatory Act. Acceptance of the offer contained in this
section shall be through the signature of the chief executive officer of the tribal
government whose authority to enter into the compact shall be set forth in an
accompanying law or ordinance or resolution by the governing body of the tribe, a copy
of which shall be provided by the tribe to the Governor. No further action by the
Governor or the state is required before the Compact can take effect. A tribe accepting
this Model Tribal Gaming Compact is responsible for submitting a copy of the Compact
executed by the tribe to the Secretary of the Interior for approval and publication in the
Federal Register. The tribe shall provide a copy of the executed Compact to the
Governor. No tribe shall be required to agree to terms different than the terms set forth in
the Model Tribal Gaming Compact, which is set forth in Section 22 of this act. As a
precondition to execution of the Model Tribal Gaming Compact by any tribe, the tribe
must have paid or entered into a written agreement for payment of any fines assessed
prior to the effective date of the State-Tribal Gaming Act by the federal government with
respect to the tribe’s gaming activities pursuant to the Indian Gaming Regulatory Act.

Notwithstanding the provisions of Sections 941 through 988 of Title 21 of the Oklahoma
Statutes, the conducting of and the participation in any game authorized by the model
compact set forth in Section 22 of this act are lawful when played pursuant to a compact
which has become effective.

Twelve percent (12%) of all fees received by the state pursuant to subsection A of Part 11
of the Model Tribal Gaming Compact set forth in Section 22 of this act shall be deposited
in the Oklahoma Higher Learning Access Trust Fund, and eighty-eight percent (88%) of
such fees shall be deposited in the Education Reform Revolving Fund. Provided, the first
Twenty Thousand Eight Hundred Thirty-three Dollars and thirty-three cents ($20,833.33)
of all fees received each month by the state pursuant to subsection A of Part 11 of the
Model Tribal Gaming Compact set forth in Section 22 of this act shall be transferred to
the Department of Mental Health and Substance Abuse Services for the treatment of
compulsive gambling disorder and educational programs related to such disorder.

" Historical Data



TITLE 4 GAMING

(B) This eligibility determination may include a statement describing how the
information submitted by the applicant was verified; a summary of results following an inquiry
into the applicant's prior activities, criminal record, if any, and reputation, habits and
associations; a statement showing the results of interviews of a sufficient number of
knowledgeable people (such as former employers, personal references, and others referred
to by the applicant) in order to provide a basis for the Commission to make a finding
concerning the eligibility for licensing required for employment in a Gaming Operation; and a
statement documenting the disposition of all potential problem areas noted and potential
disqualifying information obtained. A copy of the investigative report showing this information
may be attached to the Eligibility Determination submitted to the NIGC unless these matters
are restated in that instrument.

Section 5-517. Notice of Results of Background Investigations

(A) Before issuing a license to a Primary Management Official or Key Employee,
the Commission shall prepare a notice of results of the applicant’s background investigation
to submit to the NIGC. The notice of results must be submitted to the NIGC no later than 60
days after the applicant begins working for the Gaming Operation. The notice of results shall
include all of the following:

(1) The applicant’s name, date of birth, and Social Security number (SSN);

(2) The date on which the applicant began, or will begin, working as a
Primary Management Official or Key Employee;

(3) A summary of the information presented in the investigative report,
including licenses that have previously been denied; gaming licenses that have been
revoked, even if subsequently reinstated; every known criminal charge brought
against the applicant within the last 10 years of the date of the application; and every
felony offense of which the applicant has been convicted or any ongoing prosecution;

and
(4) Acopy of the Eligibility Determination made in accordance with Section
1-516.
Section 5-518. Investigative Reports

(A) Before issuing a license to a Primary Management Official or Key Employee,
the Commission shall create and maintain an Investigative Report for each background
investigation of each Key Employee or Primary Management Official and provide a copy to
the NIGC. An Investigative Report shall include all of the following:

(1) Steps taken in conducting a background investigation;

(2) Results obtained;

42


Sac and Fox Code Title

Commission shall be final and unappealable, except as may otherwise be provided by
applicable federal or tribal law. In such a case, appeals shall be taken only to the Sac
and Fox Courts. The Nation expressly preserves all aspects of its sovereign immunity
against lawsuits in any such circumstance or case.

(C) No liability of any kind or nature shall ever attach to the Nation as a result
of any dispute or the final decision of the Commission. The sovereign immunity of the
Nation against lawsuit of its officials, acting in their official capacities, is expressly
Teserved in any instance.

(D) A copy of the provisions of this section shall be appropriately posted
conspicuously and in plain view of the gaming public at all gaming facilities within the
Jurisdiction of the Nation.

(E) Each Gaming Operation engaged exclusively in Class {! Gaming
operations shall maintain public fiability insurance with llabllity limits not less than the
amount required by regulation of the Commission, and the Compact, if applicable, for
the express purposes of covering and satisfying tort claims against that facility.

Section 1-306, Right of Appeal & Finality of Decisions

The parties to an authorized judicial proceeding before the District Court of the
Nation in which a prize claim or tort claim is in dispute shall have the right to appeal to
the Supreme Court of the Nation as provided by law. A decision of the Sac and Fox
District Court that is not appealed, or a decision of the Supreme Court of the Nation
shall be final and conclusive.

[History: Public Law No. SF-08-180.]
Chapter Four—GaminG Commissioner POWERS & DUTIES
Section 1-401. Gaming Commission

(A) The Nation hereby establishes a Gaming Commission who shall regulate
tribal gaming operations. The Commission shall consist of three members, at least two
of whom must be enrolled members of the Sac and Fox Nation. There shall be among
them a Chairperson, Vice Chairperson, and at least one additional Commissioner. The
Commission may employ an Executive Director who may also serve as a
Commissioner.

(B) _ The purpose of the Gaming Commission is regulatory, not managerial.
The Commission will conduct oversight to ensure compliance with tribal, federal, and, if
applicable by Compact, state laws and regulations. The Commission will serve as the
licensing authority for individuals employed in the Gaming Operation and will administer
background investigations as part of the licensing process. The Commission will also
have a role in monitoring compliance with the internal controls for the gaming operation
and in tracking revenues. The Gaming Commission will also monitor all gaming
operations through clandestine surveillance of all areas of each gaming facility. In order

16


TITLE 4 GAMING

(R) “Gaming Operation” means an economic entity of the Nation licensed to
manage and operate the Nation’s Class II and/or Class Ill Gaming activities and Ancillary
Activities thereto, including: (1) any federally chartered entity of the Nation; (2) any
subdivision of the Nation; (3) any economic entity established by the Nation under Nation law;
and/or any gaming management contractor, but only when the Management Contract has
been properly approved by the Nation and the Chairman of the NIGC.

(S) | “Gaming Vendor’ means any person or entity that provides gaming or gaming-
related goods and services, including, for example, cash-related services, player
tracking/rewards systems, accounting software, ticket redemption systems, kiosks, back-of-
house software systems, currency processing equipment, or any equipment, device, or
service directly or indirectly supporting gaming activities.

(T) “Grievance Committee” means the Grievance Committee of the Sac and Fox
Nation.

(U) “Indian Lana" or "Indian Lands" means all lands of the Sac and Fox Nation that
meet the definition of Indian lands as defined in 25 U.S.C. § 2703(4).

(Vv) “Key Employee” means:
(1) | A person who performs one or more of the following functions:
(a) Bingo caller;
(b) Counting room supervisor;
(c) Chief of security;
(d) | Custodian of gaming supplies or cash;
(e) Floor manager;
(f) Pit boss;
(g) Dealer;
(h) — Croupier;
(i) Approver of credit; or

(i) 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 exceeds $50,000 per year;


TITLE 4 GAMING

TITLE 4: SAC AND Fox NATION
GAMING ORDINANCE OF 2018

Table of Contents

Section 1-1. FINDINGS AND DECLARATIONS.
Section 1-2. REPEAL OF PRIOR ORDINANCE

Chapter One—PRELIMINARY PROVISIONS AND DEFINITIONS......

Section 1-101. Purpose...
Section 1-102. Jurisdiction
Section 1-103. Definitions.
Section 1-104. Gaming Authorized...

Chapter Two—Provisions REQUIRED BY PUBLIC Law 100-497

Section 2-201. Ownership of Gaming...
Section 2-202. Use of Gaming Revenue
Section 2-203. Per Capita Payments...
Section 2-204. Independent Audits Required.
Section 2-205. Environment, Public Health, and Safety
Section 2-206. Internal Control Standards
Section 2-207. Agent for Service of Process
Section 2-208. Payment of Taxes and Regulatory Fees to the Natio

Chapter Three—GENERAL PROVISIONS.

Section 3-301. Complimentary Items...
Section 3-302. Compliance with Federal La’
Section 3-303. Ethical Conduct Respecting Gaming
Section 3-304. Violations
Section 3-305. Sovereign Immunity
Section 3-306. Patron Dispute Resolution by Gaming Operation
Section 3-307. Prize Claims
Section 3-308. Tort Claims
Section 3-309. Right of Appeal & Finality of Decision:

Chapter Four—Gaminc Commissioner POWERS & DUTIES .....

Section 4-401. Gaming Commission...
Section 4-402, Buildings and Equipment
Section 4-403. Personnel...
Section 4-404, Reasonable Assistance.
Section 4-405. Enforcement Authority



for the claim. Representatives of the tribe and state shall meet within thirty (30)
days of receipt of notice in an effort to resolve the dispute;

2. Subject to the limitation set forth in paragraph 3 of this Part, either party may
refer a dispute arising under this Compact to arbitration under the rules of the
American Arbitration Association (AAA), subject to enforcement or pursuant to
Teview as provided by paragraph 3 of this Part by a federal district court. The
remedies available through arbitration are limited to enforcement of the
provisions of this Compact. The parties consent to the jurisdiction of such
arbitration forum and court for such limited purposes and no other, and each
waives immunity with respect thereto. One arbitrator shall be chosen by the
parties from a list of qualified arbitrators to be provided by the AAA. If the parties
cannot agree on an arbitrator, then the arbitrator shall be named by the AAA. The
expenses of arbitration shall be borne equally by the parties.

A party asserting noncompliance or seeking an interpretation of this Compact
under this section shall be deemed to have certified that to the best of the party’s
knowledge, information, and belief formed after reasonable inquiry, the claim of
noncompliance or the request for interpretation of this Compact is warranted and
made in good faith and not for any improper purpose, such as to harass or to cause
unnecessary delay or the needless incurring of the cost of resolving the dispute. If
the dispute is found to have been initiated in violation of this Part, the Arbitrator,
upon request or upon his or her own initiative, shall impose upon the violating
party an appropriate sanction, which may include an award to the other party of
its reasonable expenses incurred in having to participate in the arbitration; and

3. Notwithstanding any provision of law, either party to the Compact may bring
an action against the other in a federal district court for the de novo review of any
arbitration award under paragraph 2 of this Part. The decision of the court shall be
subject to appeal. Each of the parties hereto waives immunity and consents to suit
therein for such limited purposes, and agrees not to raise the Eleventh
Amendment to the United States Constitution or comparable defense to the
validity of such waiver.

Nothing herein shall be construed to authorize a money judgment other than for damages
for failure to comply with an arbitration decision requiring the payment of monies.

Part 13. CONSTRUCTION OF COMPACT; FEDERAL APPROVAL

A. Each provision, section, and subsection of this Compact shall stand separate and
independent of every other provision, section, or subsection. In the event that a federal
district court shall find any provision, section, or subsection of this Compact to be
invalid, the remaining provisions, sections, and subsections of this Compact shall remain
in full force and effect, unless the invalidated provision, section or subsection is material.



TITLE 4 GAMING

Management Officials who have not completed an application containing the notices set forth
above that they shall either:

(1) | Complete a new application form that contains both the Privacy Act and
False Statement notices; or

(2) Sign a statement that contains the Privacy Act and False Statement
notices and consent to the routine uses described in that notice.

Section 5-513. Fingerprints

Each applicant for a Key Employee or Primary Management Official license shall be
required to have fingerprints taken as part of the license application procedure. Fingerprints
shall be taken by the Commission or designee and forwarded to the NIGC for processing
through the FBI to determine the applicant’s criminal history, if any.

Section 5-514. Background investigations

(A) The Tribe shall perform a background investigation for each Primary
Management Official and each Key Employee in its Gaming Operations. The investigation
must be sufficient to allow the Commission to make an eligibility determination under Section
1-516 of this Ordinance. The Commission shall conduct or cause to be conducted the
background investigations of Primary Management Officials and Key Employees. The
background investigation shall include a check of criminal history records information
maintained by the Federal Bureau of Investigations.

(B) |The Commission shall request from each Primary Management Official and
from each Key Employee all of the following information:

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

(2) Currently and for the previous five (5) years: business and employment
positions held, ownership interests in those businesses, business and residence
addresses, and drivers’ license numbers;

(3) | The names and current addresses of at least three (3) personal
references, including one (1) personal reference who was acquainted with the
applicant during each period of residence listed under paragraph (B)(2) of this section;

(4) Current business and residence telephone numbers, and all cell phone
numbers;

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

39


Sac and Fox Code Title

Chapter One—PRELIMINARY PROVISIONS AND DEFINITIONS
Section 1-101. Purpose

; This Title governs all gaming operations on the Sac and Fox Nation's Indian
jands.

fHistory: Public Law No. SF-08-180.j
Section 1-102, Definitions

Unless a different meaning is clearly indicated in this Law, the terms used herein
shall have the same meaning as defined in the IGRA, 25 U.S.C. §2701 et seq., and Its
authorized regulations, currently found at 25 C.F.R. §500 et seq. Specifically:

(A) “Business Committee” means the Business Committee of the Nation as
provided in Art. Ill of the CONST. OF THE SAC & FOX NATION.

(B) “Class | Gaming’ means social games solely for prizes of minimal value or
traditional forms of Indian gaming engaged in by individuals as a part of, or in
connection with, tribal ceremonies or celebrations.

125 U.S.C. §2703(6); 25 C.F.R. §502.2]
(C) “Class Il Gaming” means:

{1) | The game of chance commonly known as bingo (whether or not
electronic, computer, or other technologic aids are used in connection therewith):

(a) Which is played for prizes, including monetary prizes, with
cards bearing numbers or other designations,

(b) In which the holder of the card covers such numbers or
designations when objects, similarly numbered or designated, are drawn
or electronically determined, and

(c) In which the game is won by the first person covering a
previously designated airangement of numbers or designations on such
cards, including (if played In the same location) pull-tabs, lotto, punch
boards, tip jars, instant bingo, and other games similar to bingo, and

(2) Card games that:
(a) Are explicitly authorized by the laws of the State, or

(b) Are not explicitly prohibited by the laws of the State and are played
at any location in the State, but only is such card games are played In conformity
with those laws and regulations (if any) of the State regarding hours or periods of


Sac and Fox Code Title

[25 U.S.C. §2710(b)(2) (D); 25 C.F.R. §522.4(b)(4)]
[History: Public Law No, SF-08-180.}
Section 1-205. Environmental Health and Safety

(A) The Commission will ensure gaming facilities shall be constructed,
maintained and operated in a manner that adequately protects the environment and the
public health and safety.

[25 U.S.C. §2710{b)(2)(E),+ 25 C.F.R. §522,4(b\(7)]

{B) | The Commission will ensure each Gaming Operation shall adopt policies
and procedures that assure adequate protection of the environment and the public
health and safety at all gaming facilities.

(C) The policies and procedures issued by each Gaming Operation shall
establish minimum standards for gaming facilities with regard to:

(1) | Emergency preparedness for natural and man-made disasters;
(2) Food & water quality and safety;

(3) Environmental and safety hazards relating to construction &
maintenance;

(4) Handling and disposal of hazardous and waste materials; and
(5) Sanitation.

Each Gaming Operation shall consult with the professional staff of the Blackhawk
Health Clinic, the Sac and Fox Police Department, and the Sac and Fox Justice
Department regarding public health and safety issues mentioned in this Section, and
take their views into account in the preparation of its policies and procedures.

[67 Fed. Reg. 46109 (July 12,2002)

(D) The Commission shall require each gaming facility to conduct annual
inspections of each gaming facility, and may inspect any gaming facility at such times
as it deems necessary. One copy of each inspection report shall be provided to the
governing body of the inspected Gaming Operation, and the Commission.

167 Fed. Reg. 46109 (July 12,2002)]

(E) The Gaming Commission may bring any enforcement action necessary to
enforce compliance with the policies and procedures issued pursuant to this Section.

{67 Fed. Reg. 46109 (July 12,2002)]

11


VIA FIRST CLASS MAIL.
September 26, 2018

Mr. Stephen Ward, Esq.
Conner & Winters, LLP
4000 One Williams Center
Tulsa, OK 74172-0148

Re: Sac and Fox Nation Revision to Gaming Ordinance; Resolution No. SF-18-175

Dear Mr. Ward:

This letter responds to your July 19, 2018 request on behalf of the Sac and Fox Nation for the National
Indian Gaming Commission Chairman to review and approve an amendment to the Tribe’s gaming ordinance.

Resolution Number SF-18-175 revises the Tribe’s Gaming Ordinance in entirety. Through this revision,
the amended 2008 Gaming Ordinance is revoked, superseded and replaced.

The gaming ordinance is approved as it is consistent with the requirements of the Indian Gaming
Regulatory Act and NIGC regulations. If you have any questions concerning this letter or the ordinance review
process, please contact Suzanne Nunn at (202) 632-7013.

Sincerely,

/ Ls

Jonodev O. Chaudhuri
Chairman

ce: Business Committee, Sac and Fox Nation, via facsimile (918) 968-1142
Rodney Casteel, Executive Director, Sac and Fox Nation Gaming Commission,

via facsimile (405) 273-1372
Elizabeth Lohah Homer, Homer Law Chartered, via facsimile (202) 955-5605

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop #1621 Washington, DC 20240 Tel: 202.632.7003 Fax: 202.632.7066

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

WWW.NIGC.GOV


Sac and Fox Code Title

and

(2) Whether the applicant is a partnership, corporation, limited liability
company, sole proprietorship, or other entity;

(3) If the applicant is a corporation, the place of incorporation, and the
qualification to do business within the jurisdiction of the Nation unless it be a
domestic corporation.

(4) Trade name, other names ever used, names of any wholly owned
subsidiaries or other businesses owned by the vendor or its principals;

(5) General description of the business and its activities;

(6) | Whether the applicant will be investing in or loaning money to the
Gaming Operation and, if so, how much;

(7) A description of any existing and previous business relationships
with the gaming industry generally, including ownership interests in those
businesses;

(8) A list of Indian tribes with which the vendor has an existing or
previous business relationship, including ownership, financial, or management
interests in non-gaming activities;

(9) Names, addresses, and phone numbers of three business
references with whom the company had regularly done business for the last five
years;

(10) The name and address of any licensing or regulatory agency with
which the business has filed an application for a license or permit related to
gaming, whether or not such license or permit was granted;

(11) If the business has ever had a license revoked for any reason, the
circumstances involved;

(12) A list of lawsuits to which the business has been a defendant,
including the name and address of the court involved, and the date and
disposition if any;

(13) List the business’ funding sources and any liabilities of $50,000 or
more, unless the business is publicly traded, or is willing to submit a certified
financial statement;

(14) A list of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership in the
company;

37


22. "Rules and regulations" means the rules and regulations promulgated by the Tribal
Compliance Agency for implementation of this Compact,

23. "Standards" means the descriptions and specifications of electronic amusement
games, electronic bonanza-style bingo games and electronic instant bingo games or
components thereof as set forth in Sections 11 through 18 of the State-Tribal Gaming Act
as enacted in 2004 or as amended pursuant to paragraph 27 of this Part or subsection D of
Part 13 of this Compact, including technical specifications for component parts,
requirements for cashless transaction systems, software tools for security and audit
purposes, and procedures for operation of such games;

24. "State" means the State of Oklahoma;

25. "State Compliance Agency" ("SCA") means the state agency that has the authority to
carry out the state’s oversight responsibilities under this Compact, which shall be the
Office of State Finance or its successor agency. Nothing herein shall supplant the role or
duties of the Oklahoma State Bureau of Investigation under state law. The Oklahoma
Horse Racing Commission and the Oklahoma Tax Commission shall have no role in
regulating or oversight of any gaming conducted by a tribe;

26. "Tribal Compliance Agency" ("TCA") means the tribal governmental agency that has
the authority to carry out the tribe’s regulatory and oversight responsibilities under this
Compact. Unless and until otherwise designated by the tribe, the TCA shall be the Sac
and Fox Nation Gaming Commission. No covered game employee may be a member or
employee of the TCA. The tribe shall have the ultimate responsibility for ensuring that
the TCA fulfills its responsibilities under this Compact. The members of the TCA shall
be subject to background investigations and licensed to the extent required by any tribal
or federal law, and in accordance with subsection B of Part 7 of this Compact. The tribe
shall ensure that all TCA officers and agents are qualified for such position and receive
ongoing training to obtain and maintain skills that are sufficient to carry out their
responsibilities in accordance with industry standards;

27. "State-Tribal Gaming Act" means the legislation in which this Model Tribal Gaming
Compact is set forth and, at the tribe’s option, amendments or successor statutes thereto;

28. "Tribal law enforcement agency" means a police or security force established and
maintained by the tribe pursuant to the tribe’s powers of self-government to carry out law
enforcement duties at or in connection with a facility, and

29. "Tribe" means the Sac and Fox Nation.

Part 4. AUTHORIZATION OF COVERED GAMES

A. The tribe and state agree that the tribe is authorized to operate covered games only in
accordance with this Compact. However, nothing in this Compact shall limit the tribe’s



SF-18-175
July 5, 2018

Page 2 of 2

WHEREAS, the Business Committee finds that the attached “Gaming Ordinance of 2018”

should be adopted as the Nation’s law and codified at Title 4 of the Nation’s Code
of Laws, and the Gaming Ordinance of 2018 should be submitted to the National
Indian Gaming Commission for approval.

NOW, THEREFORE BE IT ENACTED BY the Business Committee of the Sac and Fox
Nation, pursuant to the authority vested therein by the Constitution and Charter:

That:

That:

That:

That:

Upon adoption and enactment of the Gaming Ordinance of 2018 by this Business
Committee, it shall be submitted to the Chairman of the NIGC for approval
pursuant to 25 U.S.C. §§ 2710(b) and (d); and

Upon approval of this law by the Chairman of the NIGC as required by federal law,

the current Title 4 of the Sac and Fox Code of Law is hereby amended by replacing
the existing language in its entirety with the attached Gaming Ordinance of 2018;

and

The Gaming Ordinance of 2018 shall be effective as set forth herein and upon their
approval by the Chairman of the NIGC, and such shall be promptly filed in the
Office of the Court Clerk of the Nation upon such approval; and

The Gaming Ordinance of 2018 shall be codified at Title 4 of the Sac and Fox Code
of Laws.

CERTIFICATION

WE, Kay Rhoads, Principal Chief, and Jacklyn K. King, Secretary, of the Sac and Fox Nation, do
hereby certify Resolution SF-18-175 to be a true and exact resolution as approved by the Business
Committee in a Recessed Special meeting at the Sac and Fox Reservation, Stroud, Oklahoma, on
the 5" day of July, 2018, by the vote of: Kay Rhoads-Yes; Audrey R. Lee-Yes; Jacklyn K. King-
Absent; Jared A. King-Yes; and Robert E. Williamson-Yes.

U b-teo— f donde ram Bice

Kay Roadg, Prindjpal Chief Cdécklyn K (King, Secretary ()

Sac & Fox’

lation Sac and Fox Nation



Sac and Fox Code Title

(15) Any further information the Gaming Commission deems relevant.

(B) The following notice shall be placed on the application form for a vendor
and its principals:

Inclusion of false or misleading information in the vendor application may
be grounds for denial or revocation of the vendor license.

{History: Public Law No. SF-08-180.]
Section 1-544. Vendor Background Investigation

Subject to the regulations of the Gaming Commission, the Gaming Commission
shall complete an investigation of the gaming vendor. This investigation shall contain,
at a minimum, the following steps:

(A) Verify the business’ incorporation status, if any, and qualification to do
business in the Jurisdiction of the Nation;

(B) Obtain a business credit report, if available, and/or conduct a Better
Business Bureau check on the vendor;

(C) Call at least three (3) of the references listed in the vendor application;
and

(D) The Commission will conduct an appropriate investigation of the principals
of the business; said investigation may include such items such as criminal history
check, a credit report, and interviews with the personal references listed.

[History: Public Law No. SF-08-180.]
Section 1-545. Vendor Background Investigation Report

The investigator shall complete an investigative report covering each of the steps
taken in the background investigation of the gaming vendor and its principals and
present it to the Commission for appropriate actlon which shall be consistent with the
same due process standards made applicable to Key Employees and Primary
Management Officials.

[History: Public Law No. SF-08-180.]
Section 1-546. Licenses for Non-Gaming Vendors

For non-gaming vendors, the Commission is authorized to create a less stringent
vendor licensing process, including a due diligence check rather than a full background
investigation. The Gaming Commission may investigate such vendors when
appropriate and may conduct audits in addition to monitoring Tribal purchases.

[History: Public Law No. SF-08-180.}


TITLE 4 GAMING

(14) Ensure that all revenues and expenses of the Gaming Operation are
properly assigned and disbursed in a manner consistent with Tribal and applicable
federal law;

(15) Ensure compliance with all applicable laws, rules, and regulations
applicable to the Nation’s Gaming and Ancillary Activities, including those of the
Nation and the United States as well as all compact provisions and all other applicable
laws, regulations, and the terms of the Compact;

(16) Investigate any suspected wrongdoing associated with the Nation’s
Gaming Operations, including Gaming and Ancillary Activities and, where criminal
wrongdoing is suspected or identified, report such activities to appropriate law
enforcement agencies;

(17) Conduct hearings on Patron complaints and prize claims, in compliance
with procedures adopted by the Commission by regulation;

(18) Comply with all reporting requirements under the IGRA, the Compact,
and all other applicable laws and regulations;

(19) Promulgate and issue regulations establishing internal control
standards applicable to all of the Nation’s Gaming Operations and monitor and
enforce compliance with such standards by all Gaming Operations within the
jurisdiction of the Sac and Fox Nation, provided that all such regulations must meet
or exceed the Minimum Internal Control standards promulgated by the NIGC.

(20) Review, approve, and audit operational procedures governing the
Gaming Activities, Promotions, and Ancillary Activities of the Gaming Operation,
including security, accounting, game rules, cash control, game procedures, and other
matters, all of which, following approval, will have the force of law pursuant to this

Title;

(21) Promulgate and issue regulations on the levying of fees necessary to
defray the expenses of gaming license applications;

(22) Promulgate and issue regulations on the levying of civil fines or
forfeitures respecting any person who violates applicable gaming law and regulations
within the jurisdiction of the Sac and Fox Nation, and/or suspension or revocation of
gaming licenses for violations of the gaming laws, rules, or any other applicable
gaming law or regulations from state or federal jurisdictions; provided, that said
regulations may not authorize the levy of a civil fine in excess of the amount which the
NIGC is authorized to levy by statute;

(23) To issue orders of exclusion and maintain a list of persons not allowed
to enter the premises of the Nation's gaming facilities to maintain the integrity of the
gaming and/or ensure the public health and safety of Patrons and employees;

27


Sac and Fox Code Title

(F) The Commission shall have authority to:

(1) Conduct or cause background investigations to be conducted on, at
a minimum, Primary Management Officials and Key Employees;

(2) Review and approve all investigative work conducted;
(3) Report results of background investigations to the NIGC;

(4) Obtain and process fingerprints, or designate a law enforcement
agency to obtain and process fingerprints;

(5) Make licensing suitability determinations, which shall be signed by
the Chairman of the Gaming Commission;

(6) Issue gaming licenses to management officials and employees of
the operations, consistent with the suitability determination;

(7) _ Establish standards for licensing Tribal gaming operations within
the jurisdiction of the Nation;

(8) _Issue facility gaming licenses to Tribal gaming operations within the
jurisdiction of the Nation;

(9) Inspect, examine and monitor all gaming activities through
surveillance, compliance and internal audit activities, approve the rules of various
games, and authorize and inspect games, tables, equipment, machines, cards,
dice, and chips or tokens and other paraphemalia used in all gaming operations
to ensure compliance with applicable law;

(10) Inspect, examine, and monitor the handling of all cash, cash
equivalents, and cash transaction and accounting systems, and to have
immediate access to review, inspect, examine, photocopy and audit all records of
any gaming establishment within the jurisdiction of the Nation;

(11) Ensure compliance with all applicable laws of the Nation, the state,
and federal laws, rules, and regulations regarding Indian gaming;

(12) Investigate any suspicion of wrongdoing associated with any
gaming activities and report such activities to appropriate law enforcement
agents;

(13) Hold hearings on patron complaints, tort claims, and prize claims, in

compliance with procedures established in the gaming ordinance, or as
requested by any gaming facility;

18


Sac and Fox Code . Title

Chapter Three—GENERAL PROVISION
Section 1-301. Complimentary Items

(A) The use of complimentary items shall be governed generally by
regulations established by the Commission not inconsistent with this section.

(B) No Key Employee, Primary Management Official, member of the
governing body of a Gaming Operation, Commissioner, employee of the Commission,
or elected official of the Nation, including Judicial officers, nor any person in their
immediate family or sharing a residence with such persons, shall be authorized to
receive, or receive, complimentary items, provided, that food and beverages reasonably
provided and received in the course of normal business meetings and operations are
not prohibited by this provision, and provided further, that at a public event held at a
gaming facility, trade fair, conference, or related public activity, free food and beverages
and other complimentary items offered to all attending members of the general public
equally may be offered to, and received by, such persons.

(C) Complimentary Items shall be included in the annual budget for each
gaming facility, within any maximum limits specified and approved by, the governing
body of the Gaming Operation.

[History: Public Law No. SF-08-1 80.]
Section 1-302. Compliance with Federal Law

The Nation, and all gaming operations conducted on its Indian lands, shall
comply with all applicable federal law, including the Bank Secrecy Act, 31 U.S.C. §5311
et seq.

{History: Public Law No. SF-08-180.]
Section 1-303. Ethical Conduct Respecting Gaming

(A) The Nation recognizes that the duties of the goveming body of each
Gaming Operation and the Commission include making important and difficult decisions
on highly sensitive issues. As such, the Nation has determined that the governing body
of each Gaming Operation, and the Gaming Commission shall be held to extremely high
ethical standards. Prior to taking their positions, the Commissioners shall agree in
writing fo support, protect, and defend the Constitution, Charter, and laws of the Nation,
to be bound by the principles of the Business Ethics and Conflict of Interest Policy of the
Nation, and to refrain from conduct defined as Misconduct in Office by the Code of Laws
of the Nation.

(B) The following constitute examples of the principles of the Business Ethics

and Conflict of Interest Policy and definitions of Misconduct in Office that are especially
applicable in the gaming context:

13


TITLE 4 GAMING

SF-GC-96-Q4, approved effective October 1, 1996, in accordance with the United States
Department of the Interior's "Guidelines to Govern the Review and Approval of Per Capita
Payments” dated December 21, 1992, or any amended and approved Revenue Allocation
Plan, shall continue to govern all Per Capita Payments made from net revenues.

(B) _ If the Nation elects to make per capita payments to Tribal members from
revenues derived from its Gaming Operations, it shall ensure that the following requirements
of 25 C.F.R. Part 290 are met:

(1) The Nation shall authorize and issue such payments only in accordance
with a revenue allocation plan submitted to and approved by the Secretary under 25
U.S.C. § 2710(b)(3).

