action. It shall not be a defense that the Management Contractor was unaware of
the violation.

I. No person, whether playing or conducting any gaming activity authorized under
this Ordinance, shall:

i

2:

3.

use bogus or counterfeit cards, or substitute or use any game cards that
have been tampered with;

employ or have on one’s Person any cheating device to facilitate cheating
in any gaming activity; or

knowingly cause, aid, abet, or conspire with another Person or cause any
Person to violate any provision in the Ordinance or any rule adopted under
this Ordinance.

J. A Gaming Operation’s establishment shall be constructed, maintained, and
operated in a manner that does not threaten the environment or the public health
and safety.

Section 402 Ejection of Patrons

A. The following improper conduct shall result in ejection of a Patron from any

Gaming Establishment/Facility:

1. Cheating;

2. possession of weapons in the gaming establishment

3. possession of alcohol that has been brought by a Patron in to the Gaming
Establishment/Facility or onto Tribal property;

4. possession of a controlled substance in the Gaming Establishment/Facility
or on Tribal property;

5. disorderly conduct, including the willful, or wanton disregard for the
rights of others; i.e. theft of any type, fighting, disturbing the peace,
indecent language or gestures;

6. failure to comply with staff instructions or house rules or any other act
which is disruptive to the Gaming Operation; or

7. is visibly under the influence of liquor, a drug or other intoxicating

substance.

B. Failure by a Patron to provide legal proof of age (i.e. State or Governmental
issued ID, driver’s license, etc.) when requested by Gaming Operation personnel
shall result in ejection of the Patron from the premises.


15. Review Patron complaints, in compliance with procedures established in
the Gaming Ordinance and other Tribal gaming regulations;

16. Comply with any and all reporting requirements under the Indian Gaming
Regulatory Act, Tribal-State Compact to which the Tribe is a party, and
any other applicable law;

17. Promulgate and issue regulations necessary to comply with applicable
Tribal internal control standards and the MICS of the NIGC;

18. Promulgate and issue regulations on the levying of fees and/or taxes
associated with gaming license applications;

19. Promulgate and issue regulations on the levying of fines and/or suspension
or revocation of gaming licenses for violations of the Gaming Ordinance,
or any other Federal, Tribal or State gaming regulations;

20. Establish a list of persons not allowed to gamble in Tribal Gaming
Establishments/Facilities in order to maintain the integrity of gaming;

21. Establish a list of persons who have voluntarily asked to be excluded from
Tribal Gaming Establishments/Facilities and create regulations for
enforcing this exclusion;

22. Provide referrals and information to the appropriate law enforcement
officials when such information indicates a violation of Tribal, Federal, or
State statues, Ordinances, or resolutions; and

23. Perform such other duties the Commission deems appropriate to fully
perform its duties for the proper regulation of the Tribal Gaming
Operation.

Section 206 Gaming Commission Records

A. 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 may only 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.

B. 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.


Section 505 Non-transferability of License

A license may not be assigned or transferred and is valid only for use by the person in
whose name it is issued and at the Gaming Establishment/Facility for which it is issued.

Section 506 License Fees

The Tribe may charge a license fee, to be set by the Commission, to cover its expenses in
investigating and licensing Key Employees and Primary Management Officials of the
Gaming Operation.

Section 507 Fingerprints

A. Each applicant for a Key Employee or Primary Management Official shall be
required to have fingerprints taken as part of the license application procedure.

B. Fingerprints shall be taken by the Ponca Tribal Gaming Commission.
Fingerprints of Key Employee and Primary Management Official applicants will
then be forwarded to the NIGC for processing through the FBI to determine the
applicant’s criminal history, if any.

Section 508 Background Investigation

A. The Commission is responsible for conducting background investigations and
suitability determinations.

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

i 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 five years: business and employment
positions held, ownership interests in those businesses, business and
residence addresses, and driver’s 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:

19


Section #

701
702
703
704
705
706
707

Topic Page #
Chapter V Employee Licensing 17-24

Requirements of Gaming Licenses

Standards for Employee Licenses

Licensing for Key Employees and Primary Management Officials
License Application Forms

Non-transferability of License

License Fees

Fingerprints

Background Investigations

Procedures for Conducting a Background Check on Applicants
Eligibility Determination

Procedures for Forwarding Applications and Reports for Key
Employees and Primary Management Officials to the NIGC
Report to NIGC

Granting a Gaming License

License Suspension

Board of Review for Licensing Disputes

Chapter VI Vendor Licensing 25-28
Licensing for Vendors

Submission of a Vendor License Application

Contents of the Vendor License Application

Vendor Background Investigation

Vendor License Fee

Vendor Background Investigation Report

Licenses for Non-Gaming Vendors

Chapter VII Miscellaneous Provisions 29
Sovereign Immunity
Compliance with Alcoholic Beverage Laws

Compliance Federal Law
Compliance with State-Tribal Gaming Act
Severability

Amendment

Effective Date


C. Ejection of a Patron shall be accomplished by Security Personnel or the Ponca
Tribal Law Enforcement or Cross-Commissioned Law Enforcement Agencies,
upon committing violations(s) as identified within this Ordinance, or at the
request of the Gaming Operation.

