Via First Class Mail 

Earl S. Howe III 

Chairman, Tribal Business Committee 

Ponca Tribe of Oklahoma 

20 White Eagle Drive 

Ponca City, OK 74601 

June 21, 2017 

Re: Ponca Tribal Resolution Nos. 14-05052017 and 18-060222017, and Ponca Tribal 

Gaming Ordinance of2017 (Adopted May 5, 2017 and Revised June 2, 2017) 

Dear Chairman Howe, 

This letter responds to your May 3, 201 7 and June 2, 2017 requests on behalf of the 

Ponca Tribe of Oklahoma for the National Indian Gaming Commission Chairman to review and 

approve a gaming ordinance amendment. Ponca Tribal Resolution No. 14·05052017 (dated May 

5, 2017) adopted the Ponca Tribal Gaming Ordinance of2017 and repealed all prior ordinances, 

resolutions, regulations, orders or laws relating to gaming. Ponca Tribal Resolution No. 18-

06022017 (dated June 2, 2017) amended one section of the newly adopted Ponca Tribal Gaming 

Ordinance of 2017. 

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 Jetter 

or the ordinance review process, please contact Steve Iverson at (202) 632-7003. 

Sincerely, 

cc: Jason Aamodt, Tribal Counsel (via email only) 

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Moil Stop# 1621 Wmhington, DC 20240 Tel: 202.632.7003 Fox: 202.632.7066 

REGIONAL OFFICES Portland, OR; Socromenlo, CA; Phoenix, AZ; St. Poul, MN; Tulsa OK; Oklahoma City, OK 

WWW.NIGC.GOV 
Gaming Ordinance 

2017 

Adopted by the Resolution of the Business Committee of the Ponca Tribe oflndians of 

Oklahoma, Resolution No. f4-0505201 7 in a special meeting on May 5, 2017 at White 

Eagle, Ponca Indian Reservation. 

As revised by the Resolution of the Business Committee of the Ponca Tribe of Indians of 

Oklahoma, Resolution No. lS-06022017 in a special meeting on June 2, 2017 at White 

Eagle, Ponca Indian Reservation 

EXHIBT A 
Table of Contents 

Section 1. 

Section 2. 

Section 3. 

Section 4. 

Section 5. 

Section 6. 

Purpose ...................................................................................................................... 1 

Applicability ............................................................................................................. 1 

Definitions ................................................................................................................. 1 

Gaming Authorized ................................................................................................... 6 

Ownership of Gaming ............................................................................................... 6 

Use of Net Gaming Revenues ................................................................................... 6 

Section 7. Per Capita Payments ................................................................................................. 7 

Section 8. Gaming Commission ................................................................................................ 7 

Section 9. Audits ...................................................................................................................... 15 

Section I 0. Environmenl and Public Heallh aml Safely ............................................................ 16 

Section : : . Patron Dispute Resolution ................................................................................ ...... 16 

Section 12. Facility Licenses ..................................................................................................... 17 

Section 13. Agent for Service of Process .................................................................................. 18 

Section 14. Tribal Access to Financial lnfonnation .................................................................. 18 

Section 15. License Application Forms .................................................................................... 18 

Section 16. License Fees ........................................................................................................... 19 

Section 17. Fingerprints ............................................................................................................ 20 

Section 18. Background Investigations ..................................................................................... 20 

Section 19. Procedures for Conducting Background Investigations ......................................... 22 

St:l:liuu 20. (11v1;:sligalivt: R1::μu1t:s .............................................................................................. 23 

Section 21. Eligibility Determinations ...................................................................................... 23 

Section 22. Notice of Results of Background Investigations .................................................... 24 

s~ction 23. Granting Gaming Licenses ..................................................................................... 25 

Section 24. Denying Gaming Licenses ...................................................................................... 26 

Section 25. Gaming License Suspensions and Revocations ...................................................... 27 

Section 26. Records Retention .................................................................................................. 27 

Section 27. Licenses for Vendors .............................................................................................. 28 

Section 28. Submission of a Vendor License Application ........................................................ 28 

Section 29. Contents of the Vendor License Application .......................................................... 28 

Section 30. Vendor Background Investigations ........................................................................ 30 
Section 31. Vendor License Fees .............................................................................................. 31 

Section 32. Vendor Background Investigation Reports ............................................................ 31 

Section 33. Exemption for Vendors Licensed by Recognized Regulatory Authorities ............ 32 

Section 34. Compliance with Federal Law ............................................................................... 32 

Section 35. Ponca Tribal Corporation ....................................................................................... 32 

Section 36. Enforcement ........................................................................................................... 33 

Section 37. Yearly Reports ........................................................................................................ 35 

Section 38. Ethics ...................................................................................................................... 36 

Section 39. Statement of Gross Gaming Receipts and Net Revenues ....................................... 36 

Section 40. Invalidity ................................................................................................................. 37 

Section 41. No Tribal Liability .................................................................................................. 37 

Section 42. Repeal ..................................................................................................................... 37 

Section 43. Effective Date ......................................................................................................... 38 
Section 1. Purpose 

The Business Committee of the Ponca Tribe of lndians of Oklahoma 

("Tribe"), empowered by its inherent authotity and as described in its 

Constitution, hereby enacts this ordinance in order to govem and 

regulate the operation of Class II and Class III gaming operations on the 

Tribe's Indian lands, thereby promoting Tribal economic development, 

self-sufficiency and sovereignty; to shield the cooperation of gaming 

from organized crime and other corrupting influences ensuting that 

gaming is conducted fairly and honestly by both the operator players. 

Section 2. Applicability 

Unless specifically indicated otherwise, all provisions of this ordinance 

shall apply to Class II and Class III gaming on the Tribe's Indian Lands. 

Section 3. Definitions 

The following terms shall have the same meaning and effect as those same 

terms are defined in the Indian Gaming Regulatory Act ("IGRA"), 25 

U.S.C. §§ 2701 et seq., and the National Indian Gaming Commission 

(4•NtGC") regulations, 25 C.F.R. §§ 500 et seq .• if they are defined in 

IGRA and the NIGC's regulations. 

A. Business Committee. The goveming body of the Ponca Tribe of 

Indians of Oklahoma as set out in the Constitution for the Tribe. 

B. Class I gaming. "Class T gaming" means: 

l. Social games played solely for prizes of minimal value; or 

2. Traditional forms of Indian gaming when played by individuals in 

connection with tribal ceremonies or celebrations. 

C. Class II gaming. 

1. Bingo or lotto (whether or not electronic, computer or other 

l 
tedmologic aids are used) when players: 

a. Play for prizes with cards bearing numbers or 

other designations; 

b. Cover numbers or designations when objects, 

similarly numbered or designated, are drawn or 

electronically dete1mined; and 

c. Win the game by being the first person to cover a 

designated pattern on such cards; 

2. Pull-tabs, punch boards, tip jars, instant bingo and other games similar 

to bingo, if played in the same location as bingo or lotto; 

3. Non-banking card games that: 

a. State law explicitly authorizes, or does not 

explicitly prohibit, and are played legally 

anywhere in the state; and 

b. Players play in conformity with state laws and 

regulations concerning hours, periods of 

operation, and limitations on wagers and pot 

sizes; 

4. Individually owned class II gaming operations -

a. That were operating on September 1, 1986; 

b. That meet the requirements of 25 § U.S.C. 

271 O(b )( 4)(8); 

c. Where the nature and scope of the game remains 

as it was on October 17, 1988; and 

d. Where the ownership interest or interests are the 

same as on October 17, 1988. 

