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November 22, 2022

VIA E-MAIL

Walter Echo-Hawk, President

Pawnee Nation of Oklahoma Business Council

881 Little Dee Drive

Pawnee, Oklahoma 74058

Re: Pawnee Nation of Oklahoma Revised Gaming Ordinance 

Dear Mr. Echo-Hawk:

This letter responds to your September 2, 2022 request for the National Indian Gaming 

Commission Chairman to review and approve the Revised Pawnee Nation of Oklahoma Gaming 

Ordinance. 

The Pawnee Nation of Oklahoma Business Council approved the revisions to the Pawnee 

Nation Gaming Ordinance on August 23, 2022 pursuant to Statute #22-04 and made technical 

amendments on October 27, 2022 pursuant to Statute #22-06. These revisions include the

authorization of Class I gaming; modifications to the Nation’s Gaming Commission including 

assignment of responsibilities between the Gaming Commission as a body and the Gaming 

Commission’s staff; clarification of the process for enforcement actions; and the distinction 

between civil and criminal violations.

Thank you for bringing these gaming ordinance amendments to our attention and for 

providing us with a copy. The ordinance is approved as it is consistent with the Indian Gaming 

Regulatory Act and NIGC regulations. If you have any questions concerning this letter or the 

ordinance review process, please contact Staff Attorney Danielle Wu at danielle.wu@nigc.gov.

Sincerely,

E. Sequoyah Simermeyer

Chairman

Cc: Elizabeth Homer, Special Legal Counsel (ehomer@homerlaw.com)
STATUTE

Whereas, The Pawnee Business Council is the supreme governing body of the 

Pawnee Nation and is authorized to conduct business on behalf of the 

Pawnee Nation in accordance with Article IV, Sections 1 and 2 of the 

Pawnee Nation Constitution and By-Laws; and

Whereas, the Pawnee Business Council met in virtual special session on October 27, 

2022, on Pawnee Nation Microsoft TEAMs, duly authorized, with a 

quorum present; and

Whereas, on that date, the Pawnee Business Council adopted a Revised Gaming 

Ordinance and authorized its submission to the National Indian Gaming 

Commission (NIGC) for review and approval of the Chairman of the 

NIGC as required by the Indian Gaming Regulatory Act, 25 U.S.C. 2701 

et seq.; and

Whereas, it has been determined that certain technical corrections are needed to 

conform the ordinance to the terms of the Nation’s gaming compact with 

the State of Oklahoma;

1. Article 1, Section 1.4(30) - eliminate capitalization of the term 

“Gross Gaming Revenue.”

2. Article 15 §§(1) and (2) – replace “48 hours” with ten (10) days.

3. Article 15 § (7) – provide for appeal of Gaming Commission 

decisions on prize claims to tribal court.

NOW, THEREFORE BE IT RESOLVED the Pawnee Business Council does 

hereby approve the aforesaid technical corrections to the enacted Pawnee Nation 

Gaming Ordinance.

C E R T I F I C A T I O N

I, George Gardipe, Secretary of the Pawnee Business Council, certify that a Special 

Meeting of the Pawnee Business Council was held on the 27th day of October 2022 and 

that the Pawnee Business Council is composed of eight members, of whom 7 were 

present, 1 absent, comprising a quorum, and the foregoing resolution was duly adopted 

by a vote of 6 for, 0 against, 0 abstaining, and 1 not voting.

 

Signed this 27th day of October 2022

ATTEST:

_________________________________ ______________________________

George Gardipe, Secretary Walter R. Echo-Hawk, President

Pawnee Business Council Pawnee Business Council

STATUTE #22-06

OCTOBER 27, 2022

Pawnee Nation of Oklahoma
TRIBAL GAMING COMPACT 

BETWEEN THE 

PAWNEE TRIBE OF OKLAHOMA 

AND THE 

STATE OF OKLAHOMA 

This Compact is made and entered into by and between the Pawnee Tribe of Oklahoma, 

a federally recognized Indian tribe ("tribe"), and the State of Oklahoma ("state"), with respect 

to the operation of covered games (as defined herein) on the tribe's Indian lands as defined by 

the Indian Gaming Regulatory Act, 25 U.S.C., Section 2703(4). 

PART l 

TITLE 

This document shall be referred to as the "Pawnee Tribe of Oklahoma and State of 

Oklahoma Gaming Compact". 

PART 2 

RECITALS 

1. The tribe is a federally recognized tribal government possessing sovereign powers 

and rights of self-government. 

2. The State of Oklahoma is a state of the United States of America possessing the 

sovereign powers and rights of a state. 

