4,

10 years of the date of the application; and

every felony offense of which the applicant has been convicted or any
ongoing prosecution; and

A copy of the eligibility determination made in accordance with Section 21.

Section 24. Primary Management and Key Employee Gaming Licenses

Granting Gaming Licenses

A.

All primary management officials and key employees of the gaming operation
must have a gaming license issued by the Tribe. The Tribal Gaming
Commission24 is responsible for granting and issuing gaming licenses to
primary management officials and key employees.

The Tribal Gaming Commission may license a primary management official
or key employee applicant after submitting a notice of results of the
applicant’s background investigation to the NIGC, as required by Section 22.

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.

The Tribe shall not employ an individual in a primary management official or
key employee position who does not have a license after 90 days of beginning
work at the gaming operation.

Notice from NIGC Concerning NIGC Objections to License

E.

G

The Tribal Gaming Commission must reconsider a license application for a
primary management official or key employee if it receives a statement of
itemized objections to issuing such a license from the NIGC, and those
objections are received within 30 days of the NIGC receiving a notice of
results of the applicant's background investigation.

The Tribal Gaming Commission shall take the NIGC’s objections into account
when reconsidering a license application.

The Tribe will make the final decision whether to issue a license to an
applicant for a primary management official or key employee position.

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

15


Also, you may be punished by fine or imprisonment (18 U.S.C. § 1001).

Section 18. License Fees; Fingerprints

The Tribe may charge a license fee, to be set by the Tribal Gaming Commission, to
cover its expenses in investigating and licensing key employees and primary
management officials of the gaming operation.

The Tribe shall perform 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 Oglala Sioux Public Safety Department.
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 19. Background Investigations

A. The Tribe shall perform a background investigation for each 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 information:

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

4. Current business and residential telephone numbers, and all cell phone
numbers, and a current photograph;

5. A description of any existing and previous business relationships with

11


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.

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 29. Vendor 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.

Verification of the vendor’s business’ incorporation status and qualifications
to do business in the state where the gaming operation is located;

Obtaining a business credit report, if available, and conducting a Better
Business Bureau check on the vendor;

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

Calling and questioning each of the references listed in the vendor
application; and

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 30. 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 31. 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 32. Exemption for Vendors Licensed by Recognized Regulatory

19


This Gaming Ordinance shall be liberally construed to benefit the welfare of
the Oglala Sioux Tribe in a manner consistent with the Indian Gaming Regulatory
Act, tribal law, and the Oglala Sioux Tribal-State Compact. The Gaming Ordinance
shall be construed in a manner to preserve the inherent sovereign authority of the
Oglala Sioux Tribe. The provisions of this Ordinance are severable, and should any
provision (or any application of any provision be deemed invalid) the balance of the
Ordinance shall remain in force and effect.

Prior Gaming Regulatory Ordinances and Resolutions of the Oglala Sioux
Tribe are repealed, including No. 93-17 and No. 94-01.

Section 4. Gaming Authorized.

Class II and Class III gaming are authorized to be conducted on the Tribe’s
Indian lands, provided such gaming is conducted in accordance with this ordinance,
the Indian Gaming Regulatory Act, the NIGC’s regulations, any other applicable laws
and regulations, and in regard to Class III gaming, the Tribal-State Compact.

Section 5. Compliance with Federal Law

It shall be the policy of the Oglala Sioux Tribe to comply with all applicable
federal laws, including the Bank Secrecy Act, 31 U.S.C. § 5311 et seq., and the Tribe
shall establish appropriate regulatory rules, regulations, and procedures to ensure
such compliance.

Section 6, Agent for Service of Process; Secretary of the Tribe.

The Oglala Sioux Tribe designates the Secretary of the Tribe located at
Secretary, Oglala Sioux Tribe, P.O. Box 2070, Pine Ridge, SD 57770, phone (605)
867-5821 as the agent for service of any official determination, order or notice of
violation issued by the National Indian Gaming Commission or the United States.

Section 7. Ownership of Gaming.