(2) | The Nation shall ensure that the interests of minors and other legally
incompetent persons who are entitled to receive any per capita payments under a
Tribal per capita payment plan are protected and preserved. Per capita payments may
be disbursed to the parents or legal guardian of such minors or legal incompetents in
such amounts as may be necessary for the health, education, or welfare of the minor
or other legally incompetent person, pursuant to the approved Revenue Allocation

Plan.

(3) Tribal members shall be notified of the tax liability for per capita
payments when such payments are made and how taxes will be withheld in
accordance with the approved revenue allocation plan.

(4) The Nation shall designate or create a Tribal court system, forum, or
administrative process for resolution of disputes concerning the allocation of Net
Revenues and the distribution of per capita payments and will explain how it will
correct deficiencies.

(5) The Nation shall ensure that the effective Tribal revenue allocation plan
reserves an adequate portion of Net Revenues from the Tribal Gaming activity to do
one or more of the following purposes: fund Tribal government operations or
programs; provide for the general welfare of the Tribe or its members; promote Tribal
economic development; donate to charitable organizations; or to help fund operations
of local government.

(6) The Nation shall ensure that distributions of per capita payments are
made according to specific eligibility requirements.

Section 2-204. Independent Audits Required

(A) The Commission shall cause an annual outside independent audit of each
Gaming Operation to be conducted and shall submit the resulting audit reports to the Gaming
Commission and: (1) the governing body of the audited Gaming Operation; (2) the Business
Committee; and (3) the NIGC.


TITLE 4 GAMING

dollars to cover the costs of necessary background investigations and the legal review.
Additional fees may be required if the initial fee proves to be inadequate to cover processing
and preliminary investigation costs. All remaining sums not expended or charged in the
processing procedure shall be returned to the applicant at the time the application is
disapproved by the Commission, or at the time it is finally approved by the Chairman of the
NIGC.

Section 5-554, License Term

The management contractor gaming license shall be valid during the term of the
approved Management Contract and shall be renewable on such terms and conditions as the
Commission may establish by regulation if that Management Contract is extended or
renewed.

Section 5-555, License Suspension or Revocation

(A) _ if, after the issuance of a management contractor license, the Commission
receives from the NIGC, or any other source, reliable information indicating that a
management contractor is not eligible for employment or licensure, the Commission shall
suspend such license and shall notify the licensee in writing of the suspension and the
proposed revocation.

(B) |The Commission shall notify the licensee in writing of a time and a place for a
hearing on the proposed revocation of a license.

(C) After a revocation hearing, the Commission shall decide whether to revoke or
to reinstate the management contractor license. The Commission shall notify the NIGC of its

decision.

Section 5-556. Final NIGC Approval Required

At the initiation of each application for a management contractor license and at all
material times thereafter, applicants shall be advised by the Commission that the final
approval of a Management Contract or Collateral Agreement is reserved to the Chairman of
the NIGC and that the approval and execution of such contracts and agreements, and the
issuance of the Commission’s conditional license, is only a preliminary step in the final
approval process. A Management Contract shall not be effective and shall be considered
unenforceable until approved by the Chairman of the NIGC.

Subchapter E—FACILITY LICENSES

Section 5-561. Facility Licenses Required

51


Sac and Fox Code Title

[History: Public Law No. SF-08-180]
Section 1-431. Citations to be Issued

The Commission may delegate authority to its supervisors, investigators, or
enforcement officials to issue written citations to offenders for the civil fines and civil
penalties provided by this section. Such citations shall advise an individual or entity of
the alleged violation, the civil fine or penalty which may be imposed, their right to a
hearing on the citation, and the time, date and place of the hearing before the Gaming
Commission.

[History: Public Law No. SF-08-180]
Section 1-432. Right to a Hearing

Every person to whom a citation is issued shall have the tight to a hearing before
the Commission, unless they voluntarily choose to waive their right to a hearing by
payment of the civil fine or civil penalty as assessed, or by failing to appear at the date,
time, and place set for the hearing. All hearings will be conducted in accordance with
this Title. The Commission shall determine from the evidence submitted at such
hearings whether the civil fine or civil penalty should be assessed.

[History: Public Law No. SF-08-180}
Section 1-433. Civil Fine and Penalties are Debts

All such civil fines and civil penalties which have become final shall be deemed to
constitute a lawful indebtedness of the offender to the Nation.

[History: Public Law No, SF-08-180]
Section 1-434, Record of Final Assessments

The Commission shall keep a continuing record of all civil fines and civil penalties
owing to the Nation and shall include a summary thereof in its annual report. The
Commission may recommend charge offs of such civil fines and civil penalties which, in
the judgment of the Commission, are uncollectible, and upon formal resolution of the
Business Committee these fines may be charged off as uncollectible, and all records
shall be properly amended to reflect such charge offs.

{History: Public Law No. SF-08-180]
Section 1-435. Deposit of Fines and Penalties Collected

All income from the collection of civil fines and civil penalties shall be deposited
into the Treasury Account of the Nation, and may be appropriated by the Business
Committee for the same purposes for which general revenues from taxation may be
used.

25


Sac and Fox Code Title

adverse impact on the Nation, any Gaming Operation, or any law enforcement action
pending before any governmental body of the Nation. Confidential Information includes
information that if compromised may have a significant impact on Sac and Fox
customers, employees, or vendors. Confidential Information requires strong custody

and access procedures, and Is available only to authorized groups or functions on a
“need to know’ basis.

(K) “Directly related to” means a spouse, child, parent, grandparent,
grandchild, aunt, uncle, sibling, or first cousin.

(L) “Electronic, computer or other technologic aid" means
(1) Any machine or device thal:
(a) Assists a player or the playing of a game;
(b) Is not an electronic or electro-mechanical facsimile; and

(c) Is operated in accordance with applicable Federal
communications law,

(2) Include, but are not limited to, machines or devices that:
(a) Broaden the participation levels in a common game;

(b) Facilitate communication between and among gaming sites;
or

(c) Allow a player to play a game with or against other players
rather than with or against a machine.

(3) Examples of electronic, computer or other technologic aids include
pull tab dispensers and/or readers, telephones, cables, televisions, screens,
satellites, bingo blowers, electronic player stations, or electronic cards for
participants in bingo games.

[25 C.F.R. §502.7. See, 25 U.S.C. §2703(7)(A)(i) ; United States v. 103 Electronic Gambling Devices,
223 F.3d 1091 (9th Cir. 2000); United States v. 1062 MegaMania Gambling Devices, 231 F.3rd 713 (10th
Cir. 2000); Diamond Games Enterprises v. Reno, 230 F.3rd 365 (D.C. Cir. 2000); Seneca-Cayuga Tribe
of OK v. NIGC, 327 F.3rd 1019, (10th Cir. 2003), cert. denied, 540 U.S. 1218 (2004),]

(M) “Electronic or electro-mechanical facsimile” means a game played in an
electronic or electro-mechanical format that replicates a game of chance by
incorporating all of the characteristics of the game, except when, for bingo, lotto, and
other games similar to bingo, the electronic or electro-mechanical format broadens
participation by allowing multiple players to play with or against each other rather than
with or against a machine.


TITLE 4 GAMING

The Commission shall immediately advise the Business Committee and the Attorney
General when any actions of the NIGC may adversely affect the Nation, its Gaming
Operations, or any Gaming Facility licensed by the Nation.

Section 4-410. Auditing Insurance Compliance

The Commission shall monitor the bonding and insurance coverage of all gaming
facilities to insure that the Nation is a named insured against property losses including
buildings and equipment owned, rented or leased by the Nation which are used by any
Gaming Operation; against statutory, common law, and constitutional tort claims, and against
such claims which may arise pursuant to a Compact which is in effect; against thefts and
burglaries involving property or funds, misapplications or misappropriations of property or
funds by agents, servants or employees of the Gaming Facility (including any management
contractor), and against any other peril or hazard which the Commission may direct, including,
but not limited to, fidelity and fiduciary bonds or insurance covering the employees of Gaming
Operations, as is determined to be prudent and necessary.

Subchapter A—ADMINISTRATIVE HEARINGS

Section 4-421. Authority to Conduct Hearings

The Commission is hereby authorized to issue subpoenas, take testimony, administer
oaths, and conduct hearings on all regulatory matters, including matters related to the
licensing of Key Employees, Primary Management Officials, and others as provided in this
Title. The Commission shall exercise appellate jurisdiction over all actions and decisions of
the Executive Director and/or subordinate staff decision-makers. The conduct of Commission
Hearings shall be according to the rules and regulations promulgated by the Gaming

Commission.

Subchapter B—ENFORCEMENT - CIVIL FINES AND PENALTIES

Section 4-431. Enforcement Actions

(A) | The Commission may take any or a combination of the following actions with
respect to any person or entity who violates any provision of this Title:

(1) Impose civil fines and civil penalties for each separate material violation
of the provisions of the gaming laws of the Nation, upon any licensee or employee of
a Gaming Operation, upon any management contractor or employee thereof, or upon
any applicant for such a license or contract, or other person involved in any way with
a Gaming Operation or Gaming Facility;

33


TITLE 4 : GAMING

Section 5-531. Licenses for Non-Key Employees

(A) The Gaming Commission is authorized to create and issue regulations
implementing a less stringent licensing process, which may entail a simpler due diligence
check rather than a full background investigation, for all employees of Gaming Operations or
facilities who are not Key Employees or Primary Management Officials. At its discretion, the
Gaming Commission may further investigate license applicants when appropriate and may
require or conduct a full background check and NIGC check when it determines that
circumstances either of the person or of the position applied for warrant such action.

Section 5-532. Applicant Investigations

The Gaming Commission shall review such portion of the applicant's prior activities,
criminal record, if any, and reputation, habits and associations as the Commission determines
necessary to make a finding concerning the eligibility of such applicants for employment in a
Gaming Operation in the particular position or class of positions for which the license is

requested.

Section 5-533. Licensing Standard

The standard for licensure shall be whether the employment of the license applicant
in the position or class of positions for which the license is requested, would pose a threat to
the public interest or to the effective regulation of gaming, or would create or enhance the
danger of unsuitable, unfair, or illegal practices and methods and activities in the conduct of

gaming.

Section 5-534, Eligibility Determination

(A) _ If the Commission determines that employment of the license applicant in the
position or class of positions for which the license is requested would not be inconsistent with
the licensing standard, the purpose of this Title, or the public interest then the license shall

be issued.

(B) _ If the Commission determines that such employment would be inconsistent
with the licensing standard, the purpose of this Title, or the public interest, then that person
shall not be licensed, and shall not be employed at any gaming facility within the jurisdiction
of the Nation in such position or class of positions.

Section 5-535. License Term

(A) | The non-key employee gaming license issued shall be valid for a period of two

45


i

That: These amendments shall be effective as set forth herein and upon their approval by the
Chairman of the NIGC, and such shall be promptly filed in the Office of the Court Clerk
of the Sac and Fox Nation upon such approval; and

That: These amendments shall be codified at the appropriate locations in the Sac and Fox Code
of Laws.

CERTIFICATION

WE, George Thurman, Principal Chief, and Jacklyn K. Williams, Secretary, of the Sac and Fox
Nation, do hereby certify the foregoing Resolution No. SF-11-14 to be a true, complete, and
exact copy of the resolution as approved by the Business Committee in a properly called
emergency meeting held on the Sac and Fox Reservation, Stroud, Oklahoma, on the 20th day of
October, 2010, by a vote of: Gcorge ‘Ihurman-gbsent; Cheryl MoCleilan-yes; Jacklyn K.
Williams-yes; Randle Carter-yes; and Stella Nullake-absent,

George Thirman, Principal Chief

Sac and Fox Nation

Amendmeats to Nation’s 2008 Gaming Ordinance


TITLE 4 GAMING

licenses for Key Employees and Primary Management Officials.
Subchapter D—MANAGEMENT CONTRACTOR LICENSING

Section 5-551. Management Contractor License

(A) In addition to the necessary license applications for each of its proposed Key
Employees or Primary Management Officials, every proponent of a Management Contract
shall submit to the Commission for its approval a copy of the draft contract, and all additional
documents required by, or to be submitted to, the NIGC including, but not limited to
background investigation applications and any supporting materials and documents.

(B) |The Commission shall thereupon perform an investigation of the prospective
candidate and its affiliates at least as stringent as the investigation conducted on applications
for a license as a Key Employee or Primary Management Official. The Commission shall
provide documents, analysis and recommendations to the Business Committee and the
Nation’s authorized entity having authority over the Gaming Operation which would be subject
to the Management Contract regarding whether a contract should be entered into with the
applicant. The Commission's analysis and recommendations should take place before
application is submitted to the NIGC.

(C) The Commission shall also cause its lawyer to review the proposed contract to
confirm that it is in compliance with all applicable laws and regulations.

(D) If the Commission determines that the draft Management Contract is in
compliance with all applicable laws and regulations, and the proposed management
contractor is eligible for the position under the standards applicable to Key Employees and
Primary Management Officials, the Commission shall issue a conditional license to the
Management Contractor for the draft contract and authorize its submittal to the Chairman of
the NIGC for final approval. The conditional license shall automatically go into full force and
effect upon the approval of the proposed Management Contract by the Chairman of the NIGC.

Section 5-552. Licenses Required

No proposed Management Contract shall be forwarded to the NIGC for approval until
the proposed management contractor has been licensed by the Commission.

Section 5-553. Investigatory Fee
In addition to any management contractor license fee which may be due under the

Commission's fee schedule, every person or entity who applies to the Commission for a
Management Contract shall deposit with the Commission an investigatory fee of $5,000

50


have information regarding the incident, including employees or others involved
in or who witnessed the incident, the amount of compensation and the basis for
said relief; the name, address and telephone number of the claimant, and the
name, address and telephone number of any representative authorized to act or
settle the claim on behalf of the claimant;

7. All tort claim notices shall be signed by the claimant. The rules and regulations
may additionally require that the tort claim notices be signed under oath. The
tules and regulations may also require that as a condition of prosecuting tort
claims, the claimant shall appear to be interviewed or deposed at least once under
reasonable circumstances, which shall include the attendance of the claimant’s
legal counsel if requested; provided that the enterprise shall afford claimant at
least thirty (30) days’ written notice of the interview or deposition; and provided
further that the claimant’s failure to appear without cause for any interview or
deposition properly noticed pursuant to this paragraph shall be deemed a
voluntary withdrawal of the tort claim;

8. The enterprise shall promptly review, investigate, and make a determination
regarding the tort claim. Any portion of a tort claim which is unresolved shall be
deemed denied if the enterprise fails to notify the claimant in writing of its
approval within ninety (90) days of the filing date, unless the parties by written
agreement extend the date by which a denial shall be deemed issued if no other
action is taken, Each extension shall be for no more than ninety (90) days, but
there shall be no limit on the number of written agreements for extensions,
provided that no written agreement for extension shall be valid unless signed by
the claimant and an authorized representative of the enterprise. The claimant and
the enterprise may continue attempts to settle a claim beyond an extended date;
provided, settlement negotiations shall not extend the date of denial in the absence
of a written agreement for extension as required by this paragraph;

9. A judicial proceeding for any cause arising from a tort claim may be
maintained in accordance with and subject to the limitations of subsection C of
this Part only if the following requirements have been met:

a. the claimant has followed all procedures required by this Part,
including, without limitation, the delivery of a valid and timely written tort
claim notice to the enterprise,

b. the enterprise has denied the tort claim, and

c, the claimant has filed the judicial proceeding no later than the one-
hundred-eightieth day after denial of the claim by the enterprise; provided,
that neither the claimant nor the enterprise may agree to extend the time to
commence a judicial proceeding; and



TITLE 4 GAMING

years from the date of issue so long as the employee remains employed within the gaming
industry in the Nation and shall be renewable on such terms and conditions as the

Commission may establish by regulation.

(B) | Such gaming licenses may be suspended or revoked in the same manner as
licenses for Key Employees and Primary Management Officials.

Section 5-536. Fingerprints

Each applicant for a non-key employee license may be required to have fingerprints
taken as part of the license application procedure. Fingerprints shall be taken and be
forwarded to the NIGC for processing through the FBI to determine the applicant's criminal

history, if any.

Subchapter C—VENDOR LICENSING

Section 5-541. Vendor Licenses

(A) The Gaming Commission is authorized to create and issue regulations
implementing a licensing process for vendors providing gaming or gaming-related services
or supplies to the Gaming Operation. Such gaming vendors must have a vendor license from
the Commission prior to transacting business with any Gaming Operation and gaming facility
licensed by the Commission on behalf of the Nation. Vendors holding professional licenses
issued by a recognized professional association including, but not limited to legal and
accounting service providers, shall be excluded from the vendor licensing requirement,
provided that this exclusion shall not apply to any person or entity providing services to the
Gaming Operation not covered by such professional license.

(B) The Gaming Commission is authorized to create and issue regulations
implementing a licensing or annual registration process for non-gaming vendors who provide
services that do not have the ability to impact the integrity of gaming operations, such as
media advertising, facility maintenance workers, linen and laundry services, and food and

beverage suppliers.

(C) The Commission may exempt from the licensing or registration requirement
any vendor who:

(1) Is a Tribal, Local, State, or Federal government agency;

(2) Does not require access to the secured or controlled areas of the
Gaming Facility;

(3) Has no continuing or ongoing relationship with the Gaming Operation;

46


Sac and Fox Code Title

[25 U.S.C, §2710{b)(3), 25 C.F.R. §290.2; “NIGC Bulletin 05-05"§106(a); SF-GC-96-04; 61 Fed. Reg.
2904 et seq. (June 7, 1996) and letter approving revenue allocation plan dated May 19, 1997 from Acting
Area Director Anadarko Area Office, Bureau of Indian Affairs]

(X) “Person having a direct or indirect financial interest in a Management
Contract” means:

(1) | When an individual person or persons are party to a Management
Contract, any individual person having a direct financial interest in such
Management Contract;

(2) When a trust is a party to a Management Contract, any beneficiary
or trustee of that trust;

(3) When a partnership is party to a Management Contract, any
partner;

(4) When a corporation is a party to a Management Contract, any
person who is a director or who holds at least ten percent (10%) of the issued
and outstanding stock alone or in combination with another stockholder who is
directly related to such person; or

(5) | When an entity other than a natural person has an interest in a
trust, partnership or corporation that has an interest in a Management Contract,
all parties of that entity are deemed to be persons having a direct financial
interest in a Management Contract.

(25 C.F.R. §502.17]

(Y) “Person having management responsibility for a Management Contract”
means the person designated by the Management Contract as having management
responsibility for a Gaming Operation, or a portion thereof.

[25 C.F.R. §502.18}
(Z) “Primary Management Official’ means:

(1) The person(s) having management responsibility for a
Management Contract;

(2) Any person who has authority:
(a) To hire and fire employees;
(b) To set up working policy for a Gaming Operation; or

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

[25 C.F.R. §502.19. See, 25 U.S.C, 2710(bY2F))


Sac and Fox Code Title

to carry out its regulatory duties, the Commission shall have unrestricted access to all
areas of the gaming operation and to all records, The Commission shall have authority
to take enforcement actions, including notices of violation, closure orders, civil fine
assessments, settlement agreements in lieu of enforcement actions, reopen orders, pre-

Opening agreements, and suspension or revocation of any gaming license when
appropriate.

(C) The Nation recognizes the importance of an independent Gaming
Commission in maintaining a well-regulated gaming operation. The Commission shall
be and shall act independently and autonomously from the Business Committee and
Governing Council, in all matiers within its purview. No prior or subsequent review by
the Business Committee or the Governing Council of any actions of the Commission
shall be required or permitted except as otherwise explicitly provided in this Law. To
avoid potential conflicts of interest between the operation and regulation of the Gaming
Facility, the Nation hereby finds that, at a minimum:

(1) _ No elected officer of the Sac and Fox Nation, any member of the
Business Committee, Judges or Justices of the Nation's courts, Attorney
General, Board members or employees of Sac and Fox Tribe, Inc., Sauk
Business Enterprises members, employees of any of the Nation's gaming
facilities, gaming contractors (including any principal of a management or other
contracting company), persons ineligible to be key employees or primary
management officials, or any person who has management responsibilities for
any gaming operation may serve on the Gaming Commission;

(2) No member directly related to or living with any Business
Committee member, Judges, or Justices of the Nation's courts, Attorney General,
Board members or employees of Sac and Fox Tribe, Inc., Sauk Business
Enterprises member may serve on the Commission;

(3) All persons employed by, or who are members of the Commission
are prohibited from gambling in any of the Nation's Facilities; and

[NIGC Model Ordinance, Bulletin No. 05-05, Section 108(b)]
(D) Commission positions shall be filled in the following manner:

Through appointment by the Principal Chief and confirmation by the
Business Committee. If a vacancy occurs for any reason by any member of the
Commission, the Principal Chief shall, upon recommendation from the remaining
Commissioners, make a temporary appointment for the remainder of that term.

(E) Nominees for positions of Commissioner of the Commission must satisfy
the suitability standards set forth for key employees and primary management officials,
found In Section 1-514 et seq. of this Law. Such background investigations shall be
performed under the direction of the Chief of the Nation's Police Department or his or
her designee.

17


TITLE 4 GAMING

(6) A description of any existing and previous business relationships with
the gaming industry generally, including ownership interests in those businesses;

(7) | The name and address of any licensing or regulatory agency with which
the person has filed an application for a license or permit related to gaming, whether
or not such license or permit was granted;

(8) | For each felony for which there is an ongoing prosecution or a
conviction, the charge, the name and address of the court involved, and the date of
disposition and final disposition, if any;

(9) | For each misdemeanor conviction or ongoing misdemeanor prosecution
(excluding minor traffic violations), within 10 years of the date of the application, the
name and address of the court involved and the date of disposition and final
disposition, if any;

(10) For each criminal charge (excluding minor traffic charges), whether or
not there is a conviction, if such criminal charge is within 10 years of the date of the
application and is not otherwise listed pursuant to paragraph (B)(8) or (B)(9) of this
section, the criminal charge, the name and address of the court involved and the date
of disposition and final disposition, if any;

(11) The name and address of any licensing or regulatory agency with which
the person has filed an application for an occupational license or permit, whether or
not such license or permit was granted;

(12) A photograph taken within the last year;
(13) Any other information the Gaming Commission deems relevant; and

(14) Fingerprints obtained in accordance with procedures adopted by the
Commission.

(C) When a Primary Management Official or Key Employee is employed by the
Gaming Operation, a complete application file, containing all of the information listed in
paragraph (B) of this section shall be maintained.

The Gaming Commission, its investigator and its agents shall keep confidential the
identity of each person interviewed in the course of conducting a background
investigation, unless disclosure is required: (1) under Federal law; (2) pursuant to an
order or subpoena issued by a court or tribunal of competent jurisdiction; or (3)
pursuant to the terms of an approved Tribal-State Gaming Compact

Section 5-515. Background Check Procedures

40


following: managers and assistant managers; accounting personnel; surveillance and
security personnel; cashiers, supervisors, and floor personnel; cage personnel; and any
other person whose employment duties require or authorize access to areas of the facility
related to the conduct of covered games or the maintenance or storage of covered game
components. This shall not include upper level tribal employees or tribe’s elected
officials so long as such individuals are not directly involved in the operation,
maintenance, or management of covered game components. The enterprise may, at its
discretion, include other persons employed at or in connection with the enterprise within
the definition of covered game employee;

7. "Documents" means books, records, electronic, magnetic and computer media
documents and other writings and materials, copies thereof, and information contained
therein;

8. "Effective date" means the date on which the last of the conditions set forth in
subsection A of Part 15 of this Compact have been met;

9. "Electronic accounting system" means an electronic system that provides a secure
means to receive, store and access data and record critical functions and activities, as set
forth in the State-Tribal Gaming Act;

10. "Electronic amusement game" means a game that is played in an electronic
environment in which a player’s performance and opportunity for success can be
improved by skill that conforms to the standards set forth in the State-Tribal Gaming Act;

11. "Electronic bonanza-style bingo game" means a game played in an electronic
environment in which some or all of the numbers or symbols are drawn or electronically
determined before the electronic bingo cards for that game are sold that conforms to the
standards set forth in the State-Tribal Gaming Act;

12. “Electronic instant bingo game" means a game played in an electronic environment in
which a player wins if his or her clectronic instant bingo card contains a combination of
numbers or symbols that was designated in advance of the game as a winning
combination. There may be multiple winning combinations in each game and multiple
winning cards that conform to the standards set forth in the State-Tribal Gaming Act;

13. "Enterprise" means the tribe or the tribal agency or section of tribal management with
direct responsibility for the conduct of covered games, the tribal business enterprise that
conducts covered games, or a person, corporation or other entity that has entered into a
management contract with the tribe to conduct covered games, in accordance with IGRA.
The names, addresses and identifying information of any covered game employees shall
be forwarded to the SCA at least annually. In any event, the tribe shall have the ultimate
responsibility for ensuring that the tribe or enterprise fulfills the responsibilities under
this Compact. For purposes of enforcement, the tribe is deemed to have made all
promises for the enterprise;





SAC AND FOX NATION GAMING ORDINANCE OF 2018

EXHIBIT C.

Class Ill Gaming Compact between the Sac and Fox Nation
and the State of Oklahoma (eff. June 1, 2005)

Submission to Chairman, National Indian Gaming
Commission, July 19, 2018


Added by Laws 2004, SB 1252, c. 316, § 21, State Question No. 712, Legis. Ref. No.
335, approved at the general election held November 2, 2004.

3A O.S. §281. Provisions of the Model Tribal Gaming Compact
This section sets forth the provisions of the Mode! Tribal Gaming Compact.

MODEL TRIBAL GAMING COMPACT
Between the Sac and Fox Nation
and the STATE OF OKLAHOMA

This Compact is made and entered into by and between the Sac and Fox Nation, a
federally recognized Indian tribe ("tribe"), and the State of Oklahoma ("state"), with
respect to the operation of covered games (as defined herein) on the tribe’s Indian lands
as defined by the Indian Gaming Regulatory Act, 25 U.S.C., Section 2703(4).

Part 1. TITLE

This document shall be referred to as the "Sac and Fox Nation and State of Oklahoma
Gaming Compact".

Part 2, RECITALS

1. The tribe is a federally recognized tribal government possessing sovereign powers and
rights of self-government.

2. The State of Oklahoma is a state of the United States of America possessing the
sovereign powers and rights of a state.

3. The state and the tribe maintain a government-to-government relationship, and this
Compact will help to foster mutual respect and understanding among Indians and non-
Indians.

4, The United States Supreme Court has long recognized the right of an Indian tribe to
regulate activity on lands within its jurisdiction.

5. The tribe desires to offer the play of covered games, as defined in paragraphs 5, 10, 11
and 12 of Part 3 of this Compact, as a means of generating revenues for purposes
authorized by the Indian Gaming Regulatory Act, 25 U.S.C., Section 2701, et seq.,
including without limitation the support of tribal governmental programs, such as health



B. Each party hereto agrees to defend the validity of this Compact and the legislation in
which it is embodied. This Compact shall constitute a binding agreement between the
parties and shall survive any repeal or amendment of the State-Tribal Gaming Act.

C. The parties shall cooperate in seeking approval of this Compact from an appropriate
federal agency as a tribal-state compact under the Indian Gaming Regulatory Act.

D. The standards for electronic bonanza-style bingo games, electronic instant bingo
games and electronic amusement games established in the State-Tribal Gaming Act as
enacted in 2004, and, at the election of the tribe, any standards contained in the
Oklahoma Horseracing Commission rules issued pursuant to subsection B of Section 9 of
the State-Tribal Gaming Act are hereby incorporated in this Compact and shall survive
any repeal of the State-Tribal Gaming Act, or any games authorized there under. In the
event that any of said standards are changed by amendment of the State-Tribal Gaming
Act, the tribe shall have the option to incorporate said changes into this Compact by
delivery of written notice of said changes to the Governor and the SCA.

Part 14. NOTICES

All notices required under this Compact shall be given by certified mail, return receipt
requested, commercial overnight courier service, or personal delivery, to the following
persons:

Governor

Chair, State-Tribal Relations Committee
Attorney General

Principal Chief

Sac and Fox Nation

Rt. 2 Box 246

Stroud, OK 74079

With copies to:

Part 15. DURATION AND NEGOTIATION

A. This Compact shall become effective upon the last date of the satisfaction of the
following requirements:

1. Due execution on behalf of the tribe, including obtaining all tribal resolutions
and completing other tribal procedures as may be necessary to render the tribe’s
execution effective;



Sac AND Fox NATION

920883 S Hwy. 99 Building A + Stroud, Oklahoma 74079 + (918) 968-1141 * FAX (918) 968-1142

DATEZ7- 6 -20/8

SECRETARY
INTHE OSTRET COUR RESOLUTION SE-18-175 SAC & FOX NATION
SAC AND FOX NATION d 2 kin

18 JUL - GSdeb spECIAL BUSINESS COMMITTEE MELTING (
gag euogoxmtioy,, SAC AND FOX RESERVATION
HOF 7
CHARLIE CAL STROUD, OKLAHOMA
BY DEPUTY JULY 5, 2018

A PUBLIC LAW ADOPTING AND ENACTING THE SAC AND FOX NATION
GAMING ORDINANCE OF 2018.

WHEREAS, the Business Committee of the Sac and Fox Nation met in a Recessed Special
meeting on the 5" day of July, 2018; there being a quorum present; and

WHEREAS, the Sac and Fox Nation of Oklahoma (“Nation”) is a federally recognized Indian
tribe organized under its Constitution and Bylaws approved by the Secretary of
Interior on October 27, 1937, pursuant to the Oklahoma Indian Welfare Act of

1936; and

WHEREAS, pursuant to Article III of the Constitution of the Nation, a body known as the
Business Committee shall have the power to transact business and otherwise act on
the Nation’s behalf; and

WHEREAS, the Indian Gaming Regulatory Act, 25 U.S.C. 2701 et seq. (the “IGRA”), requires
that tribal governments engaging in Class II and Class III gaming, as defined in
such act, adopt a law prescribing procedures and methods to be utilized with regard
to the conduct of gaming within their Indian lands; and

WHEREAS, by P.L. #SF-93-68, the Business Committee first adopted by resolution such a law
governing Class II gaming activities on the Nation’s lands pursuant to the IGRA,
which was later amended by P.L. #SF-95-14, #SF/GC-03-07, P.L. #SF-04-86, and
P.L. #SF-04-138; and

WHEREAS, the above referenced resolutions were effectively superseded by the Business
Committee’s passage of P.L. #SF-09-10, a law governing all Class I, II, and III
gaming activities (the “Gaming Ordinance of 2008”) on the Nation’s lands codified
at Title 4 of the Nation’s Code of Laws, which was later amended by P.L. #SF-11-
14 and P.L. #SF-11-19; and

WHEREAS, the Business Committee finds that a comprehensive revision of the Gaming
Ordinance of 2008 is necessary to better govern the procedures and methods to be
utilized with regard to the conduct of gaming on the Nation’s lands; and


independent firm to perform on behalf of the SCA the duties set forth in subsections A
and B of this Part.

Part 9. JURISDICTION

This Compact shall not alter tribal, federal or state civil adjudicatory or criminal
jurisdiction.