D. Either the employee manager or Management Contractor of the Gaming
Operation or an alternate designated by either shall be present at all times to
tesolve complaints by Patrons involving the operation of Class I, Class II, or
Class III games at the establishment.

Section 403 Right to Exclude or Remove

If the Commission deems it in the best interest of the Tribe, the Commission may exclude
or remove any Persons from the premises of any Gaming Operation. The employee
manager or Management Contractor of the Gaming Operation shall also have the
authority to exclude or remove any Person from the Gaming Establishment/Facility, and
all such actions shall be reported to the Commission within 24 hours of the taking of such
action.


the NIGC a completed application for employment that contains the notices and
information listed in 25 CFR 556.2, 556.3, 556.4 and 556.5.

B. The Gaming Operation shall not employ as a Key Employee or Primary
Management Official a Person who does not have a license after 90 days.

Section 512 Report te NIGC

A. When a Key Employee or Primary Management Official is employed to work at a
gaming operation authorized by this Ordinance, the Commission shall prepare and
forward a report on each background investigation 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 basis for those conclusions.

B. The Commission shall forward the completed investigative report to the NIGC
within sixty days after an employee begins work.

C. The Commission shall submit, with the investigative report, a copy of the
Eligibility Determination, unless the NIGC shall have advised the Tribe that the
submission of the Eligibility Determination is not necessary. This Determination
shall 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 disqualifying information obtained.

D. Ifa license is not issued to an applicant, the Commission:
1. Shall notify the NIGC; and
2. Shall forward copies of its Eligibility Determination and Investigative

Report (if any) to the NIGC for inclusion in the Indian Gaming Individuals
Records System.

22


licenses and perform background investigations according to requirements at least
as stringent as 25 C.F.R. Parts 556 and 558, and part ten of the Tribal-State
Compact. No Person shall be employed as a Primary Management Official, Key
Employee or as an employee of any Gaming Operation within the jurisdiction of
the Ponca Tribe of Oklahoma, unless such a Person has received and holds a valid
license as required pursuant to this Ordinance.

B. Asa condition of receiving a Key Employee license or Primary Management
Official license, the holder thereof must acknowledge in writing that they
understand the terms, including but not limited to, all provisions of this Gaming
Ordinance, and conditions or receiving said license and agree to abide by the
terms and conditions.

Section 504 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 of 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 National Indian Gaming Commission members and staff who
have a need for the information in the performance of their official duties. The
information may be disclosed to appropriate Federal, Tribal, State, local, or
foreign law enforcement and regulatory agencies when relevant to civil, criminal
or regulatory investigations or prosecutions or when necessary pursuant to a
requirement by a tribe or the National Indian Gaming Commission in connection
with the hiring or firing of an employee, the issuance or revocation of a gaming
license, or investigation of activities while associated with a tribe or a gaming
operation. Failure to consent to the disclosures indicated in this notice will result
in a tribe’s being unable to hire you in a primary management official or key
employee position.

The disclosure of your Social Security Number (SSN) is voluntary. However,
failure to supply a SSN may result in errors in processing your application.

B. The following additional notice shall be placed on the application form for a Key
Employee or a Primary Management 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 fines
or imprisonment. (U.S. Code, Title 18, section 1001)


F. Patron complaints must be filed within (10) ten days of the occurrence or
event that has brought about the dispute.

Section 302 Patron Rights Regarding Disputes

When a Patron brings a dispute for resolution to the Gaming Operation pursuant to
Section 301 C, the complainant has the right to explain his/her side of the dispute, and
to present witnesses in connection with any factual allegations. At each level, if the
dispute remains unresolved, the complainant shall be informed of the right to take the
dispute to the next higher level. For disputes that are unresolved upon the completion
of steps 1, 2, and 3 of Section 301 C, the Gaming Operation shall forward all
documentation indicating the efforts to resolve the dispute to the Ponca Tribal
Gaming Commission.

Section 303 Gaming Commission Action of Patron Disputes

All unresolved disputes which are submitted to the Ponca Tribal Gaming Commission
shall be decided by the Gaming Commission based on documented information
provided by both the Gaming Operation and the complainant. The decision of the
Gaming Commission shall be in writing, shall be issued within thirty days (30) of
submission of the matter to the Gaming Commission, and shall be provided to the
General Manager of the Gaming Operation and to the complainant. All decisions of
the Ponca Tribal Gaming Commission are final.

13


A. Is a sound physical structure with adequate and safe plumbing, electrical, heating,
cooling and ventilation systems in place and operational;

B. Has been inspected and approved for safety by a building and fire inspector
designated by the Commission;

C. Is adequate in all respects to accommodate the gaming intended to be carried on
within the structure;

D. Is equipped with security and surveillance equipment meeting or exceeding
provisions set forth in regulations established by the NIGC;

E. Meets all requirements of applicable Federal, Tribal and State law; and

F. Has paid all applicable license fees and costs.

Section 112 Tribal Internal Control Standards (TICS)

A. The gaming commission shall comply with 25 CFR 542 by formally adopting and
making applicable to the Tribe’s gaming operation(s) internal control standards
that:

1. provide a level of control that equals or exceeds those set forth in 25 CFR part
542 as published or as revised by mutual agreement between the NIGC and the
Tribe; and

2. contain standards for currency transaction reporting that comply with 31 CFR
part 103; and

3. establish internal control standards for Class II and Class III games that are not
addressed in the MICS, if any.

