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SETTLEMENT AGREEMEMC 

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INTRODUCTION 

This Settlement Agreement ("Agreement") is entered into by and between Guy Munroe, 

Chairman of the Kaw Nation ('Nation"), a federally-recognized Indian tribe, and Philip N. 

Hogen, the Chairman of the National Indian Gaming Commission ('NIGC C-") relating 

to the matters contained in Notice of Violation No. NOV-06-17. 

RECITALS 

Whereas, the Nation has conducted gaming on Indian lands at Kaw Nation South Wind 

Casino in Newkirk, Oklahoma; and 

Whereas, the NIGC Chairman and the Nation desire to resolve issues related to Notice of 

Violation No. NOV-06- 17. 

Therefore, the NIGC Chairman and the Nation have agreed to execute this Agreement 

and perform in accordance with the following covenants and conditions: 

TEFMS OF SETTLEMENT 

1. On January 5,2007, the NIGC issued Notice of Violation No. NOV-06-17 to the Nation 

relating to the failure to submit a timely Agreed Upon Procedures (,CAW") report, as 

required by 25 C.F.R. fi 542.30 ort was due no later than 120 days after the ?f!!!fP €E a83 

gaming operation's fiscal yea. iW 03 Dli vS 

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2. The Nation agrees that, pursuant to NIGC regulations, it was required to submit an AUP 

report of its gaming operation for the fiscal year ending December 3 1,2005, no later than 

May 1,2006. 

3. The Nation agrees that it did not submit its AUP report by that date. The Nation explains 

that it contracted with a third party to verify AUP compliance and provide an AUP report 

to the NIGC, but the third party did not do so. The Nation's annual -cia1 audit report 

for the same fiscal year was timely submitted. 

4. The Nation admits that the failure to submit an AUP report in a timely fashion is a 

violation of NIGC regulations. 

5. The NIGC acknowledges receipt, on December 5,2006, of the AUP report for the fiscal 

year ending December 3 1,2005. 

6. The Nation agrees to pay a fine in the amount of Five Thousand Dollars ($5,000.00). 

Two Thousand Five Hundred Dollars ($2,500.00) of the fine shall be assessed now, to be 

paid in full by April 1,2007, and shall be submitted to the National Indian Gaming 

Commission, 1441 L Street, NW, Suite 9100, Washington, DC, 20005, payable to the 

United States Treasury. Failure to make this payment by April 1,2007, shall result in 

reinstatement of the suspended portion of the fine, detailed below, which will become 

immediately due and payable. 

Two Thousand Five Hundred Dollars ($2,500.00) of the fine shall be suspended and the 

NIGC Chairman will forgive the suspended portion of the fine on May 3 1,2008, 

provided that the Nation submits annual financial audit reports and AUP reports to the 

NIGC on time, meaning on or before the due dates, for the 2006 fiscal year and 2007 
fiscal year of the Nation's gaming operation. If the Nation fails to submit these reports 

by the due dates, the suspended fine will be reinstated and will become immediately due 

and payable. 

8. The Chairman agrees upon execution of this Agreement to waive the right to impose any 

fktha- civil fine for Notice of Violation No. NOV-06-17, unless the Nation fails to 

comply with this Agreement. If the Nation fails to comply with this Agreement, the 

Chainnan reserves the right to initiate an enforcement action against the Kaw Nation 

South Wind Casino as outlined under 25 C.F.R. $573.6. 

9. This Agreement is entered into pursuant to 25 C.F.R. $575.6(b) and shall be effective 

upon the signature of all parties. 

10. The Nation agrees upon execution of this Agreement to waive its right, if my, to further 

review of Notice of Violation No. NOV-06-17, including all rights to appeal to the full 

Commission as outlined in 25 C.F.R. Parts 575 and 577 and judicial review pursuant to 

25 U.S.C. $2714. 

1 1. The Nation stipulates that the Agreement shall be deemed a final Commission decision 

and final agency action pursuant to 25 C.F.R. 3 577.9(d), 

12. Upon acceptance, this Agreement shall become public. 

ADDITIONAL COVENANTS 

1. This Agreement constitutes the entire agreement between the NIGC Chairman and the 

Nation and supersedes all prior verbal or written agreements and understandings between 

the parties related to the subject matter hereof. No warranties, representations, covenants, 

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or agreements shall be binding upon any party except as set forth herein. Any 

modification or waiver of any term of this Agreement, including the modification or 

waiver of term, must be in writing and signed by both parties. 

2. The NIGC Chairman and the Nation expressly agree and acknowledge that time is of the 

essence in this Agreement. The recitals herein md above set shall be binding upon the 

parties, their agents, heirs, personal representatives, successors and assigns. 

3. A signature produced by &simile shall be deemed to be an original signature and shall 

be effective and binding for purpose of the Agreement. 

Kaw Nation 

2- 13- a7 

Date Date