Part 10. LICENSING

A 1, Except as provided in paragraph 4 of Part 3, no covered game employee shall
be employed at a facility or by an enterprise unless such person is licensed in
accordance with this Compact. In addition to the provisions of this Part which are
applicable to the licensing of all covered game employees, the requirements of 25
CFR, Part 556, Background Investigations for Primary Management Officials
and Key Employees, and 25 C-F.R., Part 558, Gaming Licenses for Key
Employees and Primary Management Officials, apply to Key Employees and
Primary Management Officials of the facility and enterprise.

2. All prospective covered game employees shall apply to the TCA for a license.
Licenses shall be issued for periods of no more than two (2) years, after which
they may be renewed only following review and update of the information upon
which the license was based; provided, the TCA may extend the period in which
the license is valid for a reasonable time pending the outcome of any investigation
being conducted in connection with the renewal of such license. In the event the
SCA contends that any such extension is unreasonable, it may seek resolution of
that issue pursuant to Part 11 of this Compact.

3. The application process shall require the TCA to obtain sufficient information
and identification from the applicant to permit a background investigation to
determine if a license should be issued in accordance with this Part and the rules
and regulations. The TCA shall obtain information about a prospective covered
game employee that includes:

a, full name, including any aliases by which applicant has ever been
known,

b. social security number,
c. date and place of birth,
d. residential addresses for the past five (5) years,

e. employment history for the past five (5) years,



Sac and Fox Code Title

Section 1-534. Eligibility Determination

(A) _ If the Commission determines that employment of the license applicant in
the position or class of positions for which the license is requested would not be
inconsistent with the licensing standard, the purpose of this Title, or the public interest,
then the license shall be issued.

(B) If the Commission determines that such employment would be
inconsistent with the licensing standard, the purpose of this Title, or the public interest,
then that person shall not be licensed, and shall not be employed at any gaming facility
within the jurisdiction of the Nation in such position or class of positions.

[History: Public Law No. SF-08-180.]
Section 1-535. License Term

(A) The non-key employee gaming license issued shall be valid for a period of
two years from the date of issue so long as the employee remains employed within the
gaming industry in the Nation, and shall be renewable on such terms and conditions as
the Commission may establish by regulation.

(B) _ Such gaming licenses may be suspended or revoked in the same manner
as licenses for Key Employees and Primary Management Officials.

(See, 25 C.F.R. §§558.2, 558.4(b)]
[History: Public Law No. SF-08-180.]
Section 1-536. Fingerprints

Each applicant for a non-key employee license shall be required to have
fingerprints taken as part of the license application procedure. Fingerprints shall be
taken and be forwarded to the NIGC for processing through the FBI to determine the
applicant's criminal history, if any.

[25 C.F.R. §522.2(h); 25 C.F.R. §556.4(a)(14)]
[History: Public Law No. SF-08-180.]

Subchapter C—GAMING VENDOR LICENSING
Section 1-541. Licenses for Vendors

(A) Vendors of gaming services or supplies must have a vendor license from
the Commission in order to transact business with any gaming facility operated within
the Nation. Contracts for professional legal and accounting services are excluded from
this section.

35


Sac and Fox Code Title

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

the Nation withdrew the Law submission and resubmitted the Law on or
about August 5, 2008 to address these issues and submit an Amended
Gaming Ordinance; and

the NIGC had new previously unidentified issues with one portion of the
definition of “Indian Lands” and the definition of “games similar to bingo”
and identified in a September 19, 2008 letter and indicated it would
recommend disapproval of the submission; and

the Nation disagrees with the basis for disapproval but desires to move
forward by withdrawing the existing Gaming Ordinance submission and
resubmitting the Second Amended Gaming Ordinance of 2008 with the
remaining provisions and preserve the legal issue for later NIGC
determination through a subsequent amendment; and

the enactment of the Second Amended Gaming Ordinance of 2008 is in
the best interest of the Sac and Fox Nation.

NOW, THEREFORE,

BE IT ENACTED BY THE BUSINESS COMMITTEE OF THE SAC AND Fox NATION, PURSUANT TO
THE AUTHORITY VESTED THEREIN BY THE CONSTITUTION AND CHARTER:

THAT: upon approval of this Law by the Chairman of the NIGC as required by federal
law, the current Title 4 of the Sac and Fox Code of Laws, and all prior ordinances
or resolutions inconsistent with, or intended to be superseded by, this Act,
including P.L. #SF-82-29, March 19, 1982; P.L. #SF-82-43, April 30, 1982; P.L.
#SF-93-68, July 22, 1993; P.L. #SF-95-14, October 6, 1994; #SF/GC-03-07, July
19, 2003; P.L. #SF-04-86, May 10, 2004; P.L. #SF-04-138, August 23, 2004; P.L.
#SF-08-180, May 8, 2008; P.L. #SF-08-237, August 5, 2008 are hereby
repealed; and

THAT: the following provision shall then be codified in the Sac and Fox Code in a new
Title to be entitled: “Gaming” and this Law shall thereafter govern all Class |, Il
and III Gaming within the jurisdiction of the Sac and Fox Nation.

AND, BE IT FURTHER ENACTED BY THE BUSINESS COMMITTEE OF THE SAC AND Fox NATION,
PURSUANT TO THE AUTHORITY VESTED THEREIN BY THE CONSTITUTION AND CHARTER:

THAT: upon enactment of this Ordinance, it shall be submitted forthwith to the Chairman
of the National Indian Gaming Commission for approval pursuant to the 25
U.S.C. §§2710 (b) and (d); and


TITLE 4 GAMING

Bureau check on the vendor,

(C) Obtain and check at least three (3) of the references listed in the vendor
application; and

(D) |The Commission will conduct an appropriate investigation of the principals of
the business; said investigation may include, but is not limited to, items such as criminal
history check, a credit report, and interviews with the personal references listed.

Section 5-545. Gaming Vendor Background Investigation Report

The Commission shall prepare an investigative report covering each of the steps
taken in the background investigation of the gaming vendor and its principals. The
Commission may deny the applicant a vendor license if the Commission concludes that the
applicant is not sufficiently stable and capitalized; is owned, operated, or managed by persons
who fail to meet the eligibility standards in this Title; or has a history of performance failure or
contentious business relationships.

Section 5-546. Monitoring & Audits

The Gaming Commission may investigate, monitor, and audit the activities of any
licensed or registered vendor conducting business with the Gaming Operation.

Section 5-547. Vendor License Terms, Suspension, Revocation

(A) Vendor licenses shall be valid for a period of two (2) years from the date of
issue so long as the vendor's business remains substantially unchanged, the ownership and
management of the vendor's business does not significantly change, and the vendor routinely
supplies its products or services to the gaming industry within the jurisdiction of the Nation,
and shall be renewable on such terms and conditions as the Commission may establish by

regulation.

(B) In the event of changes in the ownership or management of the vendor's
business, the vendor shall promptly notify the Commission who shall conduct such
investigation as is proper under the circumstances, and issue a new or amended license if
necessary, unless the change creates an unacceptable risk to the public interest, the health,
welfare, and safety of the Nation or the public, or to the integrity of the gaming industry within
the jurisdiction of the Nation, in which case the Commission shall notify the vendor of its
concerns and demand that the vendor take specified corrective action. If the vendor fails to
take the necessary corrective action, the Executive Director may issue a citation to suspend
the vendor license and institute revocation proceedings, subject to the notice and hearing
requirements in Section 1-432.

(C) Vendor licenses may be suspended or revoked in the same manner as gaming

49


Sac and Fox Code Title

(B)(9) of thls section, the criminal charge, the name and address of the court
involved and the date and disposition;

(11) The name and address of any licensing or regulatory agency with
which the person has filed an application for an occupational license or permit,
whether or not such license or permit was granted;

(12) A photograph taken within the last year; and
(13) Any other information the Gaming Commission deems relevant.
[25 C.F.R. §556.4]
[History: Public Law No. SF-08-180.]
Section 1-515. Background Check Procedures
(A) As part of its review procedure, the Gaming Commission, or its agent,
shall conduct a background investigation on each applicant sufficient to allow the
Gaming Commission to make an eligibility determination. The Investigator shall:

(1) Verify the applicant's identity through items such as a social
security card, drivers license, birth certificate, or passport;

(2) Contact each personal and business reference provided in the
License Application, when possible;

(3) Obtain a personal credit check, at the Commission's discretion;
(4) Conduct a civil history check;

(5) Conduct a criminal history check, and submit the applicant's
fingerprints to the NIGC for additional checking, and further obtain information
from the appropriate court regarding misdemeanor convictions and criminal
charges within the last ten (10) years and any past felony or felonies;

(6) Inquire into any previous or existing business relationships with the
gaming industry and Indian tribes by contacting the entities or tribes;

(7) Verify the applicant's history and status with any licensing agency
by contacting the agency; and

(8) Take other appropriate steps to verify the accuracy of the
information, focusing on problem areas noted.

(B) The assigned investigator shall create an investigative report noting the
steps taken, information gained, potential problem areas, and disqualifying information.

30


TITLE 4 GAMING

(G) Failure to file a tort claim notice within one (1) year of the date of the alleged
injury or damage shall deprive the District Court of the Nation of jurisdiction over the matter
and forever bar such tort claim against the Gaming Operation.

(H) The Nation’s laws shall govern every tort claim brought pursuant to this Title,
provided that the District Court of the Nation may assimilate and apply the laws of the State
of Oklahoma in adjudicating tort claims. Such assimilation and application of the laws of the
State of Oklahoma by the District Court of the Nation shall under no circumstances be
construed as conferring any jurisdiction or authority on the State of Oklahoma or any
department, agency, or subdivision of the State of Oklahoma.

(I) The maximum amount of damages payable for any tort claim for personal
injury or property damage shall be limited to liability insurance coverage maintained by the
Gaming Operation which shall, at a minimum, be consistent with any applicable requirements
under the Compact in effect at the time the claim was filed.

(J) Nothing in this Section shall be construed to diminish or deprive the
Commission of authority to independently investigate the circumstances pertaining to any
alleged tort claim for purposes of carrying out the Commission's regulatory duties or functions.

Section 3-309. Right of Appeal & Finality of Decisions

The parties to an authorized judicial proceeding before the District Court of the Nation
in which a prize claim or tort claim is in dispute shall have the right to appeal to the Supreme
Court of the Nation as provided by law. A decision of the Sac and Fox District Court that is
not appealed, or a decision of the Supreme Court of the Nation shall be final and not subject

to further appeal.

Chapter Four—GamiInG CommissiONER Powers & DUTIES

Section 4-401. Gaming Commission

(A) | The Commission, having been previously established under prior Nation law,
is hereby re-confirmed as the independent gaming regulatory body of the Nation charged with
regulating the Nation’s Gaming Operations. The Commission shall have full and complete
jurisdiction over all gaming matters arising under this Title, the Compact, and all other laws
and regulations applicable to the Nation’s Gaming and Ancillary Activities and shall have
independent authority to regulate and supervise all Gaming, Promotional, and Ancillary
Activities and to administer the provisions of this Title.

(B) |The Commission shall consist of three members, at least two of whom must be
enrolled members of the Sac and Fox Nation. There shall be among them a Chairperson,
Vice Chairperson, and at least one additional Commissioner. Each member serving on the
Commission on the effective date of this title shall serve the remainder of his or her current

23


TITLE 4 GAMING

representative and in accordance with the requirements and limitations established in this
Section.

(B) _ Incases where the dispute cannot be promptly and amicably resolved or settled
between an authorized agent and a Patron, the regulations adopted by the Commission
and/or applicable internal contro! standards and procedures approved by the Commission
must be followed.

(C) Inno event shall the Gaming Operation ever settle a prize claim in a monetary
award of an amount in excess of the available prize for the subject gaming activities or
promotional prize.

(D) Except in relation to the Gaming Operation up to the limits of its liability
insurance policy, no liability of any kind or nature shall ever attach to the property or assets
of the Nation as a result of any settlement, award, or judgment in any claim asserted against
a Gaming Operation of the Nation. The sovereign immunity of the Nation with respect to
lawsuit against its officials, acting in their official capacities, is expressly reserved in any and
all instances.

(E) |The Commission shall verify that a brochure containing the procedures for the
filing of prize and tort claims in accordance with this section is prepared by casino
management and conspicuously posted at the cage and other appropriate areas of the casino
at all times.

(F) Each gaming facility shall secure and maintain public liability insurance with
liability limits not less than the amount required by regulation of the Commission and/or,
where applicable, the Compact, for the express purposes of covering and satisfying Patron
tort claims against that facility. This requirement for the maintenance of public liability
insurance shall in no way be construed as a waiver of the Nation’s sovereign immunity from
suit or that of any of its entities or instrumentalities, including any agent, official or employee,
provided that the insurer shall not assert the Nation’s’ sovereign immunity to avoid litigation
or defeat any legitimate claim up to the limits of the policy.

(G) The Gaming Operation shall create and maintain a permanent record of all
Patron disputes, including the name of the Patron; the date time, and location where the
dispute arose; the name and badge number of the management official that settled the
dispute, and the result of any settlement, including the amount.

(H) | The Gaming Operation shall notify the Commission within forty-eight (48) hours
of the lodging of a Patron dispute. Any related settlement shall also be communicated to the
Commission within forty-eight (48) hours.

Section 3-307. Prize Claims

19


Sac and Fox Code Title

(B) The Commission shall notify the licensee of a time and a place for a
heating on the proposed revocation of a license

[25 C.F.R. §558.6(c))

(C) After a revocation hearing, the Commission shall decide whether to revoke
or to reinstate a gaming license, The Commission shall notify the NIGG of its decision.

[25 C.F.R. §558.5(d)]
[History: Public Law No. SF-08-180.]

Subchapter B—NON-KEY EMPLOYEE LICENSING
Section 1-531, Licenses for Non-Key Employees

(A) The Gaming Commission is authorized to create a less stringent licensing
process, which may be a simple due diligence check rather than a full background
investigation, for all employees of Gaming Operations or facilities who are not Key
Employees or Primary Management Ofticials. At its discretion, the Gaming Commission
may further investigate license applicants when appropriate, and may require or
conduct a full background check and NIGC check when it determines that
circumstances either of the person or of the position applied for warrant such action.

[History: Public Law No. SF-08-180.]
Section 1-532. Applicant investigations

. The Gaming Commission shall review such portion of the applicant's prior
activities, criminal record, if any, and reputation, habits and associations as the
Commission determines necessary to make a finding conceming the eligibility of a such
applicants for employment in a Gaming Operation in the particular position or class of
positions for which the license is requested.

[History: Public Law No. SF-08-180.)
Section 1-533. Licensing Standard

The standard for licensure shall’ be whether the employment of the license
applicant in the position or class of positions for which the license is requested, would
pose a threat to the public interest or to the effective regulation of gaming, or would
create or enhance the danger of unsuitable, unfair, or illegal practices and methods and
activities in the conduct of gaming.

[History: Public Law No. SF-08-180.]

34


TITLE 4 GAMING

by law to protect the public, enforce the laws, and secure the integrity of the gaming industry.

Section 4-405. Enforcement Authority

(A) In the performance of its duties and responsibilities, the Commission shall
exercise due diligence and professional judgment in all legal and enforcement matters arising
before it for decision and may seek the advice of or be represented by its legal counsel. It
may also seek advice from the Business Committee, and/or any other offices or agents of the
Nation before making important decisions, if appropriate.

(B) |The Commission shall bring or defend any lawful action in any court or before
any agency or tribunal in order to enforce subpoenas, civil fines, civil penalties, or other lawful
orders issued by the Commission, and defend the Commission, its officers, agents, and

employees in the due execution of their authority.

(C) In both its administrative operations and hearings, and in legal actions brought
by or against it, the Commission is authorized to compromise and settle any claims or matters
relevant to its duties when such compromise or settlement is consistent with the purposes of
this Title and the effective regulation of the Nation’s Gaming Operations.

Section 4-406. License Fee Schedule
The Commission shall establish a schedule of fees to be paid by each proponent or
applicant for a gaming license to assist in covering its expenses in investigating and licensing

gaming facilities, all employees of a Gaming Facility, vendors, management contractors, and
others who are required to be licensed to participate in gaming within the Sac and Fox Nation.

Section 4-407. Reporting Requirements
The Commission shall:

(A) Ensure that all Gaming Operations and facilities are current in their reports and
payments due to the National Indian Gaming Commission under federal law; and

(B) Ensure that all Gaming Operations and facilities are current in any reports and
payments required by a Compact which is in effect; and

(C) Ensure that all Gaming Operations and facilities are current in any reports and
payments required by the laws of the Sac and Fox Nation; and

(D) Ensure that all Gaming Operations and facilities are current in any reports and

payments that may be required by the Internal Revenue Service, the United States
Department of Justice, or any other department or agency of the United States; and

34


Sac AND Fox NATION

920883 S Hwy. 99 Building A * Stroud, Oklahoma 74079 » (918) 968-1141 * FAX (918) 968-1142

FILED

RESOLUTION SF-11-14 DATE_@ — doy
ma oct 20 PF 32 SAC AND FOX NATION SAC R CRE TARY
EMERGENCY BUSINESS COMMITTEE MEETIN: FOX NATION
vi a SAC AND FOX RESERVATION “ i
STROUD, OKLAHOMA Q

BY i) scLAdLU. REPUTY OF 5 ,

OCTOBER 20, 2010

A PUBLIC LAW ADOPTING AND ENACTING AMENDMENTS TO THE SAC AND
FOX NATION GAMING ORDINANCE OF 2008, AS AMENDED, REVISING THE
PROCEDURES FOR REMOVAL OF GAMING COMMISSIONERS.

WHEREAS, the Business Committee of the Sac and Fox Nation met in an emergency mecting
held the 20" day of October 2010; there being a quorum present, and

WHEREAS, the Business Committee is authorized to transact business and otherwise act in
behalf of the Nation pursuant to the Constitution, Charter, and Laws of the Sac
and Fox Nation, and

WHEREAS, the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et seq., requires that tribal
governments engaging in Class II and Class IIT gaming, as defined in such act,
adopt a law prescribing procedures and methods to be utilized with regard to the
conduct of gaming within their Indian lands, and

WHEREAS, the Nation enacted the Gaming Ordinance of 2008 (the “2008 Ordinance” or the
“Ordinance”) as a comprehensive revision of its gaming laws, which Ordinance,
as subsequently amended, was approved by the Chairman of the National Indian
Gaming Commission (the “NIGC”) on or about November 20, 2008, and

WHEREAS, the Nation’s Grievance Committee recently has begun an attcmpt to remove a
Gaming Commissioner pursuant to Section 1-401(J) of the 2008 Ordinance,
without following the Nation’s Grievance Committee Procedure Ordinance, and
without atfording minimal due process to the target of such proceedings, and

WHEREAS, the Business Committee of the Nation has determined that Section 1-401(J) is
vague and ambiguous, and does not adequately protect the integrity and
independence of the Gaming Commission, and therefore that such section of the
gaming ordinance should be amended as set forth herein in the best interests of
the Nation,


I. Sale of Alcoholic Beverages. The sale and service of alcoholic beverages in a facility
shall be in compliance with state, federal and tribal law in regard to the licensing and sale
of such beverages.

J. Age Restrictions. No person who would not be eligible to be a patron of a pari-mutuel
system of wagering pursuant to the provisions of subsection B of Section 208.4 of Title
3A of the Oklahoma Statutes shall be admitted into any area in a facility where covered
games are played, nor be permitted to operate, or obtain a prize from or in connection
with the operation of, any covered game, directly or indirectly.

K. Destruction of Documents, Enterprise books, records and other materials documenting
the conduct of covered games shall be destroyed only in accordance with rules and
regulations adopted by the TCA, which at a minimum shall provide as follows:

1, Material that might be utilized in connection with a potential tort claim
pursuant to Part 6 of this Compact, including, but not limited to, incident reports,
surveillance records, statements, and the like, shall be maintained at least one (1)
year beyond the time which a claim can be made under Part 6 of this Compact or,
if a tort claim is made, beyond the final disposition of such claim;

2. Material that might be utilized in connection with a prize claim, including but
not limited to incident reports, surveillance records, statements, and the like, shall
be maintained at least one hundred eighty (180) days beyond the time which a
claim can be made under Part 6 of this Compact or, if a prize claim is made,
beyond the final disposition of such claim; and

3. Notwithstanding anything herein to the contrary, all enterprise books and
records with respect to the conduct of covered games or the operation of the
enterprise, including, but not limited to, all interim and final financial and audit
reports and materials related thereto which have been generated in the ordinary
course of business, shall be maintained for the minimum period of three (3) years.

L. Location. The tribe may establish and operate enterprises and facilities that operate
covered games only on its Indian lands as defined by IGRA. The tribe shall notify the
SCA of the operation of any new facility following the effective date of this Compact.
Nothing herein shall be construed as expanding or otherwise altering the term "Indian
lands", as that term is defined in the IGRA, nor shall anything herein be construed as
altering the federal process governing the tribal acquisition of “Indian lands" for gaming
purposes.

M. Records of Covered Games, The TCA shall keep a record of, and shall report at least
quarterly to the SCA, the number of covered games in each facility, by the name or type
of each and its identifying number.

PART 6. TORT CLAIMS; PRIZE CLAIMS; LIMITED CONSENT TO SUIT



TITLE 4 GAMING

Each Qualified Gaming Financier License shall remain in effect until the earlier of
(i) the date upon which any loan obligations have been paid in full and all loan commitments
by any party have terminated or have been fully satisfied, or (ii) withdrawal of the application
by the applicant, or (iii) the expiration of any engagement letter or term sheet or loan
agreement or other financing or security agreement between the Qualified Gaming Financier
and the respective Gaming Operation.

Section 5-576. Background Investigations

Except as otherwise required by the Executive Director within his or her discretion,
the background investigation of each executive officer of an applicant for a Qualified Gaming
Financier license will consist solely of a review of publicly available information contained in
filings with the Office of the Comptroller of the Currency, the Federal Deposit Insurance
Corporation, the Federal Reserve Board, the Securities and Exchange Commission, the
National Association of Securities Dealers, various stock exchanges, and other Tribal,
federal, and state agencies regulating Qualified Gaming Financiers, depending upon the
organization and the corporate charter of each such applicant.

Chapter Six—APPLICABLE LAWS

Section 6-601. Law Applicable to Tort Claims

The law governing every tort claim brought pursuant to this Ordinance shall be the
laws of the Nation.

Section 6-602. Law Applicable to Contracts

(A) Every contract entered into by a Gaming Operation and the Commission with
any person or entity who is required to hold a license or registration issued pursuant to this
Ordinance, or that involves or relates to gaming, shall be subject to all applicable laws relating
to and regulating Tribal gaming, including, without limitation, the Indian Gaming Regulatory
Act, 25 U.S.C. § 2701 et seq., and the implementing regulations, 25 C.F.R. Chapter Ill, all
Tribal laws relating to and regulating gaming activities, including but not limited to this
Ordinance and the implementing regulations, any applicable Compact in force between the
Tribe and the State of Oklahoma, and any other applicable laws and regulations. Any
provision of any gaming or gaming-related contract contrary to this section shall be void as a
matter of law and policy and shall be unenforceable.

(B) The parties to an agreement may expressly agree to choose a law governing
the interpretation and enforcement of a contract, subject to this section.

55


Sac and Fox Code Title

Section 1-555. License Suspension or Revocation

(A) If, after the issuance of a management contractor license, the Commission
receives from the NIGC, or any other source, reliable information indicating that a
management contractor is not eligible for employment, the Commission shall suspend
such license and shall notify in writing the licensee of the suspension and the proposed
revocation.

[25 C.F.R. §558.5(b)}

(B) The Commission shall notify the licensee of a time and a place for a
hearing on the proposed revocation of a license.

[25 C.F.R. §558.5(c)]

(C) After a revocation hearing, the Commission shall decide whether to revoke
or to reinstate the management Contractor license. The Commission shall notify the
NIGC of its decision.

[25 C.F.R. §558.5(d)}
(History: Public Law No. SF-08-180.]
Section 1-556. Final NIGC Approval Required

At the initiation of each application for a Management Contract and at all material
times thereafter, applicants shall be advised by the Commission that the final approval
of such a contract or agreement is reserved to the Chairman of the NIGC and that the
approval and execution of the contracts, and the issuance of the Commission's
conditional license, is only a preliminary step in the final approval process. A
Management Contract shall not be effective and shall be considered void: until approved
by the Chairman of the NIGC.

[History: Public Law No. SF-08-180]
Subchapter E—FACILITY LICENSES
Section 1-561. Facility Licenses Required

The Commission shall issue a separate license to each place, facility, or location
on Indian lands where class It and/or Class Il! gaming is conducted under this Title.
The Commission shall specify the form, conditions and content for the application for
such licenses, which shall be submitted by the chief management official or the
proponent of the facility.

[25 U.S.C. §2710(b)(1)(B); 25 C.F.R. §522.4(b)(6)]
[History: Public Law No. SF-08-180.]

4


Sac and Fox Code Title

[25 C.F.R, §502.8. See, 25 U.S.C. §2703(7)(B)(ii) ; United States v. 103 Electronic Gambling Devices,
223 F.3d 1091 (9th Cir. 2000); United States v. 1062 MegaMania Gambling Devices, 231 F.3rd 713 (10th
Cir. 2000); Diamond Games Enterprises v. Reno, 230 F.3rd 365 (D.C. Cir. 2000); Seneca-Cayuga Tribe
of OK v. NIGC, 327 F.3rd 1019, (10th Cir. 2003), cert. denied, 540 U.S. 1218 (2004).]

(N) “Gaming Operation” means each economic entity that Is licensed by the
Nation to operate Class II or Class I] Gaming, receives the revenues, issues the prizes,
and pays the expenses. A Gaming Operation may be operated directly by the Nation,
the Sac and Fox Tribe, Inc. pursuant to its federal corporate charter, or by other political
or business subdivisions thereof, including Sauk Business Enterprises, or by a
management contractor on behalf of such licensed entity of the Nation when the
Management Contract has been properly approved by the Nation and the NIGC.

[25 C.F.R, §502.10}

(O) “House banking game" means any game of chance that is played with the
house as a participant in the game, where the house takes on all players, collects from
all losers, and pays all winners, and the house can win.

[25 C.F.R. §502.11]
(P) “Indian lands" means:

(1) Any lands the title to which ts either held in trust by the United
States for the benefit of the Nation or individual or held by the Nation or individual
subject to restriction by the United States against alienation and over which the
Nation exercises governmental power; and

(2) All lands acquired in trust for the benefit of the Nation after October
17, 1988, if said lands meet the requirements set forth in 25 U.S.C. §2719.

[Act of Feb. 13, 1891, Ch. 165, 26 Stat. 749; 25 U.S.C. §2703(4); 25 U.S.C. §2719; 25 C.F.R. §502.12]
(Q) “Key Employee” means:
(1) A person who performs one or more of the following functions:
(a) Bingo caller;
(b) Counting room supervisor;
(c) Chief of security;
(d) | Custodian of gaming supplies or cash;
(e) Floor manager;
(fy Pit boss;
(9g) Dealer;


TITLE 4 GAMING

matters within its purview. No prior or subsequent review by the Business Committee or the
Governing Council of any actions of the Commission shall be required or permitted except as
otherwise explicitly provided in this Title. To avoid potential conflicts of interest between the
operation and regulation of the Gaming Facility, the Nation hereby finds that, at a minimum:

(1) No elected officer of the Sac and Fox Nation, any member of the
Business Committee, Judges or Justices of the Nation’s courts, Attorney General,
Board members or employees of Sac and Fox Tribe, Inc., Sauk Business Enterprises
members, employees of any of the Nation's gaming facilities, gaming contractors
(including any principal of a management or other contracting company), persons
ineligible to be key employees or primary management officials, or any person who
has management responsibilities for any Gaming Operation may serve on the Gaming
Commission;

(2) No member directly related to any Business Committee member,
Judges, or Justices of the Nation's courts, Attorney General, Board members or
employees of Sac and Fox Tribe, Inc., or Sauk Business Enterprises member may
serve on the Commission;

(3) All persons employed by, or who are members of the Commission are
prohibited from gambling in any of the Nation's Gaming Facilities; and

(K) Vacancies in the Commission membership shall be filled through appointment
by the Principal Chief subject to confirmation by the Business Committee. If a vacancy occurs
for any reason during an appointed term by any member of the Commission, the Principal
Chief shall, upon recommendation from the remaining Commissioners, make a temporary
appointment for the remainder of that term, provided that during the pendency of any vacancy
or if a member is recused from hearing any matter properly before the Commission, the
Commission may appoint a qualified individual to serve as Commissioner on a pro tem basis
until such matter is concluded. The following categories of persons shall be deemed qualified
to serve as Commissioner Pro Tem for purposes of this Section:

(1) Former Commissioners that left the Commission in good standing;

(2) An attorney actively licensed or admitted to practice law in the courts
of the Nation; or in any state or tribal court; or in any district or territory of the United
States, provided that such attorney’s license or admission is in good standing;

(3) A retired judge or magistrate from any Nation, state, or federal court;
and

(4) A sitting member of any tribal gaming commission.

(L) | Nominees for positions of Commissioner must satisfy the eligibility standards
set forth for key employees and primary management officials, found in Section 1-516 et seq.
of this Title. Such background investigations shall be performed by licensing officials of the
Commission applying the eligibility standard as set forth in this Title.

25


Sac and Fox Code Title

Section 1-408. Record Keeping System

The Commission shall establish a complete record keeping system and
Procedures necessary to ensure efficient record keeping and secure administrate
control of the record keeping system. At a minimum, this record keeping system will:

(A) Maintain all records concerning licenses issued, persons denied licenses,
Persons prohibited from engaging in gaming activities, persons who have voluntarily
requested that they not be allowed to participate in gaming within the Nation's
Jurisdiction, and all other official activities of the Gaming Commission.

(B) Maintain a handbook of NIGC documents, recommended and required
forms and procedures, and NIGC informational releases and documents by use of the
NIGC Fax on Demand System, or otherwise.

(C) Furnish necessary information, and substantiate any reports, to the
Principal Chief, the Business Committee, the Governing Council, or any relevant
committee or department thereof, concerning proposed management contracts and the
principals thereof proposing such a contract, proposed gaming sites, or locations,
applications for gaming operations, gaming machines, equipment and supplies,
manufacturers and suppliers thereof, or on any other gaming matter, and to maintain
the factual predicates for actions taken by the Commission.

(D) _ Provide adequate safeguards to protect confidential information and guard
against its disclosure other than as may be authorized or required by law.

[History: Public Law No. SF-08-180]
Section 1-409. Reporting NIGC Actions

The Commission shall immediately advise the Business Committee, the Tribal
Attorney / General Counsel and the Attorney General when any actions of NIGC may
adversely affect the Nation or any gaming facility licensed by the Nation through
Commission.

(History: Public Law No. SF-08-180]
Section 1-410. Auditing Insurance Compliance

The Commission shall monitor the bonding and insurance coverage of all gaming
facilities to Insure that the Nation is a named insured against property losses including
buildings and equipment owned, rented or leased by the Nation which are used in any
gaming facility; against statutory, common law, and constitutional tort claims, and
against such claims which may arise pursuant to a compact which is in effect; against
thefts and burglaries involving property or funds, misapplications or misappropriations of
property or funds by agents, servants or employees of the gaming facility (including any
management contractor), and against any other peril or hazard which the Commission
may direct, including, but not limited to, fidelity and fiduciary bonds or insurance

23


TITLE 4 GAMING

(3) If not otherwise included, the four most highly compensated persons
in the Gaming Operation; or

(4) Any other persons designated by the Commission as a key employee.