The Oglala Sioux Tribe shall have the sole proprietary interest in and
responsibility for the conduct of any gaming operation authorized by this ordinance.

Section 8. Use of Net Gaming Revenues.

A. Net revenues generated by the Oglala Sioux Tribe through Class II and
Class HI Indian gaming shall be used only for the following purposes:

To fund Tribal government operations or programs;

To provide for the general welfare of the Tribe and its members;
To promote Tribal economic development;

To donate to charitable organizations; or

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required under this ordinance.

Section 25. 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 above for making a license eligibility determination,
that licensing the person:

Poses a threat to the public interest;
Poses a threat to the effective regulation of gaming; or

Creates or enhances the dangers of unsuitable, unfair or illegal practices,
methods and/or activities in the conduct of gaming.

When the Tribal Gaming Commission does not issue a license to an applicant
for a primary management official or key employee position, or revokes a
previously issued license after reconsideration, it shall:

Notify the NIGC; and
Forward copies of its eligibility determination and notice of results of the

applicant's background investigation to the NIGC for inclusion in the Indian
Gaming Individuals Record System.

Section 26. Gaming License Suspensions and Revocations

A.

If, after 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:

Immediately suspend the license;

Provide the licensee with written notice of the suspension and proposed
revocation; and

Provide the licensee with notice of a time and place for a hearing on the
proposed revocation of the license.

The right to a revocation hearing vests only when a license is granted under
an ordinance approved by the NIGC Chair.

16


10.

11.

12.

13.

14.

15.

company, sole proprietorship or other entity;

If the applicant is a corporation, the state of incorporation and the
qualification to do business in the State of South Dakota if the gaming
operation is in a different state than the state of incorporation;

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

General description of the business and its activities;

Whether the applicant will be investing in, or loaning money to, the gaming
operation, and, if so, how much;

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 any non-gaming activity;

Names, addresses and telephone numbers of three (3) business references
with whom the company has regularly done business for the last five (5)
years;

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

A list the business’ funding sources and any liabilities of $50,000 or more;
A list of the principals of the business, their social security numbers,
addresses, telephone numbers, titles, and percentage of ownership in the

company; and

Any further information the Tribe deems relevant.

18




of the Commission;

Submit a notice of results to the NIGC of the background investigations done
for each primary management official and key employee applicant;

Issue gaming licenses to primary management officials and key employees of
the operation, if warranted by the eligibility determination;

Establish standards for licensing Tribal gaming facilities;
Issue gaming licenses to Tribal gaming facilities;

Inspect, examine and monitor all of the Tribe’s gaming activities, and have
immediate access to review, inspect, examine, photocopy and audit all
records of the gaming establishment;

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;

Hold hearings on patron complaints, in accordance with procedures
established in this ordinance and the Tribal gaming regulations;

Comply with any and al] reporting requirements under IGRA, the NIGC’s
regulations and any tribal-state compact to which the Tribe is a party, and
any other applicable law;

Promulgate and issue regulations necessary to comply with applicable
internal control standards;

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

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;

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;

Establish a list of persons who have voluntarily agreed to be excluded from
the Tribal gaming facility, and create regulations for enforcing the exclusions;


Commission for review subject to an appeal to the Tribal Court. The patron must
file a claim within 30 days of the incident in dispute. The Gaming Commission shall
hold a hearing within 30 days of the receipt of the petitioner's complaint. The
petitioner may have counsel present at the hearing. The petitioner may be allowed
to present relevant evidence. After the hearing, the Commission shall render a
decision in a timely fashion. All such decisions will be final when issued. When the
dispute involves a prize, the petitioner's recovery shall be limited to the amount of
the prize in dispute. When the dispute involves a tort claim, petitioner's case shall
be governed by the Oglala Sioux Tribe Tort Claim Ordinance and any recovery shall
be limited in accordance with that ordinance. The decisions of the Gaming
Commission may be appealed to the Tribal Courts, provided that the Tribal Court
shall give due deference to the administrative record of the Gaming Commission and
shall require full administrative exhaustion of remedies prior to hearing a case. The
Gaming Commission shall submit a quarterly report to the Tribal Council concerning
patron disputes and resolutions.