3. The state and the tribe maintain a government-to-government relationship, and

this Compact will help to foster mutual respect and understanding among Indians and nonIndians. 

4. The United States Supreme Court has long recognized the right of an Indian tribe 

to regulate activity on lands within its jurisdiction. 

5. The tribe desires to offer the play of covered games, as defined in paragraphs 5, 

10, 11 and 12 of Part 3 of this Compact, as a means of generating revenues for purposes 

authorized by the Indian Gaming Regulatory Act, 25 U.S.C., Section 2701, et seq., 

including without limitation the support of tribal governmental programs, such as health 

care, housing, sewer and water projects, police, corrections, fire, judicial services, 

highway and bridge construction, general assistance for tribal elders, day care for the 

children, economic development, educational opportunities and other typical and valuable 

governmental services and programs for tribal members. 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

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6. The state recognizes that the positive effects of this Compact will extend beyond 

the tribe's lands to the tribe's neighbors and surrounding communities and will generally benefit 

all of Oklahoma. These positive effects and benefits may include not only those described in 

paragraph 5 of this Part, but also may include increased tourism and related economic 

development activities. 

7. The tribe and the state jointly wish to protect their citizens from any criminal 

involvement in the gaming operations regulated under this Compact. 

PART 3 

DEFINITIONS 

As used in this Compact: 

l. "Aqjusted gross revenues" means the total receipts received from the play of all 

covered games minus all prize payouts; 

2. "Annual oversight assessment" means the assessment described in subsection B of 

Part 11 of this Compact; 

3. "Central computer" means a computer to which player terminals are linked to 

allow competition in electronic bonanza-style bingo games; 

4. "Compact" means this Tribal Gaming Compact between the state and the tribe, 

entered into pursuant to Sections 21 and 22 of the State-Tribal Gaming Act; 

5. "Covered game" means the following games conducted in accordance with the 

standards, as applicable, set forth in Sections 11 through 18 of the State-Tribal Gaming Act: an 

electronic bonanza-style bingo game, an electronic amusement game, an electronic instant bingo 

game, nonhouse-banked card games; any other game, if the operation of such game by a tribe 

would require a compact and ifsuch game has been:(i) approved by the Oklahoma Horse Racing 

Commission for use by an organization licensee, (ii) approved by state legislation for use by any 

person or entity, or (iii) approved by amendment of the State-Tribal Gaming Act; and upon 

election by the tribe by written supplement to this Compact, any Class II game in use by the 

tribe, provided that no exclusivity payments shall be required for the operation of such Class II 

game; 

6. "Covered game employee" means any individual employed by the enterprise or a 

third party providing management services to the enterprise, whose responsibilities include the 

rendering of services with respect to the operation, maintenance or management of covered 

games. The term "covered game employee" includes, but is not limited to, the following: 

managers and assistant managers; accounting personnel; surveillance and security personnel; 

cashiers, supervisors, and floor personnel; cage personnel; and any other person whose 

employment duties require or authorize access to areas of the facility related to the conduct of 

covered games or the maintenance or storage of covered game components. This shall not 

include upper level tribal employees or tribe's elected officials so long as such individuals are 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

Page 2 of 27 
not directly involved in the operation, maintenance, or management of covered game 

components. The enterprise may, at its discretion, include other persons employed at or in 

connection with the enterprise within the definition of covered game employee; 

7. "Documents" means books, records, electronic, magnetic and computer media 

documents and other writings and materials, copies thereof, and information contained therein; 

8. "Effective date" means the date on which the last of the conditions set forth in 

subsection A of Part 15 of this Compact have been met; 

9. "Electronic accounting system" means an electronic system that provides a secure 

means to receive, store and access data and record critical functions and activities, as set forth in 

the State-Tribal Gaming Act; 

10. "Electronic amusement game" means a game that is played in an electronic 

environment in which a player's performance and opportunity for success can be improved by 

skill that conforms to the standards set forth in the State-Tribal Gaming Act; 

11. "Electronic bonanza-style bingo game" means a game played in an electronic 

environment in which some or all of the numbers or symbols are drawn or electronically 

determined before the electronic bingo cards for that game are sold that conforms to the 

standards set forth in the State-Tribal Gaming Act; 

12. "Electronic instant bingo game" means a game played in an electronic 

environment in which a player wins if his or her electronic instant bingo card contains a 

combination of numbers or symbols that was designated in advance of the game as a winning 

combination. There may be multiple winning combinations in each game and multiple winning 

cards that conform to the standards set forth in the State-Tribal Gaming Act; 

13. "Enterprise" means the tribe or the tribal agency or section of tribal management 

with direct responsibility for the conduct of covered games, the tribal business enterprise that 

conducts covered games, or a person, corporation or other entity that has entered into a 

management contract with the tribe to conduct covered games, in accordance with IGRA. The 

names, addresses and identifying information of any covered game employees shall be 

forwarded to the SCA at least annually. In any event, the tribe shall have the ultimate 

responsibility for ensuring that the tribe or enterprise fulfills the responsibilities under this 

Compact. For purposes of enforcement, the tribe is deemed to have made all promises for the 

enterprise; 

14. "Facility" means any building of the tribe in which the covered games authorized 

by this Compact are conducted by the enterprise, located on Indian lands as defined by IGRA. 