(W) “Management Contract" means any contract, subcontract, or Collateral
Agreement between the Nation or a subdivision of the Nation and a contractor, or between a
contractor and a subcontractor if such contract, subcontract, or Collateral Agreement provides
for the management of all or part of a gaming facility operated within the Nation.

(X) “Nation,” as well as the terms “Tribe” and “Tribal,” means the Sac and Fox
Nation.

(Y) | “Net Revenues" means gross gaming revenues of a Gaming Operation less:
(1) | Amounts paid out as, or paid for prizes; and

(2) Total gaming-related operating expenses, including all those expenses
of the Gaming Operation commonly known as operating expenses and non-operating
expenses consistent with professional accounting pronouncements, excluding
management fees;

(Z) “NIGC” means the National Indian Gaming Commission as established by the
Act of October 17, 1988, Pub. L. 100-497, 25 U.S.C. §§ 2701, et. seq.

(AA) “Non-Gaming Vendor” means a vendor who provides services or goods that
do not have the ability to impact the integrity of gaming operations, such as media advertising,
facility maintenance workers, linen and laundry services, and food and beverage suppliers.

(BB) “Patron” means any person who is on the premises of a Gaming Facility, for
the purpose of participating in any gaming, promotional, or Ancillary Activity; or, for purposes
of a tort claim, means any person who is on-premises for the purpose of playing covered, or
Class Ill, games as provided in the Compact.

(CC) “Per Capita Payment” means a distribution of money or other thing(s) of value
to all members of the Nation or to identified groups of members paid directly from the Net
Revenues in accordance with the Nation's Revenue Allocation Plan as approved by the

Secretary of the Interior.

(DD) “Premises” means all interior and exterior areas of a gaming facility, including
parking areas and ancillary structures located on the property.

(EE) “Primary Management Official" means:

(1) The person(s) having management responsibility for a Management
Contract;


Sac and Fox Code Title

(h) — Croupier;
(i) Approver of credit; or

(j) 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; or

(3) ff not otherwise included, the four most highly compensated
persons in the Gaming Operation.

[25 C.F.R. §502.14)}

(R) "Management Contract" means any contract, subcontract, or Collateral
Agreement between the Nation or a subsidiary of the Nation and a contractor, or
between a contractor and a subcontractor if such contract, subcontract, or Collateral
Agreement provides for the management of all or part of a gaming facility operated
within the Nation.

[25 C.F.R. §502,15. 25 U.S.C. §2711]
(S) “Nation” means the Sac and Fox Nation.

(T) “Net Revenues” means gross gaming revenues of a Gaming Operation
less:

(1) | Amounts paid out as, or paid for, prizes; and

(2) Total gaming-related operating expenses, excluding management
fees;

[25 U.S.C, §2703(9); 25 C.F.R. §502.16]

(U)  “NIGC” means the National Indian Gaming Commission as established by
the Act of October 17, 1988, PL 100-497, 25 U.S.C. §§2701, et. seq.

(Vv) “Other games similar to bingo” means any game played in the same
location as bingo (as defined in 25 U.S.C. §2703(7)(A)(i)) constituting a variant on the
game of bingo, provided that such game is not house banked and permits players to
compete against each other for a common prize or prizes..

[25 C.F.R, §502,9, 26 U.S.C. §2703(7)(A))(M)]

(W) “Per Capita Payment” means the distribution of money or other thing of
value to all members of the Nation, or to identify groups of members, which is paid
directly from the Net Revenues in accordance with the Nation's Revenue Allocation Plan
as approved by the Secretary of the Interior.


Sac and Fox Code Title

(F) The Commission shall take into account the inspection reports where
conditions are present that pose a real and immediate threat: (1) To the environment,
which, if uncorrected, would result in actual harm to life or destruction of property; or (2)
to human health and well being, which, if uncorrected, could result in serious illness or
death. The Commission may order the immediate closure of all or part of any gaming
facility, or such lesser remedy as it deems necessary in order to protect the public
health and safety or the environment.

[67 Fed. Reg. 46109 (July 12,2002)}
[History: Public Law No. SF-08-180.]

Section 1-206. Internal Control Standards

The Commission shall adopt and implement Tribal Intemal Control Standards for
the operation of all gaming facilities in accordance with any applicable provisions of the
Compact and the regulations of the NIGC, with such enhancements as may be useful or
necessary to further protect the government of the Nation, the gaming facilities, and the
public interest. The Tribal Internal Control Standards shall be set out in separate
regulations to be reviewed and adopted by the Commission to ensure that they are In
compliance with the requirements of the NIGC and the Compact. The Tribal Internal
Control Standards so approved shall thereafter govern all Class Ii and Class Ill Gaming
within the jurisdiction of the Nation until and unless they are amended by the
Commission in the same manner in which they were adopted.

{History: Public Law No. SF-08-180.]
Section 1-207. Agent for Service of NIGC Process

The Nation hereby designates the Principal Chief as agent for service of process
from the NIGC, who may be contacted at:

Sac and Fox Nation
Route 2, Box 246
Stroud, Oklahoma 74079

P5CF.R. 8519.1]
[History: Public Law No. SF-08-180,]
Section 1-208. Payment of Taxes and Regulatory Fees to the Nation

Each gaming facility shall pay all tribal taxes due, and its fair share of the
regulatory fees imposed by law to reimburse the Nation for the cost of regulating
gaming within its Indian lands.

(History: Public Law No. SF-08-180.]

12


TITLE 4 GAMING

this Title are hereby repealed, including all inconsistent laws, codes, ordinances, and
resolutions. Repeal by this Title of any law, code, ordinance, or resolution shall not have the
effect of reviving any prior law, code, ordinance, Title, or resolution heretofore repealed or
suspended by such repealed code.

The Sac and Fox Nation retains continuing authority to amend this Title, or to enact
and promulgate additional statutory or regulatory provisions relating to the conduct of gaming
within the jurisdiction of the Sac and Fox Nation to protect the public health and safety,
provided, that:

(A) Amendment of any provision of this Title shall be effective only if such
provision(s) is/are approved by the Chairman of the National Indian Gaming Commission as

provided in 25 U.S.C. § 2701 et seq.; and

(B) No subsequent enactment or amendment of any Nation Law, Ordinance,
Resolution, or Regulation shall conflict with or be interpreted to conflict with any provision of
this Title and/or the regulations issued pursuant thereto unless the same be approved by the
Chairman of the NIGC as provided in 25 U.S.C. § 2710.

(C) The regulations of the Commission current on the effective date of this Title
may remain in full force and effect for up to fourteen (14) months unless inconsistent with any
provision of this Title or earlier superseded by duly adopted regulations pursuant to this Title.

Chapter One—PRELIMINARY PROVISIONS AND DEFINITIONS

Section 1-101. Purpose

This Title governs all Gaming Operations on the Sac and Fox Nation’s Indian Lands.

Section 1-102. Jurisdiction

(A) As a sovereign nation, the Nation possesses and exercises its governmental
authority, powers, and jurisdiction to the fullest extent permitted under law over all of its Indian
country, all gaming activities and Gaming Operations and other activities conducted on its
Indian Lands.

(B) — The act of entry by any person or entity upon the premises of any Gaming
Facility subject to this Title, the act of transacting business with any Tribal governmental
instrumentality, agency, component, enterprise, authority, or other Tribal entity subject to this
Title, the act of applying or accepting employment with a Gaming Operation, or the act of
applying for any license, permit, or registration required by this Title shall constitute consent
to the civil and/or, where applicable, criminal jurisdiction of the Nation, including consent to


Sac and Fox Code Title

(C) The Commission shall also cause its lawyer to review the proposed
contract to confirm that it is in compliance with all applicable laws and regulations.

(D) _ If the Commission determines that the draft Management Contract is in
compliance with all applicable laws and regulations, and the proposed management
Contractor is suitable for the position under the standards applicable to Key Employees
and Primary Management Officials, the Commission shall Issue a conditional license to
the Management Contractor for the draft contract, and authorize its submittal to the
Chairman of the NIGC for final approval. The conditional license shall automatically go
into full force and effect upon the approval of the proposed Management Contract by
the Chairman of the NIGC.

[Hlstory: Public Law No. SF-U8-180.}
Section 1-552. Licenses Required

No proposed Management Contract shall be forwarded to the NIGC for approval
until the proposed management contractor has been licensed by the Commission.

[History: Public Law No. SF-08-180.]
Section 1-553. investigatory Fee

In addition to any management contractor license fee which may be due under
the Commission's fee schedule, every person or entity who applies to the Commission
for a Management Contract shall deposit with the Commission an investigatory fee of
$5,000 dollars to cover the costs of necessary background investigations and the legal
review. Additional fees may be required if the initial fee proves to be inadequate to
cover processing and preliminary investigation costs. All remaining sums not expended
or charged in the processing procedure shall be retumed to the applicant at the time the
application is disapproved by the Commission, or at the time it is finally approved by the
Chairman of the NIGC.

[History: Public Law No. SF-08-180.]
Section 1-554, License Term

The management contractor gaming license shall be valid during the term of the
approved Management Contract, and shall be renewable on such terms and conditions
as the Commission may establish by regulation if that Management Contract is
extended or renewed.

[See, 25 C.F.R. §§558.2, 558.4(b)]

(History: Public Law No. SF-08-180.]

40


Sac and Fox Code Title

payments may be disbursed to the parents or legal guardian of such minors or
legal incompetents in such amounts as may be necessary for the health,
education, or welfare of the minor or other legally incompetent person, pursuant
to the approved Revenue Allocation Plan.

[25 C.F.R. §290.12(b)(3)}

(3) Tribal members shall be notified of the tax liability for per capita

payments and how taxes will be withheld in accordance with the approved
revenue allocation plan.

[25 C.F.R. §290.12(b)(4); 26 C.F.R. Part 31]
[History: Public Law No. SF-08-180.]

(4) The Nation shall designate or create a Tribal court system, forum,
or administrative process for resolution of disputes concerning the allocation of
Net Revenues and the distribution of per capita payments and will explain how it
will correct deficiencies.

[25 C.F.R. § 290. 12(3){iil), (b)(5); 25 C.F.R. § 290.22]

(5) The Nation shall ensure that the effective Tribal revenue allocation
plan reserves an adequate portion of Net Revenues from the Tribal Gaming
activity to do one or more of the following purposes: fund Tribal government
operations or programs; provide for the general welfare of the Tribe ar its
members; promote Tribal economic development; donate to charitable
organizations; or to help fund operations of local government.

[25 C.F.R. § 290.12(b)(1)}

(6) The Nation shall ensure that distributions of per capita payments
are made according to specific eligibility requirements.

[25 C.F.R. § 290.12(3)(il), (b)(5)]
Section 1-204. Independent Audits Required

(A) | The Commission shall cause an annual outside independent audit of each
Gaming Operation to be conducted, and shall submit the resulting audit reports to the
governing body of the audited Gaming Operation, the Business Committee, and the
NIGC.

[25 U.S.C. §2710(b)(2)(C); 25 C.F.R. §522.4(b)(3)]
(B) All gaming related contracts that result in the purchase of supplies,
services, or concessions in excess of $25,000.00 annually, except contracts for

professional legal and accounting services, shall be specifically included within the
scope of the audit that is described in Subsection A of this Section.

10


Sac and Fox Code Title

: (B) Gaming vendors are vendors who provide gaming supplies and services,
including cash-related services.

(C) Non-gaming vendors are vendors who provide services that do not have
the ability to impact the integrity of gaming operations, such as media advertising,
facility maintenance workers, linen and laundry services, and food and beverage
suppliers. The Commission shall create a regulation detailing which vendors fall into
this category and shall maintain a register of the non-gaming vendors that it licenses.
The regulation may exempt from licensing requirements non-gaming vendors who:

(1) are a Tribal, Local, State, or Federal government agencies;
(2) are regulated by a State, a tribe, or the federal government; or

(3) will provide goods of insubstantial or insignificant amounts or
quantities;

if the Commission determines that licensing of the vendor is not necessary to protect
the public interest,

[History: Public Law No. SF-08-180,]
Section 1-542. Submission of Vendor Application

In order to obtain a gaming vendor license, the business must complete a vendor
application and submit to background checks of itself and its principals. Principals of a
business include its officers, directors, management, owners, partners, non-institutional
stockholders that either own 10% or more of the stock or are the 10 largest
stockholders, and the on-site supervisor or manager under the agreement with the
Nation, if applicable. The Gaming Commission shall, by regulation, establish the scope
of the investigation which shall be conducted concerning different classes of vendors to
Protect the public interest. A minimal Investigation shall consist of verification of the
basic information contained in the license application. The most strenuous investigation
shall be the equivalent of that required for Key Employees or Primary Management
Officials.

{History: Public Law No. SF-08-180.]
Section 1-543. Contents of the Vendor Application
(A) Applications for gaming vendor licenses must include the following:

(1) Name of business, business address, business phone, federal tax
ID number (or SSN if a sole proprietorship), main office address if different from
the business address, any other names the applicant has done business under
during the preceding ten years, type of service applicant will provide;

36


Sac and Fox Code Title

({L) Gaming Commissioners shall be compensated at a level determined by
the Business Committee. Commissioner compensation shall not be based on a
percentage of gaming revenue to ensure the Commission is not improperly influenced.

{History: Public Law No. SF-08-180]
Section 1-402. Buildings and Equipment»

The Commission will use such buildings and equipment in the performance of its
duties and responsibilities as may be authorized by the Business Committee. The
Commission shall present its equipment needs in its budget.

[History: Public Law No. SF-08-180}
Section 1-403. Personnel

(A) The Commission is hereby authorized to hire, fire, promote, demote,
suspend, direct, supervise, train, manage, and appropriately delegate responsibilities
and duties to such supervisory employees, accountants, investigators, secretaries,
clerks, directors, administrators and other necessary personnel needed by the
Commission to perform its duties and responsibilities.

(B) All such employees, and all matters relating to the hiring, promotion,
discipline, and discharge of such employees shall be subject to the provisions of the
Nation's Personnel Manual and in accord with the Commission's approved budget, and
any amendments thereto.

[History: Public Law No, SF-08-180]
Section 1-404, Reasonable Assistance

The Commission may seek from, and shall render fo, any department or agency
of the Nation's government, cooperating agencies of the federal goverment including
the National Indian Gaming Commission, any state or municipality, any foreign state or
law enforcement agency, other tribal or state gaming regulatory bodies or law
enforcement agencies, ail reasonable, necessary, and lawful assistance that may be
required or allowed by law to protect the public, enforce the laws, and secure the
integrity of the gaming industry.

[History: Public Law No, SF-08-180]
Section 1-405. Enforcement Actions

(A) In the performance of its duties and responsibilities, the Commission shall
use its best judgment and discretion in all legal matters arising before it for decision,
and may seek the additional advice of the Attomey General, Tribal Attorney / General
Counsel, the Business Committee or other offices or agents of the Nation before making
significant decisions,

21


SAC AND FOX NATION GAMING ORDINANCE OF 2018

EXHIBIT B.

Sac and Fox Nation Tribal Gaming Regulations
(as of July 19, 2018)

Contained on Enclosed Flash Drive

Submission to Chairman, National Indian Gaming
Commission, July 19, 2018


TITLE 4 GAMING

an appeal with the Commission. If such person timely files an appeal, the Commissioners
shall afford the person a hearing and determine whether the award should be granted or
forfeited. If the person fails to timely file an appeal, the Commissioners shall issue an order
of forfeiture. In the event of forfeiture, the amount to which the person would otherwise have
been entitled shall be deposited into the Treasury Account of the Nation and may be
appropriated by the Business Committee for the same purposes for which general revenues
from taxation may be used.

(B) Security employees of the Nation's Gaming Operations shall have the
authority to remove any individual from the premises of a gaming facility whose behavior is
loud, obnoxious, inappropriate, disruptive, aggressive, offensive, or violent; and where such
behavior warrants the intervention of law enforcement officials, Security may restrain such
person for a reasonable amount of time for the sole purpose of transferring the person to the
custody of law enforcement officials. In no event shall any person be restrained by Security
for more than two (2) hours except upon the request of law enforcement officials.

Section 5-563. Communications by the Commission

Communications within the Commission in relation to personnel, licensing,
investigations, enforcement, and hearing matters as well as lawful communications between
the Commission and its legal counsel, other regulatory agencies, and law enforcement
officials are privileged and confidential and do not require disclosure unless such disclosure
is required by an Order of the Tribal Court after in-camera inspection. Any member of the
Commission, the Executive Director, and the Commission staff may claim this privilege.

Section 5-564. Calculation of Time

In computing any period of time prescribed or allowed by this Title or the Regulations
of the Commission, the day of the act, event or default from which the designated period of
time begins to run shall not be included. The last day of the period so computed shall be
included, unless the last day is a Saturday, a Sunday or a legal holiday under Tribal law or
federal law. If the act to be done is the filing of or providing access to any report or document,
and the last day of the period falls on a day in which the weather or other conditions have
made the offices in which the report or document is to be filed inaccessible, the designated
period shall extend until the end of the next day on which the office is accessible which is not
a Saturday, Sunday or legal holiday. When the period of time prescribed or allowed is less
than eleven (11) days, intermediate Saturdays, Sundays and legal holidays under Nation or
federal law shall be excluded from the computation period.

Subchapter F—LICENSING OF GAMING FINANCIERS

Section 5-571. Licensing of Qualified Gaming Financiers

53


TITLE 4 GAMING

In addition to any other civil and/or criminal acts that may be regulated or prohibited
by this Title, other Laws of the Sac and Fox Nation, or applicable federal or state law, the
following prohibited activities shall constitute civil violations under this Title and may subject
any person or entity to the enforcement authority of the Gaming Commission as provided in
this Title.

(A) Gaming license. No person shall operate or conduct Gaming or Ancillary
Activities in a Gaming Facility without a gaming license issued by the Commission under this

Title.

(B) Falsifying information. No licensee or license applicant shall intentionally omit
or provide false information to the Commission, the Nation, of any of its governmental
agencies in connection with any document, statement, or proceeding under this Title.

(C) Accounting and Inspection. No management contractor or Primary
Management Official shall fail to account fully for all monies received or collected in
connection with the Gaming Operation and/or gaming or gaming related activities nor omit
the filing of any report required under a management contract, the laws or regulations of the
Nation, or pursuant to an order, directive, or inquiry of the Commission. No Gaming Operation
nor any manager, employee, or agent of the Gaming Facility shall obstruct or refuse to allow
an authorized representative of the NIGC or an authorized Commission official to enter upon
the premises of a Gaming Facility to carry out inspections or other regulatory functions nor
refuse to provide such officials with any documents, books, records, materials or surveillance
recordings requested by such officials.

(D) Age Limit. No person under the age of eighteen (18) shall participate in
gaming activities. In the event a person who has not attained the age of eighteen participates
in any gaming facility and wins a prize, the prize shall not be awarded, but instead shall be
forfeited to the Nation and the consideration wagered shall be returned to the underage

participant.
(E) | Cheating. No person shall engage in cheating in any gaming activity.

(F) Possession of a Firearm. No person, other than a law enforcement officer duly
authorized by the Nation or invited by the Nation to be on the premises or duly authorized
security officer, may enter or remain in or on the premises of a Nation Gaming Operation
while in possession of a firearm.

(G) Violation of any provision, rule, regulation, or order. No person shall violate
any provision of this Title, or any rule, order or regulation that the Commission may
promulgate or issue, including any internal control procedure.

(H) Fraudulent scheme or techniques. No person participating in or conducting
any gaming activity authorized under this Title shall:

(1) Use bogus or counterfeit cards or dice, or substitutes, or use any

15


TITLE 4 GAMING

(B) When the Commission does not issue a license to an applicant for a Primary
Management Official or Key Employee position, or revokes a previously issued license after
reconsideration, it shall notify the NIGC and forward copies of its eligibility determination and
notice of results of the applicant's background investigation to the NIGC for inclusion in the
Indian Gaming Individuals Record System.

Section 5-521. License Term

The Key Employee or a Primary Management Official gaming license issued shall be
valid for a period of two (2) years from the date of issuance so long as the employee remains
employed within the gaming industry in the Nation and shall be renewable on such terms
and conditions as the Commission may establish by regulation.

Section 5-522. License Suspension or Revocation

(A) If, after the issuance of a gaming license, the Commission receives, from the
NIGC or any other source with reliable information indicating that a Key Employee or a
Primary Management Official is not eligible for employment, the Commission shall
immediately suspend such license and provide the licensee with written notice of the

suspension and proposed revocation.

(B) |The Commission shall notify the licensee of a time and a place for a hearing on
the proposed revocation of a license. The right to a hearing under this Section shall vest only
upon receipt of a license granted under this Title.

(C) After a revocation hearing, the Commission shall decide whether to revoke or
to reinstate a gaming license. The Commission shall notify the NIGC of its decision to revoke

or reinstate a license within forty-five (45) days of receiving notification from the NIGC that a
Primary Management Official or Key Employee is not eligible for employment.

Section 5-523. Records Retention
(A) | The Commission shall retain, for no less than three (3) years from the date a
Primary Management Official or Key Employee is terminated from employment with the
Nation, the following documentation:
(1) Application for licensing;
(2) Investigative Reports; and

(3) Eligibility Determinations.

Subchapter B—NON-KEY EMPLOYEE LICENSING

44


TITLE 4 GAMING

(7) A description of any existing and previous business relationships with
the gaming industry generally, including ownership interests in those businesses;

(8) A\list of Indian tribes with which the vendor has an existing or previous
business relationship, including ownership, financial, or management interests in non-

gaming activities;

(9) | Names, addresses, and phone numbers of three business references
with whom the company had regularly done business for the last five years;

(10) The name and address of any licensing or regulatory agency with which
the business has filed an application for a license or permit related to gaming, whether

or not such license or permit was granted;

(11) If the business has ever had a license revoked for any reason, the
circumstances involved;

(12) A list of lawsuits to which the business has been a party, including the
name and address of the court involved, and the date and disposition if any;

(13) List the business' funding sources and any liabilities of $50,000 or more,
unless the business is publicly traded, or is willing to submit a certified financial

statement;

(14) A list of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership in the
company; and

(15) Any further information the Gaming Commission deems relevant.

(B) The following notice shall be placed on the application form for a gaming vendor
and its principals:

Inclusion of false or misleading information in the gaming vendor application
may be grounds for denial or revocation of the gaming vendor license.

Section 5-544. Gaming Vendor Background Investigation

Subject to the regulations of the Gaming Commission, the Gaming Commission shall
complete a background investigation of the gaming vendor. This background investigation
shall contain, at a minimum, the following steps:

(A) _ Verify the business’ incorporation status, if any, and qualification to do business
in the jurisdiction of the Nation;

(B) Obtain a business credit report, if available, and/or conduct a Better Business

48


Sac and Fox Code Title

business subdivisions of the Nation, and social or charitable organizations of the Nation
that are authorized by tribal law to operate gaming to support their purposes.

[25 U.S.C, §2710(b)(2)(A); 25 C.F.R. §522.4(b)(1); Senate Report (Indian Affairs Committee) No. 100-
446, Aug. 3, 1988, 1988 U.S.C.C.A.N. 3071, 3082]

(B) Privately owned gaming Is prohibited within the jurisdiction of the Nation,
[History: Public Law No. SF-08-180.]
Section 1-202. Use of Gaming Revenue
Net revenues from tribal gaming shall be used only for the following purposes:
(A) _ To fund tribal government operations and programs;
(B) To provide for the general welfare of the Nation and its members;
(C) To promote tribal economic development;
(D) To donate to charitable organizations; or
(E) To help fund operations of local government agencies.
[26 U.S.C. §2710(b)(2)(B); 25 C.F.R. §522.4(b)(2))
[History: Public Law No. SF-08-180.)
Section 1-203. Per Capita Payments

(A) | The Revenue Allocation Plan adopted by Resolution No. SF-GC-96-04,
approved effective October 1, 1996, in accordance with the United States Department
of the Interior's “Guidelines to Govern the Review and Approval of Per Capita
Payments” dated December 21, 1992, or any amended and approved Revenue
Allocation Plan, shall continue to govem all Per Capita Payments made from net
revenues.

(B) _ If the Nation elects to make per capita payments to tribal members from
revenues derived from its gaming operations, it shall ensure that the following
requirements of 25 C.F.R. Part 290 are met:

(1) The Nation shall authorize and issue such payments only in
accordance with a revenue allocation plan submitted to and approved by the
Secretary of the Interior under 25 U.S.C. §2710(b)(3).

[25 U.S.C. §2710(b)(3); 25 C.F.R. §522.4(b)(2)(ii)]

(2) The Nation shall ensure that the interests of minors and other
legally incompetent persons who are entitled to receive any per capita payments
under a Tribal per capita payment plan are protected and preserved. Per capita

9


constitute a consent to suit against the enterprise as to such party except to the
extent such party’s claim is:

a. in lieu of and identical to the claim that would have been made by the
claimant directly but for the appointment of said representative or
indispensable party, and participation of such other party is in lieu of and
not in addition to pursuit of the claim by the patron, and

b. the claim of such other party would have been subject to a consent to
suit hereunder if it had been made by the claimant directly.

D. Remedies in the Event of No or Inadequate Insurance for Tort Claim. In the event a
tort claim is made and there is no, or inadequate, insurance in effect as required under this
Compact, the enterprise shall be deemed to be in default hereunder unless, within ten (10)
days of a demand by the SCA or a claimant to do so, the enterprise has posted in an
irrevocable escrow account at a state or federally chartered bank which is not owned or
controlled by the tribe, sufficient cash, a bond or other security sufficient to cover any
award that might be made within the limits set forth in paragraph 1 of subsection A of
this Part, and informs the claimant and the state of:

1. The posting of the cash or bond;

2. The means by which the deposit can be independently verified as to the amount
and the fact that it is irrevocable until the matter is finally resolved;

3. The right of the claimant to have this claim satisfied from the deposit if the
claimant is successful on the claim; and

4. The notice and hearing opportunities in accordance with the tribe’s tort law, if
any, otherwise in accordance with principles of due process, which will be
afforded to the claimant so that the intent of this Compact to provide claimants
with a meaningful opportunity to seek a just remedy under fair conditions will be
fulfilled.

Part 7. ENFORCEMENT OF COMPACT PROVISIONS
A. The tribe and TCA shall be responsible for regulating activities pursuant to this
Compact. As part of its responsibilities, the tribe shall require the enterprise do the

following:

1. Operate the conduct of covered games in compliance with this Compact,
including, but not limited to, the standards and the tribe’s rules and regulations;



1. Consistent with 25 C.F.R., Section 571.12, Audit Standards, the TCA shall
ensure that an annual independent financial audit of the enterprise’s conduct of
covered games subject to this Compact is secured. The audit shall, at a minimum,
examine revenues and expenses in connection with the conduct of covered games
in accordance with generally accepted auditing standards and shall include, but
not be limited to, those matters necessary to verify the determination of adjusted
gross revenues and the basis of the payments made to the state pursuant to Part 11
of this Compact.

2. The auditor selected by the TCA shall be a firm of known and demonstrable
experience, expertise and stature in conducting audits of this kind and scope.

3. The audit shall be concluded within five (5) months following the close of each
calendar year, provided that extensions may be requested by the tribe and shall
not be refused by the state where the circumstances justifying the extension
request are beyond the tribe’s control.

4. The audit of the conduct of covered games may be conducted as part of or in
conjunction with the audit of the enterprise, but if so conducted shall be separately
stated for the reporting purposes required herein.

5. The audit shall conform to generally accepted auditing standards. As part of the
audit report, the auditor shall certify to the TCA that, in the course of the audit,
the auditor discovered no matters within the scope of the audit which were
determined or believed to be in violation of any provision of this Compact.

6. The enterprise shall assume all costs in connection with the audit.

7. The audit report for the conduct of covered games shall be submitted to the
SCA within thirty (30) days of completion. The auditor’s work papers concerning
covered games shall be made available to the SCA upon request.

8. Representatives of the SCA may, upon request, meet with the auditors to
discuss the work papers, the audit or any matters in connection therewith;
provided, such discussions are limited to covered games information and pursue
legitimate state covered games interests.

G. Rules for Play of and Prizes for Covered Games. Summaries of the rules for playing
covered games and winning prizes shall be visibly displayed in the facility. Complete sets
of rules shall be available in pamphlet form in the facility.

H. Supervisory Line of Authority. The enterprise shall provide the TCA and SCA with a
chart of the supervisory lines of authority with respect to those directly responsible for
the conduct of covered games, and shall promptly notify those agencies of any material
changes thereto.



TITLE 4 GAMING

(B) All gaming related contracts that result in the purchase of supplies, services, or
concessions in excess of $25,000.00 annually, except contracts for professional legal and
accounting services, shall be specifically included within the scope of the audit that is

described in Subsection A of this Section.

Section 2-205. Environment, Public Health, and Safety

(A) Each Gaming Facility shall be constructed, maintained, and operated in a
manner that adequately protects the environment and the health and safety of the public. The
Commission, by regulation, shall prescribe standards designed to ensure gaming facilities
shall be constructed, maintained and operated in a manner that adequately protects the
environment and the health and safety of the public.

(B) Each Gaming Operation shall adopt policies and procedures consistent with
the Commission's environment, public health and safety regulations and subject to the

Commission’s review and approval that assure adequate protection of the environment and
the public health and safety at all gaming facilities,

(C) The policies and procedures adopted by each Gaming Operation shall
establish adequate standards for gaming facilities with regard to:

(1) Construction;

(2) Fire prevention, suppression, and alarm systems;

(3) Emergency preparedness for natural and man-made disasters;
(4) Food & water quality and safety;

(8) Environmental and safety hazards relating to construction &
maintenance;

(6) Handling and disposal of hazardous and waste materials;

(7) Sanitation; and

(8) Security
Each Gaming Operation shall consult with the professional staff of the Blackhawk Health
Center, the Sac and Fox Police Department, and the Sac and Fox Justice Department

regarding public health and safety issues mentioned in this Section and take their views into
account in the preparation of its policies and procedures.

(D) The Commission shall verify that an inspection of each gaming facility is
conducted annually by qualified inspectors and the Commission may compel the inspection

10


A. Tort Claims. The enterprise shall ensure that patrons of a facility are afforded due
process in seeking and receiving just and reasonable compensation for a tort claim for
personal injury or property damage against the enterprise arising out of incidents
occurring at a facility, hereinafter “tort claim", as follows:

1, During the term of this Compact, the enterprise shall maintain public liability
insurance for the express purposes of covering and satisfying tort claims, The
insurance shall have liability limits of not less than Two Hundred Fifty Thousand
Dollars ($250,000.00) for any one person and Two Million Dollars
($2,000,000.00) for any one occurrence for personal injury, and One Million
Dollars ($1,000,000.00) for any one occurrence for property damage, hereinafter
the "limit of liability", or the corresponding limits under the Governmental Tort
Claims Act, whichever is greater. No tort claim shall be paid, or be the subject of
any award, in excess of the limit of liability;

2. The tribe consents to suit on a limited basis with respect to tort claims subject
to the limitations set forth in this subsection and subsection C of this Part. No
consents to suit with respect to tort claims, or as to any other claims against the
tribe shall be deemed to have been made under this Compact, except as provided
in subsections B and C of this Part;

3. The enterprise’s insurance policy shall include an endorsement providing that
the insurer may not invoke tribal sovereign immunity in connection with any
claim made within the limit of liability if the claim complies with the limited
consent provisions of subsection C of this Part. Copies of all such insurance
policies shall be forwarded to the SCA;

4. Any patron having a tort claim shall file a written tort claim notice by delivery
to the enterprise or the TCA. The date the tort claim notice is filed with the
enterprise or the TCA shall be deemed the official date of filing the tort claim
notice. The tort claim notice shall be filed within one (1) year of the date of the
event which allegedly caused the claimed loss. Failure to file the tort claim notice
during such period of time shall forever bar such tort claim; provided that a tort
claim notice filed with the enterprise or the TCA more than ninety (90) days, but
within one (1) year, after the event shall be deemed to be timely filed, but any
judgment thereon shall be reduced by ten percent (10%).