Section 12. Gaming Commission Established.

A. The Tribe hereby establishes a Tribal Gaming Commission (“Commission”) to
regulate the Tribe’s gaming operations. The Commission shall consist of
three (3) members, including a Chair, Vice-Chair, and Associate
Commissioner.

B. The Commission will conduct oversight to ensure compliance with Tribal,
federal and, in regard to Class III gaming, the Tribal-State Compact and state
laws and regulations applicable thereunder. 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 will also have a role in 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 of its records, provided that the
Commission shall establish procedures to ensure the integrity and soundness
of the gaming operation, its records and activities as the Commission acts to
fulfill its duties. The Commission shall have authority to take regulatory
enforcement actions, including suspension or revocation of an individual
gaming license, when appropriate.

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

1. The Initial Commission to serve under this Ordinance shall be appointed
for a period of two (2) years by the Tribal Council, and the Tribal Council
shall make the initial appointments for Chairman, Vice-Chairman and
Associate Member; the Initial Commissioner may be designated to serve
full-time by the President in accordance with the pay scale for a GS-11;


5. To help fund operations of local government agencies.

Section 9. Annual Audits; Audit Report to the NIGC.

A. The Oglala Sioux Tribe, acting through the Tribal Treasurer in consultation
with the Gaming Operations and Gaming Commission, shall cause to be
conducted annual independent audits of gaming operations and shall submit
the results of those audits to the NIGC.

B. Annual audits shall be performed by a qualified CPA firm, with experience in
Indian gaming and shall conform to generally accepted accounting and
auditing standards.

C. 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 specifically included
within the scope of the audit conducted under Section 9(A) of this ordinance.

D. Copies of the annual audit of each licensed gaming operation, and each audit
for supplies, services or concessions of each gaming operation, shall be
furnished to the NIGC within 120 days after the end of each fiscal year of the
gaming operation.

E. A copy of the Tribal gaming operation’s annual audit will be made available
upon request to the Tribal President, Tribal Council, and Tribal Treasurer.

Section 10. Protection of the Environment and Public Health and Safety

A. Each gaming facility shall be constructed, maintained, and operated ina
manner that adequately protects the environment and the health and safety
of the public.

In coordination with other tribal government agencies, the Gaming
Commission and Tribal Public Safety Department 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. Patron Dispute Resolution.

A gaming operation shall seek to immediately resolve any dispute between any
member of the gaming public and the gaming operation or its licensees. Any patron
who is dissatisfied with the dispute resolution proposed by the gaming operation
may present such dispute for final resolution by either the Gaming Commission or
the Tribal Court, provided that any dispute involving the Gaming Ordinance, gaming
laws, rules or regulations or the Compact, must first be brought to the Gaming


4.

The basis for those conclusions,

Section 22. Primary Management and Key Employee Eligibility
Determinations

A.

Before a license is issued to a primary management official or key employee,
an authorized Tribal official shall make a finding concerning the eligibility of
that person for receiving a gaming license by reviewing the applicant's prior
activities, criminal record, if any, and reputation, habits and associations.

If the authorized Tribal official, 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 ina key
employee or primary management official position.

Copies of the eligibility determination shall be included with the notice of
results that must be submitted to the NIGC before the licensing of a primary
management official or key employee

Section 23. 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.

The notice of results must be submitted to the NIGC no later than 60 days
after the applicant begins working for the Tribe.

The notice of results shall include the following information:

The applicant’s name, date of birth, and social security number;

The date on which the applicant began, or will begin, working as a primary
management official or key employee;

Asummary of the information presented in the investigative report,
including:

licenses that have previously been denied;
gaming licenses that have been revoked, even if subsequently reinstated;

every known criminal charge brought against the applicant within the last

14


1. No member of the Tribal Council may serve on the Gaming Commission,
and no Gaming operation management official may serve on the Gaming
Commission, unless he or she first takes a leave of absence from said
management position;

2. No member directly related to, or living with, any Tribal Council member
or Tribal Gaming Board of Directors member may serve on the Tribal
Gaming Commission;

3. Members of the Commission are prohibited from gambling in the facility;

4. Commissioners are prohibited from accepting complimentary items from
the gaming operation, excepting food and beverages valued under $20.00;

and

5. Commissioners may only be removed from office by the Tribal Council,
prior to the expiration of their respective terms, for neglect of duty,
misconduct, malfeasance or other acts that would render a Commissioner

unqualified for the position.