The tribe shall have the ultimate responsibility for ensuring that a facility conforms to the 

Compact as required herein; 

15. "Game play credits" means a method of representing value obtained from the 

exchange of cash or cash equivalents, or earned as a prize, in connection with electronic gaming. 

Game play credits may be redeemed for cash or a cash equivalent; 

PAWNEE TRIBE OF OKLAHOMA AND STA TE OF OKLAHOMA GAMING COMPACT 

P age 3 of 27
 

 

 

16."Player terminals" means electronic or electromechanical terminals housed in cabinets 

with input devices and video screens or electromechanical displays on which players play 

electronic bonanza-style bingo games, electronic instant bingo games or electronic amusement 

games; 

17."Independent testing laboratory" means a laboratory of national reputation that is 

demonstrably competent and qualified to scientifically test and evaluate devices for compliance 

with this Compact and to otherwise perform the functions assigned to it in this Compact. An 

independent testing laboratory shall not be owned or controlled by the tribe, the enterprise, an 

organization licensee as defined in the State-Tribal Gaming Act, the state, or any manufacturer, 

supplier or operator of gaming devices. The selection of an independent testing laboratory for any 

purpose under this Compact shall be made from a list of one or more laboratories mutually agreed 

upon by the parties; provided that the parties hereby agree that any laboratory upon which the 

National Indian Gaming Commission has relied for such testing may be utilized for testing 

required by this Compact; 

18."IGRA" means the Indian Gaming Regulatory Act, Pub. L. 100497, Oct. 17, 1988,

102 Stat. 2467, codified at 25 U.S.C., Section 2701 et seq. and 18 U.S.C., Sections 1166 to 1168; 

19."Nonhouse-banked card games" means any card game in which the tribe has no 

interest in the outcome of the game, including games played in tournament formats and games in 

which the tribe collects a fee from the player for participating, and all bets are placed in a common 

pool or pot from which all player winnings, prizes and direct costs are paid. As provided herein, 

administrative fees may be charged by the tribe against any common pool in an amount equal to 

any fee paid the state; provided that the tribe may seed the pool as it determines necessary from 

time to time; 

20."Patron" means any person who is on the premises of a gaming facility, for the purpose 

of playing covered games authorized by this Compact; 

21."Principal" means, with respect to any entity, its sole proprietor or any partner, trustee, 

beneficiary or shareholder holding five percent (5%) or more of its beneficial or controlling 

ownership, either directly or indirectly, or any officer, director, principal management employee, 

or key employee thereof; 

22."Rules and regulations" means the rules and regulations promulgated by the Tribal 

Compliance Agency for implementation of this Compact; 

23."Standards" means the descriptions and specifications of electronic amusement games, 

electronic bonanza-style bingo games and electronic instant bingo games or components thereof as 

set forth in Sections 11 through 18 of the State-Tribal Gaming Act as enacted in 2004 or as 

amended pursuant to paragraph 27 of this Part or subsection D of Part 13 of this Compact, 

including technical specifications for component parts, requirements for cashless transaction 

systems, software tools for security and audit purposes, and procedures for operation of such 

games; 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

Page 4 of 27 
24. "State" means the State of Oklahoma;

25. "State Compliance Agency" ("SCA") means the state agency that has the

authority to carry out the state's oversight responsibilities under this Compact, which shall be the 

Office of State Finance or its successor agency. Nothing herein shall supplant the role or duties 

of the Oklahoma State Bureau of Investigation under state law. The Oklahoma Horse Racing 

Commission and the Oklahoma Tax Commission shall have no role in regulating or oversight of 

any gaming conducted by a tribe; 

26. "Tribal Compliance Agency" ("TCA") means the tribal governmental agency that 

has the authority to carry out the tribe's regulatory and oversight responsibilities under this 

Compact. Unless and until otherwise designated by the tribe, the TCA shall be the Pawnee 

Tribal Gaming Commission. No covered game employee may be a member or employee of the 