B. The gaming commission and the NIGC shall monitor and enforce compliance
with the internal control standards adopted pursuant to paragraph A, in the
manner provided for in 25 CFR 542.3(g). In addition, the NIGC shall, for the
purpose of enforcing compliance with the internal control standards, have the
power to:

1. Monitor all Class II and Class III gaming on a continuing basis;

2. Inspect and examine all premises on which Class II or Class III gaming is
conducted;

3. Inspect, examine, photocopy, and audit all papers, books, and records
respecting gross revenue of all Class II and Class III gaming on a continuing basis
or any other matters necessary to ensure and enforce compliance with the MICS.


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.

Section 607 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 as described in Section 604. The Commission may investigate such
vendors when appropriate and may conduct audits in addition to monitoring Tribal
purchases.

28


CHAPTER VI
Vendor Licensing

Section 601 Licensing for Vendors

A. Vendors of gaming services or supplies with a value of $25,000 or more annually
must have a Vendor License from the Commission in order to transact business
with the Tribal gaming operation pursuant to the Tribal-State Gaming Compact.
Contracts for professional legal and accounting services are excluded from this
section.

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

C. Non-gaming vendors provide services that do not have the ability to impact the
integrity of the Tribal 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 Commission may exempt from licensing requirements non-gaming
vendors who:

1. are a Tribal, Local, State, or Federal government agency;
2. are regulated by the State of Oklahoma or the Tribe; 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 tribal and public interest.

Section 602 Submission of a Vendor License Application

In order to obtain a Vendor License, the business must complete a vendor application and
submit to background checks of the business and its principals. Principals of a business
include the officers, directors, management, owners, partners, non-institutional
stockholders that either own at least 5% of the stock or are the ten largest stockholders,
the on-sit supervisor or manager under the agreement with the Tribe, if applicable, and
employees of the company conducting business on gaming property.

25


J. “Employee Manager” is a manager other than a “Management Contractor” employed
by the Tribe to manage a tribal Gaming Establishment/Facility.

K. “Gaming Establishment/Facility” means any location or structure, wherein gaming
is licensed, promoted, performed, conducted, or operated.

L. “Gaming Operation” means any business enterprise owned by the Tribe, the
revenues of which are primarily derived from gaming or from any Gaming
Establishment/Facility.

M. “Gaming Ordinance” means this Tribal Gaming Ordinance of the Ponca Tribe of
Oklahoma, as amended from time to time, and any rules promulgated there under.

N. “IGRA” means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et.seg.
O. “Indian Tribe” means the Ponca Tribe of Oklahoma.
P. “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;

( Pit boss;

(g) Dealer;

(h) Croupier;

@ Approver of credit; or

@) Custodian of gambling devices including persons with access to cash
and accounting records within such devices;

2. Ifnot otherwise included, any other person whose total cash compensation is in
excess of $50,000 per year; or

3. Ifnot otherwise included, the four most highly compensated persons in the
gaming operation.

4. The Gaming Commission may designate any other employee or class of
employees as Key Employees for licensing or any other purpose.

Q. “Net Revenues” means gross gaming revenues of an Indian gaming operation less:

1. amounts paid out as, or paid for, prizes;


CHAPTER I
General Provisions

Section 101 Authority

The Ponca Tribal Business Committee, empowered by the Tribe’s Constitution to enact
ordinances, hereby enacts this ordinance in order to govern Class I, Class II, and Class III
Gaming Operations on the Tribe’s Indian lands.

Section 102 Definitions

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein
shall have the same meaning as defined in the Indian Gaming Regulatory Act (IGRA), 25
U.S.C. § 2701 et seq., and its regulations, 25 C.F.R. § 500 et seg. Specifically:

A. “Business Committee” means the regulatory body of the Ponca Tribe of Oklahoma
consisting of elected Tribal members.

B. “Class I Gaming” shall have the same meaning as defined in the Indian Gaming
Regulatory Act and any regulations promulgated there under.

C. “Class Il Gaming” shall have the same meaning as defined in the Indian Gaming
Regulatory Act and any regulations promulgated there under.

D. “Class II] Gaming” shall have the same meaning as defined in the Indian Gaming
Regulatory Act and any regulations promulgated there under, provided that any Class
III Gaming Shall be operated pursuant to an approved Tribal-State compact as
required by the Indian Gaming Regulatory Act.

E. “Commission” means the Ponca Tribal Gaming Commission” established by this
Ordinance to perform regulatory oversight and to monitor compliance with Tribal,
Federal, and applicable State regulations.

F. “Commissioner” means a Ponca Tribal Gaming Commissioner.

G. “Compact” means the Tribal-State Compact concerning Class III gaming approved
by the Secretary of the Interior and published in the Federal Register pursuant to 25
U.S.C. § 2710.