Nominees for Commissioner positions must be certified as trustworthy after
a background check reviewed by the Election Board, must have at least an
Associate of Arts, Science, Business college degree or comparable degree, and
at least three years prior experience in gaming regulation, operations, or law
enforcement.

Section 14. Duties of the Commission.

The Tribal Gaming Commission shall:

A.

Conduct background investigations, or cause such investigations to be
conducted, for primary management officials and key employees;

Review and approve all investigative work conducted in connection with the
background investigations of primary management officials and key
employees;

Create and maintain investigative reports based on the background I
investigations of primary management officials and key employees;

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

Make licensing eligibility determinations, which shall be signed by the Chair


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 33. Effective Date

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

20


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December 15, 2014

VIA FIRST CLASS MAIL

President John Yellowbird Steele
Oglala Sioux Tribe

P.O. Box 2070

Pine Ridge, South Dakota 57770

Re: — Oglala Sioux Tribe Amended Gaming Ordinance;
Ordinance No. 14-41

Dear President Yellowbird Steele:

I am writing with respect to the Oglala Sioux Tribe’s Gaming Ordinance, Ordinance No.
14-41 (“the Ordinance”), which was received by the National Indian Gaming Commission
(NIGC”) for our review and approval on December 2, 2014. On November 25, 2014, the
Oglala Sioux Tribal Council unanimously approved a new gaming ordinance. The Gaming
Ordinance specifically repeals all previous gaming ordinances and resolutions.

I commend the Tribe on amending its existing ordinance to meet the evolving regulatory
needs of its gaming operations and to reflect recent regulatory changes required by the NIGC. In
addition to technical corrections, the ordinance updates the Tribe’s background and licensing
procedures so that they comply with the provisions of parts 556 and 558. The Gaming Ordinance
is approved as it is consistent with the requirements of the Indian Gaming Regulatory Act and
NIGC regulations.

If you have any questions concerning this letter or the ordinance review process, please
contact John Hay at (202) 632-7003.

Sincerely,

Jonodev O. Chaudhuri
Chairman (Acting)

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

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; Si, Paul, MN; Tulsa OK; Oklahoma City, OK
WWW.NIGC.GOV



Tribal, federal and/or applicable state law. Information 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 and only
when necessary for actions taken in their official capacities.

B. The confidentiality requirements in Section 15(A), 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 performance of their official
duties.

C. Amajority of the Commission shall constitute a quorum. The concurrence of
a majority of the Commissioners shall be required for any final determination
by the Commission. The Commission may act in its official capacity, even if
there is a vacancy on the Commission.

D. Commissioners shall be compensated at a level determined by the Tribal
Council. A Commissioner’s compensation shall not be based on a percentage
of gaming revenue.

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

Section 16. Facility Licenses

A. The Tribe shall issue a separate license to each place, facility or location on
Indian lands where Class I! or Class III gaming is conducted under this
ordinance.

B. The Tribal 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: a legal description 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.