TCA. The tribe shall have the ultimate responsibility for ensuring that the TCA fulfills its 

responsibilities under this Compact. The members of the TCA shall be subject to background 

investigations and licensed to the extent required by any tribal or federal law, and in accordance 

with subsection B of Part 7 of this Compact. The tribe shall ensure that all TCA officers and 

agents are qualified for such position and receive ongoing training to obtain and maintain skills 

that are sufficient to carry out their responsibilities in accordance with industry standards; 

27. "State-Tribal Gaming Act" means the legislation in which this Model Tribal 

Gaming Compact is set forth and, at the tribe's option, amendments or successor statutes thereto; 

28. "Tribal law enforcement agency" means a police or security force established and 

maintained by the tribe pursuant to the tribe's powers of self-government to carry out law 

enforcement duties at or in connection with a facility; and 

29. "Tribe" means the Pawnee Tribe of Oklahoma.

PART 4 

AUTHORIZATION OF COVERED GAMES 

A. The tribe and state agree that the tribe is authorized to operate covered games only 

in accordance with this Compact. However, nothing in this Compact shall limit the tribe's right 

to operate any game that is Class II under IGRA and no Class II games shall be subject to the 

exclusivity payments set forth in Part 11 ofthis Compact. In the case of electronic bonanza-style 

bingo games, there have been disagreements between tribes and federal regulators as to whether 

or not such games are Class II. Without conceding that such games are Class III, the tribe has 

agreed to compact with the state to operate the specific type of electronic bonanza-style bingo 

game described in this Compact to remove any legal uncertainty as to the tribe's right to 

lawfully operate the game. Should the electronic bonanza-style bingo game or the electronic 

instant bingo game described in this act be determined to be Class II by the NIGC or a federal 

court, then the tribe shall have the option to operate such games outside of this Compact; 

provided, any obligations pursuant to subsection F of Part 11 of this Compact shall not be 

affected thereby. 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

Page 5 of 27
B. A tribe shall not operate an electronic bonanza-style bingo game, an electronic 

instant bingo game or an electronic amusement game pursuant to this Compact until such game 

has been certified by an independent testing laboratory and the TCA as meeting the standards set 

out in the State-Tribal Gaming Act for electronic bonanza-style bingo games, electronic instant 

bingo games or electronic amusement games, as applicable, or any standards contained in the 

Oklahoma Horse Racing Commission rules issued pursuant to subsection B of Section 9 of the 

State-Tribal Gaming Act that modify the standards for such games that may be conducted by 

organization licensees. Provided, the tribe may rely on any certification of an electronic bonanzastyle bingo game, an electronic instant bingo, or electronic amusement games by the Oklahoma 

Horse Racing Commission which was obtained by an organization licensee pursuant to the StateTribal Gaming Act to establish certification compliance under this Compact. The tribe may also 

rely on any certification of an electronic bonanza-style bingo game, electronic instant bingo or an 

electronic amusement game by the TCA obtained by another tribe which has entered into the 

model compact to establish certification compliance under this Compact. 

PART 5

RULES AND REGULATIONS; 

MINIMUM REQUIREMENTS FOR OPERATIONS 

A. Regulations. At all times during the Term of this Compact, the tribe shall be 

responsible for all duties which are assigned to it, the enterprise, the facility, and the TCA under 

this Compact. 

The tribe shall promulgate any rules and regulations necessary to implement this 

Compact, which at a minimum shall expressly include or incorporate by reference all provisions of 

Part 5 and the procedural requirements of Part 6 of this Compact. Nothing in this Compact 

shall be construed to affect the tribe's right to amend its rules and regulations, provided that any 

such amendment shall be in conformity with this Compact. The SCA may propose additional 

rules and regulations related to implementation of this Compact to the TCA at any time, and the 

TCA shall give good faith consideration to such suggestions and shall notify the SCA of its 

response or action with respect thereto. 

B. Compliance; Internal Control Standards. All enterprises and facilities shall 

comply with, and all covered games approved under the procedures set forth in this Compact 

shall be operated in accordance with, the requirements set forth in this Compact, including, but 

not limited to, those set forth in subsections C and D of this Part. In addition, all enterprises and 

facilities shall comply with tribal internal control standards that provide a level of control that 

equals or exceeds those set forth in the National Indian Gaming Commission's Minimum 

Internal Control Standards (25 C.F.R., Part 542). 