H. “Complimentary” means a service or item provided at no cost or at a reduced cost to
an individual.

I. “Directly related to” means a spouse, child, parent, grandparent, grandchild, aunt,
uncle, or first cousin.


CHAPTER IV
Violations

Section 401 Violations

A. No Person shall operate or conduct any gaming activity in a Gaming Operation
within the exterior boundaries of Tribal lands without a gaming license issued by
the Ponca Tribal Gaming Commission as required by this Ordinance.

B. No Person shall knowingly submit false or misleading information to the
Commission or the Tribe.

C. No Management Contractor shall fail to account fully for all monies received or
collected in connection with gaming activities or to file any report required by the
management contract.

D. No Minor shall be employed by a Gaming Operation or shall otherwise be
permitted entry into the Gaming Establishment/Facility or to participate in any
gaming activities. Minors may be allowed entry into casino restaurants for dining
purposes. If no alcoholic beverages are served or allowed in the Gaming
Establishment/Facility, a minor is defined as anyone under the age of 18 years.
Gaming Establishment/Facilities who serve alcoholic beverages must determine
the definition of a minor based on applicable State Law.

E. No Person shall engage in cheating in any gaming activity or engage in any
fraudulent conduct affecting either the Tribe or a Patron or a Gaming Operation.

F. No Person, other than an officer of the Ponca Tribal Law Enforcement, or Cross-
Commissioned Law Enforcement Agencies, or Ponca Security Personnel, may
enter or remain in a Gaming Establishment/Facility licensed under this Ordinance
while in the possession of a firearm or other weapon (s).

G. Any Person who is In Privity With a person who violates this Ordinance shall be
deemed to be in violation of the Ordinance to the same extent as the violator, and
shall be treated accordingly.

H. Where applicable, the Management Contractor is responsible for ensuring that all
primary management officials and key employees assisting in the operation of any
gaming activity on the Management Contractor’s behalf comply with this
Ordinance. A violation by any such official(s) or employees, unless otherwise
provided in a approved management contract, shall be deemed a violation by the
Management Contractor and shall subject the contractor to civil enforcement

14


Section 107 Audit

A. The Tribe shall cause an annual outside independent audit of Gaming
Operations to be conducted, and shall submit the resulting audit reports to
the NIGC.

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)
above.

Section 108 Tribal Access to Financial Information

A copy of the Tribal Gaming Operation annual audit will be made available for review,
upon request, to:

A. the Tribe’s Business Committee, and

B. the Tribe’s Gaming Commission

Section 109 Environment and Public Health and Safety

A. Gaming Establishments/Facilities shall be constructed, maintained and operated
in a manner that adequately protects the environment and the public health and
safety.

B. The Ponca Tribal Gaming Commission shall adopt standards that assure adequate
protection of the environment and the public health and safety.

Section 110 Gaming Establishment/Facility Licenses

A. The Commission shall issue a separate license, annually, to each place, facility, or
location on Indian lands where Class II or Class III gaming is conducted under this
Ordinance.

B. A current license for a gaming operation must be displayed at the facility.

Section 111 Standards for Issuing Gaming Establishment/Facility Licenses

The Commission shall issue a facility license to a Gaming Establishment/Facility, if the
Gaming Establishment/Facility:


10.

11.

12.

13.

14,

Current business and residence telephone numbers;

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

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

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

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

For each conviction or ongoing misdemeanor prosecution (excluding
minor traffic violations), within ten years of the date of the application,
the name and address of the court involved and the date and
disposition;

For each criminal charge (excluding minor traffic charges), whether or
not there is a conviction, if such criminal charge is within ten 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 and disposition;

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

A recent photograph;

Military service history; and

Any other information the Commission deems relevant.

Section 509 Procedures for Conducting a Background Check on Applicants

A. As part of its review procedure, the Commission or its agent shall employ or
engage an investigator to conduct a background investigation on each applicant
sufficient to allow the Commission to make an eligibility determination. The
investigator shall:

20


ONAL 'No,

= %
3 §
oy, se
December 15, 2008 S comn
_Earl Howe III
Chairman, Ponca Tribal Business Committee
Ponca Tribe of Oklahoma

Ponca City, Oklahoma 74601

RE: Approval of Ponca Tribe of Oklahoma’s Revised Gaming Ordinance
Dear Chairman Howe:

This is in response to your letter dated September 16, 2008, requesting review and
approval of the Ponca Tribe of Oklahoma’s (Tribe) revised Tribal Gaming Ordinance as
adopted by Tribal Resolution 133-091208 on September 12, 2008. The revised Tribal
Gaming Ordinance allows for Class III gaming and, in general, updates the Tribe’s
Ordinance approved by the NIGC Chairman in 1995.

We have concluded that the revised Tribal Gaming Ordinance is in conformance with the
requirements of the Indian Gaming Regulatory Act (IGRA) and the National Indian
Gaming Commission’s regulations. Therefore, the revised Tribal Gaming Ordinance is
hereby approved. We note that section 113 B provides that if the compact and the
ordinance are inconsistent, the compact shall govern. It is our understanding that this
does not affect the applicability of IGRA and NIGC regulations, and that all tribal
gaming must ultimately be conducted in accordance therewith.