D. Class III gaming. All forms of gaming that are not class [or class 

II gaming, including, but not limited to: 

1. Any house banking game, including but not limited to2 
a. Card games such as baccarat, chemin de fer, 

blackjack (21 ). and pai gow (if played as housebanking games); and 

b. Casino games such as roulette, craps, and keno; 

c. Any slot machines, as defined in 15 U.S.C. § 

1l7l(a)(l), and electronic or electromechanical 

facsimiles of any game of chance; 

d. Any sports betting and parimutuel wagering, 

including, but not limited to, wagering on horse 

racing, dog racing or jai alai; or 

1. Lotteries. 

E. Commission. The Ponca Gaming Commission is hereby established to _...,. .. ...+_ ... ......_ ... o...-.•••"'.,._.....,., .......... ,..c::. .. n: ..... ~+ ,.._,.1 •- .._ ....... _;+_ .... ,..,...........,_,;,.__ .... °' .. ,,;,.h .-... a""' P'-'''varu '"'OU•(.U.VtJ vv'""'"•c•u. <.u1u. tA.J 11ivu.Lt.v1 ""v1.i.Lp.1.1u.1.i""'"' vv11..11 u.ivu.1, 

federal, and applicable state regulations . 

. F. Commissioner. Ponca Gaming Commissioner. There shall be three (3) 

Ponca Gaming Commissioners as set out in Section 8, herein. 

G. Complimentary. A service or item provided at no or reduced cost to an 

individual. 

H. Directly related to. A spouse, child, parent, grandparent, grandchild, 

aunt, uncle or first cousin. 

I. Director. Any person so seeks a license as a Primaiy Management 

Official. 

J. Facility License. A separate license issued by the Tribe to each place, 

facility or location on Indian lands where the Tribe elects to allow class 

IT or III gaming. 

K. Gaming Facility. Any place where a Gaming Operation is issued a 

Facility License. 

L. Gaming Operation. Each economic entity that is licensed by the Tribe, 

3 
operates the games, receives the revenues, issues the prizes, and pays 

the expenses. A gaming operation may be operated by the Tribe directly; 

by a management contractor; or, under certain conditions, by another 

person or entity. 

M. Indian lands. 

a. Land within the limits of an Indian reservation; or 

b. Land over which an Indian ttibe exercises governmental power and that 

is either: 

a. Held in trust by the United States for the benefit of any Indian 

tribe or individual; or . 

b. Held by an Indian tribe or individual subject to restriction by 

the United States against alienation. 

N. Key Employee. 

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 

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; 

3. If not otherwise included, · the four most highly 

compensated persons in the gaming operation; or 

4 
4. Any other person designated by the Tribe as a key employee. 

0. Licensee. A tribally owned class TT or class TH gaming operation 

or a person licensed by the Tribal Gaming Commission as a 

primary management official, key employee or other gaming 

employee under the provisions of this ordinance. 

P. Management Contract. Any contract, subcontract or collateral 

agreement between an Indian tribe and a contractor or between a 

contractor and a subcontractor if such contract or agreement 

provides for the management of all or part of a gaming operation. 

Q. Net Revenues. Gross gaming revenues of an Indian 

gaming operation less: 

1. Amotmts 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. 

R. Primary Management Official. 

1. The person(s) having management responsibility for a 

management contract. 

2. Any person who has authority: 

a. To hire and fire employees; or 

b. To set up working policy for the gaming operation; or 

c. The chief financial officer or other person who has 

financial management responsibility. 

3. Any other person designated by the Tribe as a 

plimary management official. 

5 
S. Tribal-State Compact. "Tribal-State compact" means an 

agreement between a tribe and state about class III gaming under 

25 U.S.C. § 2710(d). 

T. Tribe. "Tribe" means the Ponca Tribe of Indians of Oklahoma. 

Section 4. Gaming Authorized 

Class II and Class III gaming are authorized to be conducted on the 

Tribe's Indian lands, if such gaming is conducted in accordance with 

this ordinance, the Indian Gaming Regulatory Act, the NIGC's 

regulations, and any other applicable laws or regulations. 

Section 5. Ownership of Gaming 

The Tribe shall have the sole proprietary interest in and responsibility 

for the conduct of any gaming operation authorized by this ordinance. 

Section 6. Use of Net Gaming Revenues 

A. Net revenues from gaming shall be used only for the following 

purposes: 

1. to fund tribal government operations or programs; 

2. to provide for the general welfare of the Indian tribe and its 

members; 

3. to promote tribal economic development; 

4. to donate to charitable organizations; or 

5. to help fund operations oflocal government agencies; 

6 
Section 7. Per Capita Payments 

A. Net revenues from any Class II or Class III gaming activities 

conducted or licensed by the Tribe may be used to make per 

capita payments to Tribal members if: 

1. The Tribe has prepared a plan to allocate revenues to one or 

more of the five uses authorized by section 6(A) of this 

ordinance; 

2. The plan is approved by the Secretary of the Interior as 

adequate, particularly with respect to the uses described m 

sections 6(1) and 6(3) of this ordinance; 

3. The interests of minors and other legally incompetent persons 

who are entitled to receive any of the per capita payments are 

protected and preserved, and the per capita payments are 

disbursed to the parents or legal guardian of such minors or legal 

incompetents in such amounts as may be m:1.:essary for the 

health, education, or welfare of the minor or other legally 

incompetent person; and 

4. The per capita payments are subject to Federal taxation and the 

Tribe notifies its members of such tax liability when payments 

are made. 

Section 8. Gaming Commission 

A. The Tribe hereby establishes a Tribal Gaming Commission 

("Commission") to regulate lhe Tribe's gaming operalions. Tut! 

Commission shall consist of three (3) members, who shall be a 

Chair, Vice·Chair and Secretary. 

B. The Commission will conduct oversight to ensure compliance with 

Tribal, federal and, if applicable, state laws and regulations. It 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 shall be supported 

by qualified staff. The Commission will also have a role in 

7 
monitoring compliance with the gaming operation's internal 

controls and in tracking gaming revenues. In order to carry out its 

regulatory duties, the Commission shall have unrestricted access to 

all areas of the gaming operation and to all ofits records at all times. 

The Commission shall have authority to take enforcement actions, 

including suspension or revocation of an individual gaming lict:nse, 

when appropriate. The Commission shall have the authotity 

necessary to implement each of the requirements of this Ordinance. 

C. Commissioner positions shall be filled in the following manner: 

1. Each Commissioner shall be 25 years of age or older when 

appointed by a majority vok of the Business Committee for a 

tenn of years. 

2. The primary appointments of the Ponca Gaming Commissioners 

under this Ordinance shall occur on the same day. 

3. Commissioners must satisfy a background check as rt:quired in 

Section 18 of this Ordinance, below. Commissioners may not 

participate in matters relating to their background investigation. 

Such background investigations shall be under the direction of 

the Business Committee or its designee. All information 

obtained in relation to a background check must be held 

confidentially, may not be revealed to any person who does not 

have a legitimate need to know the information, and can only be 

discussed by the Ponca Tribal Business Committee in an 

executive session. However, the vote to appoint a 

Commissioner shall be in open session of the Ponca Tribal 

Business Committee (without reference to the discussion in 

Executive Session). A Commissioner shall be appointed by a 

majority vote of the Business Committee. 

4. The Commissioners as a whole shall designate who shall serve 

as the Chairman, Vice-chairman and who shall serve as 

Secretary. The Chairman shall serve a primary term of 3 years. 

The Vice Chairman shall serve a primary te1m of 2 years. The 

Secretary shall serve a primary term of 1 year. 

8 
5. After the primary term, each Commissioner may be reappointed 

to subsequent 3 year terms, which shall each commence on the 

day following the expiration of the primary term for that 

Commissioner, or on the day of the expiration of that term 

thereafter. 

6. The Business Committee may, in the 90 days prior to the 

expiration of the term of any Commissioner, including the day 

of expiration of office, appoint a different person tu serve as that 

Commissioner. 1f no person is appointed in the 90 day pt:riod, 

the Commissioner who holding the seat on the date of the 

expiration of a term is automatically reappointed for a 3 year 

term. 