C. Records. In addition to other records required to be maintained herein, the 

enterprise or tribe shall maintain the following records related to implementation of this Compact 

in permanent form and as written or entered, whether manually or by computer, and which shall 

be maintained by the enterprise and made available for inspection by the SCA for no less than 

three (3) years from the date generated: 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

Page 6 of 27
1. A log recording all surveillance activities in the monitoring room of the 

facility, including, but not limited to, surveillance records kept in the normal course of enterprise 

operations and in accordance with industry standards; provided, notwithstanding anything to the 

contrary herein, surveillance records may, at the discretion of the enterprise, be destroyed if no 

incident has been reported within one (1) year following the date such records were made. 

Records, as used in this Compact, shall include video tapes and any other storage media; 

2. Payout from the conduct of all covered games;

3. Maintenance logs for all covered games and gaming equipment used by

the enterprise; 

4. Security logs as kept in the normal course of conducting and maintaining

security at the facility, which at a minimum shall conform to industry practices for such reports. 

The security logs shall document any unusual or nonstandard activities, occurrences or events at 

or related to the facility or in connection with the enterprise. Each incident, without regard to 

materiality, shall be assigned a sequential number for each such report. At a minimum, the 

security logs shall consist of the following information, which shall be recorded in a reasonable 

fashion noting: 

a. the assigned number of the incident,

b. the date ofthe incident,

c. the time ofthe incident,

d. the location ofthe incident,

e. the nature of the incident,

f. the identity, including identification information, of any persons 

involved in the incident and any known witnesses to the incident, 

and

g. the tribal compliance officer making the report and any other 

persons contributing to its preparation;

 5. Books and records on all covered game activities of the enterprise shall be

maintained in accordance with generally accepted accounting principles (GAAP); and 

 6. All documents generated in accordance with this Compact.

D. Use of Net Revenues. Net revenues that the tribe receives from covered games 

are to be used for any one or more ofthose purposes permitted under IGRA: 

1. To fund tribal government operations or programs;

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

Page 7 of 27
2. To provide for the general welfare of the tribe and its members,

3. To promote tribal economic development;

4. To donate to charitable organizations; or

5. To help fund operations of local government agencies.

E. 1. The tribe's rules and regulations shall require the enterprise at a minimum

to bar persons based on their prior conduct at the facility or who, because of their 

criminal history or association with criminal offenders, pose a threat to the integrity of the 

conduct of covered games. 

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

3. The enterprise shall employ its best efforts to exclude persons on such list

from entry into its facility; provided, neither persons who are barred but gain access to the 

facility, nor any other person, shall have any claim against the state, the tribe or the enterprise or 

any other person for failing to enforce such bar. 

4. Patrons who believe they may be playing covered games on a compulsive 

basis may request that their names be placed on the list. All covered game employees shall 

receive training on identifying players who have a problem with compulsive playing and shall be 

instructed to ask them to leave. Signs and other materials shall be readily available to direct such 

compulsive players to agencies where they may receive counseling. 

F. Audits. 1. Consistent with 25 C.F.R., Section 571.12, Audit Standards, the TCA 

shall ensure that an annual independent financial audit of the enterprise's conduct of covered 

games subject to this Compact is secured. The audit shall, at a minimum, examine revenues and 

expenses in connection with the conduct of covered games in accordance with generally 

accepted auditing standards and shall include, but not be limited to, those matters necessary to 

verify the determination of adjusted gross revenues and the basis of the payments made to the 

state pursuant to Part 11 ofthis Compact. 

 2. The auditor selected by the TCA shall be a firm of known and 

demonstrable experience, expertise and stature in conducting audits of this kind and scope. 

3. The audit shall be concluded within five (5) months following the close of 

each calendar year, provided that extensions may be requested by the tribe and shall not be 

refused by the state where the circumstances justifying the extension request are beyond the 

tribe's control. 

4. The audit of the conduct of covered games may be conducted as part of or 

in conjunction with the audit of the enterprise, but if so conducted shall be separately stated for 

the reporting purposes required herein. 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

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5. The audit shall conform to generally accepted auditing standards. As part 

of the audit report, the auditor shall certify to the TCA that, in the course of the audit, the auditor 

discovered no matters within the scope of the audit which were determined or believed to be in 

violation of any provision ofthis Compact. 

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

7. The audit report for the conduct of covered games shall be submitted to

the SCA within thirty (30) days of completion. The auditor's work papers concerning covered 

games shall be made available to the SCA upon request. 

8. Representatives of the SCA may, upon request, meet with the auditors to 

discuss the work papers, the audit or any matters in connection therewith; provided, such 

discussions are limited to covered games information and pursue legitimate state covered games 

interests. 

G. Rules for Play of and Prizes for Covered Games. Summaries of the rules for 

playing covered games and winning prizes shall be visibly displayed in the facility. Complete 

sets ofrules shall be available in pamphlet form in the facility. 