5. If the tort claim notice is filed with the TCA, the TCA shall forward a copy of
the tort claim to the enterprise and the SCA within forty-eight (48) hours of filing,
and if the tort claim notice is filed with the enterprise, the enterprise shall forward
a copy of the tort claim to the TCA and the SCA within forty-eight (48) hours of
filing;

6. The tort claim notice shall state the date, time, place and circumstances of the
incident upon which the tort claim is based, the identity of any persons known to



TITLE 4 GAMING

The Executive Director shall issue a separate license to each place, facility, or location
on Indian lands where Class I! and/or Class I! gaming is conducted under this Title, valid for
a period of three years, provided:

(1) Documentation is provided demonstrating that the Gaming Facility is
located, or will be located if it is to be constructed, on the Nation’s Indian Lands;

(2) The Gaming Facility is of sound, physical structure with adequate, safe,
and operational plumbing, electrical, heating, cooling, and ventilation systems in place;

(3) The Gaming Operation has provided a complete description of the
premises and the name and address at which gaming will be conducted;

(4) The Gaming Facility has been inspected and approved for safety by a
qualified building and fire inspector approved by the Commission;

(6) The Gaming Facility is equipped with security and surveillance
equipment meeting or exceeding provisions set forth in regulations established by the

Commission;

(6) The Gaming Operation has prepared, and the Gaming Facility is
subject to an emergency preparedness plan approved by the Commission;

(7) The Gaming Operation has submitted all documentation required by
applicable regulations of the NIGC for a new facility or, for renewal of a license, such
information required for reissuing a license;

(8) The Gaming Operation has provided such other information as the
Commission shall require by regulation;

(9) The Gaming Operation has provided the Commission a copy of all
requisite insurance policies; and

(10) | The Gaming Operation has paid all applicable license and regulatory
fees and assessments.

(11) The Commission shall specify the form, conditions and content for the
application for such licenses, which shall be submitted by the chief management official
or the proponent of the facility.

Section 5-562. Forfeiture; Restraint
(A) The Gaming Operation may withhold the award of any jackpot or promotional

prize from any person who has been voluntarily or involuntarily excluded and whose name is
on the exclusion list. Such person shall have five (5) days from the date of the incident to file

52


TITLE 4 GAMING

Section 4-406. _ License Fee Schedule...
Section 4-407. Reporting Requirement: 1
Section 4-408. Record Keeping System 2.
Section 4-409. Reporting NIGC Actions
Section 4-410. Auditing Insurance Compliance .

Subchapter A—ADMINISTRATIVE HEARINGS ...
Section 4-421. Authority to Conduct Hearings...

Subchapter B—ENFORCEMENT — CIVIL FINES AND PENALTIES...
Section 4-431. Enforcement Actions .
Section 4-432. Citations to be Issued
Section 4-433. Right to a Hearing...
Section 4-434. Civil Fine and Penalties Are Debts ..
Section 4-435. Record of Final Assessments .......
Section 4-436. Deposit of Fines and Penalties Collectec
Section 4-437, Personal Jurisdiction

Section 4-438.

Chapter Five—LIceNnsinG......

Section 5-501.
Section 5-502.
Section 5-503.

Subchapter A—KEY EMPLOYEE AND PRIMARY MANAGEMENT OFFICIAL LICENSING.
Section 5-511.
Section 5-512.
Section 5-513.
Section 5-514.

Section 5-515.
Section 5-516.
Section 5-517.

Section 5-518.

Section 5-519.
Section 5-520.
Section 5-521.
Section 5-522.
Section 5-523.

Subchapter B—NON-KEY EMPLOYEE LICENSING...

Section 5-531.
Section 5-532.
Section 5-533.
Section 5-534.
Section 5-535.
Section 5-536.

Subchapter C—VENDOR LICENSING...

Failure to Comply.

Licenses Required
Licenses to Be Displayed.
Jurisdictional Consent Required ......

Licenses Required ....
License Application Forms
Fingerprints...
Background investigations.....
Background Check Procedures
Eligibility Determination...
Notice of Results of Background Investigation:
Investigative Reports.....
Granting a Gaming License
Denying Gaming Licenses .
License Term..
License Suspension or Revocation
Records Retention ..

Licenses for Non-Key Employees ..
Applicant Investigations
Licensing Standard
Eligibility Determination



Sac and Fox Code Title

Sac AND Fox NATION
GAMING ORDINANCE OF 2008

Section 1-1. FINDINGS AND DECLARATIONS
(A) _ The Sac and Fox Nation finds and declares that:

(1) Gaming on the Indian lands of the Sac and Fox Nation provides
economic development opportunities and a source of revenue for the Sac and
Fox Nation and its political and business subdivisions which is needed to
promote a strong tribal government, economic self-sufficiency, employment, job
training, and to fund essential social programs and services to its members and
other persons associated with the Nation; and

(2) _ It is in the interests of the Nation, and the public to regulate and
control gaming in a manner that will protect the environment, the health, security
and general welfare of the Nation, the players, and the community.

(B) Therefore, the Business Committee enacts this Law to protect and
promote the political integrity, economic security, health, safety, and welfare of the
Nation, its members and all persons living in or visiting the Nation.

[History: Public Law No. SF-08-180.]
Section 1-2. CONTINUING AUTHORITY TO REGULATE GAMING

The Sac and Fox Nation retains continuing authority to amend this Title, or to
enact and promulgate additional statutory or regulatory provisions relating to the
conduct of gaming within the jurisdiction of the Sac and Fox Nation in order to protect
the public health, safety, provided, that:

{A) | Amendment of any provision of this Title which is required by the Indian
Gaming Regulatory Act ("IGRA") of October 17, 1988, P.L. 100-497, codified at 25
U.S.C. §§2701, et. seq. and the authorized regulations issued pursuant thereto shall be
effective only if such provisions are approved by the Chairman of the National Indian
Gaming Commission ("NIGC") as provided in P.L. 100-497; and

(B) Such amendments, and any additional statutory or regulatory provisions
shall be interpreted so as not to conflict with any provision of this Title which is required
by the Act of October 17, 1988, P.L. 100-497, 25 U.S.C. §§2701, et. seq, and the
authorized reguiations issued pursuant thereto to the end that the provisions of this Title
required by, and approved pursuant to, P.L. 100-497 shall govern any later
amendments, statutes, or regulations unless the same be approved by the Chairman of
the NIGC as provided in P.L. 100-497.

(History: Public Law No. SF-08-180.]


TITLE 4 GAMING

term.

(C) The Commission shall employ an individual to serve as Executive Director of
the Commission to administer the responsibilities of the Commission and to direct and

oversee the Commission's staff.

(D) The purpose of the Gaming Commission is regulatory, not managerial, but it
shall have full authority to review the actions and decision of the Gaming Operations,
including its Gaming and Ancillary Activities to verify compliance with all applicable tribal,
federal, and, if applicable by Compact, and applicable state laws and regulations.

(E) The Commission will serve as the licensing authority for individuals employed
in the Gaming Operation and will administer background investigations as part of the licensing
process. The Executive Director shall be authorized to make eligibility determinations
pursuant to Section 1-516 and grant or deny applications for new and renewal licenses.

(F) | The Commission will serve as the licensing and regulatory authority in relation
to Ancillary Activities operated by the Gaming Operation and may by regulation establish an
alternate licensing or permit program for employees of Ancillary Activities and may establish
a regulatory framework for the conduct of such Ancillary Activities.

(G) The Commission will monitor and enforce compliance with the internal controls
for the Gaming Operation, including, but not limited to, activities involving the tracking of
Gaming Revenues and revenue from Ancillary Activities. The Gaming Commission will also
monitor all Gaming Operations through clandestine surveillance of all areas of each Gaming
Facility and will administer and supervise the surveillance function, provided that the funds
generated by the Gaming Operations shall cover the cost of the surveillance function, as

determined by the Business Committee.

(H) In order to carry out its regulatory duties, the Commission shall have
immediate, unrestricted, and unfettered access to all areas of the Gaming Facility and all
areas where Ancillary Activities are conducted, including accounting, information technology,
storage, and administrative support areas, as well as unfettered access to all meetings of the
governing body of the Gaming Operation, including meetings conducted in executive session,
and records of the Gaming Operation wherever conducted or maintained, which it may
exercise directly or through such agents or employees as determined by the Commission.

(I) The Commission shall have authority to take enforcement actions, including
issuing notices of violation, closure orders, civil fine assessments, orders to compel, orders
to cure, settlement agreements in lieu of enforcement actions, reopen orders, preopening
agreements, and suspending or revoking any gaming license when appropriate; as well as
the authority to order any licensee to appear and show cause before the Commission for
violations or suspected violations of applicable laws or regulations.

(J) The Nation recognizes the importance of an independent Gaming Commission

in maintaining a well-regulated Gaming Operation. The Commission shall be and shall act
independently and autonomously from the Business Committee and Governing Council, in all

24


Chapter Two —Provisions Required by P.L. 100-497 ......cccscesssessecsecsessessressessessueesscnavenee 8

Section 1-201.
Section 1-202.
Section 1-203.
Section 1-204.
Section 1-205.
Section 1-206.
Section 1-207.
Section 1-208.

Chapter Three —General Provision .......

Section 1-301.
Section 1-302.
Section 1-303.
Section 1-304.
Section 1-305.
Section 1-306.

Ownership of Gaming...
Use of Gaming Revenue .
Per Capita Payments...

Independent Audits Required.
Environmental Health and Safety
Internal Contro! Standards.........

Agent for Service of NIGC Proces:
Payment of Taxes and Regulatory Fees to the Natio

Complimentary Items.
Compliance with Federal Law
Ethical Conduct Respecting Gaming.
Sovereign Immunity.........
Patron Dispute Resolutions ..
Right of Appeal & Finality of Decisions.

Chapter Four —Gaming Commissioner Powers & Duties ...........:ssscsscsesessesestesseseeneeaee

Section 1-401.
Section 1-402.
Section 1-403.
Section 1-404.
Section 1-405.
Section 1-406.

Section 1-407.
Section 1-408.
Section 1-409.
Section 1-410.

Gaming Commission
Buildings and Equipment»
Personnel ..,...cseceserersees
Reasonable Assistance
Enforcement Actions
License Fee Schedul
Reporting Requiremen
Record Keeping System
Reporting NIGC Actions ...
Auditing Insurance Compliance

Subchapter A —Administrative HearingS........ccsesssssesssseessesetssssssesseresssereenesereaeeacen

Section 1-420.

Subchapter B —Civil Fines And Penalties.

Section 1-430.
Section 1-431.
Section 1-432.
Section 1-433.
Section 1-434.
Section 1-435,
Section 1-436.
Section 1-437.

Authority to Conduct Hearings.

Civil Fines and Civil Penalties
Citations to be Issued
Right to a Hearing...
Civil Fine and Pena i
Record of Final Assessmenis....

Deposit of Fines and Penalties Collected ..
Personal Jurisdiction
Failure to Pay

Chapter Five Licensing ........c.c:.csesesesssesesesesseeseereessnssesseesescassessecnsesnansnsveaseravanseeseeees

Section 1-501.
Section 1-502.

Section 1-503. Jurisdictional Consent Required

Licenses Required
Licenses To Be Displayed

Vv


f. driver license number,

g. all licenses issued and disciplinary charges filed, whether or not
discipline was imposed, by any state or tribal regulatory authority,

h. all criminal arrests and proceedings, except for minor traffic offenses, to
which the applicant has been a party,

i. a set of fingerprints,
j. a current photograph,
k. military service history, and

1 any other information the TCA determines is necessary to conduct a
thorough background investigation.

4. Upon obtaining the required initial information from a prospective covered
game employee, the TCA shall forward a copy of such information to the SCA,
along with any determinations made with respect to the issuance or denial of a
temporary or permanent license. The SCA may conduct its own background
investigation of the applicant at SCA expense, shall notify the TCA of such
investigation within a reasonable time from initiation of the investigation, and
shall provide a written report to the TCA of the outcome of such investigation
within a reasonable time from the receipt of a request from the TCA for such
information. SCA inspector field notes and the SCA inspector shall be available
upon reasonable notice for TCA review and inquiry.

5. The TCA may issue a temporary license for a period not to exceed ninety (90)
days, and the enterprise may employ on a probationary basis, any prospective
covered game employee who represents in writing that he or she meets the
standards set forth in this Part, provided the TCA or enterprise is not in possession
of information to the contrary. The temporary license shall expire at the end of the
ninety-day period or upon issuance or denial of a permanent license, whichever
event occurs first. Provided that the temporary license period may be extended at
the discretion of the TCA so long as good faith efforts are being made by the
applicant to provide required information, or the TCA is continuing to conduct its
investigation or is waiting on information from others, and provided further that
in the course of such temporary or extended temporary licensing period, no
information has come to the attention of the TCA which, in the absence of
countervailing information then in the record, would otherwise require denial of
license. A permanent license shall be issued or denied within a reasonable time
following the completion of the applicant’s background investigation.





TITLE 4 GAMING

(K) Unlawful conversion of gaming revenue. It shall be a substantial violation of

this Title for any person or entity to convert gaming or gaming operation revenues for
personal gain or for any purpose not authorized by the Nation, the Gaming Operation, or

applicable law.

(L) Failure to comply with regulations. It shall be a violation of this Title for any
person or entity subject to the Nation’s jurisdiction to:

(1) Handle cash or cash equivalents in a manner inconsistent with the
Nation’s regulations or the Gaming Operation’s internal control procedures;

(2) Carry out the installation of gaming machines in a manner that is
inconsistent with Federal and Nation rules and regulations;

(3) Fail to respond to or comply with any lawful order, directive, inquiry, or
demand of the Gaming Commission; or

(4) Impede, hinder, delay, interfere, misdirect, misinform, harass, or
otherwise obstruct a Commissioner, employee of the Commission, or agent of the
Commission in the carrying out of their duties.

(M) Gaming Management, Employees, and other Licensees. It shall be a violation

of this Title for any gaming manager, employee, licensee, or other responsible person or
Official to:

(1) Fail to keep appropriate books and records sufficient to substantiate
income and expenses and to verify the propriety of all expenditures and
disbursements by any component of the Gaming Operation;

(2) Falsify any books or financial records related to any transaction
connected with holding, operating, or conducting Gaming Activity, Gaming
Promotions, or Ancillary Activities;

(3) Falsify, destroy, erase, hide, intentionally lose, alter without
authorization, or otherwise misrepresent any records, documents, reports, books,
data, metadata, or other information relating to a gaming corporation, operation,
activity, facility, or the administration or accounting thereof;

(4) Make any unauthorized payments or disbursements related to the
operation of Gaming or Ancillary Activities;

(5) Convert for one’s personal use any funds, property, or other financial
assets of the gaming operation;

(6) Place unlicensed or unauthorized gaming equipment on the gaming
floor or permit the play of unauthorized games;

17


TITLE 4 GAMING

(2) | Suspend, deny, condition, or revoke any gaming or gaming-related
license and de-register any registered vendor;

(3) | Temporarily or permanently exclude, bar, or deny admission from or to
the Gaming Facility, provided that the sanction shall be commensurate with the
seriousness of the violation; and/or

(4) Issue, as appropriate, orders to cease and desist, compel, cure, or such
other orders as may be appropriate under the circumstances.

(B) In determining whether to levy an administrative fine and the amount of the
fine, a standard of reasonableness shall apply, taking into consideration the seriousness of
the violation, history of violations, and amount of financial gain, if any, as a result of the
violation. The Commission may establish by regulation a schedule of minimum and maximum
civil fines or civil penalties to be imposed for particular violations.

(C) Licensees shall be prohibited from seeking indemnification by the Gaming
Operation or the Nation for any action in which they have been adjudged to be liable for
malfeasance, misfeasance, or misconduct; accused and/or convicted of a violation of criminal
law; or a party to an enforcement action or proceeding commenced by the Commission that
resulted in a fine or sanction for violation of applicable gaming laws and/or regulations.

Section 4-432. Citations to be Issued

(A) The Executive Director shall be authorized to issue written citations notifying
an individual or entity of the Commission's preliminary decision to commence an enforcement
action pursuant to Section 1-430 of this Ordinance.

(B) Prior to the Commission's proposed enforcement action becoming final, every
individual or entity to whom a citation is issued shall have the right to a hearing before the
Commissioners, unless the individual or entity voluntarily waives the right to a hearing or has
been deemed in default for failure to appear at the date, time, and place set for the hearing.

(C) Commission decisions entered by default due to an individual's failure to
appear shall be deemed final and not subject to further appeal, provided, that upon timely
petition of the subject of a default action or decision, the Commissioners in their sole
discretion vacate a default action or decision upon good cause shown.

Section 4-433. Right to a Hearing

(A) | The Commissioners shall afford an applicant an opportunity for a hearing prior
to any final action by the Commission denying an application for licensure or license renewal,
provided that no applicant for a gaming license shall be permitted to be employed by the
Gaming Operation where a preliminary denial of the application is pending.

34


TITLE 4 GAMING

Any Qualified Gaming Financier may be licensed as a gaming-related vendor under
this Ordinance upon receipt by the Commission of an application in the form required by the
Director, and upon payment of the required licensing fee, if any.

Section 5-572, Standards and Procedures

The Commission shall promulgate standards and procedures for the issuance of a
Qualified Gaming Financier license consistent with this Title, subject to the approval of the
Commission.

Section 5-573. Scope of License

(A) Alicense granted to a Qualified Gaming Financier shall constitute a license to
the named applicant only and shall be effective only with respect to such applicant's activities
as a Gaming Financier, and those activities necessary or incidental thereto, and no other
activity which would otherwise cause the applicant to constitute a gaming-related vendor.

(B) Notwithstanding anything to the contrary in this law, none of the following
persons or entities, solely in their capacity as such, shall be deemed to be a Gaming Financier
or a gaming related vendor subject to licensing hereunder: (a) any person or entity holding
or owed any debt securities, notes, loans, obligations under letters of credit or relating to cash
or interest rate management, bonds, or other commercially traded instruments of a Gaming
Operation initially purchased from such Gaming Operation by a Qualified Gaming Financier;
and (b) any trustee, administrative agent, or entity performing similar functions, with respect
to any debt securities, notes, loans, obligations under letters of credit or relating to cash or
interest rate management, bonds or other commercially traded instruments of a Gaming
Operation; and (c) any assignee of the rights and obligations of a person identified in subparts

(a) or (b) of this paragraph.

Section 5-574, Obligations of Qualified Gaming Financiers

Except as otherwise provided herein, applicants licensed as Qualified Gaming
Financiers hereunder will not be subject to regular reporting requirements, including such
reporting requirements applicable to other licensees, during the term of their licenses. If a
Qualified Gaming Financier’s license lapses or otherwise terminates as herein provided, the
recipient of such license shall not act as a Gaming Financier until it again duly files a
completed application for such license.

Section 5-575. Term of Qualified Gaming Financier Licenses

54


TITLE 4 GAMING

(A) _ Inthe event of a dispute between a Patron and the Gaming Facility regarding
the payment of a wager; distribution of winnings; or award of a promotional prize, the Patron
may make a claim against the Gaming Operation by filing a written prize claim notice with the
Gaming Operation within ten (10) days of the event which is the basis of the prize claim.
Failure to file the prize claim within such 10-day period shall forever bar such prize claim.

(B) The written notice of the prize claim shall state, at a minimum, the following
information:

(1) Time;
(2) Date;
(3) Place;

(4) Circumstances of the claim;
(5) Identity of tribal or gaming employees, and witnesses, as applicable;
(6) Amount of the relief demanded; and

(7) The name, address, and telephone number of the claimant.

20


1. Access to the facility by the SCA shall be during the facility’s normal operating
hours only; provided that to the extent such inspections are limited to areas of the
facility where the public is nonmally permitted, SCA agents may inspect the
facility without giving prior notice to the enterprise;

2. Any suspected or claimed violations of this Compact or of law shall be directed
in writing to the TCA; SCA agents shall not interfere with the functioning of the
enterprise; and

3. Before SCA agents enter any nonpublic area of the facility, they shall provide
proper photographic identification to the TCA. SCA agents shall be accompanied
in nonpublic areas of the facility by a TCA agent. A one-hour notice by SCA to
the TCA may be required to assure that a TCA officer is available to accompany
SCA agents at all times.

B. Subject to the provisions herein, agents of the SCA shall have the right to review and
copy documents of the enterprise related to its conduct of covered games. The review and
copying of such documents shall be during normal business hours or hours otherwise at
tribe’s discretion. However, the SCA shall not be permitted to copy those portions of any
documents of the enterprise related to its conduct of covered games that contain business
or marketing strategies or other proprietary and confidential information of the enterprise,
including, but not limited to, customer lists, business plans, advertising programs,
marketing studies, and customer demographics or profiles. No documents of the
enterprise related to its conduct of covered games or copies thereof shall be released to
the public by the state under any circumstances. All such documents shall be deemed
confidential documents owned by the tribe and shall not be subject to public release by
the state.

C. At the completion of any SCA inspection or investigation, the SCA shall forward a
written report thereof to the TCA. The TCA shall be apprised on a timely basis of all
pertinent, nonconfidential information regarding any violation of federal, state, or tribal
laws, the rules or regulations, or this Compact. Nothing herein prevents the SCA from
contacting tribal or federal law enforcement authorities for suspected criminal
wrongdoing involving the TCA. TCA may interview SCA inspectors upon reasonable
notice and examine work papers and SCA in the same fashion that SCA inspectors may
examine auditors’ notes and make auditor inquiry unless providing such information to
the TCA will compromise the interests sought to be protected. If the SCA determines that
providing the information to the TCA will compromise the interests sought to be
protected, then the SCA shall provide such information to the tribe in accordance with
Part 13 of this Compact.

D. Nothing in this Compact shall be deemed to authorize the state to regulate the tribe’s
government, including the TCA, or to interfere in any way with the tribe’s selection of its
governmental officers, including members of the TCA; provided, however, the SCA and
the tribe, upon request of the tribe, shall jointly employ, at the tribe’s expense, an



Sac and Fox Code Title

(14) Comply with any and all reporting requirements under the IGRA,
Compact, if applicable, to which the Nation is a Party, and any other applicable
law:

(15) Promuigate and issue regulations necessary to establish and
require compliance with minimal internal control standards for all gaming
operations within the jurisdiction of the Sac and Fox Nation, which standards
shall govern the procedures for handling and accounting for gaming cash and
cash equivalents, extending credit to patrons, and procedures for acquiring
gaming supplies and equipment;

(16) Promulgate and issue regulations on the levying of fees necessary
to defray the expenses of gaming license applications;

(17) Promulgate and issue regulations on the levying of civil fines or
forfeitures respecting any person who violates applicable gaming law and
regulations within the jurisdiction of the Sac and Fox Nation, and/or suspension
or revocation of gaming licenses for violations of the gaming laws, rules, or any
other applicable gaming law or regulations from state or federal jurisdictions;
provided, that said regulations may not authorize the levy of a civil fine in excess
of the amount which the NIGC is authorized to levy by statute;

(18) Establish a list of persons not allowed to game within the Nation's
gaming facilities to maintain the integrity of the gaming;

(19) Establish a list of persons who have voluntarily asked to be
excluded from the Nation's gaming facilities and create regulations for enforcing
this exclusion;

(20) Provide referrals and information to the appropriate law
enforcement officials when such information indicates a violation of tribal, federal,
or state applicable laws, statutes, regulations, or resolutions;

(21) Establish such video and audio surveillance standards as may be
necessary, and conduct or approve such video and audio surveillance of gaming
facilities as may be necessary to provide security and to enforce the standards
applicable to gaming within the jurisdiction of the Nation;

(22) Perform such other duties the Commission deems appropriate for
the proper regulation of the tribal gaming operations within the jurisdiction of the
Nation;

(23) Promulgate regulations and guidelines as it deems appropriate to
implement the provisions of this law.

[NIGC Model Ordinance, Bulletin No. 05-05, Section 108(f)}

19


TITLE 4 GAMING

(A) _ As part of its review procedure, the Gaming Commission, or its agent, shall
conduct a background investigation on each applicant sufficient to allow the Gaming
Commission to make an eligibility determination. The investigator shall:

(1) Verify the applicant's identity through items such as a social security
card, driver's license, birth certificate, or passport;

(2) Contact each personal and business reference provided in the License
Application, when possible;

(3) | Obtain a personal credit check, at the Commission's discretion;
(4) Conduct a civil history check;

(5) Conduct a criminal history check, and submit the applicant's fingerprints
to the NIGC for additional checking, and further obtain information from the
appropriate court regarding misdemeanor convictions and criminal charges within the
last ten (10) years and any past felony or felonies;

(6) Inquire into any previous or existing business relationships with the
gaming industry and Indian tribes by contacting the entities or tribes;

(7) Verify the applicant's history and status with any licensing agency by
contacting the agency; and

(8) Take other appropriate steps to verify the accuracy of the information,
focusing on problem areas noted.

(B) The assigned investigator shall create an investigative report noting the steps
taken, information gained, potential problem areas, and disqualifying information.

Section 5-516. Eligibility Determination

(A) Before a license is issued to a Primary Management Official or Key Employee,
the Commission shall review a person's prior activities, criminal record, if any, and reputation,
habits and associations and make a finding concerning the eligibility of a Key Employee or
Primary Management Official applicants for employment in a Gaming Operation. If the
Commission, in applying the standards adopted in this Title, determines that licensing the
person poses a threat to the public interest or to the effective regulation of gaming, or creates
or enhances the dangers of unsuitable, unfair, or illegal practices and methods and activities
in the conduct of gaming, the Commission shall not license that person in a Key Employee or
Primary Management Official position. Copies of the Eligibility Determination shall be
included with the notice of results that must be submitted to the NIGC before the licensing of
a Primary Management Official or Key Employee.

41


Sac and Fox Code Title

(1) Commissioners shall not hold financial interests that conflict with
the conscientious performance of their duties as managers and regulators. Per
Capita distributions are not considered financial interests that would conflict with
the conscientious performance of duty by a manager or regulator.

(2) Commissioners shall not engage in financial transactions using
nonpublic information or allow the improper use of such information by others on
their behalf to further any private interest.

(3) | Commissioners shall not solicit or accept any gift or other item of
monetary value, including complimentary items or services, from any person or
entity seeking official action or inaction from, doing business with, or conducting
activities regulated by the member's organization, or whose interests may be
substantially affected by the performance or nonperformance of the Members’
duties except as specifically authorized by law.

(4) | Commissioners shall make no unauthorized commitments or

Promises of any kind purporting to bind the Nation or any of its agencies or
subordinate entities.

(5) | Commissioners shall not use their positions for private gain.

(6) | Commissioners shall act impartially, in accordance with all relevant
Jaws, and shall not give preferential treatment to any person, nor wrongfully
withhold action to which any person is entitled on account of any matter personal
to the Member.

(7) | Commissioners shall ensure that the property and assets of gaming
facilities are properly segregated and safeguarded, and that such property and
assets are not used for unauthorized activities.

(8) Commissioners shall not engage in outside employment or
activities, including seeking or negotiating for future employment, which conflict
with their official duties and responsibilities.

(9) | Commissioners shall disclose waste, fraud, abuse, and corruption
to appropriate authorities.

(10) Commissioners shall endeavor to avoid any actions creating the
appearance that they are violating the law or the ethical standards applicable to
the member.

(11) Commissioners shall disclose any real or apparent financial or

personal conflicts. If there is a real conflict or the appearance of one, the member
shall not take part in any decision related to the conflict.

14


SAC AND FOX NATION GAMING ORDINANCE OF 2018

EXHIBIT D.

Sac and Fox Nation Gaming Ordinance of 2008
(app. Nov. 20, 2008, as amended)

Submission to Chairman, National Indian Gaming
Commission, July 19, 2018


Sac and Fox Code Title

(C) The Gaming Commissioners shall determine by regulation whether any
additional employees of the Commission, shall be required to take the foregoing oath,
and be bound by these principles.

[History: Public Law No. SF-08-180. The “Business Ethics and Conflict of Interest Policy of the Sac and
Fox Nation” referred to in this section is intended to refer to the policy approved by Public Law SF#06-
204, August 28, 2006, including any future amendments, substitutions, or replacements for that policy.]

Section 1-304. Sovereign Immunity

{A) Nothing contained in this Title shall be construed to be a waiver of the
sovereign immunity of the Nation or the Sac and Fox Tribe, Inc., or the officers,
employees, agents, or business or political subdivisions thereof (the “Nation”), nor to be
a consent to any suit beyond the limits specifically authorized by the laws of the Nation.
All such authorizations shall be strictly construed.

(B) Persons who are not employees of the Nation, but who are performing
substantial, necessary, or useful services to the Nation on a voluntary basis, who are
acting under the supervision, or with the approval of an officer, agent, or employee of
the Nation, and who would be immune from suit were the acts in which they were
engaged done by any officer, agent or employee of the Nation, shall enjoy the
protection of the sovereign immunity of the Nation to the same extent as a paid agent or
employee.

[History: Public Law No. SF-08-180.]
Section 1-305. Patron Dispute Resolutions

(A) All disputes between members of the gaming public and operators or
employees of licensed gaming facilities shall be promptly and amicably reconciled by
the managing official or his authorized representative.

(B) In cases where such disputes cannot be promptly and amicably settled,
such cases shall be referred to an investigator/arbitrator by the managing official of the
Gaming Operation, or the intervention of such an investigator/arbitrator by the managing
official of the Gaming Operation, or the intervention of such an investigator/arbitrator
may be requested by the aggrieved member of the gaming public. The
investigator/arbitrator shall be an employee of the Commission who has been properly
trained and assigned such duties on a regular basis. The investigator/arbitrator shall
make all reasonable efforts to amicably settle the dispute. Should such a settlement not
be effected, the investigator/arbitrator shall promptly make a written report on the
controversy and advise the Chairman of the Commission who shall, in tum, promptly
schedule a hearing by the Commission on the matter, giving all involved parties
reasonable notice of time, place, and date of the hearing. The Commission shall either
dismiss the grievance or enter an order against the operator of the facility to effect
fairness, justice, and equity. In property cases the Commission may also impose a civil
fine or a civil penalty upon the facility, its operator or any of its employees found to have
committed a material wrong against a member of the gaming public. All decisions of the

15




Federal Register/Vol. 70, No. 104/ Wednesday, June 1, 2005 /Notices

a

ry

31499

targeted project contained on the
application submission date;

(c) You will receive 3 Points if your
application demonstrates that the
number of project-based affordable units
in your plan is 125 percent or more of
the number of existing public housing
units that the targeted project contained
on the application submission date;

(a) You will receive 2 Points if your
application demonstrates that the
number of project-based affordable units
in your plan is 110 to 124 percent of the
number of existing public housing units
that the targeted project contained on
the application submission date

(e) You will receive 1 Point if your
application demonstrates that the
number of project-based affordable units
in your plan is 100 to 109 percent of the
number of existing public housing units
that the targeted project contained on
the application submission date.