7. Once confinned, a Gaming Commissioner of the Ponca Tribe 

may be removed by a two-third majority vote of the Ponca 

Business Committee and oniy upon the foiiowing iisted 

grounds: 

a. Conviction or guilty plea entered to a folony involving 

theft, embezzlement 

b. Conviction or guilty plea entered to a charge of destmction 

of property, assault or battery upon another person, or 

c. Conviction or guilty plea entered to a drug or alcohol 

related charge 

d. Falsifying information on an application for employment 

or license pursuant to this ordinance. 

c. Failure to properly perform the duties of the office of the 

Gaming Commission and to enforce and uphold the Ponca 

Tribal Gaming Ordinance. 

8. If, however, a Commissioner fails to attend 3 consecutive 

regularly scheduled meetings of the Ponca Gaming 

Commission, he shall have resigned from his position as 

Commissioner and the Business Committee shall appoint a 

replacement Commissioner as soon thereafter as is reasonable. 

If the Commissioner(s) in attendance agree, (she) they may 

9 
decide there is a reasonable basis to excuse an absence, and if 

an absence is excused, then the absence shall not count for the 

purposes of this subsection. 

9. Should any Commissioner resign or be incapacitated such that 

he cannot serve, the Business Committee shall appoint a 

replacement Commissioner as soon thereafter as is reasonable. 

10. Any person appointed to replace a Commissioner who was 

removed, resigned or incapacitated shall serve the remaining 

term of that Commission office, and is eligible for 

reappointment as set out above. 

D. The following persons are not eligible to serve as Commissioners: 

Business Committee Members, while serving as such; any Director, 

current employees of the gaming operation; any staff, agent or 

employee of the Ponca Gaming Commission; any staff, agent or 

employee of the Ponca Indian Economic Development Board; any 

owner, agent or employee of any licensee or vendor, any gaming 

contractors (including any employee, agent or principal of a 

management, or other, contracting company); persons directly 

related to, or sharing a residence with, any of the above; and persons 

ineligible to be key employees or primary management officials. No 

person previously convicted in the prior ten years of any crime of 

moral turpitude, such as fraud, may serve as a Commissioner. The 

Ponca Tribal Business Committee shall require a criminal history 

check with appropriate law enforcement agencies for each 

Commissioner candidate; shall review the candidate's criminal 

history check results; and shall make an appropriate eligibility 

determination before appointing an individual to the position of 

Commissioner. If a Commissioner is convicted of a crime of moral 

turpitude while in office, he shall be incapacitated to continue to 

serve and his seat shall be vacant upon conviction. · 

E. The Tribe recognizes the importance of an independent Tribal 

Gaming Commission in maintaining a well-regulated gaming 

operation. The Commission shall be independent of, and act 

independently and autonomously from, the Ponca Tribal Business 

Committee in all matters within its purview. No prior, or subsequent, 

10 
review by the Ponca Tribal Business Committee of any actions of 

the Commission shall be required or pennitted except as otherwise 

explicitly provided in this ordinance. To avoid potential conflicts of 

interest between the operation and regulation of the gaming facility, 

the Tribe requires that, at a minimwn: 

1. No person ineligible to serve as a Commissioner {other than stan: 

agents or employees of the Tribal Gaming Commission), nor any 

member of the Tribal Business Committee, nor any Director, nor 

any licensee be employed by the Tribal Gaming Commission 

directly or indirectly; 

2. No person directly related to, or living with, an active 

Commissioner may serve on the Tribal Gaming Commission or 

be employed by the Tribal Gaming Commission directly or 

indirectly. 

3. All Gaming Commissioners and all Directors are prohibited from 

gambling in any facility licensed by the Commission; 

4. All members of the Ponca Tribal Business Committee, all 

Commissioners and all Directors are prohibited from accepting 

complimentary items from the gaming operation, excepting food 

and beverages valued in any one day under one hundred dollars 

($100.00); and 

f. Before taking office, and ut all times thereafter, each Commissioner 

must satisfy the eligibility standards set forth for primary 

management officials and key employees found in Section 21 of this 

ordinance. All requisite background investigations shall be performed 

under the direction of Business Committee. 

G. The Tribal Gaming Commission shall: 

1. Conduct background investigations, or cause such 

investigations to be conducted, for primary management 

officials and key employees; 

2. Review and approve all investigative work conducted in 

11 
connection with the background investigations of primary 

management officials and key employees; 

3. Create and maintain investigative reports based on the 

background investigations of primary management officials and 

key employees; 

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 Chair of the Commission; 

6. Submit a notice of results to the NIGC of the background 

investigations done for each primary management official and 

key employee applicant; 

7. Issue gaming licenses to primary management officials and key 

employees of the operation, if wan-anted by the eligibility 

detennination; 

8. Establish standards for licensing Tribal gaming facilities; 

9. Issue gaming licenses to Tribal gaming facilities; 

10. Inspect, examine and monitor all of the Ttibe's gammg 

activities, and have immediate access to review, inspect, 

examine, photocopy and audit all records of the gammg ' 

establishment; 

11. Ensure compliance with all Tribal, state and .federal laws, rules 

a_nd regulations regarding Indian gaming; 

12. Investigate any suspicion of wrongdoing associated with any 

gaming activities; 

13. Hold hearings on patron complaints, in accordance with 

procedures established in this ordinance and the Tribal gaming 

regulations; 

12 
14. Comply with any and all reporting requirements under IGRA) 

lhe NTGC's regulalious and any tribal-state compact to which 

the Tribe is a pruty) and any other applicable law; 

15. Promulgate and issue regulations necessary to comply with 

applicable internal control standards; 

16. The exclusive authority to promulgate and issue rules an<l 

regulations relating to surveillance at any Gaming Facility; 

17. Promulgate and issue regulations on the levying of foes and/or 

taxes associated with gaming license applications; 

18. Promulgate and issue regulations on the levying of fines and/or 

the suspension or revocation of gaming licenses for violations 

of this ordinance or any Tribal, federal or state gaming 

regulations, if applicable; 

19. Establish a list of persons not allowed to game in the Tribe's 

gaming facilities in order to maintain the integrity of the gaming 

operation; 

20. Establish a list of persons who have voluntarily agreed to be 

excluded from the Tribal gaming facility, and create regulations 

for enforcing the exclusions; 

21. Provide refen-als and information to the appropriate law 

enforcement officials when such information indicates a 

violation of Tribal, federal or state statutes, ordinances, 

regulalions, codes or resolUlions; 

22. Create a list of regulalory aulhoritit:s that conduct background 

investigations of, and license, vendors who are recognized as 

trnstworthy; 

23. Draft regulations exempting vendors from the licensing and/or 

background investigation requirements if they have received a 

license from a recognized regulatory authority; 

13 
24. Perform such other duties the Commission deems appropriate 

for the proper regulation of the Tribal gaming operation; and 

25. Promulgate such regulations and guidelines as deemed 

appropriate to implement the provisions of this ordinance, so 

long as they are in furtherance of, and nut in conflict with, any 

provisions of this ordinance. 

26. Maintain an administrative office that is separate and apart from 

all other offices of the Tribe or any Director or Licensee. No 

person, except those autho1ized by the Tribal Gaming 

Commission may enter any administrative office or access any 

of the records of the Tribal Gaming Commission of the Tribal 

Gaming Commission without permission from a Gaming 

Commissioner. 

H. Before adopting, amending and repealing regulations, the Commission 

shall give notice of any such proposed action to the Ponca Tribal 

Business Committee, the gaming operation(s) and all other persons 

whom the Commission has reason to believe have a legitimate interest 

in the proposed action. The notice shall invite comments and describe 

the general nature of the proposed action and the manner in which 

comments on the proposed action shall be received by the Commission. 

I. 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 any persons who are not 

directly involved in the licensing and employment processes. 