H. Supervisory Line of Authority. The enterprise shall provide the TCA and SCA 

with a chart of the supervisory lines of authority with respect to those directly responsible for the 

conduct of covered games, and shall promptly notify those agencies of any material changes 

thereto. 

I. Sale of Alcoholic Beverages. The sale and service of alcoholic beverages in a 

facility shall be in compliance with state, federal and tribal law in regard to the licensing and sale 

ofsuch beverages. 

J. Age Restrictions. No person who would not be eligible to be a patron of a parimutuel system of wagering pursuant to the provisions of subsection B of Section 208.4 of Title 

3A of the Oklahoma Statutes shall be admitted into any area in a facility where covered games 

are played, nor be permitted to operate, or obtain a prize from or in connection with the operation 

of, any covered game, directly or indirectly. 

K. Destruction of Documents. Enterprise books, records and other materials 

documenting the conduct of covered games shall be destroyed only in accordance with rules and 

regulations adopted by the TCA, which at a minimum shall provide as follows: 

1. Material that might be utilized in connection with a potential tort claim 

pursuant to Part 6 of this Compact, including, but not limited to, incident reports, surveillance 

records, statements, and the like, shall be maintained at least one ( 1) year beyond the time which 

a claim can be made under Part 6 of this Compact or, if a tort claim is made, beyond the final 

disposition ofsuch claim; 

 2. Material that might be utilized in connection with a prize claim, including

but not limited to incident reports, surveillance records, statements, and the like, shall be 

PAWNEE TRIBE OF OKLAHOMA AND ST A TE OF OKLAHOMA GAMING COMP ACT 

Page 9 of 27
maintained at least one hundred eighty (180) days beyond the time which a claim can be made 

under Part 6 of this Compact or, if a prize claim is made, beyond the final disposition of such 

claim; and 

3. Notwithstanding anything herein to the contrary, all enterprise books and 

records with respect to the conduct of covered games or the operation of the enterprise, 

including, but not limited to, all interim and final financial and audit reports and materials related 

thereto which have been generated in the ordinary course of business, shall be maintained for the 

minimum period of three (3) years. 

L. Location. The tribe may establish and operate enterprises and facilities that 

operate covered games only on its Indian lands as defined by IGRA. The tribe shall notify the 

SCA of the operation of any new facility following the effective date of this Compact. Nothing 

herein shall be construed as expanding or otherwise altering the term "Indian lands", as that term is 

defined in the IGRA, nor shall anything herein be construed as altering the federal process 

governing the tribal acquisition of "Indian lands" for gaming purposes. 

M. Records of Covered Games. The TCA shall keep a record of, and shall report at 

least quarterly to the SCA, the number of covered games in each facility, by the name or type of 

each and its identifying number. 

PART 6 

TORT CLAIMS; PRIZE CLAIMS; 

LIMITED CONSENT TO SUIT 

A. Tort Claims. The enterprise shall ensure that patrons of a facility are afforded due 

process in seeking and receiving just and reasonable compensation for a tort claim for personal 

injury or property damage against the enterprise arising out of incidents occurring at a facility, 

hereinafter ''tort claim", as follows: 

1. During the term of this Compact, the enterprise shall maintain public 

liability insurance for the express purposes of covering and satisfying tort claims. The insurance 

shall have liability limits of not less than Two Hundred Fifty Thousand Dollars ($250,000.00) for 

any one person and Two Million Dollars ($2,000,000.00) for any one occurrence for personal 

injury, and One Million Dollars ($1,000,000.00) for any one occurrence for property damage, 

hereinafter the "limit of liability", or the corresponding limits under the Governmental Tort 

Claims Act, whichever is greater. No tort claim shall be paid, or be the subject of any award, in 

excess of the limit of liability; 

2. The tribe consents to suit on a limited basis with respect to tort claims 

subject to the limitations set forth in this subsection and subsection C of this Part. No consents to 

suit with respect to tort claims, or as to any other claims against the tribe shall be deemed to have 

been made under this Compact, except as provided in subsections B and C of this Part; 

 3. The enterprise's insurance policy shall include an endorsement providing

that the insurer may not invoke tribal sovereign immunity in connection with any claim made 

PAWNEE TRIBE OF OKLAHOMA AND ST A TE OF OKLAHOMA GAMING COMPACT 

Page 10 of 27
within the .. limit of liability if the claim complies with the limited consent provisionsof 

subsection C of this Part. Copies of all such insurance policies shall be forwarded to the SCA; 

4. Any patron having a tort claim shall file a written tort claim notice by

delivery to the enterprise or the TCA. The date the tort claim notice is filed with the enterprise or 

the TCA shall be deemed the official date of filing the tort claim notice. The tort claim notice 

shall be filed within one (1) year of the date of the event which allegedly caused the claimed 

loss. Failure to file the tort claim notice during such period of time shall forever bar such tort 

claim; provided that a tort claim notice filed with the enterprise or the TCA more than ninety 

(90) days, but within one (1) year, after the event shall be deemed to be timely filed, but any

judgment thereon shall be reduced by ten percent (10%).