(D You will receive 0 Points if your
application demonstrates that the
number of project-based affordable units
in your plan is less than the number of
existing public housing units that the
targeted project contained on the
application submission date or if your
application does not address this factor
to an extent that makes HUD's rating of
this factor possible.

Dated: May 25, 2005,
Milan Ozdinec,
Acting Deputy Assistant Secretary for Public
Housing and Voucher Programs.
[FR Doc. 05~10857 Filed 5-31-05; 8:45 am]
BILLING CODE 4210-33-P

DEPARTMENT OF THE INTERIOR
Bureau of Indian Affalrs

Indian Gaming

AGENCY: Bureau of Indian Affairs,
Interior,

ACTION: Notice of Class III Gaming
Compacts taking effect.

SUMMARY: Notice is given that the
Tribal-State Compacts between the lowa
Tribe, the Modoc Tribe, the Ottawa
Tribe, the Delaware Nation, and the Sac
& Fox Nation and the State of
Oklahoma, are considered to have been
approved and are in effect.

EFFECTIVE DATE: June 1, 2005.

FOR FURTHER INFORMATION CONTACT:
George T. Skibine, Director, Office of
Indian Gaming Management, Office of
the Deputy Assistant Secretary—Policy
and Economic Development,
Washington, DC 20240, (202) 219-4066,
‘SUPPLEMENTARY INFORMATION: Under
Section 11 (d){7)(D) of the Indian

Gaming Regulatory Act of 1988 (IGRA),
Public Law 100-497, 25 U.S.C. 2710, the
Secretary of the Interior must publish in
the Federal Register notice of any
Tribal-State compact that is approved,
or considered to have been approved for
the purpose of engaging in Class IIT
gaming activities on Indian lands, The
Acting Principal Deputy Assistant
Secretary-Indian Affairs, Department of
the Interior, through his delegated
authority did not approve or disapprove
these compacts before the date that is 45
days after the date these compacts were
submitted. These compacts authorize
these Indian tribes to engage in certain
Class III gaming activities, provides for
certain geographical exclusivity, limits
the number of gaming machines at
existing racetracks, and prohibits non-
tribal operation of certain machines and
covered games. Therefore, pursuant to
25 U.S.C. 2710(d)(7)(C), these compacts
are considered to have been approved,
but only to the extent they are
consistent with IGRA.

Dated: May 18, 2005.
Michael D. Olsen,
Acting Principal Depuly Assistant Secretary—
Indian Affairs.
{FR Doc. 05-10877 Filed 5-31-05; 8:45 am]
BILLING CODE 4310-4N-P

DEPARTMENT OF THE INTERIOR
Bureau of Indian Affairs

Indian Gaming

AGENCY: Bureau of Indian Affairs,
Interior,

ACTION: Notice of Approved Tribal—
State Class II] Gaming Compact.

SUMMARY: This notice publishes an
Approval of the Amended and Restated
Tribal-State Government-to-Government
Compact for the regulation of Class III
Gaming on the Warm Springs
Reservation.

EFFECTIVE DATE: June 1, 2005.

FOR FURTHER INFORMATION CONTACT:
George T. Skibine, Director, Office of
Indian Gaming Management, Office of
the Deputy Assistant Secretary—Policy
and Economic Development,
Washington, DC 20240, (202) 219-4066.
‘SUPPLEMENTARY INFORMATION: Under
Section 11 of the Indian Gaming
Regulatory Act of 1988 (IGRA), Public
Law 100-497, 25 U.S.C. 2710, the
Secretary of the Interior shall publish in
the Federal Register notice of approved
Tribal-State compacts for the purpose of
engaging in class IIT gaming activities on
Indian lands. This Amended and
Restated Tribal-State Compact

supercedes in its entirety the 1995
Tribal-State Compact as amended by
Amendments | through XI, for the
regulation of gaming at the Ka-Nee-Ta
gaming facility on the Warm Springs
Reservation. The Associate Deputy
Secretary, Department of the Interior,
through his delegated authority, is
publishing notice that the Amended and
Restated Tribal-State Government-to-
Government Compact for the Regulation
of Class II] Gaming on the Warm Springs

‘Reservation is in effect,

Dated: May 20, 2005.
James E, Cason,
Associate Deputy Secretary.
(FR Doc. 05-10878 Filed 5-31-05; 8:45 am)
BILLING CODE 4310-4N-P

DEPARTMENT OF THE INTERIOR
Bureau of Land Management
(WY-920-1320-EL, WYW163339]

Coal Lease Exploration License, WY

AGENCY: Bureau of Land Management,
Interior.

ACTION: Notice of invitation for coal
exploration license.

‘SUMMARY: Pursuant to section 2(b) of the
Mineral Leasing Act of 1920, as
amended by section 4 of the Federal
Coal Leasing Amendments Act of 1976,
90 Stat. 1083, 30 U.S.A. 201(b), and to
the regulations adopted at 43 CFR 3410,
all interested parties are hereby invited
to participate with Antelope Coal
Company on a pro rata cost sharing
basis in its program for the exploration
of coal deposits owned by the United
States of America in the following-
described lands in Campbell and
Converse Counties, WY:

T.40N.,R. 71 W., 6th P.M., Wyoming
Sec. 5: Lots 8, 9, 16-18;
Sec. 6: Lots 8-23;
Sec. 7: Lots 5-18;
Sec. 8: Lots 1-16;
Sec. 9: Lots 2-16;
Lots 5, 6, 11-14;
Lots 3-6, 11-14;
Sec. 17: Lots 1-16;
T. 41 NR, 71 W., 6th P.M., Wyoming
8 ots 5-20;
ots 1-14, NY2SE%;
ots 1-16;
Lots 9-16;
Lots 3, 4;
Lots 1-5, 12, 13;
Lots 1-1
Lots 5-2
Lots 4-19;
Lots 1-16;
Lots 1-16;



TITLE 4 GAMING

(24) Establish a list of persons who have voluntarily asked to be excluded
from the Nation's gaming facilities and create regulations for enforcing this exclusion;

(25) Provide referrals and information to the appropriate law enforcement
officials when such information indicates a violation of tribal, federal, or state
applicable laws, statutes, regulations, or resolutions as well as exchange information
with other gaming regulatory agencies;

(26) To delegate the Commissions duties, responsibilities and functions as
appropriate to the Commission's Executive Director, who shall be authorized to further
delegate such duties, responsibilities, and functions to Commission staff.

(27) Select and retain professional services, including legal counsel, to
assist in any of the issues over which the Commission exercises jurisdiction;

(28) Establish such video and audio surveillance standards as may be
necessary, and conduct or approve such video and audio surveillance of gaming
facilities as may be necessary to provide security and to enforce the standards
applicable to gaming within the jurisdiction of the Nation;

(29) Review and approve the rules of gaming and marketing promotions;

(30) To classify and license Class |, Il, and Ill gaming activities consistent
with IGRA;

(31) To adopt an operating budget for the Commission, which shall set forth
monthly expenditures, and submit such budget annually to the Business Committee
for approval;

(32) Develop and administer forms as necessary to carry out the provisions
of this Title;

(33) Perform such other duties the Commission deems appropriate for the
proper regulation of the tribal Gaming Operations within the jurisdiction of the Nation;

(34) Promulgate regulations and guidelines as it deems appropriate to
implement the provisions of this law.

(N) The Commission shall ensure that all records and information obtained as a
result of an employee background investigation remains confidential and limited to only those
persons who have a legitimate work-related need to access the information. This
confidentiality provision does not apply to requests for such information or records from any
tribal, federal or state law enforcement or regulatory agency, or for the use of such information
or records by the Commission and staff in the performance of their official duties.

(O) Gaming Commissioners shall serve a term of four (4) years. Each

28


TITLE 4 GAMING

(G) “Collateral Agreement” means any contract, whether or not in writing, that is
related, either directly or indirectly, to a Management Contract, or to any rights, duties or
obligations created between the Nation (or any of its members, subdivisions, entities, or
organizations) and a management contractor or subcontractor (or any person or entity related
to a management contractor or subcontractor).

(H) “Commission” or “Gaming Commission” means the Sac and Fox Nation
Gaming Commission, an independent regulatory agency and governmental subdivision of the
Sac and Fox Nation established to regulate the Nation's Gaming Operations pursuant to this
Title, IGRA, the Compact, and all other Nation and/or federal laws and regulations applicable
to the Nation’s Gaming Operations.

(I) "Commissioner’ means any member of the Gaming Commission.

(J) | “Compact” means the Tribal-State compact concerning Class III Gaming
approved by Business Committee Resolution No. SF-05-74 (2005) and Oklahoma State
Question 712 (2004), as approved by the Secretary of the Interior and published in the
Federal Register pursuant to 25 U.S.C. § 2710(d) on June 1, 2005 (70 Fed. Reg. 31,499),
and any successor or additional Class II! Tribal-State compacts entered into by the Nation
and approved pursuant to federal law.

(K) | “Complimentary” means a service or item provided to a Patron by a gaming
facility or by a third party on behalf of the Gaming Operation at no cost, or at a reduced cost.

(L) “Confidential Information” means all private, confidential, and/or proprietary
information of the Nation or any political or business subdivision thereof, including personal
information and data regarding licensees, license applicants, Patrons, and vendors, as well
as non-public information concerning the Nation’s Gaming Operations.

(M) “Person Directly Related to” means a spouse, domestic partner, child, parent,
sibling, or any person living in the same household.

(N) “Executive Director” means the regulatory official employed by the Gaming
Commission and supervised by the Commission Chairperson to direct the day-to-day affairs
of the Commission and to carry out all regulatory functions delegated by the Commission or
as otherwise set forth in this Title.

(O) “Firearm” means air guns which are capable of discharging dangerous
projectiles or gases, including but not limited to “B.B.’s” or CO2 guns, rifles, shotguns, pistols,
or revolvers.

(P) “Gaming Facility” means each location or structure in which authorized gaming
is licensed, promoted, performed, conducted, or operated pursuant to this Title.

(Q) “Gaming Financier’ means, unless otherwise provided herein or in a compact
in effect with the State of Oklahoma, any provider of financing to a Gaming Operation.


10. Notices explaining the procedure and time limitations with respect to making
a tort claim shall be prominently posted in the facility. Such notices shall explain
the method and places for making a tort claim, that this procedure is the exclusive
method of making a tort claim, and that claims that do not follow these
procedures shall be forever barred. The enterprise shall make pamphlets
containing the requirements in this subsection readily available to all patrons of
the facility and shall provide such pamphlets to a claimant within five (5) days of
the filing of a claim.

B. Prize Claims. The enterprise shall ensure that patrons of a facility are afforded due
process in seeking and receiving just and reasonable compensation arising from a
patron’s dispute, in connection with his or her play of any covered game, the amount of
any prize which has been awarded, the failure to be awarded a prize, or the right to
receive a refund or other compensation, hereafter "prize claim", as follows:

1. The tribe consents to suit on a limited basis with respect to prize claims against
the enterprise only as set forth in subsection C of this Part; no consents to suit
with respect to prize claims, or as to any other claims against the tribe shall be
deemed to have been made under this Compact, except as provided in subsections
A and C of this Part;

2. The maximum amount of any prize claim shall be the amount of the prize
which the claimant establishes he or she was entitled to be awarded, hereafter
“prize limit";

3. Any patron having a prize claim shall file a written prize claim notice by
delivery to the enterprise or the TCA. The date the prize claim is filed with the
enterprise or the TCA shall be deemed the official date of filing the prize claim
notice, The prize claim notice shall be filed within ten (10) days of the event
which is the basis of the claim. Failure to file the prize claim notice during such
period of time shall forever bar such prize claim;

4. If the prize claim notice is filed with the TCA, the TCA shall forward a copy of
the prize claim to the enterprise and the SCA within forty-eight (48) hours of its
filing; and if the prize claim notice is filed with the enterprise, the enterprise shall
forward a copy of the tort claim to the TCA and the SCA within forty-eight (48)
hours of filing;

5. The written prize claim notice shall state the date, time, place and
circumstances of the incident upon which the prize claim is based, the identity of
any persons known to have information regarding the incident, including
employees or others involved in or who witnessed the incident, the amount
demanded and the basis for said amount, the name, address and telephone number
of the claimant, and the name, address and telephone number of any
representative authorized to act or settle the claim on behalf of the claimant;



6. In covered gaming the tribe shall not employ and shall terminate, and the TCA
shall not license and shall revoke a license previously issued to, any covered game
employee who:

a. has been convicted of any felony or an offense related to any covered
games or other gaming activity,

b. has knowingly and willfully provided false material, statements or
information on his or her employment application, or

c. is a person whose prior activities, criminal record, or reputation, habits,
and associations pose a threat to the public interest or to the effective
regulation and control of the conduct of covered games, or create or
enhance the dangers of unsuitable, unfair, or illegal practices, methods,
and activities in the conduct of covered games or the carrying on of the
business and financial arrangements incidental thereto.

7. The SCA may object to the employment of any individual by the enterprise
based upon the criteria set forth in paragraph 6 of subsection A of this Part. Such
objection shall be in writing setting forth the basis of the objection. The SCA.
inspector’s work papers, notes and exhibits which formed the SCA conclusion
shall be available upon reasonable notice for TCA review. The enterprise shall
have discretion to employ an individual over the objection of the SCA.

8. The TCA shall have the discretion to initiate or continue a background
investigation of any licensee or license applicant and to take appropriate action
with respect to the issuance or continued validity of any license at any time,
including suspending or revoking such license.

9. The TCA shall require all covered game employees to wear, in plain view,
identification cards issued by the TCA which include a photograph of the
employee, his or her first name, a four-digit identification number unique to the
license issued to the employee, a tribal seal or signature verifying official issuance
of the card, and a date of expiration, which shall not extend beyond such
employee’s license expiration date.

1, Any person or entity who, directly or indirectly, provides or is likely to provide
at least Twenty-five Thousand Dollars ($25,000.00) in goods or services to the
enterprise in any twelve-month period, or who has received at least Twenty-five
Thousand Dollars ($25,000.00) for goods or services provided to the enterprise in
any consecutive twelve-month period within the immediately preceding twenty-
four-month period, or any person or entity who provides through sale, lease,
rental or otherwise covered games, or parts, maintenance or service in connection
therewith to the tribe or the enterprise at any time and in any amount, shall be
licensed by the TCA prior to the provision thereof. Provided, that attorneys or
certified public accountants and their firms shall be exempt from the licensing



APPROVED:

SAC AND FOX NATION

é KDE pla Date “fo =O
PRINCIPAI/CHIEF
Historical Data

Added by Laws 2004, SB 1252, c. 316, § 22, State Question No. 712, Legis. Ref. No.
335, approved at the general election held November 2, 2004.

ACCEPTANCE BY THE SAC AND Fox NATION

Pursuant to RESOLUTION SF-05-74, the same being A RESOLUTION AUTHORIZING
A TRIBAL/STATE CLASS I GAMING COMPACT BETWEEN THE SAC AND Fox NATION AND
THE STATE OF OKLAHOMA AS CONTEMPLATED AND OFFERED BY STATE QUESTION 712
SUBJECT TO CERTAIN UNDERSTANDINGS AND RESERVATIONS AS SET OUT IN THIS
RESOLUTION, AND TO SUBMIT SAME TO THE SECRETARY OF THE INTERIOR FOR APPROVAL
PURSUANT TO FEDERAL LAW, the foregoing offer of a Class III Gaming Compact between
the Sac and Fox Nation and the State of Oklahoma is hereby APPROVED and
ACCEPTED subject to the understandings and reservations expressed in Resolution SF-
05-74, the approval of the Secretary of the Interior, and publication in the Federal
Register.

All notices to the Sac and Fox Nation required under Part 14 of the Compact shall be
given by certified mail, retum receipt requested, commercial overnight courier service, or
personal delivery, to the following persons:

The Principal Chief
Business Committee
Attorney General

Sac and Fox Nation

Route 2, Box 246
Stroud, OK 74079

THE SAC AND FOX NATION BY: ATTEST:

J. af?
Ke Noeadt

Kay Rhoads, Principal Chief



TITLE 4 GAMING

(3) Conclusions reached; and

(4) The bases for those conclusions.

Section 5-519. Granting a Gaming License

(A) All Primary Management Officials and Key Employees of the Gaming
Operation must have a gaming license issued by the Commission. The Executive Director of
the Commission is responsible for granting and issuing gaming licenses to Primary
Management Officials and Key Employees. The Executive Director may license a Primary
Management Official or Key Employee applicant after submitting a notice of results of the
applicant's background investigation to the NIGC as required by Section 5-517.

(B) |The Commission shall notify the NIGC of the issuance of a license to a Primary
Management Official or Key Employee within thirty (30) days of issuance.

(C) The Gaming Operation shall not employ an individual in a Primary
Management Official or Key Employee position who does not have a license after ninety (90)
days of beginning work at the Gaming Operation.

(D) The Commission must reconsider a license application for a Primary
Management Official or Key Employee if it receives a statement of itemized objections to
issuing such a license from the NIGC, and those objections are received within thirty (30)
days of the NIGC receiving a notice of results of the applicant's background investigation.

(E) The Commission shall take the NIGC’s objections into account when
reconsidering a license application.

(F) _ If the Commission has issued a license to a Primary Management Official or
Key Employee before receiving the NIGC’s statement of objections, notice and a hearing shall
be provided to the licensee.

(G) The Commission shall make the final decision whether to issue a license to an
applicant for a Primary Management Official or Key Employee position.

Section 5-520. Denying Gaming Licenses

(A) The Commission shall not license a Primary Management Official or Key
Employee if the Commission determines, in applying the eligibility standards in Section 1-516
for making eligibility determinations, that licensing the person poses a threat to the public
interest; poses a threat to the effective regulation of gaming; or creates or enhances the
dangers of unsuitable, unfair, or illegal practices, methods, and/or activities in the conduct of

gaming.

43


TITLE 4 GAMING

the jurisdiction of the courts and the governmental bodies and agencies of the Nation with
respect to any civil or regulatory matter arising out of such consensual relationship with the
Nation.

(C) The act of entry into the jurisdiction of the Nation by an extraterritorial seller or
merchant or other person engaged in commerce, or by its/their agent, shall be deemed to be
consent by such person or entity to the jurisdiction of the Nation, including the jurisdiction of
the courts, governmental bodies, taxing authorities, and other regulatory agencies of the
Nation, for any dispute or other matter arising out of such transaction, regardless of where
the sale or transaction was made or took place.

(D) All Gaming Operation Patrons, licensees, applicants for such licenses,
Management Contractors, and employees of all Gaming Operations, whether permanent or
temporary, and whether of Indian or non-Indian blood, descent, or tribal membership, shall
be deemed to have voluntarily submitted themselves, or the entities which employ them in
the case of Management Contractors, to the jurisdiction of the Nation, the Commission, and
courts and to the provisions of this subsection and to the provisions of this Title and to the
provisions of any other gaming laws, rules or regulations of the Nation by virtue of such
participation in gaming, employment, contracts, licenses, and applications relating to gaming
within the jurisdiction of the Nation and the Nation's authority to regulate such gaming.

Section 1-103. Definitions

(A) “Ancillary Activity” means an economic activity owned, operated, or managed
by a Gaming Operation to support gaming activities or to provide amenities for Patrons as a
means of encouraging or promoting patronage of the Gaming Facility, including, for example,
lodging, food and beverage, retail, and other economic activities or operations.

(B) “Business Committee” means the Business Committee of the Sac and Fox
Nation as provided in Article Ill of the Constitution of the Nation.

(C) “Chairperson” means the Chairperson of the Sac and Fox Nation Gaming
Commission.

(D) “Class | Gaming” means social games solely for prizes of minimal value or
traditional forms of Indian gaming engaged in by individuals as a part of, or in connection with,
tribal ceremonies or celebrations.

(E) “Class Il Gaming” means Class Il Gaming as defined at 25 USC.
§ 2703(7)(A), and any regulations promulgated thereunder.

(F) “Class III Gaming” means all forms of gaming that are not Class | Gaming or
Class II Gaming.


TITLE 4 GAMING

The failure to pay any civil fine or adhere to the terms of any civil penalty which has
become final shall constitute grounds and cause for the revocation of licenses, termination of
employment of any employee of a licensed Gaming Operation, and/or a prohibition upon such
person entering any Gaming Facility under the jurisdiction of the Nation. Notwithstanding any
inconsistent provisions which may be contained in the Nation’s Personne! Manual, grievance
procedures contained therein shall not be available to Gaming Operation employees with
respect to the imposition or assessment of civil fines and civil penalties by final orders of the
Commission.

Chapter Five—LICENSING

Section 5-501. Licenses Required

A separate license shall be issued to every employee of every Gaming Facility,
including all employees of management contractors licensed by the Commission who have
any responsibilities at a gaming facility within the jurisdiction of the Nation.

Section 5-502. Licenses to Be Displayed

The authorized holder of any gaming license shall promptly exhibit such license to any
member of the public, any Commission employee, any agent or employee of the NIGC, or to
any law enforcement officer when requested to do so. Individual licenses shall be carried
upon the person of all employees of all Gaming Operations at all times that they are on duty.

Section 5-503. Jurisdictional Consent Required

The Commission shall require all applicants for licenses to sign the following
statement:

| hereby consent to the personal and subject matter jurisdiction of the Sac and
Fox Gaming Commission, to the jurisdiction of the Sac and Fox Nation Courts,
and to all orders and decisions thereof concerning all activities of every kind
and nature in which | may be involved as a gaming participant, vendor,
contractor, licensee, employee, or otherwise within the jurisdiction of the Sac
and Fox Nation, and | hereby waive all jurisdictional defenses to any and all
actions, hearings, orders, decisions, civil fines or civil penalties which may be
imposed by either of such adjudicatory bodies or tribunals or any other courts
of competent jurisdiction to enforce the same.

Subchapter A—KEY EMPLOYEE AND PRIMARY MANAGEMENT OFFICIAL

37


RESOLUTION SF-11-19 / NOVEMBER 12, 2010 ESBCM. 3

That: All license application forms used by the Nation’s Gaming Commission within one
hundred eighty (180) days after the effective date of these amendments shal! contain
notices in compliance with these amendments; and

That: These amendments shall be codified at the appropriate locations in the Sac and Fox Code
of Laws.

CERTIFICATION

WE, George Thurman, Principal Chief, and Jacklyn K. Williams, Secretary, of the Sac and Fox
Nation, do hereby certify the foregoing Resolution No. SF-11-19 to be a true, complete, and
exact copy of the resolution as approved by the Business Committee in a properly called
Emergency Special meeting held on the Sac and Fox Reservation, Shawnee, Oklahoma, on the
12" day of November, 2010, by a vote of: George Thurman-yes; Cheryl McClellan-absent;

Jagklyn K. Williams-yes; Randle Carter-yes; and Stella Nullake-yes.

George Thurman, Principal Chief
Sac and Fox Nation



TITLE 4 GAMING

game cards or dice that have been tampered with, altered, or marked;

(2) Employ or have on one’s person any device which may be used to
facilitate cheating in a gaming activity;

(3) Use any fraudulent scheme or technique; including the disclosure or
receipt of inside information concerning a gaming or promotional activity for the
benefit of any person; or

(4) Knowingly cause, aid, abet, or conspire with another person to steal,
cheat, or violate any provision of this Title or any regulation adopted under this Title.

(I) Failure to Maintain Suitability. It shall be a substantial violation for any
licensee to fail or cease to meet the suitability standard established by this Title.

(J) Fraudulent Conduct. It shall be a substantial violation of this Title for any
person or entity to engage in fraudulent conduct, which includes:

(1) Defrauding the Nation, the Gaming Operation, any Ancillary Activity,
any Gaming Operation licensee, or any participant in any gaming activity or
promotion;

(2) Providing false, misleading, or materially inaccurate information in
relation to any official inquiry of the Commission or any license application or vendor
registration program established by Gaming Commission;

(3) Claiming, collecting, taking, or attempting to claim, collect or take
money or anything of value in or from a Gaming Facility to which one is not entitled;
or claiming, collecting, or taking an amount greater than the amount actually won in
a game or promotion;

(4) Falsifying, destroying, wrongfully altering, or failing to produce any
books, data, records, or other information relating to the Gaming Operation and/or its
Ancillary Activities required to be produced under applicable laws or regulations;

(6) Offering or attempting to offer anything of value, to a licensee in an act
that is an attempt to induce, or may be perceived as an attempt to induce, the licensee
to act in a manner contrary to the official duties of that licensee;

(6) Acceptance by licensee of anything of value with the expectation that
the receipt of value is intended, or may be perceived as intended, to induce the
licensee to act in a manner contrary to their official duties; and

(7) Entering into any contract or making payment on any contract for the

delivery of goods or services to the Gaming Operation, when such contract results in
the acquisition of goods or services for less than fair value.

16


TITLE 4 GAMING

of any gaming facility at such times as it deems necessary. Upon completion, a copy of the
inspection reports shall be provided to the Commission.

(E) The Commission may bring any enforcement action necessary to enforce
compliance with applicable environment, public health and safety laws, regulations, as well
as the policies and procedures issued pursuant to this Section.

(F) | The Commission shall take immediate notice of inspection reports indicating
conditions that pose a clear and imminent threat: (1) to the environment, which, if uncorrected,
could result in actual harm to life or destruction of property; or (2) to human health and well-
being, which, if uncorrected, could result in serious illness or death. The Commission may
order the immediate closure of all or part of any gaming facility, or such lesser remedy in the
event of the presence of a condition creating actual and imminent jeopardy to public health
and safety, which order may extend only so long as may be required to abate such condition
in the judgment of the Commission.

Section 2-206. Internal Control Standards

(A) The Commission by regulation shall adopt, implement, and enforce Tribal
Internal Control Standards (“TICS”) to govern the operation of all gaming facilities and gaming
activities in accordance with applicable provisions of the Compact and the regulations of the
NIGC, with such enhancements and additions as may be useful or necessary to further
protect the government of the Nation, the gaming facilities and Ancillary Activities, and the
public interest. The Commission shall provide public notice of proposed TICS and other
Commission rules prior to formal adoption and afford a reasonable opportunity for the Nation’s
citizens and other interested persons, including the Nation’s Gaming Operations, to provide
comments. Any TICS, as adopted by the Commission, shall not become effective until an
official copy is filed with the Secretary of the Nation, and also provided to the Attorney General

of the Nation.

(B) The TICS shall be compliant with the NIGC’s Minimum Internal Control
Standards and all applicable standards set forth in the Compact. The Tribal Internal Control
Standards so approved shall thereafter govern all Class Il and Class II! Gaming within the
jurisdiction of the Nation, until and unless they are amended by the Commission in the same

manner in which they were adopted.
(C) Pursuant to the standards set forth in the TICS and subject to review and
approval of the Commission, each Gaming Operation shall adopt and operate in accordance

with internal control policies and procedures, setting forth in detail the requisite procedures
governing each controlled activity.

Section 2-207. Agent for Service of Process

The Nation hereby designates the Principal Chief as agent for service of process, who
may be contacted at:

1


TITLE 4

Section 5-541.
Section 5-542.
Section 5-543.
Section 5-544.
Section 5-545,
Section 5-546.
Section 5-547.

Subchapter D—MANAGEMENT CONTRACTOR LICENSING.
Section 5-551.
Section 5-552.
Section 5-553.
Section 5-554.
Section 5-555.
Section 5-556.

Subchapter E—FACILITY LICENSES...
Section 5-561.
Section 5-562.
Section 5-563.
Section 5-564.

Subchapter F—LICENSING OF GAMING FINANCIERS...
Section 5-571.
Section 5-572.
Section 5-573.
Section 5-574,
Section 5-575.
Section 5-576.

Chapter Six—APPLICABLE LAWS ...
Section 6-601.
Section 6-602.

Chapter Seven—MISCELLANEOUS PROVISIONS ....

Section 7-701.
Section 7-702.
Section 7-703.
Section 7-704.

GAMING

Vendor Licenses....
Submission of Gaming Vendor Application
Contents of the Gaming Vendor Applicatior
Gaming Vendor Background Investigation ..
Gaming Vendor Background Investigation Report
Monitoring & Audits...
Vendor License Terms,-Suspension, Revocation

Management Contractor Licens:
Licenses Required
Investigatory Fee
License Term...
License Suspension or Revocation...
Final NIGC Approval Required ....

Facility Licenses Required
Forfeiture; Restraint ..
Communications by the Commission
Calculation of Time......

Licensing of Qualified Gaming Financiers .
Standards and Procedures...
Scope of License ..
Obligations of Qualified Gaming Financiers

Term of Qualified Gaming Financier License:
Background Investigations...

Law Applicable to Tort Claims ..
Law Applicable to Contracts

Effect of Repeal...
Savings Provision ..
Effective Date ..
Reserved ....



right to operate any game that is Class II under IGRA and no Class II games shall be
subject to the exclusivity payments set forth in Part 11 of this Compact. In the case of
electronic bonanza-style bingo games, there have been disagreements between tribes and
federal regulators as to whether or not such games are Class II. Without conceding that
such games are Class III, the tribe has agreed to compact with the state to operate the
specific type of electronic bonanza-style bingo game described in this Compact to
remove any legal uncertainty as to the tribe’s right to lawfully operate the game. Should
the electronic bonanza-style bingo game or the electronic instant bingo game described in
this act be determined to be Class II by the NIGC or a federal court, then the tribe shall
have the option to operate such games outside of this Compact; provided, any obligations
pursuant to subsection F of Part 11 of this Compact shall not be affected thereby.

B. A tribe shall not operate an electronic bonanza-style bingo game, an electronic instant
bingo game or an electronic amusement game pursuant to this Compact until such game
has been certified by an independent testing laboratory and the TCA as meeting the
standards set out in the State-Tribal Gaming Act for electronic bonanza-style bingo
games, electronic instant bingo games or electronic amusement games, as applicable or
any standards contained in the Oklahoma Horse Racing Commission rules issued
pursuant to subsection B of Section 9 the State-Tribal Gaming Act that modify the
standards for such games that may be conducted by organizational licensees. Provided,
the tribe may rely on any certification of an electronic bonanza-style bingo game, an
electronic instant bingo, or electronic amusement games by the Oklahoma Horse Racing
Commission which was obtained by an organization licensee pursuant to the State-Tribal
Gaming Act to establish certification compliance under this Compact. The tribe may also
rely on any certification of an electronic bonanza-style bingo game, electronic instant
bingo or an electronic amusement game by the TCA obtained by another tribe which has
entered into the

model compact to establish certification compliance under this Compact.

Part 5. RULES AND REGULATIONS; MINIMUM REQUIREMENTS FOR
OPERATIONS

A. Regulations. At all times during the Term of this Compact, the tribe shall be
responsible for all duties which are assigned to it, the enterprise, the facility, and the TCA
under this Compact. The tribe shall promulgate any rules and regulations necessary to
implement this Compact, which at a minimum shall expressly include or incorporate by
reference all provisions of Part 5 and the procedural requirements of Part 6 of this
Compact. Nothing in this Compact shall be construed to affect the tribe’s right to amend
its rules and regulations, provided that any such amendment shall be in conformity with
this Compact. The SCA may propose additional rules and regulations related to
implementation of this Compact to the TCA at any time, and the TCA shall give good
faith consideration to such suggestions and shall notify the SCA of its response or action
with respect thereto.