[nformation obtained during the course of an employee background 

investigation shall be disclosed to members of management, human 

resource personnel and/or others employed by the Tribal gaming 

operation on a need-to-know basis, for actions taken in their official 

capacities. 

]. The confidentiality requirements in Section 8(1), above, do not apply to 

requests for such records or information from any Tribal, federal, or 

state law enforcement or regulatory agency, or for the use of such 

records or information by the Commission and staff in the perfrnmance 

14 
of their official duties. 

K. A majorily of the Commission shall constitute a quorum. TI1e 

concurrence of a majority of the Commissioners shall be required for 

any final determination by the Commission. 1be Commission may act 

in its otlicial capacity, even if there are vacancies on the Commission. 

L. Commissioners shall be compensated at a level dete1mined by the Tribal 

Council. In order to ensure the Commission is not improperly 

influenced, a Commissioner's compensation shall not be based on a 

percentage of gaming revenue. 

M. The Commission shall keep a written record of all its meetings. 

N. The Commission shall ensure compliance with the Tribe's liquor control 

ordinance. 

0. Consistent with the budget for the Commission, to employ such staff as 

are required lo pcrfonu the <lulies of the Commission. 

P. The Ponca Business Committee is hereby authorized to appropriate such 

sums as deemed necessary for the adequate operation of the 

Commission. 

Q. The Commission shall establish a procedure for record retention and 

confidentiality in accordance with Section 26 of this Ordinance, below. 

Section 9. Audits 

A The Tribe shall cause to be conducted independent audits of gaming 

operations annually and shall submit the results of those audits to the 

NIGC. 

1. Annual audits shall confonn to generally accepted auditing 

standards. 

B. All gaming-related contracts that result in the purchase of supplies, 

services or concessions for more than $25,000 in any year (except 

contracts for professional legal and accounting services) shall be 

15 
specifically included within the scope of the audit conducted under 

Section 9(A) of this ordinance. 

C. Copies of the annual audit of each licensed gaming op·eration, and each 

audit for supplies, services or concessions of each gaming operation, 

shall be fumished to the NIGC within 120 days after the end of each 

fiscal year of the gaming operation. 

Section 10. Environment and 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. 

B. The Commission shall identify and enforce laws, resolutions, codes, 

policies, standards, or procedures, which are applicable to each gaming 

place, facility or location, to ensure adequate protection of the 

environment and the health and safety of the public. 

Section 11. Pat.-on Dispute Resolution 

A. Patrons with complaints against the gaming establishment shall have as 

their sole remedy the right to file a petition for relief with the Tribal 

Gaming Commission. Complaints shall be submitted in \vriting. The 

Commission shall hold a hearing within 30 days of receipt of the 

petitioner's complaint. The petitioner may have counsel present at the 

hearing. The petitioner may be allowed to present evidence, at the 

discretion of the Commission. After the hearing, the Commission shall 

render a decision in a timely fashion. All such decisions will be final 

when placed in the United States Mail to the patron who may complain. 

Any patron complaint must be submitted to the Commission within thirty 

(30) days of the incident giving rise to the complaint. All claims by 

patrons shall be limited to a maximum recovery of $10,000 per 

occurrence, and a cumulative limit of $30,000 per patron in any 12-

month period, except disputes relating to a patron's entitlement to a game 

prize, which shall be limited to the amount of such prize. The 

Commission's decision shall constitute the complainant's final remedy. 

B. Patrons having a tort claim for personal injury or property damage 

16 
againsl Lhe Gaming Operation arising out of incidents occurring at a 

Gaming Establishment/Facility or Gaming Operation, hereinafter "t01t 

claim", shall be afforded due process in seeking and receiving just and 

·reasonable compensation as outlined within the Tribal-State Compact 

(ENR.S.B. No. 1252, Part 6 A "Tort Claims"). 

Section 12. Facility Licenses 

A The Tribe shall issue a separate license to each place, facility or location 

on Indian lands where Class II or Class III gaming is conducted under 

this ordinance. 

R. The Trihal Gaming Commission is responsible for issuing new or 

renewed facility licenses to each place, facility or location. 

C. The Tribal Gaming Commission shall require that a facility license 

application be completed by the chief management official of the 

gaming facility for each gaming place, facility or location. 

D. The Tribal Gaming Commission shall identify the environmental, 

health and public safety standards with which the place, facility or 

location must comply, and specify the form, conditions and content of a 

facility license application. The application shall include: 

1. A legal Jescription of the lands upon which the facility is 

located, and a certification that the site constitutes "Indian 

lands," as defined in IGRA, the NIGC's regulations, NIGC 

Office of General Counsel and DOI Solicitor Offices' Indian 

lands legal opinions, judicial decisions and any other 

applicable law. 

E. The Tribal Gaming Commission shall only issue a facility license if the 

application includes the required infonnation and documentation, and 

sufficiently satisfies any additional conditions deemed necessary by the 

Tribe. 

F. The Tribe or Tribal Gaming Commission shall submit to the NIGC 

Chair a notice that issuance of a facility license is under consideration 

17 
by the Tribal Gaming Commission. This notice must be submitted at 

least . 120 days before the opening of any new place, facility or location 

on Indian lands where Class II or Class III gaming will occur. 

G. The Tribal Gaming Commission shall submit a copy of each newly 

issued or renewed facility license to the NIGC Chair within 30 days of 

issuance, along with any other required documentation. 

H. The Tribe shall notify the NIGC Chair within 30 days if a facility license 

is terminated or expires, or if a gaming place, facility, or location closes 

or reopens. 

Section 13. Agent fo1· Service of Process 

The Tribe designates the Tribal Chairperson as the agent for service of 

any oflicial detetmination, order or notice of violation. 

Section 14. Tribal Access to Financial Information 

A copy of the Tribal gaming operation's annual audit will be 

made available for review, upon request, to the Tribe's Business 

Committee. 

Section 15. License Application Fm·ms 

A. The following notice shall be placed on the Tribe's license 

application form for a key employee or a primary management 

official before it is filled out by an applicant: 

[n compliance with the Privacy Act of 1974, the following 

info1mation is provided: Solicitation of the information on this 

fo1m is authorized by 25 U.S.C. §§ 2701 et seq. The purpose 

of the requested info1mation 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 

18 
official duties. The information may be disclosed by the Tribe 

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 a tribe or 

the NIGC in connection with the issuance, denial, or revocation 

of a gaming license, or investigations of activities while 

associated with a t1ibe or a gaming operation. Failure to 

consent to the disclosures indicated in this notice will result in 

a tribe being unable lo license you for a primary managemenl 

official or key employee position. 

The disclosw-e of your Social Security Nwnber (SSN) is voluntary. 

However, failure to supply a SSN may result in en-ors in processing 

your application." 

form for a key employee or a primary management official before 

il is tilled out hy an applicanl.: 

'"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 irnprisorunent 

(U.S. Code, title 18, section 1001)." 

And 

"By submitting this Vendor License Applic.ation, you and every 

person listed as a principal in your Business hereby agrees to the 

application of the Jurisdiction of the Ponca Tribe of Indians of 

Oklahoma to you and you specifically agree that any action 

needed to be taken may be brought in the Courts of the Ponca 

Tribe of Indians of Oklahoma against You or any principal of 

your Business." 

Section 16. License Fees 

The Tribe may charge a license fee, to be set by the Tribal Gaming 

19 
Commission, to cover its expenses in investigating and licensing key 

employees and primary management officials of the gaming 

operation. 

Section 17. Fingerprints 

The Tribe shall perfonn a background investigation for each primary 

management official and key employee of the gaming operation. The 

Tribe shall request fingerprints from each primary management official 

and key employee. Fingerprints shall be taken by the Commission. 

Fingerprints will then be forwarded to the NIGC for processing through 

the Federal Bureau of Investigation ("FBI") and the National Criminal 

Information Center to determine the applicant's criminal history, if any. 