As this new ordinance is approved, the Tribe is planning to discontinue its current
gaming operations, with plans to re-open after a number of managerial and compliance
issues are addressed. As the new ordinance has some very positive enhancements not
present in the prior ordinance, the tribal government, management staff and your gaming
commission will want to closely study and follow its provisions as this transition occurs.
I understood from our discussion at your facility last week that the Tribe’s long-term plan
is to relocate and upgrade your gaming facility in the future, and this new ordinance
should accemmodate/hose efforts.

submission. If you have any questions or require assistance, please
ia Getoff at (202) 632-1594.

NATIONAL HEADQUARTERS 1447 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


CHAPTER II
Organization

Section 201 Gaming Commission Establishment

The Tribe hereby establishes a Tribal Gaming Commission whose duty it is to regulate
Tribal Gaming Operations. The Ponca Tribal Gaming Commission shall consist of
three (3) Commissioners, one of whom shall be designated by the Chairman of the
Ponca Tribal Business Committee as the Chairperson. Gaming Commissioners shall

be appointed by the Chairman of the Ponca Tribal Business Committee, with the advice,
consent, and confirmation of the Ponca Tribal Business Committee.

Section 202 Gaming Commission Composition

The Ponca Tribal Gaming Commission shall maintain an administrative office and staff
Personnel. The Gaming Commission staff will consist of Compliance Officers,
Background Investigators, Vendor License Investigators, Auditors, Information
Technology Technicians, Fingerprint Technicians, Office support personnel and any
other personnel to properly operate the Gaming Commission Office. Such office shall
serve as the Commission’s main business office and shall be the site at which the
Commission’s records and documents are maintained and stored on a permanent basis.

Section 203 Gaming Commission Purposes

The purpose of the Commission is regulatory, not managerial. The Commission shall
conduct oversight to ensure compliance with Tribal, Federal, and State laws and
regulations. The Commission shall serve as the licensing authority for individuals
employed in the Gaming Operation and shall administer background investigations as
part of the licensing process. The Commission shall also have a role in monitoring
compliance with the internal controls for the Gaming Operation and in tracking 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 records. The Commission shall have
authority to take enforcement actions, including suspension or revocation of an individual
gaming license when appropriate.

Section 204 Gaming Commission Suitability Standards

Nominees for positions of Tribal Gaming Commissioner must satisfy the suitability
standards set forth for Key Employees and Primary Management Officials, found in
Section 503 of this Ordinance. Such background investigations shall be performed under
the direction of the Tribal Business Committee or duly appointed agent.


Section 113 Applicable Law

A. All controversies involving contracts relating to gaming entered into under the
authority of the Tribal Business Committee, or violation(s) of any section of the
Ordinance, shall be resolved, as appropriate in accordance with:

Ii, the laws of the Tribe;

2: the Indian Gaming Regulatory Act;

3. NIGC Regulations; and

4. the laws of the State of Oklahoma, which are incorporated herein by
reference.

B. To the extent that the provisions of any State-Tribal compact entered into by the
Ponca Tribe of Oklahoma and the State of Oklahoma are inconsistent with any
provisions of this Ordinance; the provisions of the Tribal-State Compact shall
govern Class III gaming on Ponca Indian Lands.

Section 114 Certification of Gaming Devices

All gaming devices operated under the authority and rights granted by and within the
Tribal-State Compact must meet the technical standards pursuant to Part 4 Paragraph B
of said compact. The Commission shall maintain a complete list of all gaming devices
(whether or not such devices are in use) located at any Gaming Establishment/Facility.


12. List of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership in the
company; and

13. Any further information the Tribe 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.

C. The vendor shall be required to submit in writing any changes in the information

since the original license application was filed and any information requested by the
Tribe not contained in the original application.

-Section 604 Vendor Background Investigation

To complete an investigation of the gaming vendor this investigation shall contain, at a
minimum, the following steps:

A. Verification of the business’ incorporation status.

B. Obtain a business credit report, if available, and conduct a Better Business Bureau
check on the vendor;

C. Conduct a check of the business’ credit history
D. Call each of the references listed in the vendor application; and
E. Conduct an investigation of the principals and any other employees the Ponca

Tribal Gaming Commission deems necessary of the business, including a criminal
history check and a credit report.

Section 605 Vendor License Fee

The Tribe may charge a license fee, to be set by the Commission, to cover its expenses in
investigating and licensing vendors of the Gaming Operation.

Section 606 Vendor Background Investigation Report

The Ponca Tribal Gaming Commission, or its agents, shall employ or engage an
investigator to conduct vendor background investigations. The investigator(s) shall

27


Section 603 Contents of the Vendor License Application

A. Applications for Vendor Licenses must include the following:

I.

10.

11

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

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

If the applicant is a corporation, the State of Incorporation;

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

General description of the business and its activities:

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

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;

Names, addresses, and phone numbers of three business references (two
businesses and one bank), with whom the company had regularly done
business.

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;

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

. A list of lawsuits to which the business has been or is involved, including

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

26


2. and total gaming-related operating expenses, excluding management fees.
R. “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; 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.