Sac and Fox Code Title

Section 1-547. License Term, Suspension, Revocation

(A) The vendor gaming license issued shall be valid for a Period of two (2)
years from the date of issue so long as the vendor's business remains substantially
unchanged, the ownership and management of the vendor's business does not
significantly change, and the vendor routinely supplies its products or services to the
gaming industry within the jurisdiction of the Nation, and shall be renewable on such
terms and conditions as the Commission may establish by regulation.

(B) In the event of changes in the ownership or management of the vendor's
business, it shall promptly notify the Commission who shall conduct such investigation
as is proper under the circumstances, and issue a new or amended license if
necessary, unless the change creates an unacceptable risk to the public interest, the
health, welfare, and safety of the Nation or the public, or to the integrity of the gaming
industry within the jurisdiction of the Nation, in which case the Commission shall notify
the vendor of its concerns and demand that the vendor take specified corrective action.
If the vendor fails to take the necessary corrective action, the Commission may suspend
the vendor license and institute revocation proceedings.

(C) | Such gaming licenses may be suspended or revoked in the same manner
as licenses for Key Employees and Primary Management Officials.

[See, 25 C.F.R. §§558.2, 558.4(b)}
[History: Public Law No. SF-08-180.]

Subchapter D—MANAGEMENT CONTRACTOR LICENSING
Section 1-551, Management Contractors License

{A) In addition to the necessary license applications for each of its proposed
Key Employees or Primary Management Officials, every proponent of a Management
Contract shall submit to the Commission for its approval a copy of the draft contract,
and all additional documents required by, or to be submitted to, the NIGC including, but
not limited to background investigation applications and any supporting materials and
documents.

(B) The Commission shall thereupon perform an investigation of the
prospective candidate and its affiliates at least as stringent as the investigation
conducted on applications for a license as a Key Employee or Primary Management
Official. The Commission shall provide documents, analysis and recommendations to
the Business Committee and the Nation's authorized entity having authority over the
Gaming Operation which would be subject to the Management Contract regarding
whether a contract should be entered into with the applicant. The Commission's
analysis and recommendations should take place before application is submitted to the
NIGC.

39


SAC AND Fox NATION

GAMING ORDINANCE OF 2008
Table of Contents

CERTIFICATION .....ecccscssssssssseccsssseecssssssssesssnsnsnsessesssssnseccunnssersnasissecsssnscatnensnssesensennueeses iti
Section 1-1. Findings and Declarations 4
Section 1-2. Continuing Authority To Regulate Gaming.

Chapter One —Preliminary Provisions and Definitions ........cc.csceccscssessssesstssstssssusecanvessees

Section 1-101. Purpose
Section 1-102. Definitions.
(A) “Business Committee
(B) “Class | Gaming”.....

(C) “Class i! Gaming” means:
(D) “Class III Gaming’...

LS)

2
2
2
2
2
3
(E) “Collateral Agreement” 3
(F) “Commission” or “Gaming 3
(G) “Commissioner” 3
(H) “Compact”... 3
(l) “Complimentary’.. 3
(J) “Confidential Information 3
(K) “Directly related to’ ...... 4
(L) “Electronic, computer or other technologic aid’ 4
(M) “Electronic or electro-mechanical facsimile” 4
(N) “Gaming Operation” 5
(O) “House banking gam 5
(P) "Indian lands”... 5
(Q) “Key Employee’ 5
(R) “Management Contract 6
(S) “Nation”........ 6
(T) “Net Revenues” 6
(U) “NIGC"... 6
(Vv) “Other gal 6
(W) “Per Capita Payment”........ 6
{X) “Person having a direct or indirect financial interest in a
Management Contract” 7
(Y) “Person having management responsibility for a Management

Contract”
(2) “Primary Management Official” .
(AA) “Prize Claim”

(AB) “Tort Claim” .
Section 1-103. Gaming Authorized.

eo amNN



TITLE 4 GAMING

(C) _ If the Gaming Operation denies the prize claim, the claimant shall have forty-
eight (48) hours from the date the claim was denied to file the prize claim with the
Commission. Failure to file the prize claim during such 48-hour period shall forever bar such

prize claim.

(D) Upon receipt of the prize claim notice, the Commission shall promptly review,
investigate, and make a determination regarding the prize claim based on the claimant’s
written submission. Alternatively, the Commission may conduct a hearing and receive
evidence with regard to such claim if it deems an evidentiary proceeding useful in the
resolution of the prize claim. If a hearing is granted and the Patron having been given with
notice of the hearing fails to appear without notice and good cause the Commission may
dismiss such claim by default.

(E) Any portion of the prize claim which remains unresolved after thirty (30) days
from the date of filing with the Commission shall be deemed denied if the Commission fails
to notify the claimant in writing of its approval within such 30-day period.

(F) To appeal the Commission's decision, the claimant must file an appeal with
the District Court of the Nation not later than thirty (30) days after the Commission's decision

or constructive denial.

(G) In no event shall a prize claim ever result in a monetary award of an amount
in excess of the available prize for the subject gaming activities or promotional prize.

(H) The Commission is hereby authorized to promulgate regulations consistent
with the provisions set forth in this Section and the Compact to further clarify the requisite
procedures for the filing and disposition of prize claims.

Section 3-308. Tort Claims

(A) Any Patron having a claim against the Gaming Operation for personal injury
or property damage must present that claim to the Gaming Operation on the date of the
alleged incident and prior to leaving the gaming facility premises. If, due to the circumstances,
the Patron is unable to file such claim on the date of the alleged incident, the Patron or the
Patron’s representative must file the claim within ninety (90) days of the date of the alleged
injury or damage. In the event a claim is not filed within ninety (90) days after the date of the
alleged injury or damage, but within one (1) year, any judgment arising from the act which is
the subject of the claim shall be reduced by ten percent (10%).

(B) The Gaming Operation shall forward the Commission the notice of tort claim
within forty-eight (48) hours of its receipt by the Gaming Operation. If the Patron or the
Patron’s representative should file the notice with the Commission, the Commission shall
forward the notice of claim to the Gaming Operation within forty-eight (48) hours of its receipt.

(C) The tort claim notice shall state the following:

24


2. Take reasonable measures to assure the physical safety of enterprise patrons
and personnel, prevent illegal activity at the facility, and protect any rights of
patrons under the Indian Civil Rights Act, 25 U.S.C., Sec. 1302-1303;

3. Promptly notify appropriate law enforcement authorities of persons who may
be involved in illegal acts in accordance with applicable law;

4. Assure that the construction and maintenance of the facility meets or exceeds
federal and tribal standards for comparable buildings, and

5, Prepare adequate emergency access plans to ensure the health and safety of all
covered game patrons. Upon the finalization of emergency access plans, the TCA
or enterprise shall forward copies of such plans to the SCA.

B. All licenses for members and employees of the TCA shall be issued according to the
same standards and terms applicable to facility employees. The TCA shall employ
qualified compliance officers under the authority of the TCA. The compliance officers
shall be independent of the enterprise, and shall be supervised and accountable only to
the TCA. A TCA compliance officer shall be available to the facility during all hours of
operation upon reasonable notice, and shall have immediate access to any and all areas of
the facility for the purpose of ensuring compliance with the provisions of this Compact.
The TCA shall investigate any such suspected or reported violation of this Compact and
shall require the enterprise to correct such violations. The TCA shall officially enter into
its files timely written reports of investigations and any action taken thereon, and shall
forward copies of such reports to the SCA within fifteen (15) days of such filing. Any
such violations shall be reported immediately to the TCA, and the TCA shall immediately
forward the same to the SCA. In addition, the TCA shall promptly report to the SCA any
such violations which it independently discovers.

C. In order to develop and foster a positive and effective relationship in the enforcement
of the provisions of this Compact, representatives of the TCA and the SCA shall meet,
not less than on an annual basis, to review past practices and examine methods to
improve the regulatory scheme created by this Compact. The meetings shall take place at
a location mutually agreed to by the TCA and the SCA. The SCA, prior to or during such
meetings, shall disclose to the TCA any concerns, suspected activities, or pending matters
reasonably believed to possibly constitute violations of this Compact by any person,
organization or entity, if such disclosure will not compromise the interest sought to be
protected.

Part 8. STATE MONITORING OF COMPACT

A. The SCA shall, pursuant to the provisions of this Compact, have the authority to
monitor the conduct of covered games to ensure that the covered games are conducted in
compliance with the provisions of this Compact. In order to properly monitor the conduct
of covered games, agents of the SCA shall have reasonable access to all areas of the
facility related to the conduct of covered games as provided herein:



TITLE 4 GAMING

(2) Any person who has authority:
(a) To hire and fire employees;
(b) To set up working policy for a Gaming Operation; or

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

(3) | Any other person designated by the Commission as a primary
management official.

(FF) "Prize Claim’ means a Patron's claim arising from: (1) the play of any
authorized game of chance; (2) the amount of any prize which has been awarded; (3) the
failure to be awarded a prize; (4) or the right to receive a refund or other compensation
brought by a Patron against a Gaming Operation pursuant to the Compact and any
subsequent revisions or amendments to the Compact.

(GG) “Qualified Gaming Financier’ means any Gaming Financier that is: a federaliy
or state-regulated bank, savings and loan, or trust, or other federally or state-regulated
lending institution, or other commercial lending institution; any agency of the federal, a state,
or a tribal or a local government, a broker-dealer registered under the Securities Exchange
Act of 1934, as amended; an investment company registered under the Investment Company
Act of 1940, as amended; an investment advisor registered under the Investment Advisors
Act of 1940, as amended; or an insurance company registered under any federal or state
insurance agency; or any person or entity, including but not limited to, an institutional investor
who, alone or in conjunction with others, lends money through publicly or commercially traded
bonds or instruments or their assignees or transferees, or which bonds or commercially
traded instruments are underwritten by any entity whose shares are publicly traded or which
underwriter, at the time of the underwriting, has assets in excess of One Hundred Million

Dollars ($100,000,000.00).

(HH) “Secretary” and “Secretarial” mean the Secretary of the Interior of the United
States, or his or her delegees.

(Il) “Tort Claim” means a Patron’s claim of bodily injury, personal injury, or
property damage arising out of, connected with, or relating to the operation of the Nation's
Gaming Operation, Gaming Facility, gaming activities, or Ancillary Activities including but not
limited to injuries resulting from the entry onto the Nation’s land for purposes of patronizing
the Gaming Facility.

Section 1-104. Gaming Authorized

(A) Class I, Class Il, and Class Ill Gaming are hereby authorized within the
jurisdiction of the Nation.


method of making a prize claim, and that claims that do not follow this procedure
shall be forever barred. The enterprise shall make pamphlets containing the
requirements in this subsection readily available to all patrons of the facility and
shall provide such pamphlets to a claimant by the TCA within five (5) days of the
filing date of a claim.

C. Limited Consent to Suit for Tort Claims and Prize Claims, The tribe consents to suit
against the enterprise in a court of competent jurisdiction with respect to a tort claim or
prize claim if all requirements of paragraph 9 of subsection A or all requirements of
paragraph 11 of subsection B of this Part have been met; provided that such consent shall
be subject to the following additional conditions and limitations:

1. For tort claims, consent to suit is granted only to the extent such claim or any
award or judgment rendered thereon does not exceed the limit of liability. Under
no circumstances shall any consent to suit be effective as to any award which
exceeds such applicable amounts. This consent shall only extend to the patron
actually claiming to have been injured. A tort claim shall not be assignable. In the
event any assignment of the tort claim is made in violation of this Compact, or
any person other than the patron claiming the injury becomes a party to any action
hereunder, this consent shall be deemed revoked for all purposes.
Notwithstanding the foregoing, consent to suit shall not be revoked if an action on
a tort claim is filed by (i) a court appointed representative of a claimant’s estate,
(ii) an indispensable party, or (iii) a health provider or other party subrogated to
the claimant’s rights by virtue of any insurance policy; provided, that nothing
herein is intended to, or shall constitute a consent to suit against the enterprise as
to such party except to the extent such party’s claim is:

a. in lieu of and identical to the claim that would have been made by the
claimant directly but for the appointment of said representative or
indispensable party, and participation of such other party is in lieu of and
not in addition to pursuit of the claim by the patron, and

b. the claim of such other party would have been subject to a consent to
suit hereunder if it had been made by the claimant directly; and

2. For prize claims, consent is granted only to the extent such claim does not
exceed the prize limit. Under no circumstances shall any award exceed the prize
limit. This consent shall only extend to the patron actually claiming to have
engaged in the play of a covered game on which the claim is based. Prize claims
shall not be assignable. In the event any assignment of the prize claim is made, or
any person other than the claimant entitled to make the claim becomes a party to
any action hereunder, this consent shall be deemed revoked for all purposes.
Notwithstanding the foregoing, consent to suit shall not be revoked if an action on
a prize claim is filed by (i) a court-appointed representative of a claimant’s estate,
or (ii) an indispensable party, provided that nothing herein is intended to, or shall



TITLE 4 GAMING

(M) In addition to such other powers as conferred it by this Title, the Commission
and/or its staff as appropriate shall have authority to:

(1) Conduct or cause background investigations to be conducted on, at a
minimum, Primary Management Officials and Key Employees;

(2) Review and approve all investigative work conducted;
(3) Report notice of results of background investigations to the NIGC;

(4) | Obtain and process fingerprints, or designate a law enforcement
agency to obtain and process fingerprints;

(5) Make licensing eligibility determinations, which shall be signed by the
Executive Director;

(6) Issue gaming licenses to management officials and employees of the
operations, consistent with the Executive Director's eligibility determination;

(7) Deny any license application for cause and to revoke, cancel, condition,
or suspend for cause any license, permit, or registration issued by the Commission;

(8) | Conduct all hearings pertaining to adverse licensing actions and civil
violations of this Title, the |GRA, Compact, or other laws and regulations applicable to
the Nation’s Gaming and Ancillary Activities;

(9) Establish standards for licensing the Nation’s Gaming Facilities within
the jurisdiction of the Commission;

(10) Issue facility gaming licenses to the Nation’s Gaming Facilities within
the jurisdiction of the Commission;

(11) Inspect, examine and monitor all gaming, promotional, and ancillary
activities through surveillance, compliance and internal audit activities, approve the
rules of various games, and authorize and inspect games, tables, equipment,
machines, cards, dice, and chips or tokens and other paraphernalia used in all
Gaming Operations to ensure compliance with applicable law;

(12) Temporarily impound gaming equipment for investigation or analysis
and shut down gaming equipment failing to conform to the standards required under
laws and regulations applicable to the Gaming Operation;

(13) Inspect, examine, and monitor the handling of all cash, cash
equivalents, and cash transaction and accounting systems, and to have immediate
access to review, inspect, examine, photocopy and audit all records of any Gaming
and Ancillary Activities of a Gaming Operation;

26


Sac and Fox Code Title

Section 1-503. Jurisdictional Consent Required

The Commission shall require all applicants for licenses to sign the following
statement:

| hereby consent to the personal and subject matter jurisdiction of
the Sac and Fox Gaming Commission, to the jurisdiction of the Sac and
Fox Nation Courts, and to all orders and decisions thereof conceming all
activities of every kind and nature in which | may be involved as a gaming
participant, vendor, contractor, licensee, employee, or otherwise within the
jurisdiction of the Sac and Fox Nation, and | hereby waive all jurisdictional
defenses to any and all actions, hearings, orders, decisions, civil fines or
civil penalties which may be imposed by either of such adjudicatory bodies
or tribunals or any other courts of competent jurisdiction to enforce the
same.

[History: Public Law No. SF-08-180.]

Subchapter A—KEY EMPLOYEE AND PRIMARY MANAGEMENT
OFFICIAL LICENSING

Section 1-511. Licenses Required

The policies and procedures set out in this Subchapter shall be implemented with
Tespect to Key Employees and Primary Management Officials employed at any Gaming
Operation operated on Indian lands of the Nation. The Gaming Commission will issue
licenses and perform background investigations according to requirements at least as
stringent as those contained in the applicable provisions of 25 C.F.R. Parts 556 and
558, or the Compact, if applicable.

[25 U.S.C. §2710{b)(2)(F); 25 C.F.R. §558,3; 25 U.S.C. §522.4(b\5)]
[History: Public Law No. SF-08-180.]
Section 1-512. License Application Forms

(A) The following notice shall be placed on the application form for a Key
Employee or a Primary Management Official:

“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 et seq. The purpose of the requested information is to determine
the eligibility of individuals to be employed in a Gaming Operation. The
information will be used by the Tribe and the NIGC 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,

27


6. All notices of prize claims shall be signed by the claimant. The rules and
regulations may additionally require that the prize claim notices be signed under
oath;

7. The enterprise shall promptly review, investigate and make a determination
regarding the prize claim. Claimants shall cooperate in providing information,
including personal sworn statements and agreeing to be interviewed, as the
enterprise shall reasonably request. The claimant is permitted to have counsel
present during any such interview;

8. If the prize claim is not resolved within seventy-two (72) hours from the time
of filing the claim in accordance with paragraph 5 of this subsection, the TCA
shall immediately notify the SCA in writing that the claim has not been resolved;

9. In the event the claim is resolved, the TCA shall not be obligated to report that
fact to the SCA, but shall make TCA reports available for review;

10. Any portion of a prize claim which is unresolved shall be deemed denied if
the enterprise fails to notify the claimant in writing of its approval within thirty
(30) days of the filing date, unless the parties agree by written agreement to
extend the date. Each extension shall be for no more than thirty (30) days, but
there shall be no limit on the number of written agreements for extensions;
provided, that no written agreements for extension shall be valid unless signed by
the claimant and an authorized representative of the TCA. The claimant and the
enterprise may continue attempts to settle a claim beyond an extended date;
provided, settlement negotiations shall not extend the date of denial in the absence
of a written extension required by this paragraph,

11. A judicial proceeding for any cause arising from a prize claim may be
maintained in accordance with and subject to the limitations of subsection C of
this Part only if the following requirements have been met:

a. the claimant has followed all procedures required by this Part, including
without limitation, the delivery of a valid and timely written prize claim
notice to the enterprise,

b. the enterprise has denied the prize claim, and

c. the claimant has filed the judicial proceeding no later than one hundred
eighty (180) days after denial of the claim by the enterprise; provided that
neither the claimant nor the enterprise may extend the time to commence a
judicial proceeding; and

12. Notices explaining the procedure and time limitations with respect to making
a prize claim shall be prominently posted in the facility. Such notices shall explain
the method and places for making claims, that this procedure is the exclusive



Sac and Fox Code Title

(G) The Commission shall ensure that all records and information obtained as
a result of an employee background Investigation shall remain confidential and shall not
be disclosed to persons who are not directly involved in the licensing and employment
Processes. Information obtained during the course of an employee background
investigation shall be disclosed to members of Management, human resource personnel
or others employed by the tribal gaming operation on a need-to-know basis for actions
taken in their official capacities.

This Section does not apply to requests for such information or records from any tribal,
federal or state law enforcement or regulatory agency, or for the use of such information
or records by the Commission and staff in the performance of their official duties.

[NIGC Model Ordinance, Bulletin No. 05 05, Section 108(g))

(H) Terms of Office for Gaming Commissioner shall be as follows: the Chair
shall serve an initial term of one year, with subsequent Chairs serving four-year terms.
The Vice-Chair and Commissioner(s) shall serve an initial term of two years, with
subsequent Vice Chairs and Commissioners serving four-year terms.

(I) Tribal citizens previously convicted of a felony, of embezzlement, of theft,
or of any other money-related crime or honesty-related crime (such as fraud) will only
be allowed to serve as Commissioners if the Business Committee specifically finds a
significant amount of time has passed and that the person is now of trustworthy
character. The Business Committee shall require a criminal history check with
appropriate law enforcement agencies and shall review this criminal history report and
make an appropriate suitability determination before appointing an individual to a
position as a Commission.

(J) The independence of the Commission is essential to a well-regulated
Gaming Operation. For that reason, Commissioners may only be removed from office
by the Grievance Committee prior to the expiration of their respective terms for neglect
of duty, misconduct, malfeasance, or other acts that would render a Commissioner
unqualified for his/her position. Any allegations of neglect of duty, misconduct,
maifeasance, or other acts that would render him or her unqualified for his/her position
must be substantiated by a preponderance of the evidence. Commissioners will be
given an opportunity to provide evidence Tebutting the grounds for their proposed
removal before the removal is considered. A vote of the Grievance Committee on the
validity of the removal shall be final and not subject to further appeal. A wrongful
removal shall entitle the affected Commissioner to compensation for fees and expenses
incurred In an appeal and any pay withheld.

(K) A majority of the Commission shall constitute a quorum. The concurrence
of a majority of the members appointed to the Commission shall be required for a final
determination by the Commission. The Commission may act in its official capacity even
if there are vacancies on the Commission.

20


TITLE 4 GAMING

(B) Class | Gaming shall continue to be exercised and controlled in the traditional
manner and shall not be regulated by this Title.

(C) Class II Gaming on Indian lands of the Nation shall continue to be within the
jurisdiction of the Nation but shall be subject to the applicable provisions of the Act of October
17, 1988, Pub. L. 100-497, 102 Stat. 2467.

(D) Class III Gaming on Indian lands of the Nation shall continue to be within the
jurisdiction of the Nation but shall be subject to the provisions of any Compact which is in
effect, or any Secretarial procedures approved by the Secretary of the Interior in lieu of a
compact, and applicable provisions of the Act of October 17, 1988, P.L. 100-497, 102 Stat.

2467. In any conflict between this Title and the Compact or Secretarial procedures, the
relevant Compact provision(s) or Secretarial procedures shall govern.

Chapter Two—PROVISIONS REQUIRED BY PUBLIC LAW 100-497

Section 2-201. Ownership of Gaming

(A) _ The Nation shall have the sole proprietary interest in and responsibility for the
conduct of any Gaming Operation authorized by this Title. For purposes of this section, the
term “Nation” includes any political and business subdivisions of the Nation, and social or
charitable organizations of the Nation.

(B) Privately owned gaming is prohibited within the jurisdiction of the Nation.

Section 2-202. Use of Gaming Revenue
Net revenues from tribal gaming shall be used only for the following purposes:
(A) _ To fund tribal government operations and programs;
(B) To provide for the general welfare of the Nation and its members;
(C) To promote tribal economic development;
(D) To donate to charitable organizations; or

(E) To help fund operations of local government agencies.

Section 2-203. Per Capita Payments

(A) The Revenue Allocation Plan adopted by Governing Council Resolution No.


Sac and Fox Code Title

(History: Public Law No, SF-08-180]
Section 1-436. Personal Jurisdiction

Ail gaming operation patrons, licensees, applicants for such licenses,
management contractors, and employees of all gaming operations, whether permanent
or temporary, and whether of Indian or non-Indian blood, descent, or tribal membership,
shall be deemed to have voluntarily submitted themselves, or the entities which employ
them in the case of management contractors, to the jurisdiction of the Commission and
to the provisions of this section and to the provisions of other relevant sections of this
Title and to the provisions of any other gaming laws, rules or regulations of the Nation
by virtue of such participation, contracts, licenses and applications therefore with the
gaming industry wilhin the jurisdiction of the Nation and the Nation's authority to
regulate such gaming as confirmed by the IGRA.

(History: Public Law No. SF-08-1 80)
Section 1-437. Failure to Pay

The failure to pay any civil fine or civil penalty which has become final shall
Constitute grounds and cause for the revocation of licenses, termination of employment
of any employee of a licensed gaming operation, and a prohibitlon upon such person
entering any gaming facility with the jurisdiction of the Nation. Notwithstanding any
inconsistent provisions which may be contained in the Nation's Personnel Manual,
grievance procedures contained therein shall not be available to gaming operation
employees with respect to the imposition or assessment of civil fines and civil penalties
by final orders of the Commission.

[History: Public Law No, SF-08-1 80)

Chapter Five—LicENsING
Section 1-501. Licenses Required

A separate license shall be issued to every employee of every gaming facility,
including all employees of management contractors licensed by the Commission who
have any responsibilities at a gaming facility within the jurisdiction of the Nation.

[History: Public Law No. SF-08-180.]
Section 1-502. Licenses To Be Displayed

The authorized holder of any gaming license shall promptly exhibit such licenses
to any member of the public, any Commission employee, any agent or employee of the
NIGC, or to any law enforcement officer when requested to do so. Individual licenses
shall be carried upon the person of all employees of all gaming operations at all times
that they are on duty.

[History: Public Law No. SF-08-180,]

26


Sac and Fox Code Title

(C) The Gaming Commission and its investigator may promise to keep
Confidential the identity of each person interviewed in the course of the investigation if
so requested, other than disclosure as required under Federal, Tribal, or State law
made applicable by Compact obligations, and in the performance of their lawful duties.

[History: Public Law No. SF-08-180.)
Section 1-516. Eligibility Determination

(A) The Commission shall review a person's prior activities, criminal record, if
any, and reputation, habits and associations to make a finding conceming the eligibility
of a Key Employee or Primary Management Official applicants for employment in a
Gaming Operation. If the Commission determines that employment of the person
poses a threat to the public interest or to the effective regulation of gaming, or creates
or enhances dangers of unsuitable, unfair, or illegal practices and methods and
activities in the conduct of gaming, a Gaming Operation within the jurisdiction of the
Nation shall not employ that person in a Key Employee or Primary Management Official
position.

[25 C.F.R. §558,2]

(B) This determination may include a Statement describing how the
information submitted by the applicant was verified; a Statement of results following an
inquiry into the applicant's prior activities, criminal record, if any, and reputation, habits
and associations; a Statement showing the results of interviews of a sufficient number
of knowledgeable people (such as former employers, personal references, and others
referred to by the applicant) in order to provide a basis for the Commission to make a
finding concerning the eligibility for licensing required for employment in a Gaming
Operation; and a Statement documenting the disposition of all potential problem areas
noted and potential disqualifying information obtained. A copy of the investigative report
showing this information may be attached to the Eligibility Determination unless these
matters are restated in that instrument.

[25 C.F.R, §556.5(c). Moved from Model Ordinance Section 209(c)}
[History; Public Law No. SF-08-180,]
Section 1-517. Forwarding Documentation to the NIGC

When a Key Employee or Primary Management Official is employed to work at a
Gaming Operation authorized by this ordinance, the Gaming Commission shall forward
to the NIGC a completed application for employment, conduct the background
investigation, and make the determination.

[25 C.F.R. §558.3(a)]
[History: Public Law No. SF-08-180.]
Section 1-518, Report to the NIGC

31


Sac AND Fox Nation

920883 S Hwy. 99 Building A * Stroud, Oklahoma 74079 + (918) 968-1141 + FAX (918) 968-1142

NOV 7.

RESOLUTION SF-11-19 FIL E D

SAC AND FOX NATION PATE_L/- 2 yg =
=p EMERGENCY SPECIAL BUSINESS COMMITTEE MEETING, © 5 CRETARY

L
IM THE CISTRIEY couRISAC AND ROX CASINO CONFERENCE ROOM OX NATION
SHAWNEE, OKLAHOMA - Lif, .
208 WOV12 P & 2b es

NOVEMBER 12, 2010
1 ERY

“'' BUBLIC LAW XBOPTING AND ENACTING AMENDMENTS TO THE SAC AND
yyFOX_NATION,,GAMING ORDINANCE OF 2008, AS AMENDED, UPDATING
LANGUAGE O¥ REQUIRED NOTICES.

WHEREAS, the Business Committee of the Sac and Fox Nation met at a duly called, noticed,
convened, and held Emergency Special meeting at the date and place aforesaid,
there being a quorum present; and

WHEREAS, the Business Committee is authorized to transact business and otherwise act in
behalf of the Nation pursuant to the Constitution, Charter, and Laws of the Sac
and Fox Nation; and.

WHEREAS, the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et seq., requires that tribal
governments engaging in Class II and Class III gaming, as defined in such act,
adopt a law prescribing procedures and methods to be utilized with regard to the
conduct of gaming within their Indian lands; and

WHEREAS, the Nation enacted the Gaming Ordinance of 2008 (the “2008 Ordinance” or the
“Ordinance”) as a comprehensive revision of its gaming laws, which Ordinance,
as subsequently amended, was approved by the Chairman of the National Indian
Gaming Commission (the “NIGC”) on or about November 20, 2008; and

WHEREAS, the NIGC recently has advised the Nation, in conjunction with the process of
approval of pending amendments to the 2008 Ordinance, that the language of
certain notices in the Ordinance must be updated to conform with the current
requirements of 25 C.F.R. §§ 556.2 and 556.3; and

WHEREAS, the Business Commitiee of the Nation has determined that the appropriate
sections of the 2008 Ordinance should be amended, as set forth herein, in the best
interests of the Nation and in conformity with the NIGC’s regulations.


Sac and Fox Code Title

_SAc AND Fox NATION

Route 2, Box 246 * Stroud, Oklahoma 74079 * (918) 968-1141 * FAX (918) 968-1142

D B- 2G -OL
INTHE HIgTieT COURT RESOLUTION SF-09-10 9 ATE 42-247 oF

SECRETARY
SAC & FOX NATION -

age OCT 29 P 223 sac AND FOX NATION
AC Ale {0 SSRBCIAL BUSINESS COMMITTEE MEETI
sll COURT CLERS AG AND FOX RESERVATION
BY:______oeputy © STROUD, OKLAHOMA toy

OCTOBER 17, 2008

A PUBLIC LAW ADOPTING AND ENACTING THE SECOND AMENDED GAMING
ORDINANCE OF 2008 AUTHORIZING GAMING, SETTING THE TERMS FOR CLASS
|, Il, AND II! GAMING OPERATIONS ON THE INDIAN LANDS OF THE SAC AND
FOX NATION, AS AMENDED.

WHEREAS, the Business Committee of the Sac and Fox Nation met at a duly special
called, noticed, convened, and held meeting at the date and place
aforesaid, there being a quorum present; and

WHEREAS, the Business Committee is authorized to transact business and otherwise
act on behalf of the Nation pursuant to the Constitution, Charter, and Laws
of the Sac and Fox Nation; and

WHEREAS, the indian Gaming Regulatory Act requires that tribes engaging in Class II
and Class Ill Gaming as defined in that Act adopt a Law prescribing
procedures and methods to be utilized with regard to the conduct of
gaming within their Indians lands; and

WHEREAS, the Nation enacted the Gaming Ordinance of 2008 on May 8, 2008 and
submitted the same to the National Indian Gaming Commission (“NIGC”)
for approval pursuant to 25 C.F.R. Part 522 on or about May 21, 2008;
and

WHEREAS, the NIGC had issues with one portion of the definition of “Indian Lands’ as
follows “all lands within the limits of the Nation’s reservation as described
by the Act of February 13, 1891, Ch. 165, 26 Stat. 749" and indicated it
would disapprove the submission; and


Subchapter A —Key Employee And Primary Management Official Licensing... 27

Section 1-511.
Section 1-512.
Section 1-513.
Section 1-514.
Section 1-515.
Section 1-516.
Section 1-517.
Section 1-518.
Section 1-519.
Section 1-520.
Section 1-521.

Subchapter B —Non-Key Employee Licensing ....