Section 18. Background Investigations 

A. The Tribe shall perform a background investigation for each 

Commissioner, primary management official and key employee in its 

gaming operation. 

B. The Tribal Gaming Commission is responsible for conducting the 

background investigations of primary management officials and key 

employees. 

C. The Tribal Gaming Commission shall obtain from each primary 

management official and key employee all of the following 

info1mation: 

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

number, birth date, place of birth, citizenship, gender and 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 residential addresses, and driver's license 

numbers; 

3. The names and cun-ent addresses of at least three (3) personal 

references, including one (1) personal reference who was 

20 

• 
acquainted with the applicant during each period of residence 

listed under paragraph ( C)(2) of this section; 

4. Current business and residential telephone nwnbers, and alJ cell 

phone numbers; 

5. A description of any existing and previous business relationships 

with other tribes, including any ownership interests in the 

businesses; 

6. A description of any existing and previous business relationships 

with the gaming industry generally, including ownership interests 

in the 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 

rdaied Lo gaming, wheLher or nul such iic~nse or p1:nnil 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, if any; 

9. For each misdemeanor conviction or ongoing misdemeanor 

prosecution (excluding minor traffic violations) within ten 10 

years pf the date of the application, the name and address of the 

court involved and the date of 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 

paragraphs (C)(8) or (C)(9) of this Section, the criminal charge, the 

name and address of the cowt involved, and the date of disposition, 

if any; 

11. The name and address of any licensing or regulatory agency with 

which the person has tiled an application for an occupational 

license or pennit, whether or not such license or permit was 

granted; 

21 
12. A photograph; 

13. Any other information the Tribe deems relevant; and 

14. Fingerprints obtained in accordance with procedures adopted by 

the Tribe pursuant to 25 C.F.R. § 522.2(h). 

D. When a Commissioner, primary management official or key 

employee is employed by the Tribe, a complete application file, 

containing all of the info1mation listed in Section 18( c ), shall be 

maintained. 

Section 19. Procedures for Conducting Background Investigations 

A. The Tribal Gaming Commission, or its agent, shall employ or engage 

an investigator to conduct a background investigation of each 

applicant for a primary management official or key employee position. 

The investigation must be sufficient to allow the Tribal Gaming 

Commission to make an eligibility determination under Section 22 of 

this ordinance. The investigator shall: 

1. Verify the applicant's identity through items such as a 

social security card, driver's license, birth ce1tificate or 

passport; 

2. Contact each personal and business reference provided in the 

license application, when possible; 

3. Conduct a personal credit check; 

4. Conduct a civil history check for past or outstanding judgments, 

current liens, past or pending lawsuits, and any other information 

deemed to be relevant; 

5. Conduct a criminal history records check by submitting the 

applicant's fingerprints to the NIGC or to another law enforcement 

agency for forwarding to the FBI to perform a criminal history 

22 
records check utilizing the FBI's data base; 

6. Based on the results of the criminal history records check, as well 

as infonnation acquired from an applicant's self-reporting or from 

any other source, obtain information from the appropriate court 

regarding any past felony and/or misdemeanor convictions or 

ongoing prosecutium; within the past ten (10) years; 

7. Inquire into any previous or existing business relationships with 

the gaming industry, including with any tribes with gaming 

operations, by contacting the entities or tribes; 

8. Verify the applicant's history and cWTent status with any licensing 

agency by contacting the agency; and 

9. Take other appropriate steps to verify the accuracy of the 

information, focusing on any problem areas noted. 

Section 20. Investigative Reports 

A. The Tribe shall create and maintain an investigative repo1t for 

each background investigation of a primary management official 

or key employee. 

B. Investigative reports shall include all of the following infonnation: 

1. Steps taken in conducting the investigation; 

2. Results obtained; 

3, Conclusions reached.; and 

4. The basis for those conclusions. 

Section 21. Eligibility Determinations 

A. Before a license is issued to a primary management official or key 

23 
employee, an authorized Tribal Gaming Commissioner shall make 

a finding concerning the eligibility of that person for receiving a 

gaming license by reviewing the applicant's prior activities, 

climinal record, if any, and reputation, habits and associations. 

B. If the authorized Tribal Gaming Commissioner, in applying the 

standards adopted in this ordinance, 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, methods and/or activities in 

the conduct of gaming, he or she shall not license that person in a 

key employee or primary management official position. 

C. Copies of the eligibility detennination 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. 

Section 22. Notice of Results of Background Investigations 

A. Before issuing a license to a primary management official or key 

employee, the Tribal Gaming Commission shall prepare a notice 

of results of the applicant's background investigation to submit 

to the NIGC. 

1. The notice of results must be submitted to the NIGC no later 

than 60 days after the applicant begins working for the Tribe. 

B. The notice of results shall include the following information: 

1. The applicant's name, date of birth, and social security nwnber; 

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: 

a. licenses that have previously been denied; 

24 
b. gaming licenses that have been revoked, even if 

subsequently reinstated; 

c. every known criminal charge brought against the 

applicant within the last 10 years of the date or the 

application; and 

d. every felony offense of which the applicant has been 

convicted or any ongoing prosecution; and 

4. A copy of the eligibility determination made in accordance 

with Section 21. 

Section 23. Granting Gaming Licenses 

A. All primary management officials and key employees of the 

gaming operation must have a gaming license issued by the Tribe. 

B. The Tribal Gaming Commission is responsible for granting 

and issuing gaming licenses to primary management officials 

and key employees. 

C. The Tribal Gaming Commission may license a primary management 

official or key employee applicant aft.er submitting a notice ofresults 

of the applicant's background investigation to the NIGC, as required 

by Section 22. 

D. The Tribal Gaming Commission shall notify the NIGC of the 

issuance of a license to a primary management official or key 

employee within 30 days of issuance. 

E. The Tribe shall not employ an individual in a primnry management 

otlicial or key employee position who does not have a license after 

90 days of beginning work at the gaming operation. 

F. The Tribal Gaming Commission must reconsider a license 

application for a primary management oflicial or key employee if 

it receives a statement of itemized objections to issuing such a 

license from the NTGC, and those objections are received within 30 

days of the NIGC receiving a notice of results of the applicant's 

25 
background investigation. 

1. The Tribal Gaming Commission shall take the NIGC's 

objections into accmmt when reconsidering a license 

application. 

G. The Tribal Gaming Commission will make the final decision 

whether to issue a license to an applicant for a primary management 

official or key employee position. 

H. If the Tribal Gaming 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, as required by Section 25. 

Section 24. Denying Gaming Licenses 

A. The Tribal Gaming Commission shall not license a primary 

management official or key employee if an authorized Tribal 

official determines, in applying the standards in Section 21 for 

making a license eligibility detetmination, that licensing the 

person: 

1. Poses a threat to the public interest; 

2. Poses a threat to the effective regulation of gaming; or 

3. Creates or enhances the dangers of wisuitable, unfair or 

illegal practices, methods and/or activities in the conduct of 

gaming. 

B. When the Tribal Gamin.g 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: 

1. Notify the NIGC; and 

2. Forward copies of its eligibility determination and notice of 

26 
results of the applicant's background investigation to the NIGC 

for inclusion in the Indian Gaming Individuals Record System. 

Section 25. Gaming License Suspensions and Revocations 

A. If, afkr a license is issued to a primary management official or a 

key employee, the Tribe receives notice from the NIGC that the 

primary management official or key employee is not eligible for 

employment, the Tribal Gaming Commission shall do the 

following: 

1. Immediately suspend the license; 

2. Providt: U1e lictnsee with written notice of the suspension 

and proposed revocation; and 

3. Provide the licensee with notice of a time and place for a hearing 

on the proposed revocation of the license. 

8. The right to a revocation hearing vests only when a license is 

granted under an ordinance approved by the NIGC Chair. 