5. If the tort claim notice is filed with the TCA, the TCA shall forward a

copy of the tort claim to the enterprise and the SCA within forty-eight (48) hours of filing, and if 

the tort claim notice is filed with the enterprise, the enterprise shall forward a copy of the tort 

claim to the TCA and the SCA within forty-eight ( 48) hours offiling; 

6. The tort claim notice shall state the date, time, place and circumstances of

the incident upon which the tort claim is based, the identity of any persons known to have 

information regarding the incident, including employees or others involved in or who witnessed 

the incident, the amount of compensation and the basis for said relief; the name, address and 

telephone number of the claimant, and the name, address and telephone number of any 

representative authorized to act or settle the claim on behalfofthe claimant; 

7. All tort claim notices shall be signed by the claimant. The rules and

regulations may additionally require that the tort claim notices be signed under oath. The rules 

and regulations may also require that as a condition of prosecuting tort claims, the claimant shall 

appear to be interviewed or deposed at least once under reasonable circumstances, which shall 

include the attendance of the claimant's legal counsel if requested; provided that the enterprise 

shall afford claimant at least thirty (30) days' written notice of the interview or deposition; and 

provided further that the claimant's failure to appear without cause for any interview or 

deposition properly noticed pursuant to this paragraph shall be deemed a voluntary withdrawal of 

the tort claim; 

8. The enterprise shall promptly review, investigate, and make a

determination regarding the tort claim. Any portion of a tort claim which is unresolved shall be 

deemed denied if the enterprise fails to notify the claimant in writing of its approval within 

ninety (90) days of the filing date, unless the parties by written agreement extend the date by 

which a denial shall be deemed issued if no other action is taken. Each extension shall be for no 

more than ninety (90) days, but there shall be no limit on the number of written agreements for 

extensions, provided that no written agreement for extension shall be valid unless signed by the 

claimant and an authorized representative of the enterprise. The claimant and the enterprise may 

continue attempts to settle a claim beyond an extended date; provided, settlement negotiations 

shall not extend the date of denial in the absence of a written agreement for extension as required 

by this paragraph; 

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9. A judicial proceeding for any cause arising from a tort claim may be 

maintained in accordance with and subject to the limitations of subsection C of this Part only if 

the following requirements have been met: 

a. the claimant has followed all procedures required by this Part, 

including, without limitation, the delivery of a valid and timely 

written tort claim notice to the enterprise,

b. the enterprise has denied the tort claim, and

c. the claimant has filed the judicial proceeding no later than the onehundred-eightieth day after denial of the claim by the enterprise; 

provided, that neither the claimant nor the enterprise may agree to 

extend the time to commence a judicial proceeding; and

10. Notices explaining the procedure and time limitations with respect to 

making a tort claim shall be prominently posted in the facility. Such notices shall explain the 

method and places for making a tort claim, that this procedure is the exclusive method of making 

a tort claim, and that claims that do not follow these procedures shall be forever barred. 

The enterprise shall make pamphlets containing the requirements in this subsection readily 

available to all patrons of the facility and shall provide such pamphlets to a claimant within five 

(5) days ofthe filing of a claim. 

B. Prize Claims. The enterprise shall ensure that patrons of a facility are afforded 

due process in seeking and receiving just and reasonable compensation arising from a patron's 

dispute, in connection with his or her play of any covered game, the amount of any prize which 

has been awarded, the failure to be awarded a prize, or the right to receive a refund or other 

compensation, hereafter "prize claim", as follows: 

1. The tribe consents to suit on a limited basis with respect to prize claims 

against the enterprise only as set forth in subsection C of this Part; no consents to suit with 

respect to prize claims, or as to any other claims against the tribe shall be deemed to have been 

made under this Compact, except as provided in subsections A and C ofthis Part; 

 2. The maximum amount of any prize claim shall be the amount of the prize

which the claimant establishes he or she was entitled to be awarded, hereafter "prize limit"; 

3. Any patron having a prize claim shall file a written prize claim notice by 

delivery to the enterprise or the TCA. The date the prize claim is filed with the enterprise or the 