Section 1-531.
Section 1-532.
Section 1-533.
Section 1-534.
Section 1-535.
Section 1-536.

Subchapter C —Gaming Vendor Licensing

Section 1-541.
Section 1-542.
Section 1-543.
Section 1-544.
Section 1-545.
Section 1-546.
Section 1-547.

Subchapter D —Management Contractor Licensing

Section 1-551.
Section 1-552.
Section 1-553.
Section 1-554.
Section 1-555.
Section 1-556.

Subchapter E —Facility Licenses .
Section 1-561.

Licenses Required
License Application Forms
Fingerprints .........-...0.0..
Background Investigations
Background Check Procedures
Eligibility Determination.........
Forwarding Documentation to the NIGC
Report to the NIGC............
Granting a Gaming Licens
License Term...

Licenss Suspension or Revocation .

Licenses for Non-Key Employees
Applicant Investigations.
Licensing Standard.
Eligibility Determinati
License Term
Fingerprints ..

Licenses for Vendors.
Submission of Vendor Application
Contents of the Vendor Application
Vendor Background Investigation...
Vendor Background Investigation Repo!
Licenses for Non-Gaming Vendors ....
License Term, Suspension, Revocation

Management Contractors License
Licenses Required..
Investigatory Fee
License Term...

License Suspension or Revocation
Final NIGC Approval Required .

Facility Licenses Required

vi


TITLE 4 GAMING

activities including, without limitation, the pertinent provisions of Title 25 of the United States
Code and the Code of Federal Regulations, Title 26 of the United States Code and the Code
of Federal Regulations, and Title 31 of the U.S. Code and Code of Federal Regulations,
among others that are or may become applicable.

Section 3-303. Ethical Conduct Respecting Gaming

(A) The Nation recognizes that the duties of the governing body of each Gaming
Operation and the Commission include making important and difficult decisions on highly
sensitive issues. Accordingly, the Nation has determined that the members of the governing
body of each Gaming Operation and the Gaming Commissioners shall be held to extremely
high ethical standards. Prior to taking their positions, the Commissioners, governing members
of each Gaming Operation, and Primary Management Officials of each Gaming Operation
shall agree in writing to support, protect, and defend the Constitution, Charter, and laws of
the Nation, to be bound by the principles of the Business Ethics and Conflict of Interest Policy
of the Nation, and to refrain from conduct defined as Misconduct in Office by the Code of

Laws of the Nation.

(B) The following constitute examples of the principles of the Business Ethics and
Conflict of Interest Policy and definitions of Misconduct in Office that are especially applicable

in the gaming context:

(1) Neither Commissioners, governing members of a Gaming Operation
nor casino managers or employees of a Gaming Operation shall hold financial
interests that conflict with the conscientious performance of their respective duties Per
Capita distributions are not considered financial interests that would conflict with the
conscientious performance of duty by a tribal member holding any of the positions
described in this Section 1-303.

(2) | Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall not engage in financial
transactions using nonpublic information or allow the improper use of such information
by others on their behalf to further any private interest.

(3) Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall not solicit or accept any
gift or other item of monetary value, including complimentary items or services, from
any person or entity seeking official action or inaction from the Commission, a Gaming
Operation, or a gaming facility nor doing business with, or conducting activities
conducted by the entity, or whose interests may be substantially affected by the
performance or nonperformance of the entity's duties except as specifically authorized
by law.

(4) Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall make no unauthorized
commitments or promises of any kind purporting to bind the Nation or any of its

13


Sac and Fox Code Title

State, local, or foreign law enforcement and regulatory agencies when
relevant to civil, criminal or regulatory Investigations or prosecutions or
when necessary pursuant to a requirement by a Tribe or the NIGC 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 being unable to
hire you in a Primary Management Official or Key Empioyee 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.”

[25 C.F.R. §556.2(a)}

(B) The following additional notice shall be placed on the application form for
a Key Employee or a primary official:

“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 y

[25 C.F.R. §556,3(a)]

(C) The Commission shall notify in writing existing Key Employees and
Primary Management Officials who have not completed an application containing the
notices set forth above that they shall either:

(1) Complete a new application form that contains both the Privacy Act
and false statement notices; or

(2) Sign a statement that contains the Privacy Act and false statement
notices and consent to the routine uses described in that notice.

[25 C.F.R. §556.2(b); 25 C.F.R. §556,3(b)}
[History: Public Law No. SF-08-180.]
Section 1-513. Fingerprints

Each applicant for a Key Employee or Primary Management Official license shall
be required to have fingerprints taken as part of the license application procedure.
Fingerprints shall be taken and forwarded to the NIGC for processing through the FBI to
determine the applicant's criminal history, if any.

[25 C.F.R. §522.2(h); 25 C.F.R. §556.4(a)(14)]
[History: Public Law No. SF-08-180,]

28


TITLE 4 GAMING

(7) Fail to report any matter so required to be reported to the Commission
by this Title; or

(8) Obstruct, impede, hinder, delay, misdirect, misinform, harass,
interfere with or otherwise fail to accommodate the request or directive of a
Commissioner, employee of the Commission, or agent of the Commission in the
carrying out of their duties.

(N) Eacility Compliance. The management of each Gaming Facility is responsible
for ensuring that all primary management officials and key employees assisting in the
operation of any gaming activity comply with this Title, the gaming Compact, and all
provisions of any Nation or federal law applicable to the Nation’s gaming activities. A violation
by any such primary management officials or key employees shall be deemed a violation by
management and may subject both the licensee and the Gaming Operation to sanctions.

(©) Discretion of the Gaming Commission. Any person found to be in violation of
any of the foregoing by the Gaming Commission may be permanently excluded from the
Gaming Facility, have his or her license suspended or revoked, or be subject to such lesser
sanction as may be imposed by the Commission pursuant to Section 1-430. The Gaming
Commission shall have the discretion to bring an enforcement action against any person or
entity whose actions or inactions present an actual or imminent threat or danger to the public
health and safety of the facility or its Patrons or to the integrity of gaming. Actions taken by
the Commission under this provision shall at all times be reasonable and prudent and the
specific grounds for such action must be documented.

Section 3-305. Sovereign Immunity

(A) Nothing contained in this Title shall be construed to be a waiver of the sovereign
immunity of the Nation or the Sac and Fox Tribe, Inc., or the officers, employees, agents, or
business or political subdivisions thereof (the “Nation”), nor to be a consent to any suit beyond
the limits specifically authorized by the laws of the Nation. All such authorizations shall be
strictly construed.

(B) Persons who are not employees of the Nation, but who are performing
substantial, necessary, or useful services to the Nation on a voluntary basis, who are acting
under the supervision, or with the approval of an officer, agent, or employee of the Nation,
and who would be immune from suit were the acts in which they were engaged done by any
officer, agent or employee of the Nation, shall enjoy the protection of the sovereign immunity
of the Nation to the same extent as a paid agent or employee.

Section 3-306, Patron Dispute Resolution by Gaming Operation
(A) All disputes between members of the gaming public and operators or

employees of licensed gaming facilities must be promptly and, to the extent practicable,
amicably reconciled by an authorized agent of the Gaming Operation or his or her authorized


TITLE 4 GAMING

(4) Provides goods or services used in the course of business travel;
(5) Provides utilities or similar services essential to the conduct of business;

(6) Is licensed, regulated, or certified by a State, a tribe, or the federal
government; or

(7) Will provide goods of insubstantial or insignificant amounts or
quantities.

Section 5-542. Submission of Gaming Vendor Application

To obtain a gaming vendor license, a vendor must complete a gaming vendor license
application and submit to background checks of itself and its principals. Principals of a
business include its officers, directors, management, owners, partners, non-institutional
stockholders that either own 10% or more of the stock or are the 10 largest stockholders, and
the on-site supervisor(s) or manager(s) under the agreement with the Gaming Operation, if
applicable. The Gaming Commission shall, by regulation, establish the scope of the
investigation which shall be conducted concerning different classes of gaming vendors to
protect the public interest.

Section 5-543. Contents of the Gaming Vendor Application
(A) Applications for gaming vendor licenses must include the following:

(1) Name of business, business address, business phone, federal tax ID
number (or SSN if a sole proprietorship), main office address if different from the
business address, any other names the applicant has done business under during the
preceding ten years, type of service applicant will provide;

(2) | Whether the applicant is a partnership, corporation, limited liability
company, sole proprietorship, or other entity;

(3) If the applicant is a corporation, the place of incorporation, and the
qualification to do business within the jurisdiction of the Nation unless it be a domestic

corporation.

(4) Trade name, other names ever used, names of any wholly owned
subsidiaries or other businesses owned by the vendor or its principals;

(5) General description of the business and its activities;

(6) | Whether the applicant will be investing in or loaning money to the
Gaming Operation and, if so, how much;

47


Sac and Fox Code Title

covering the employees of gaming operations, as is determined to be prudent and
necessary.

[History: Public Law No. SF-08-180)

Subchapter A—ADMINISTRATIVE HEARINGS
Section 1-420. Authority to Conduct Hearings

The Commission is hereby authorized to issue subpoenas, take testimony, and
conduct hearings on all regulatory matters, including matters related to the revocation of
licenses of Key Employees, Primary Management Officials, and others as provided in
this Title. The conduct of Commission Hearings shall be according to the Rules and
Regulations of the Gaming Commission.

[History: Public Law No. SF-08-180]

Subchapter B—Civit FINES AND PENALTIES
Section 1-430, Civil Fines and Civil Penalties

The Commission Is hereby authorized to impose civil fines and civil penalties not
to exceed Twenty-five Thousand Dollars ($25,000) for each separate material violation
of the provisions of the gaming laws of the Nation, upon any licensee or employee of a
gaming operation, upon any management contractor or employee thereof, or upon any
applicant for such a license or contract, or other person involved in any way with a
Gaming Operation, or gaming facility who shall:

(A) Willfully defraud, deceive, or misrepresent any material fact to any official
of the Commission, to an official of the Nation to influence the performance of duty, to
the National indian Gaming Commission during the course of the offender's application
for employment, license, or contract, or during the course of such offender's license,
employment or contract, or

(B) Embezzle, steal, cheat, or otherwise unlawfully convert to their own use,
or the use of another, title or possession of any property belonging to the Nation, or to
any Gaming Operation or gaming facility, a fellow employee or licensee, or member of
the gaming public patronizing a licensed gaming facility, or

(C)  Harass, threaten, assault or commit a physical trespass upon the person
or unlawfully injure the property of any official of the Commission or of the Nation or
National Indian Gaming Commission, a fellow employee or licensee, or member of the
gaming public patronizing a licensed gaming facility.

The Commission may establish by regulation a schedule of minimum and maximum civil

fines or civil penalties to be imposed for particular violations not in excess of the amount
authorized by this section.

24


TITLE 4 GAMING

All Gaming Facilities shall, at no cost to the Commission or Nation, provide adequate
workspace for Commission staff commensurate with the size of the facility. The Commission
will use such buildings and equipment in the performance of its duties and responsibilities as
may be authorized by the Business Committee. The Commission shall present its equipment
needs in its budget.

Section 4-403. Personnel

(A) The Commission is hereby authorized to hire, fire, promote, demote, suspend,
direct, supervise, train, manage, and appropriately delegate responsibilities and duties to
such supervisory employees, accountants, investigators, secretaries, clerks, directors,
administrators and other necessary personnel needed by the Commission to perform its
duties and responsibilities.

(B) The Commission shall employ an Executive Director, to direct the day-to day
affairs of the Commission; carry out regulatory duties, functions, and responsibilities; and
supervise the Commission staff. The Executive Director will report directly to the
Commission’s Chairperson.

(C) The Executive Director shall have the power, in the name of the Commission,
to make eligibility determinations, grant and deny licenses, conduct any investigation or
inquiry, issue citations, compel the production of any information or documents, or otherwise
exercise the licensing, investigatory and enforcement powers of the Commission, which the
Commission may exercise under this Title.

(D) All Commission employees, and all matters relating to the hiring, promotion,
discipline, and discharge of such employees shall be subject to the provisions of the Nation's
Personnel Manual and in accord with the Commission's approved budget, and any
amendments thereto.

(E) Any license applicant, licensee, person, or entity aggrieved by an action or
decision of the Executive Director may appeal such action or decision to the full Commission,
which may sustain, set-aside, remand, or take such other action as the Commission deems
appropriate under the circumstances.

Section 4-404. Reasonable Assistance

The Commission may seek from, and shall render to, any department or agency of
the Nation's government, cooperating agencies of the federal government including the
National Indian Gaming Commission, any state or municipality, any foreign state or law
enforcement agency, other tribal or state gaming regulatory bodies or law enforcement
agencies, all reasonable, necessary, and lawful assistance that may be required or allowed

30


B. Compliance; Internal Control Standards. All enterprises and facilities shall comply
with, and all covered games approved under the procedures set forth in this Compact
shall be operated in accordance with the requirements set forth in this Compact,
including, but not limited to, those set forth in subsections C and D of this Part. In
addition, all enterprises and facilities shall comply with tribal internal control standards
that provide a level of control that equals or exceeds those set forth in the National Indian
Gaming Commission’s Minimum Internal Control Standards (25 C.F.R., Part 542).

C. Records. In addition to other records required to be maintained herein, the enterprise
or tribe shall maintain the following records related to implementation of this Compact in
permanent form and as written or entered, whether manually or by computer, and which
shall be maintained by the enterprise and made available for inspection by the SCA for
no less than three (3) years from the date generated:

1. A log recording all surveillance activities in the monitoring room of the facility,
including, but not limited to, surveillance records kept in the normal course of
enterprise operations and in accordance with industry standards; provided,
notwithstanding anything to the contrary herein, surveillance records may, at the
discretion of the enterprise, be destroyed if no incident has been reported within
one (1) year following the date such records were made. Records, as used in this
Compact, shall include video tapes and any other storage media;

2. Payout from the conduct of all covered games;

3. Maintenance logs for all covered games gaming equipment used by the
enterprise;

4. Security logs as kept in the normal course of conducting and maintaining
security at the facility, which at a minimum shall conform to industry practices for
such reports. The security logs shall document any unusual or nonstandard
activities, occurrences or events at or related to the facility or in connection with
the enterprise. Each incident, without regard to materiality, shall be assigned a
sequential number for each such report. At a minimum, the security logs shall
consist of the following information, which shall be recorded in a reasonable
fashion noting:

a. the assigned number of the incident,
b. the date of the incident,

c. the time of the incident,

d, the location of the incident,

e. the nature of the incident,



TITLE 4 GAMING

agencies or subordinate entities.

(5) | Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall not use their positions

for private gain.

(6) | Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall act impartially, in
accordance with all relevant laws, and shall not give preferential treatment to any
person, nor wrongfully withhold action to which any person is entitled on account of
any matter personal to the individual.

(7) | Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall ensure that the property
and assets of gaming facilities are properly segregated and safeguarded, and that
such property and assets are not used for unauthorized activities.

(8) | Commissioners and casino managers and employees shall not engage
in outside employment or activities, including seeking or negotiating for future
employment, which conflict with their official duties and responsibilities.

(9) | Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall disclose waste, fraud,
abuse, and corruption to appropriate authorities.

(10) Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall endeavor to avoid any
actions creating the appearance that they are violating the law or the ethical standards
applicable to the individual.

(11) Commissioners, governing members of a Gaming Operation and/or
casino managers or employees of a Gaming Operation shall disclose any real or
apparent financial or personal conflicts. If there is an actual conflict or the appearance
of one, the individual shall not take part in any decision related to the conflict.

(C) The Gaming Commissioners shall determine by regulation whether any
additional employees of the Commission, shall be required to be bound by these principles.

(D) In the event of a conflict of interest, the conflicted Commissioner governing
members of a Gaming Operation and/or casino managers or employees of a Gaming
Operation shall recuse him or herself from the matter. Should the need for recusal arise, the
conflicted individual shall so notify the other members of the body in which such person serves
in order that an alternate may be selected to carry out the duties of the conflicted individual

in relation to the matter.
Section 3-304. Violations

14


Sac and Fox Nation
Gaming Ord. of 2018
Tribal Gaming
Regulations



14. "Facility" means any building of the tribe in which the covered games authorized by
this Compact are conducted by the enterprise, located on Indian lands as defined by
IGRA. The tribe shall have the ultimate responsibility for ensuring that a facility
conforms to the Compact as required herein;

15. “Game play credits" means a method of representing value obtained from the
exchange of cash or cash equivalents, or earned as a prize, in connection with electronic
gaming, Game play credits may be redeemed for cash or a cash equivalent;

16. "Player terminals" means electronic or electromechanical terminals housed in
cabinets with input devices and video screens or electromechanical displays on which
players play electronic bonanza-style bingo games, electronic instant bingo games or
electronic amusement games;

17. "Independent testing laboratory" means a laboratory of national reputation that is
demonstrably competent and qualified to scientifically test and evaluate devices for
compliance with this Compact and to otherwise perform the functions assigned to it in
this Compact. An independent testing laboratory shall not be owned or controlled by the
tribe, the enterprise, an organizational licensee as defined in the State-Tribal Gaming Act,
the state, or any manufacturer, supplier or operator of gaming devices. The selection of
an independent testing laboratory for any purpose under this Compact shall be made from
a list of one or more laboratories mutually agreed upon by the parties; provided that the
parties hereby agree that any laboratory upon which the National Indian Gaming
Commission has relied for such testing may be utilized for testing required by this
Compact;

18. "IGRA" means the Indian Gaming Regulatory Act, Pub. L. 100-497, Oct. 17, 1988,
102 Stat. 2467, codified at 25 U.S.C., Section 2701 et seq. and 18 U.S.C., Sections 1166
to 1168;

19. "Nonhouse-banked card games" means any card game in which the tribe has no
interest in the outcome of the game, including games played in tournament formats and
games in which the tribe collects a fee from the player for participating, and all bets are
placed in a common pool or pot from which all player winnings, prizes and direct costs
are paid. As provided herein, administrative fees may be charged by the tribe against any
common pool in an amount equal to any fee paid the state; provided that the tribe may
seed the pool as it determines necessary from time to time;

20. "Patron" means any person who is on the premises of a gaming facility, for the
purpose of playing covered games authorized by this Compact;

21. "Principal" means, with respect to any entity, its sole proprietor or any partner,
trustee, beneficiary or shareholder holding five percent (5%) or more of its beneficial or
controlling ownership, either directly or indirectly, or any officer, director, principal
management employee, or key employee thereof;



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NG comm?

December 14, 2010
By First Class Mail & Facsimile

Stephen Ward, Esq.
Conner & Winters

4000 One Williams Center
Tulsa, OK 74172

(918) 586-8982

Re: Sac and Fox Nation gaming ordinance amendments

Dear Mr. Ward:

This letter responds to your request to review and approve amendments to the Sac
and Fox Nation’s gaming ordinance. The amendments were enacted by Resolutions No.
SF-11-14 and SF-11-19 on October 20 and November 12, 2010, and submitted to NIGC
on October 21 and November 15, 2010. The amendments change the process for removal
of the Nation’s gaming commissioners and updates the Privacy Act and false statement
language on the Tribe’s licensing forms.

We appreciate that the Tribe brought these amendments to our attention and
provided us a copy of the updated ordinance. The Tribe’s amended ordinance is
approved as it is consistent with the requirements of the Indian Gaming Regulatory Act
and the NIGC’s regulations. If you have any questions or require assistance, please
contact Dorinda Strmiska, Staff Attorney, at (202) 632-7003

Sincerely,

S Slur?

Tracie L. Stevens
Chairwoman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax 207.632.7066 WWwW.NIGc.cov

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


NOW, THEREFORE,

Be it enacted by the Business Committee of the Sac and Fox Nation, pursuant to the
authority vested therein by the Constitution and Charter:

That:

That:

The following amendments to Section 1-401(J) of the Ordinance, as described herein
and/or with deletions to the existing ordinance indicated by strikethroughs and with
additions to the existing ordinance indicated by underlining, shall be enacted as the law
of the Nation:

“The independence of the Commission is essential to a well-regulated Gaming Operation.
For that reason, Commissioners may only be removed from office by the Grievanee
Committee Business Committee prior to the expiration of their respective terms for
neglect of duty, misconduct, malfeasance, or other acts that would render a
Commissioner unqualified for his/her position. Any allegations of neglect of duty,
misconduct, malfeasance, or other acts that would render him or her unqualified for
his/her position must be substantiated by a preponderance of the evidence. Any
Commissioners subject to removal hereunder will shall be given es notice in writing of
the specific grounds for a pending removal, and an opportunity at a hearing before the
Business Committee, which hearing shall be held not less than thirty (30) days after the
Commissioner's receipt of the notice of removal hercunder, to provide appear and present
evidence rebutting the grounds for their his or her proposed removal beforethe-remeval
is-considered. Notice required hereunder may be made by personal service or by certified
mail, with return receipt requested. While a removal proceeding is underway pursuant to
this section, the Business Committee may, in its discretion, order_the_ immediate
suspension, pending a final determination concerning removal, of a Commissioner who is
subject to such proceeding. A vote final decision of the Grievance-Commitiee Business
Committee removing a Commissioner shal] be subject to review by the Nation’s Courts
solely with respect to errors of law, and all findings of fact made by the Business
Committee may be overturned only if clearly erroneous. on-the-validity-of the zemoval

e ; 1
F ‘pei appeatar

the preceding amendments to Section 1-401(J) shall be effective as of October 20, 2010,
and further that any all proceedings of the Nation’s Grievance Committee pursuant to
Section 1-401(J) that are ongoing and/or that are initiated subsequent to such date shall be
null and void.

And, be it further enacted by the Business Committee of the Sac and Fox Nation, pursuant
to the authority vested therein by the Constitution and Charter:

That:

Upon enactment of these amendments, it shall be submitted forthwith to the Chairman of
the NIGC for approval pursuant to 25 U.S.C. §§ 2710(b) and (d); and

Amendments to Nation’s 2008 Gaming Ordinance


TITLE 4 GAMING

Sac AND Fox NATION
GAMING ORDINANCE OF 2018

Section 1-1. FINDINGS AND DECLARATIONS
(A) The Sac and Fox Nation finds and declares that:

(1) | Gaming on the Indian lands of the Sac and Fox Nation provides
economic development opportunities and a source of revenue for the Sac and Fox
Nation and its political and business subdivisions which is needed to promote a strong
tribal government, economic self-sufficiency, employment, job training, and to fund
essential social programs and services to its members and other persons associated
with the Nation;

(2) | The continued growth and success of Indian gaming is dependent upon
public confidence and trust that Indian gaming is conducted honestly and is free from
criminal and corrupt elements;

(3) Public confidence and trust can only be maintained by strict and fair
regulation of all persons, practices, and activities related to the operation of Indian
gaming;

(4) It is essential to the health, safety, and general welfare of the citizens
of the Sac and Fox Nation that standards and regulations to govern the conduct of
gaming activities be established and promulgated;

(5) The Nation has the sole proprietary interest in and responsibility for the
conduct of gaming activities on the Indian lands of the Sac and Fox Nation; and

(6) The Indian Gaming Regulatory Act of 1988, 25 U.S.C. § 2701 et seq.,
recognizes the authority of the Sac and Fox Nation to regulate gaming on the Indian
lands of the Sac and Fox Nation.

(B) Therefore, the Business Committee enacts this Ordinance to protect and
promote the political integrity, economic security, health, safety, and welfare of the Nation, its
members and all persons living in or visiting the Nation.

Section 1-2. REPEAL OF PRIOR ORDINANCE

This Ordinance shall become effective as a replacement for Sac and Fox Gaming
Ordinance of 2008, as amended, which was approved by Resolution No. SF-11-14 of the Sac
and Fox Nation Business Committee, immediately upon its approval by the Chair of the
National Indian Gaming Commission. Upon such approval, this Title shall revoke, supersede,
and replace the prior 2008 Gaming Ordinance, as amended, in its entirety. All other laws of
the Tribe inconsistent with the provisions of this Title and existing as of the effective date of


Sac and Fox Code Title

(B) The Commission shall bring or defend any lawful action in any court or
before other agency in order to enforce subpoenas, civil fines, civil penalties, or other
lawful orders issued by the Commission, and defend the Commission, its officers,
agents, and employees in the due execution of their authority.

(C) _ In either its administrative operations and hearings, or in legal action by or
against it, the Commission is authorized to compromise and settle any claims or matters
relevant to its duties when such compromise or settlement is consistent with the
purposes of this Title and the development of the gaming industry within the jurisdiction
of the Nation.

[History: Public Law No. SF-08-1 80)

Section 1-406. License Fee Schedule

The Commission shall establish a schedule of fees to be paid by each proponent
or applicant for a gaming license to assist In covering its expenses in investigating and
licensing gaming facilities, all employees of a gaming facility, vendors, management
Contractors, and others who are required to be licensed to participate in gaming within
the Sac and Fox Nation.

{History: Public Law No. SF-08-180]
Section 1-407. Reporting Requirements
The Commission shall:

(A) Ensure that all Gaming Operations and facilities are current in their reports
and payments due to the National Indian Gaming Commission under federal law; and

(B) Ensure that all Gaming Operations and facilities are current in any reports
and payments required by a Compact which is in effect; and

(C) Ensure that all Gaming Operations and facilities are current in any reports
and payments required by the laws of the Sac and Fox Nation; and

(D) Ensure that ail Gaming Operations and facllitles are current in any reports
and payments required by the Intemal Revenue Service; and

(E) Provide written annual reports to the Business Committee and Governing
Council on the status of the Nation's gaming activities no later than June 1st of each
calendar year.

THistory: Public Law No. SF-08-180)

22


TITLE 4 GAMING

(B) |The Commissioners shall afford a licensee subject to a preliminary notice of
order of revocation an opportunity for a hearing prior to any final action by the Commission
revoking a license, provided that no licensee subject to a proposed order of license revocation
shall be permitted to be work in the Gaming Operation while a proposed order of revocation
is pending.

(C) No action of the Commission to impose an enforcement action pursuant to
Section 1-430 shall become final unless the person affected is given notice of the proposed
action and the opportunity to appear and be heard before the Commissioners, either in person
or through a representative or legal counsel, and to submit such evidence as the
Commissioners deem relevant to the matter at issue; provided, that in the event of the
presence of a condition creating actual and imminent jeopardy to the integrity of gaming, the
security of the Nation’s assets, or the health and safety of the public, the Commission may
take such action with immediate effect as it deems required, and shall thereupon provide
notice and an opportunity to be heard to the affected person or entity as soon as it is
reasonably practicable following such action.

(D) All hearings will be conducted by the Commissioners in accordance with this
Titie and such ruies and regulations as may be promuigated by the Commission.

(E) The Commissioners shall determine by a preponderance of the evidence
presented at such hearings whether the proposed licensing action, civil fine, or civil penalty
should be assessed, which determination shall constitute a final action of the Commission.

(F) Any person or entity aggrieved by a final action of the Commission other than
licensing actions or decisions may file a petition for appeal with the District Court of the Nation,
provided that such appeal is filed within thirty (30) days from the date the Commission notified
the subject of its final action. Failure to timely file an appeal with the District Court of the
Nation shall deprive the court of jurisdiction over the matter and the action or decision of the
Commission shall be final and not subject to further judicial review.

(G) Upon hearing of the appeal, the District Court of the Nation shall give deference
to the administrative expertise of the Commission. The District Court of the Nation shall not
set aside, modify, or remand any final action or decision of the Commission unless it finds
such action or decision to be arbitrary and capricious; unsupported by a preponderance of
the evidence; or contrary to law.

(H) The Supreme Court of the Nation shall have appellate jurisdiction over
decisions of the District Court of the Nation as provided by law and in accordance with its
rules, deadlines, and fees.

Section 4-434, Civil Fine and Penalties Are Debts
All such civil fines and civil penalties which have become final shall be deemed to

constitute a lawful indebtedness of the offender to the Nation, which debt may be sued upon
and recovered in any proper form of action in the name of the Commission in either the

35


SAC AND FOX NATION

FILED FILED.
a ae vareg oq].

socket. PASE.
SAC & FOX NATION SECRETARY

(Cocke Aa corre." . SAC ae, yn a

CLASS III GAMING COMPACT

between

THE SAC AND FOX NATION
Approved By: Sac and Fox Resolution SF-05-__ 74 (2005)
and

THE STATE OF OKLAHOMA

Approved By: State Question 712 (2004)



Sac and Fox Code Title

Section 1-514, Background Investigations

(A) | The Commission is responsible for conducting background investigations
and suitability determinations for each Primary Management Official and each Key
Employee.

(B) The Commission shall request from each Primary Management Official
and from each Key Employee all of the following information:

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

(2) Currently and for the previous 5 years: business and employment
positions held, ownership interests in those businesses, business and residence
addresses, and drivers’ license numbers;

(3) The names and current addresses of at least three personal
references, including one personal reference who was acquainted with the
applicant during each period of residence listed under paragraph (B )(2) of this
section;

(4) Current business and residence telephone numbers;

(5) _ A description of any existing and previous business relationships
with Indian Tribes, including ownership interests in those businesses;

(6) A description of any existing and previous business relationships
with the gaming industry generally, including ownership interests in those
businesses;

(7) The name and address of any licensing or regulatory agency with
which the person has flled an application for a license or permit related to
gaming, whether or not such license or permit was granted;

(8) For each felony for which there was an ongoing prosecution or a
conviction, the charge, the name and address of the court involved, and the date
and disposition if any;

(9) For each misdemeanor conviction or ongoing misdemeanor
prosecution (excluding minor traffic violations), within 10 years of the date of the
application, the name and address of the court involved and the date and
disposition;

(10) For each criminal charge (excluding minor traffic charges), whether

or not there is a conviction, if such criminal charge is within 10 years of the date
of the application and is not otherwise listed pursuant to paragraph (B)(8) or

29


TITLE 4 GAMING

LICENSING

Section 5-511. Licenses Required

The policies and procedures set out in this Subchapter shall be implemented with
respect to Key Employees and Primary Management Officials employed at any Gaming
Operation operated on Indian lands of the Nation. The Gaming Commission will issue
licenses and perform background investigations according to requirements at least as
stringent as those contained in the applicable provisions of 25 C.F.R. Parts 556 and 558, and

the Compact, if applicable.

Section 5-512. License Application Forms

(A) _ The following notice shall be placed on the Nation’s license application form for
a Key Employee or a Primary Management Official before it is filled out by an applicant:

“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 et
seq. The purpose of the requested information is to determine the eligibility of
individuals to be granted a gaming license. The information will be used by the
Nation’s gaming regulatory authority and by the National Indian Gaming
Commission (NIGC) members and staff who have need for the information in
the performance of their official duties. The information may be disclosed by
the Nation or the NIGC 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
the Nation or the NIGC in connection with the issuance, denial, or revocation
of a gaming license, or investigations of activities while associated with the
Nation or a Gaming Operation of the Nation. Failure to consent to the
disclosures indicated in this notice will result in the Nation being unable to
license you for a Primary Management Official or Key Employee position.

The disclosure of your Social Security Number (SSN) is voluntary. However,
failure to supply an SSN may result in errors in processing your application.”

(B) The following additional notice shall be placed on the application form for a Key
Employee or a Primary Management Official before it is filled out by an applicant:

A false statement on any part of your license application may be grounds for
denying a license or the suspension or revocation of a license. Also, you may
be punished by fine or imprisonment. (U.S. Code, Title 18, Section 1001).

(C) The Commission shall notify in writing existing Key Employees and Primary

38