C. Following a revocation hearing, the Tribe shall decide whether 

to revoke or reinstate the license at issue. 

D. The Tribe shall nutily lhe NIGC ur its Jedsiu11 to revoke or 

reinstate a license within 45 days ofreceiving notification from the 

NIGC that a primary management official or key employee is not 

eligible for employment. 

Section 26. Records Retention 

A The Tribal Gaming Commission shall retain, for no less than three 

years from the date a primary management otlicial or key employee 

is terminated from employment with the Tribe, the following 

documentation: 

1. Applications for licensing; 

27 
2. Investigative Reports; and 

3. Eligibility Detenninations. 

Section 27. Licenses for Vendors 

Vendors of gaming services or supplies, with a value of $25,000 or 

more annually, must have a vendor license from the Tribal Gaming 

Commission in order to transact business with the .Tribal gaming 

operation. Contracts for professional legal and accounting services are 

excluded from this Section. 

Section 28. Submission of a Vendor License 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 those officers, directors, 

managers, owners, partners, and non-institutional stockholders that 

either own 10% or more of the business' stock or are the (ten)lO largest 

stockholders, as well as the on-site supervisors or managers designated 

in an agreement with the Tribe, if applicable. 

Section 29. Contents of the Vendor License Application 

A. Applications for gaming vendor licenses must include the following: 

1. Name of business, business address, business telephone 

number(s), federal tax identification number (or social security 

number, if a sole proprietorship), main office address (if different 

from business address), any other names used by the applicant in 

business, and type of service(s) 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 state ofincorporation and the 

qualification to do business in the jurisdiction of the Ponca Tribe 

pursuant to the Law of the Ponca Tribe of Indians of Oklahoma. 

28 
4. Trade name, other names ever used and names of any wholly 

owned subsidiaries or olher businesses owned by lhe 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 oflndian tribes with which the vendor has an existing or 

previous business relationship, including ownership, financial 

or management interests in any non-gaming activity; 

9. Names, addresses and telephone numbers of three (3) business 

references with whom the company has regularly done business 

for the last five (5) 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. [f the business has ever had a license revoked for any reason, 

the circwnstances 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. A list the business' funding sources and any liabilities of 

$50,000 or more; 

14. A list of the principals of the business, their social security 

numbers, addresses, telephone numbers, titles, and percentage 

29 
of ownership in the company; and 

15. Any fi.uther infotmation the Tribal 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 Tribe's 

vendor license." 

And, 

"By submitting this Vendor License Application, you and every 

person listed as a principal in your Business hereby agrees to the 

application of the Jurisdiction of the Ponca Tribe of Indians of 

Oklahoma to you and you specifically agree that any action needed 

to be taken may be brought in the Courts of the Ponca Tribe of 

Indians of Oklahoma against You or any principal of your 

Business." 

C. A vendor may submit to the Tribal Gaming Commission a copy of 

a recent license application to another jurisdiction if it contains the 

information listed above. The vendor will be required to submit, in 

writing, any changes in the information since the other license 

application was filed, and any information requested by the Tribe 

not contained in the other application. 

Section 30. Vendm· Background Investigations 

The Tribal Gaming Commission shall employ or otherwise engage 

an investigator to complete an investigation of a gaming vendor. 

This investigation shall include, at a minimum, the following steps: 

A. Ve1ification of the vendor's business' incorporation status and 

qualifications to do business in the state where the gaming operation 

is located; 

B. Obtaining a business credit report, if available, and conducting a 

30 
Better Business Bureau check on the vendor; 

C. Conducting a check of the vendor's business' credit history; 

D. Calling and questioning each of the references listed in the 

vendor application; and 

E. Conducting an investigation of the principals of the vendor's 

business, including facilitating a criminal history check, obtaining 

criminal history check results, obtaining a credit report, and 

interviewing the personal references listed. 

Section 31. Vendor License Fees 

The Tribe may charge a license fee, to be set by the Tribal Gaming 

Commission, to cover its expenses in investigating and licensing 

vendors of the gaming operation. 

Section 32. Vendor Background Investigation Reports 

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 Tribal Gaming Commission. 

Section 33. Kxemption for Vendors Licensed by Recognized Regulatory 

Authorities 

The Tribal Gaming Commission may adopt regulations naming specific 

licensing authorities that it recognizes and may authorize exemptions to 

the vendor licensing process for vendors who have received a license 

from one of the named regulatory authorities. 

Section 34. Compliance with Federal Law 

The Tribe shall comply with all applicable federal laws, including 

the Bank Secrecy Act, 31 U.S.C. § 53 t 1 et seq. 

Section 35. Ponca Tribal Corporation 

31 
A. It shall be the duty of "Ponca Tribal Corporation", or "PTC''. or its 

subsidiary, appointed by the Business Committee, to manage and 

conduct all Class II and Class Ill Games of a Tribal Gaming 

Operation in a fiduciary capacity to maximize the Revenues of said 

operation, to cause to be prepared and submitted to the Ponca 

Business Committee such reports as may be required by law, to 

account for all monies and property entrusted to the Tribal Gaming 

Operation, to collect and pay over all taxes due the Tribe and all 

assessments due to the National Indian Gaming Commission and the 

Ponca Tribal Gaming Commission, and to perfo1m any other duties 

as may be required by law. 

B. The PTC shall oversee and control all non-regulatory aspects of the 

Tribe's gaming operations through oversight of the Executive 

Management of the facilities and adoption of policies and 

procedures to govern the gaming operations. 

C. The actions and duties of the PTC shall not violate applicable 

gaming laws or interfere with the Commission's regulation of the 

Tribe's gaming operations by the Commission. 

D. All PTC Board Members shall be fully licensed by the Commission, 

prior to any PTC Board member assuming the appointment from the 

Business Committee. 

E. The Board members of the PTC and any of PTC's subsidiaries that 

engage in gaming activities shall be subject to the same background 

check and license eligibility requirements as Key Employees and 

Primary Management Officials, found within this Ordinance and 

regulations promulgated hereunder, and each must be fully licensed 

accordingly in order to qualify for and retain office after 

appointment by the Business Committee. 

F. Such background investigation shall be performed at the direction 

of the Business Committee by a duly appointed agent of the 

Committee. Upon completion of the background investigation, the 

Commission shall review and make recommendations to the 

Business Committee for issuance or denial of license, and the 

Committee shall by majority vote, either: 

32 
1. issue a license, or 

2. notice to the Applicant for a hearing before the Committee, or 

3. deny the license. 

G. An Appointee of the PTC or a PTC Subsidiary must be a person of 

the utmost honesty and integrity, must never have been convicted of 

a felony or a misdemeanor involving theft, embezzlement or a crime 

involving moral turpitude, and must be persons whose prior 

activities, reputation, habits and associations shall not in any way 

jeopardize the effective regulation of gaming or the Tribes' and the 

public's trust, confidence or interests. The appointee shall not be 

affiliated with or employed by the Gaming Enterprise in any 

capacity, and shaii not gambie in any Gaming Faciiity run by the 

Tribal Gaming Enterprise nor assume any personal financial interest 

in any gambling by any patron of the Gaming Facility. 

H. Neither the PTC or its Board members nor any of the PTC's 

Subsidiary or Subsidiary Board members shall have any pecuniary 

interest in any business or company holding a license under this 

Ordinance or doing business with any person licensed under this 

Ordinance. 

I. Neither the PTC or its Board members nor any of the PTC's 

Subsidiary or Subsidiary Board members shall obtain or hold any 

interest in real property, to include but not limited to, the lease, sale 

or use of that real property for gaming purposes. 

Section 36. Enforcement 

A. The Commission shall have the exclusive authority for enforcing any 

and all violations of this Ordinance or any Unlawful Acts as set out 

in Section 36 (F). The Commission's decisions to enforce or to not 

enforce shall be final, and shall not be appealable or challengeable by 

any person, entity, cowt or tribunal, including the Ponca Tribal 

Business Committee. 