Section 103 Designated Agent for Service of Process

For any legal correspondence between the National Indian Gaming Commission and the
Ponca Tribe of Oklahoma, the designated agent shall be the Chairman of the Ponca Tribal
Business Committee, #20 White Eagle Drive, Ponca City, OK 74601.

Section 104 Gaming Authorized

Class I, Class II, and Class III gaming are hereby authorized.

Section 105 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 105 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 Tribe and its members;
C. to promote Tribal economic development;
D. to donate to charitable organizations; or

i)

to help fund operations of local government agencies.


CHAPTER V
Employee Licensing

Section 501 Requirement of Gaming Licenses

A tribal gaming license is required of the following individuals:
1. Primary Management Officials;
2. Management Contractors:
3. Key Employees;
4. all other employees of any Gaming Operation; and

5. all Commissioners and employees of the Gaming Commission.

Section 502 Standards for Employee Licenses

A. Licenses issued hereunder to Primary Management Officials, Management
Contractors, and Key Employees shall be issued according to requirements at
least as stringent as those set forth in 25 CFR §§556 and 558, and any
amendments thereto.

B. Recognizing the need for an established procedure for the licensing/permitting
of the Ponca Tribal gaming facility employees, the following is hereby declared to
be a policy of the Ponca Tribal Gaming Commission. Pursuant to federal law
(P.L. 100-497) regarding gaming on Indian lands, each gaming Tribe shall ensure
that there exists a standard whereby any Person whose prior activities, criminal
record, if any, or reputation, habits and associations pose a threat to the public
interest or to the effective regulation of gaming, or create or enhance the dangers
of unsuitable, unfair, or illegal practices and methods and activities in the conduct
of gaming shall not be eligible for employment. Therefore, the purpose of the
Regulation shall be construed to protect the Ponca Tribal Gaming Operation from
potentially detrimental influences.

Section 503 Licensing for Key Employees and Primary Management Officials

A. The Tribe shall ensure that the policies and procedures set out in this section are
implemented with respect to Key Employees and Primary Management Officials
employed at any gaming enterprise operated on Indian lands. The Tribe will issue

17


E. With respect to all employees, and in particular Key Employees and Primary
Management Officials, the Commission shall retain applications for employment
and reports (if any) of background investigations for inspection by the Chairman
of the NIGC or his or her designee for no less than three years from the date of
termination of employment.

Section 513 Granting a Gaming License

A. If, within a thirty (30) day period after the NIGC receives a report, the NIGC
notifies the Tribe that it has no objection to the issuance of a license pursuant to a
license application filed by a Key Employee or a Primary Management Official
for whom the Tribe has provided an application and investigative report to the
NIGC, the Commission, acting for the Tribe, may issue a license to such
applicant.

B. Such license shall be valid for two years upon which the employee will re-apply
for a renewal license.

C. 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.

D. If, within the thirty (30) day period described above, the NIGC provides the Tribe
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 Tribe shall
reconsider the application, taking into account the objections itemized by the
NIGC. The Tribe shall make the final decision whether to issue a license to such
applicant.

E. No applicant has an absolute right to a gaming license. A gaming license is a
revocable privilege and no holder acquires any vested rights therein or there
under.

Section 514 License Suspension

A. If, after issuance of a gaming license, the Commission réceives 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.

B. The Commission shall notify the licensee of a time and a place for a hearing on
the proposed revocation of a license by written letter. The licensee shall have ten

23


Section #

101

102
103
104
105
106
107
108
109
110
111
112
113
114

401
402
403

Table of Contents

Topic

Chapter I General Provisions
Authority

Definitions

Designated Agent for Service of Process
Gaming Authorized

Ownership of Gaming

Use of Gaming Revenue

Audit

Tribal Access to Financial Information
Environment and Public Health and Safety
Gaming Establishment/Facility Licenses
Standards for Issuing Gaming Establishment/Facility Licenses
Tribal Internal Control Standards (TICS)
Applicable Law

Certification of Gaming Devices

Chapter II Organization
Gaming Commission Esta! ment
Gaming Commission Composition
Gaming Commission Purpose

Gaming Commission Suitability Standards
Gaming Commission Powers and Duties
Gaming Commission Records

Ethics

Removal of Commissioners

Chapter Il Prize and Tort Claims/Patron Disputes
Prize and Tort Claims/Patron Disputes

Patron Rights Regarding Disputes

Gaming Commission Action on Patron Disputes

Chapter IV Violations
Violations

Ejection of Patrons
Right to Exclude or Remove

Page #

1-6

7-11

12-13

14-16


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

D. The Commission shall maintain an administrative office. No individual except a
Commissioner or other authorized employee or agent of the Commission may
Possess a key to or may enter any Commission office without the permission of
the Commission. No person may access such records except a Commissioner, a
person duly authorized by the Commission or an attorney for the Commission.

Section 207 Ethics

A. The Tribe recognizes that the duties of the Commission include making important
decisions on highly sensitive issues. As such, the Tribe has determined that the
Commission shall be held to extremely high ethical standards. Prior to taking
their positions on the Commission (members and staff), the members and staff
shall agree to be bound by the following principles:

1. Members and staff shall not hold financial interests that conflict with the
conscientious performance of their duties as. managers and regulators.