T. Provide referrals and information to the appropriate tribal or BIA law
enforcement officials when such information indicates a criminal violation of
Tribal, federal or applicable state statutes, ordinances, regulations, codes or
resolutions;

U. Create a list of regulatory authorities that conduct background investigations
of, and license, vendors who are recognized as trustworthy;

Vv. Draft regulations exempting vendors from the licensing and/or background
investigation requirements if they have received a license from a recognized
regulatory authority;

Ww. Perform such other duties the Commission deems appropriate for the proper
regulation of the Tribal gaming operation;

xX. Promulgate such regulations and guidelines as deemed appropriate to
implement the provisions of this ordinance, so long as they are in furtherance
of, and not in conflict with, any provisions of this ordinance;

Y. The Commission shall establish for the Commission a financial accounting
system, personnel, operating, administrative rules and hearing procedures,
subject to the approval of the Tribal President; and the Commission may
contract with an arm of the tribal government to provide administrative,
human resources, and financial accounting services, subject to the review,
oversight and approval of the Tribal Treasurer; and

Z. Before adopting, amending and repealing regulations, the Commission shall
give notice of any such proposed action to the Tribal Council, 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. The Tribal Council shall pass a resolution affirming the
adoption, amendment, or repeal of regulations prior to such agency action
taking legal effect.

Section 15. Confidentiality of Background Investigation Records; Quorum;
Meetings

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 any persons who are not directly involved in the
licensing and employment processes. The Commission, and its investigators,
shall keep confidential the identity of each person interviewed in the course
of conducting a background investigation, unless disclosure is required by


2. Thereafter, at its first election, the Commission shall be filled by election
at large by the Tribe’s general membership through its primary and
general election process to serve staggered 2, 4 and 6 year terms with the
highest vote getter serving 6 years, the next serving 4 years, and the next
serving 2 years;

3. At each subsequent election, one Commissioner shall be elected at large
by the Tribe’s general membership to serve for a term of 6 years to fill the
expiring Commissioner's seat; and

4. After the initial appointments, the Commission shall elect a Chair, Vice-
Chair and Associate Member from among the Commission Members.

Section 13. Additional Qualifications of Commissioners; Independence.

A.

The following persons are not eligible to serve as Commissioners: Tribal
Council members, while serving as such; current employees of the gaming
operation, while serving as such; gaming contractors (including any 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. Non-tribal members
previously convicted of any felony or misdemeanor offense of embezzlement,
theft or any other money-related or honesty-related misdemeanor offense,
such as fraud, cannot serve as a Commissioner. Tribal members previously
convicted of any felony and Tribal members previously convicted of any
misdemeanor offense of embezzlement, theft or any other offense related to
money or honesty, such as fraud, will only be allowed to serve as a
Commissioner if ten or more years has passed (which the Tribal Council finds
to be a significant amount of time) provided that the person is determined by
the Election Board to now be of trustworthy character. The Tribal Election
Board shall require a criminal history check to be conducted by appropriate
law enforcement agencies for each Commissioner candidate prior to each
election; shall review the candidate’s criminal history check results; and shall
make an appropriate eligibility determination before certifying an individual
to be placed upon the ballot for the position of Commissioner.

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 Tribal Council in all regulatory matters within its
purview. With the exception of general policy matters, no prior, or
subsequent, review by the Tribal Council of any actions of the Commission
shall be required or permitted 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:


C. Following a revocation hearing, the Tribe shall decide whether to revoke or
reinstate the license at issue.

D. The Tribe shall notify the NIGC of its decision to revoke or reinstate a
license within 45 days of receiving notification from the NIGC that a primary
management official or key employee is not eligible for employment.

Section 27. Records Retention

A. The Tribal Gaming Commission shall retain, for no less than three years from
the date a primary management official or key employee is terminated from
employment with the Tribe, the following documentation:

1 Applications for licensing;
2. Investigative Reports; and
3. Eligibility Determinations.

Section 28. 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.

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 10 largest stockholders, as well as the on-site supervisors or managers
designated in an agreement with the Tribe, if applicable.

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

17


OGLALA SIOUX TRIBE GAMING ORDINANCE

Section 1. Purpose.

The Oglala Sioux Tribe is a Federally recognized Indian tribe vested with
inherent sovereign authority over its members and territory, and with its right of
self-government guaranteed and Indian lands reserved as a “permanent home” by
the 1868 Sioux Nation Treaty and the 1851 Fort Laramie Treaty with the Sioux.