33 
B. The Commission may enter into executive session at any meeting to 

address questions of enforcement to discuss enforcement with any 

person requesting enforcement or to discuss the matter with legal 

counsel. All matters discussed in executive session are privileged and 

many not be communicated with any person. · 

C. Any violations of this Ordinance may be subject to Civil Penalties, as 

authorized. The Commission is authorized to bring a civil action in 

any court of competent jurisdiction, including the Tribal Court, 

against any Person violating the provisions of this Ordinance. Upon 

finding that a violation has occurred, the Tribal Court may impose a 

civil penalty as provided in Section 12 or each separate violation in 

addition to any or all actual damages, administrative costs, and the 

fees of counsel retained by the Commission to prosecute such offense. 

Each game played at which a continuing violation occurs shall be 

deemed a separate violation. 

D. Any person subject to the criminal jurisdiction of the Ponca Tribe 

violating the provisions of this Ordinance shall be guilty of a criminal 

offense and shall, upon conviction thereat: be punished by 

confinement for a period of not more than one ( t) year, and a fine of 

not more than five thousand dollars ($5,000), or by both such fine and 

imprisonment for each separate violation. 

E. A violation of this Ordinance by any natural person shall be deemed 

an independent violation by their employer, principal, or any person 

with the authority to direct the control of the violator. 

F. Any violation of this Ordinance is an Unlawful Act. Without limiting 

those acts which may be a violation of this Ordinance and are 

therefore lawful, the Business Committee of the Ponca Tribe hereby 

declares the following to be Unlawful Acts: 

1 . Operating or conducting any Gaming act1v1ty in a Gaming 

Operation on _Indian Land without a gaming license issued by the 

Commission, as required by this Ordinance. 

2. Providing any false information in connection with any document 

or proceeding required or provided for under this Ordinance. 

34 
3. Engaging in any gaming activity w1der the age of eighteen ( 18) 

years. 

4. Cheating in any Gaming activity on Indian Land. 

5. Other than a law enforcement officer or security personnel 

licensed by the Ponca Tribe of Indians, possessing a firearm, in a 

Gaming Facility licensed under this Ordinance 

6. Conspiring, Aiding or assisting a Person to violate any provision 

of this Ordinance. 

Section 37. Yearly Reports 

Each year, on or before the 901

h day before the expiration of the term of 

any Commissioner, the Commission shall submit to the Ponca Tribal 

Business Committee a written repott which shall be previously approved 

as to form and content by the Commission and may address any matter 

the Commission deems relevant to officially report to the Ponca T ribai 

Business Committee. The Yearly report shall at a minimum include the 

following infonnation: 

A. The date and the identity of the Commissioner seat expiring that year; 

B. A profit and loss statement for the Commission prepared in 

accordance with Generally Approved Accounting Procedures 

(GAAP); 

C. The specific text of any regulations the Commission may seek to 

adopt at that time; and 

D. A swnmary of gaming licenses issued and denied, by type, during the 

preceding year; and 

E. A list of all licenses issued by the Commission which are currently 

active; 

F. A list of all approved vendors; 

G. A list of all submissions to the National Indian Gaming Commission; 

35 
H. A copy of the Audit prepared under Section 9 in the preceding year; 

and 

I. A list of all pending civil or criminal enforcement actions with a short 

description of their status. 

Section 38. Ethics 

The Tribe recognizes that the duties of the Commission include making 

important decisions on highly sensitive issues. As such, the Tlibe has 

determined that the Commission and Commission Staff shall be held to 

extremely high ethical standards. The Commission and Commission Staff 

shall agree to be bound by the following: 

A Endeavor to avoid any actions creating the appearance that they are 

violating the law or the ethical standards listed herein. 

B. Not use their positions for plivate gain. 

C. Not hold financial interests that conflict with the conscientious 

perfonnance of their duties as regulators. 

D. Not solicit or accept any gift or other item of monetary value, 

including complimentary items or services over the amotmt of $100 

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 perfonnance or nonperformance of the Commissions' 

duties. 

E. Make no unauthorized commitments or promises of any kind 

purporting to bind the Tribe. 

F. Act impartially, in accordance with all relevant Tribal, Federal, and 

State laws (where applicable), and shall not give preferential 

treatment to any private organization or individual, including to any 

persons related to Commissioners or Commission Staff. 

Section 39. Statement of Gross Gaming Receipts and Net Revenues 

36 
A No later than the twentieth (20th) day of each month, the PTC shall 

ensure that each Gaming Operation shall provide, in a reporl funn 

prescribed by the Commission, a statement of Gross Gaming 

Receipts, Operating and Net Revenues received or collected at each 

Gaming Facility dming the immediately preceding month. 

B. The verified monthly report shall be filed with the Commission of all 

receipts and disbursements of all funds related to said Class II and 

Class III Games. Such rep01ts shall also contain an itemized list of all 

disbursements including, but not limited to, Operating Costs, 

Equipment Costs, Facility Costs, depreciation, materials, supplies, 

equipment furnished, and prizes paid. The required reports shall be 

submitted pursuant to regulations adopted from time to time by the 

Commission. 

Section 40. Invalidity 

If any provision of this Ordinance or the application lh~reof to any Person 

or circumstances is held invalid, the invalidity shall not affect other 

provisions or applications of the Ordinance which can be given effect 

without the invalid provisions of application, and, to this end, the 

provisions of this Ordinance are severable. 

Section 41. No Tribal Liability 

Neither the Tribe nor its officers, agents, or agencies, shall be responsible 

for the debts or liabilities of any Gaming Operation, it being the intent that 

each Gaming Operation shall be a corporate entity solely responsible (with 

its Management Contractor when provided for by contract) for its own 

debts, torts, and other liabilities, and subject to suit in its own name to the 

extent explicitly provided for by this Ordinance. No provision of this 

Ordinance or regulations promulgated pursuant thereto constitutes a 

waiver of the Tribe's sovereign immunity from suit, except as expressly 

provided otherwise herein. 

Section 42. Repeal 

To the extent that they are inconsistent with this ordinance, all prior 

37 
Tribal ordinances. resolutions, orders or directives are hereby repealed 

and are as of the Effective Date of this Ordinance of no legal 

consequence and have no continuing force or effect after the Effective 

Date. 

Section 43. Effective Date 

This ordinance shall take effect immediately upon its approval by 

both the Ponca Tribal Business Committee and the NIGC Chair. 

38 
Ponca Tribe of Oklahoma "Rich In Culture and Tradition" 

"Equal Opportunity Employer" 

RESOLUTION# 14-05052017 

A RESOLUTION TO CONCERNING THE PONCA TRIBAL GAMING ORDINANCE OF 2017 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

WHEREAS, 

the Ponca Tribe of Indians of Oklahoma fs a federally recognized Indian Tribe of 

nearly 4,000 members and with the headquarters located in White Eagle, 

Oklahomaj and 

the Ponca Tribal Business Committee is authorized to conduct and transact all 

business of the Ponca Tribe of Indians of Oklahoma un_der the aegis of the Ponca 

Constitution duly adopted on September 20, 1950; and 

the Ponca Tribal Business Committee is authorized to exercise all executive, 

legislative, and judicia l powers of the Ponca Tribe of Indians of Oklahoma, in 

accordance with t he Tribal Constitution; and 

the Ponca Tribe of Indians of Oklahoma in t he past operated gaming enterprises 

for the purposes of developing e cqnomic development and supporting triba l 

programs in accordance with the law; and 

the Ponca Tribe of Indians of Oklahoma is currently not operating a gaming 

enterprise, but in preparation for the operation of a new facility the Ponca Tribe 

wishes to update its gaming laws; and 

the Ponca Tribal Business Committee, after consideration of the Ponca Tribal 

Gaming Ordinance of 2017, wishes to approve the Ponca Tribal Gaming Ordinance 

of 2017 and wishes to establish the identity of those persons who will serve as the 