2. Members and staff 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. Members and staff 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 member’s duties.

4. Members and staff shall make no unauthorized commitments or promises
of any kind purporting to bind the Tribe.

5. Members and staff shall not use their positions for private gain.

6. Members and staff shall act impartially, in accordance with all relevant
Tribal, Federal, and State laws, and shall not give preferential treatment to
any private organization or individual, including any persons related to
members and staff.

7. Members and staff shall ensure that Tribal property and gaming assets
shall be properly segregated and safeguarded, and that such property and
assets shall not be used for unauthorized activities.


CHAPTER III
Prize and Tort Claims/Patron Disputes

Section 301 Prize and Tort Claims/Patron Disputes

A. Any Patron who has any dispute, disagreement or other grievance with the
Gaming Operation in connection with his or her play of any covered
game, the amount of any prize which has been awarded in connection with
any covered game, the failure to be awarded a prize in connection with
any covered game, or the right to receive a refund or other compensation
in connection with any covered game, hereinafter “prize claim”, must seek
resolution of such dispute as identified and outlined within the Tribal-State
Compact (ENR. S. B. No. 1252, Part 6 B and C “Prize Claim”).

B. Patrons having a tort claim for personal injury or property damage against
the Gaming Operation arising out of incidents occurring at a Gaming
Establishment/Facility or Gaming Operation, hereinafter “tort 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”).

C. Any Patron who has any dispute, disagreement or other grievance with
any area of the Gaming Establishment/Facility or Gaming Operation not
related to Section 301 A and B (as stated above) may seek resolution of
such dispute from the following persons and in the following order:

1. amember of the staff in the relevant area of the Gaming
Operation;

2. the supervisor in the relevant area of the Gaming Operation in
which the dispute arose;

3. the manager of the relevant Gaming Operation;

D. Resolutions of any dispute by the personnel of a Gaming Operation and
the Patron shall always involve two or more staff members.

E. All disputes, whether resolved or not, shall be reported in detail by the
staff persons involved to their supervisor, or, in the case of the General
Manager of the Gaming Operation, to the Ponca Tribal Gaming
Commission.

12


PONCA TRIBE OF OKLAHOMA

CLASS II & Il
REVISED

GAMING ORDINANCE


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

4. Conduct a criminal history check via the submission of the applicant’s
fingerprints to the NIGC, and further obtain information from the
appropriate court regarding past felony and/or misdemeanor convictions
and criminal charges within the last ten years.

5. Inquire into any previous or existing business relationships with the
gaming industry and Indian tribes by contacting the entities or Tribes;

6. Verify the applicant’s history and status with any licensing agency by
contacting the agency; and

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

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

C. The Commission shall promise to keep confidential the identity of each Person
interviewed in the course of the investigation, other than disclosure as required
under Federal, Tribal, or State law.

Section 510 Eligibility Determination

The Commission shall review a Person’s prior activities, criminal record, if any, and
reputation, habits and associations to make a finding concerning the eligibility of a Key
Employee or Primary Management Official 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 tribal gaming operation shall not employ that Person in Key Employee or
Primary Management Official position.

Section 511 Procedures for Forwarding Applications and Reports for Key
Employees and Primary Management Officials to NIGC

A. When a Key Employee or Primary Management Official is employed to work at a
Gaming Operation authorized by this Ordinance, the Commission shall forward to

21


Ponca Tribe of Oklahoma

Box 2, White Eagle ¢ (580)762-8104¢ #Ponca City, Oklahoma 74601

Resolution No. 133-091208
RESOLUTION

WHEREAS, _ the Ponca Tribal Business Committee is the duly authorized governing body of the
Ponca Tribe of Oklahoma, under the authority of the Ponca Tribal Constitution and bylaws
originally ratified on September 20, 1950 and,

WHEREAS, _ the Ponca Tribe of Oklahoma Gaming Board sees the need to update and revise the
Ponca Tribal Gaming Ordinance originally written and approved in 1995 when our gaming facilities
only offered bingo and pull tabs.

WHEREAS, _ the National Indian Gaming Commission (NIGC) has recommended that our
ordinance be updated to reflect the many changes, advancements and unprecedented growth in the
gaming industry

WHEREAS, _ the passage of the gaming compact with the State of Oklahoma allows for a new
class of gaming, new licensing requirements ( such as vendor licensing), and new tort and prize
claim procedures that were not addressed in the old ordinance

WHEREAS, a revised Class II and III Gaming Ordinance has been developed that complies with
applicable federal, state and tribal requirements.

NOW, THEREFORE, BE IT RESOLVED that the Ponca Tribe of Oklahoma hereby approves the

adoption of this revised Class II and III] Gaming Ordinance that will become effective upon approval
from the National Indian Gaming Commission.