The Oglala Sioux Tribe adopted our Constitution and By-Laws pursuant to
the Indian Reorganization Act of 1934, 25 U.S.C. Section 476, establishing the Tribal
Council as the governing body of the Tribe, with authority to promote tribal general
welfare, to manage economic affairs, to regulate the use of Indian lands and to enact
legislation in furtherance of its sovereign authority,

The Tribal Council of the Oglala Sioux Tribe, empowered by our Constitution
and By-Laws to enact ordinances, hereby enacts this ordinance to promote tribal
economic development, self-sufficiency and sovereignty; to shield the operation of
gaming from organized crime and corrupting influences; and to ensure that gaming
is conducted fairly and honestly by both the operator and players.

Section 2. Title and Applicability.

This ordinance shall be known as, “The Oglala Sioux Tribe Gaming
Ordinance.” Ordinance provisions concerning the application of the Tribal-State
Class II] Gaming Compact (and any state laws and regulations applicable pursuant to
the Compact) shall apply only to Class III gaming. All other provisions of this
ordinance shall apply to both Class II and Class III Indian gaming, unless specifically
indicated otherwise.

Section 3. Definitions; Liberal Interpretation; Severability.

The terms used in the Oglala Sioux Tribe Gaming Ordinance shall have the
same meaning as those terms used in the NIGC Bulletin No, 2014-2, Revised Model
Gaming Ordinance (May 5, 2014) as adapted and made applicable to the Oglala
Sioux Tribe. See Appendix A, Revised Model Gaming Ordinance.

The terms “Class I, Class II and Class III gaming” shall be defined as those
terms are defined in the Indian Gaming Regulatory Act and the National Indian
Gaming Commission (“NIGC”) Regulations. See 25 U.S.C. §§ 2703(6), (7), and (8).

More generally, the terms used in this ordinance shall be construed
according to their plain meaning and by reference to the Indian Gaming Regulatory
Act, the Tribal-State Compact, and NIGC Regulations.


10.

11.

12.

13.

other tribes, including any ownership interests in the businesses;

A description of any existing and previous business relationships with the
gaming industry generally, including ownership interests in the
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 address of the court involved, and the date of
disposition, if any;

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

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

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;

Any other information the Tribe deems relevant; and

Fingerprints obtained in accordance with procedures adopted by the Tribe
pursuant to 25 C.F.R. § 522.2(h).

D. When a primary management official or key employee is employed by the Tribe, a
complete application file, containing all of the information listed in Section 19(c),
shall be maintained.

Section 20. 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 a required eligibility determination
under this ordinance. The investigator shall:

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ORDINANCE NO. 14-41
Page Two

C-E-R-T-I-F-I-C-A-T-I-0-N
I, as the undersigned Secretary of the Oglala Sioux Tribal Council of
the Oglala Sioux Tribe, hereby certify that this Ordinance was adopted
by a vote of: 13 For; 0 Against; 0 Abstain; and 1 Not Voting; during a
REGULAR SESSION held on the 25TH day of NOVEMBER, 2014. ;
wy) by Dy C
Styl [io Lid
RHONDA TWO EAGLE

Secretary
A-T-T-E-S-T: Oglala Sioux Tribe

Lenore fan Low
for bryan V. BREWER

President

Oglala Sioux Tribe



ORDINANCE NO. 14-41

ORDINANCE OF THE OGLALA SIOUX TRIBAL COUNCIL
OF THE OGLALA SIOUX TRIBE
(An Unincorporated Tribe)

ORDINANCE OF THE OGLALA SIOUX TRIBAL COUNCIL OF THE OGLALA SIOUX TRIBE
TO ENACT THE TRIBAL GAMING REGULATORY ORDINANCE OF THE OGLALA SIOUX
TRIBE TO AUTHORIZE, GOVERN AND REGULATE THE OPERATION OF CLASS II
GAMING AND CLASS III GAMING, CONSISTENT WITH THE TRIBAL-STATE COMPACT
WITH THE STATE OF SOUTH DAKOTA, ON THE TRIBE'S INDIAN LANDS IN
COMPLIANCE WITH THE INDIAN GAMING REGULATORY ACT, 25 U.S.C. SECTIONS
2701 ET SEQ.