Commissioners of the Ponca Gaming Commission under the Ponca Tribal Gaming 

Ordinance of 2017; and 

the Ponca Tribal Business Committee acknowledges that the attached Ponca 

Tribal Gaming Ordinance of 2017 will req uire the approva l of the Commissioner of 

the National Indian Gaming Commission before it becomes effective; and 

the Ponca Tribal Business Committee declares t hat the attached Ponca Tribal 

Gaming Ordinance of 2017 and the appointments of gaming commissioners for 

the Ponca Tribe of Indians of Oklahoma shall become effective upon approval of 

20 White Eagle Drive ++ (580) 762-8104 ++ Fax: (580) 762-2743 ++ Ponca City, Oklahoma 7460i 
WHEREAS, 

the attached Ponca Tribal Gaming Ordinance of 2017 by the Chairman of the 

National Indian Gaming Commission; and 

upon approval of the attached gaming ordinance by the Chairman of the National 

Indian Gaming Commission, all prior ordinances, resolutions, regulations, orders 

or laws of the Ponca Tribe of Indians of Oklahoma of any kind relating to gaming 

will automatically be repealed; and 

THEREFORE, BE IT RESOLVED that the Ponca Tribal Business Committee hereby approves the 

Ponca T riba I Gaming Ordina nee of 2017, attached hereto as Exhibit A, and declares 

that the Ordinance attached hereto shall be known to all as the Ponca Tribal 

Gaming Ordinance of 2017; and 

NOW THEREFORE BE IT FURTHER RESOLVED, that upon approval of the Ponca Tribal Gaming 

Ordinance of 2017 by the Chairman of the National Indian Gaming Commission, 

all prior ordinances, resolutions, regulations, orders or laws of the Ponca Tribe of 

Indians of Oklahoma of any kind relating to gaming are hereby repealed, and are 

declared null, void and of no effect; and 

NOW THEREFORE BE IT FURTHER RESOLVED, that upon approval of the Ponca Tribal Gaming 

Ordinance of 2017 by the Chairman of the National Indian Gaming Commission, 

and notwithstanding any other ordinance, resolution, agreement, or document, 

the Identity and Initial Ponca Gaming Commissiorie'rs shall be: Daniel L. Sherron, 

Eugene D. Big Soldier, Jr., and Dale Sue Belmard; and 

NOW THEREFORE BE IT FURTHER RESOLVED, that upon approval of the Ponca Tribal Gaming 

Ordinance by the Chairman of the National Indian Gaming Commission, the 

persons named above are directed to meet as soon thereafter as practical, and in 

accordance with Section 8 (c)(4) of the Ponca Tribal Gaming Ordinance of 2017 

identify the titles and initial terms for each person appointed above, and to report 

same to the Secretary of the Ponca Tribal Business Committee, in writing; and 

NOW THEREFORE BE IT FURTHER RESOLVED, that the first day of the initial term of each of the 

Commissioners identified above shall run from the day the Chairman of the 

National Indian Gaming Commission approves the Ponca Tribal Gaming 

Ordinance of 2017; and 

NOW THEREFORE BE IT FINALLY RESOLVED, the Chairman of the Ponca Tribal Business 

Committee is requested to deliver this Resolution and the Ponca Tribal Gaming 

Ordinance of 2017 to the Chairman of the National Indian Gaming Commission, 

seeking approval of the Ponca Tribal Gaming Ordinance of 2017 as quickly as can 

reasonably be done. 
I' 

CERTIFICATION 

We, the undersigned hereby affinn that at an official meeting of the Ponca Tribal Business 

Committee, held on the ~ date of May, 2017, at which a quorwn was present, the above 

resolution was presen ed and approved, by a vote of 1_ For, .5l_ Against, ..2 Absent, _DAbstain. 

~ rJ ?))A j___ /'!;-- ,___,,,._c;;..__..;;;;_-"'---=---=-""""-....:;.._-- ~ftt-a. Vice-Chairman 

4-L/%1> ~& .. ( £3'fg~ Eagle, sf) M.cfu1ber 
Ponca Tribe of Oklahoma 

"Rich In Culture and Tradition'' 

"Equal Opportunity Employer and Provider" 

RESOLUTION # 1 8 - 0 6 0 2 2 0 1 7 

A RESOLUTION REVISING THE PONCA TRIBAL GAMING ORDINANCE OF 2017 

WHEREAS, the Ponca Tribe of Indians of Oklahoma is a federally recognized Indian Tribe of 

nearly 4,000 members and with the headquarters located in White Eagle, 

Oklahoma; and 

WHEREAS, the Ponca Tribal Business Committee is authorized to conduct and transact all 

business of the Ponca Tribe of Indians of Oklahoma under the aegis of the 

Ponca Constitution duly adopted on September 20, 1950; and 

WHEREAS, the Ponca Tribal Business Committee is authorized to exercise all executive, 

legislative, and judicial powers of the Ponca Tribe of Indians of Oklahoma, in 

accordance with the Tribal Constitution; and 

WHEREAS, the Ponca Tribe of Indians of Oklahoma in the past operated gaming enterprises 

for the purposes of developing economic development and supporting tribal 

programs in accordance with the law; and 

WHEREAS, the Ponca Tribe of Indians of Oklahoma is curre ntly not operating a gaming 

enterprise, but in preparation for the operation of a new facility the Ponca Tribe 

wishes to update its gaming laws; and 

WHEREAS, the Ponca Tribal Business Committee, on May S, 2017 approved and adopted 

the Ponca Tribal Gaming Ordinance of 2017, in Resolution No. 14-05052017; and 

WHEREAS, on May 31, 2017, the National Indian Gaming Commission requested a technical 

amendment to the Ponca Tribal Gaming Ordinance of 2017 which consists of 

deleting the last clause in Section 5 (A) and all of Section 5 (B} of the Ponca 

Triba\ Gaming Ordinance of 2017; and 

WHEREAS, the National Indian Gaming Commission's request does not substantively a lter 

the Ponca Tribal Gaming Ordinance of 2017, and the Ponca Tribal Business 

Committee, in the spirit of comity, is revising the Ponca Tribal Gaming Ordinance 

of 2017 by deleting the last clause in Section 5 (A) and all of Section 5 (B). 

20 White Eagle Drive + • (580)762-8104 ++ TDD-TYY #711 •• Fax: (580) 762-27 43 + + Ponca City, Oklahoma 7 4601 
Resolut ion # 18-06022017 

THEREFORE, BE IT RESOLVED that the Ponca Tribal Business Committee hereby amends the 

Ponca Tribal Gaming Ordinance of 2017, in the form attached hereto as Exhibit 

A, by deleting the last clause in Section S (A) and all of Section 5 (B). 

NOW THEREFORE BE IT FINALLY RESOLVED, that no other provisions of the Ponca Tribal 

Gaming Ordinance of 2017 are amended, and no provisions of Resolution No. 14-

05052017 are changed in any way. 

CERTIFICATION 

We, the undersigned members of the Ponca Tribal Business Committee, duly elected, hereby 

affirm that an official meeting of the Ponca Tribal Business Committee, held on the 2n4Jay of 

June, 2017, at which a quorum was present. The above resolution and the attached Ponca 

Tribal Gaming Ordinance of 2017 was presented and approved by a vote of ~ FOR; ~ AGAINST;~ 

ABSENT; .QABSTAIN. 

Earl S. Howe Ill, Chairman c:; 

a.,~ j 'ilu-nd~- Paula S. Mendoza, Secretary{fa;urer 

Kathryn Horinek, Member 

I 

I 

OougJc:is 

Douglas Eagle, Sr., Member