CERTIFICATION
We, the undersigned, hereby affirm that at an official meeting of the Ponca Tribal Business
Committee, held on the _12th day ofSEP TEMBER 2008 at which a quorum was present, the

above resolution was presented and approved, by a vote of:
6 For, 0 Abstain, and 1 Absent. QO Against

= tu 7 Va el-
Earl Howe III Chairman SE: ce-Chairman

ScottySimps aE Council Member
K ) Vv ~
Georgina ot een Member

Dan Jones Council Member

Roughface Sect-Tyeasurer



CHAPTER VII
Miscellaneous Provisions

Section 701 Sovereign Immunity
The Ponca Tribe of Oklahoma, acting through the Ponca Tribal Business Committee,
confers on the Commission all of the Tribe’s rights, privileges, immunities and sovereign

immunity from suit, to the same extent that the Tribe would have such rights, privileges,
if it engaged in the activities undertaken by the Commission.

Section 702 Compliance with Alcoholic Beverage Laws
The Tribe shall comply will all applicable Tribal, State, Local and Federal regulations

pertaining to the sale of alcoholic beverages at Tribally owned or operated Gaming
Establishments/Facilities.

Section 703 Compliance with Federal Law

The Tribe shall comply with all applicable federal law, including the Bank Secrecy Act,
31 U.S.C. § 5311 et seq.

Section 704 Compliance with State-Tribal Gaming Act

The Tribe shall comply with all applicable standards as identified in the State-Tribal
Gaming Act ENR. S. B. No. 1252.

Section 705 Severability

The provisions of this gaming Ordinance are severable. If any provision of this Gaming
Ordinance or any portion of any provision of this Gaming Ordinance is held invalid by a
court of competent jurisdiction, the invalidity shall not effect any other provision of this
Gaming Ordinance. The remainder of this Gaming Ordinance shall remain valid and in

full effect.

Section 706 Amendment

All provisions of this Gaming Ordinance are subject to amendment by the Business
Committee of the Ponca Tribe of Oklahoma. Any such amendment to this Gaming
Ordinance shall be submitted to the NIGC for approval within fifteen (15) days of
adoption.

Section 707 Effective Date

This Gaming Ordinance shall be effective on the date of approval by the NIGC
Chairman.

29


days in which to reply to the notice of suspension and proposed revocation for a
licensing hearing. The hearing shall convene within ten days of notification.

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

Section 515 Board of Review for Licensing Disputes

The Tribe has determined that, in order to adhere to this Ordinance and all gaming
regulations, there shall be established a Tribal Gaming Board of Review (Board of
Review). The Board of Review shall serve as the final review body for licensing
disputes. The Board of Review shall consist of the three Commissioners.

24


Section 205 Gaming Commission Powers and Duties

The Ponca Tribal Gaming Commission shall:

I,

2

10.

1.

12.

13.

14.

Administer, monitor and enforce all provisions of the Gaming Ordinance.
Conduct or cause to be conducted background investigations, at a
minimum, on primary management officials, key employees and any or all
other employees as necessary;

Review and approve all investigative work conducted;

Report results of background investigations to the NIGC;:

Obtain and process fingerprints;

Determine the eligibility of persons to be licensed, have licenses renewed,
suspended, conditioned, revoked, or denied;

Determine departmental budget;
Assess and collect fees;

Make licensing Suitability Determinations, which shall be signed by the
Chairman of the Gaming Commission;

Issue and review gaming licenses to management officials and employees
of the operation, consistent with the Suitability Determination;

Issue Gaming Establishment/Facility licenses to Tribal Gaming
Operations;

Inspect, examine and monitor all gaming activities, and have immediate
access to review, inspect, examine, photocopy and audit all records of the
Gaming Establishment/Facility;

Ensure compliance with all Tribal, State, and Federal laws, rules, and
regulations regarding Indian gaming;

Investigate any suspicion of wrongdoing associated with any gaming
activities;


8. Members and staff shall not engage in outside employment or activities,
including seeking or negotiating for future employment, which conflict
with their official duties and responsibilities.

9. Members and staff shall disclose waste, fraud, abuse, and corruption to
appropriate authorities.

10. Members and staff shall endeavor to avoid any actions creating the
appearance that they are violating the law or the ethical standards listed
herein.

11. Members and staff 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.

12. Members and staff may not game in a facility operated by the Ponca Tribe.

Section 208 Removal of Commissioners

Once confirmed, a Gaming Commissioner of the Ponca Tribe may be removed by a two-
third (2/3) majority vote of the Business Committee and only upon the following listed
grounds:

1. conviction or guilty plea entered to a felony involving theft, embezzlement, mis-
appropriations of funds, robbery, burglary or other violations based primarily on
the wrongful taking or withholding of the property of another.

2. conviction or guilty plea entered to a charge of destruction of property, assault or
battery upon another person, or

3. conviction or guilty plea entered to a drug or alcohol related charge.
a. This provision shall not apply to any such person as may have been convicted
of any charge in this section 208 part 3 where said offense is so remote (over ten
years) from the date of their appointment and whereas such charge was not a

felony conviction.

4. Falsifying information on application for employment or licenses issued pursuant
to this ordinance.

5. Failure to properly perform the duties of the office of the Gaming Commission and
to enforce and uphold the Ponca Tribal Gaming Ordinance.

6. Any violation of Section 207 of this Ordinance.

11