WHEREAS, the Oglala Sioux Tribe has adopted its Constitution and
By-Laws by referendum vote on December 14, 1935, in accordance with
Section 16 of the Indian Reorganization Act of 1934 (25 U.S.C. § 476),
and under Article III of the Constitution, the Oglala Sioux Tribal
Council is the governing body of the Oglala Sioux Tribe, and

WHEREAS, the Tribal Council has power to protect and promote the
health and general welfare of the Oglala Sioux Tribe and its
Membership, pursuant to Article IV, Section l(w), of the Tribal
Constitution, and

WHEREAS, the Tribal Council has the power to manage the economic
affairs of the Tribe and to regulate the conduct of trade and the use
and disposition of property on the Pine Ridge Indian Reservation,
pursuant to Article IV, Sections 1(t) and l1(m), of the Tribal
Constitution, and

WHEREAS, the Tribal Council has power over the use, disposition,
sale, lease, or encumbrance of tribal lands, pursuant to Article IV,
Section l(c), and Article X of the Tribal Constitution, and

WHEREAS, the Tribal Council of the Oglala Sioux Tribe desires to
enact the Tribal Gaming Regulatory Ordinance Of The Oglala Sioux Tribe
to authorize, govern and regulate the operation of Class II Gaming And
Class III Gaming, consistent with the Tribal-State Compact With the
State of South Dakota, on the tribe's Indian lands in compliance with
the Indian Gaming Regulatory Act, 25 U.S.C. Sections 2701 et seq., now

THEREFORE BE IT RESOLVED, that the Tribal Council of the Oglala
Sioux Tribe enacts the attached Tribal Gaming Regulatory Ordinance Of
The Oglala Sioux Tribe to authorize, govern and regulate the operation
of Class II Gaming And Class III Gaming, consistent with the Tribal-
State Compact With the State of South Dakota, on the tribe's Indian
lands in compliance with the Indian Gaming Regulatory Act, 25 U.S.C.
Sections 2701 et seq.


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

application includes the required information and documentation, and
sufficiently satisfies any additional conditions deemed necessary by the
Tribe.

. The Tribal Gaming Commission shall submit to the NIGC Chair a notice that

issuance of a facility license is under consideration 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 Indian gaming will occur.

. 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.

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 17. License Application Forms

A.

The following notice shall be placed on the Tribe’s license application form
for key employee or a primary management official before it is filled out by
an applicant: In compliance with the Privacy Act of 1974, the following
information is provided: Solicitation of the information on this form is
authorized by 25 U.S.C. §§ 2701 et seq. The purpose of the requested
information is to determine the eligibility of individuals to be granted a
gaming license. The information will be used by the Tribal gaming
regulatory authorities and by the National Indian Gaming Commission
members and staff who have need for the information in the performance of
their official duties. The information may be disclosed 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 tribe or a
gaming operation. Failure to consent to the disclosures indicated in this
notice will result in a tribe being unable to license you for a primary
management official or key employee position. The disclosure of your Social
Security Number (SSN) is voluntary. However, failure to supply a SSN may
result in errors in processing your application.

The following additional notice shall be placed on the application form fora
key employee or a primary management official before it is filled out by an
applicant: A false statement on any part of your license application may be
grounds for denying a license or the suspension or revocation of a license.

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9.

Verify the applicant’s identity through items such as a social security card,
driver’s license, birth certificate or passport,

Contact each personal and business reference provided in the license
application, when possible;

Conduct a personal credit check;

Conduct a civil history check for past or outstanding judgments, current liens,
past or pending lawsuits, and any other information deemed to be relevant;

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 records check utilizing
the FBI’s data base;

Based on the results of the criminal history records check, as well as
information 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 prosecutions within the
past 10 years;

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;

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

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

Section 21. Investigative Reports.

A.

The Tribe shall create and maintain an investigative report for each
background investigation of a primary management official or key employee.

Investigative reports shall include all of the following information:
Steps taken in conducting the investigation;
Results obtained;

Conclusions reached; and

13