TCA shall be deemed the official date of filing the prize claim notice. The prize claim notice 

shall be filed within ten (10) days ofthe event which is the basis ofthe claim. Failure to file the 

prize claim notice during such period oftime shall forever bar such prize claim; 

4. If the prize claim notice is filed with the TCA, the TCA shall forward a 

copy of the prize claim to the enterprise and the SCA within forty-eight ( 48) hours of its filing; 

and ifthe prize claim notice is filed with the enterprise, the enterprise shall forward a copy ofthe 

prize claim to the TCA and the SCA within forty-eight ( 48) hours offiling; 

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5. The written prize claim notice shall state the date, time, place and 

circumstances of the incident upon which the prize claim is based, the identity of any persons 

known to have information regarding the incident, including employees or others involved in or 

who witnessed the incident, the amount demanded and the basis for said amount, the name, 

address and telephone number of the claimant, and the name, address and telephone number of 

any representative authorized to act or settle the claim on behalf of the claimant; 

6. All notices of prize claims shall be signed by the claimant. The rules and

regulations may additionally require that the prize claim notices be signed under oath; 

7. The enterprise shall promptly review, investigate and make a 

determination regarding the prize claim. Claimants shall cooperate in providing information, 

including personal sworn statements and agreeing to be interviewed, as the enterprise shall 

reasonably request. The claimant is permitted to have counsel present during any such interview; 

8. If the prize claim is not resolved within seventy-two (72) hours from the 

time of filing the claim in accordance with paragraph 5 of this subsection, the TCA shall 

immediately notify the SCA in writing that the claim has not been resolved; 

9. In the event the claim is resolved, the TCA shall not be obligated to report 

that fact to the SCA, but shall make TCA reports available for review; 

10. Any portion of a prize claim which is unresolved shall be deemed denied 

if the enterprise fails to notify the claimant in writing of its approval within thirty (30) days of 

the filing date, unless the parties agree by written agreement to extend the date. Each extension 

shall be for no more than thirty (30) days, but there shall be no limit on the number of written 

agreements for extensions; provided, that no written agreements for extension shall be valid 

unless signed by the claimant and an authorized representative of the TCA. The claimant and the 

enterprise may continue attempts to settle a claim beyond an extended date; provided, settlement 

negotiations shall not extend the date of denial in the absence of a written extension required by 

this paragraph; 

11. A judicial proceeding for any cause arising from a prize claim may be 

maintained in accordance with and subject to the limitations of subsection C of this Part only if 

the following requirements have been met: 

a. the claimant has followed all procedures required by this Part, 

including without limitation, the delivery of a valid and timely 

written prize claim notice to the enterprise,

b. the enterprise has denied the prize claim, and

c. the claimant. has filed the judicial proceeding no later than one 

hundred eighty (180) days after denial of the claim by the 

enterprise; provided that neither the claimant nor the enterprise 

may extend the time to commence a judicial proceeding; and

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12. Notices explaining the procedure and time limitations with respect to 

making a prize claim shall be prominently posted in the facility. Such notices shall explain the 

method and places for making claims, that this procedure is the exclusive method of making a 

prize claim, and that claims that do not follow this procedure shall be forever barred. The 

enterprise shall make pamphlets containing the requirements in this subsection readily available 

to all patrons of the facility and shall provide such pamphlets to a claimant by the TCA within 

five (5) days ofthe filing date ofa claim. 

C. Limited Consent to Suit for Tort Claims and Prize Claims. The tribe consents to 

suit against the enterprise in a court of competent jurisdiction with respect to a tort claim or prize 

claim if all requirements of paragraph 9 of subsection A or all requirements of paragraph 11 of 

subsection B of this Part have been met; provided that such consent shall be subject to the 

following additional conditions and limitations: 

1. For tort claims, consent to suit is granted only to the extent such claim or 

any award or judgment rendered thereon does not exceed the limit of liability. Under no 

circumstances shall any consent to suit be effective as to any award which exceeds such 

applicable amounts. This consent shall only extend to the patron actually claiming to have been 

injured. A tort claim shall not be assignable. In the event any assignment of the tort claim is 

made in violation of this Compact, or any person other than the patron claiming the injury 

becomes a party to any action hereunder, this consent shall be deemed revoked for all purposes. 

Notwithstanding the foregoing, consent to suit shall not be revoked if an action on a tort claim is 

filed by (i) a court appointed representative of a claimant's estate, (ii) an indispensable party, or 

(iii) a health provider or other party subrogated to the claimant's rights by virtue of any insurance 

policy; provided, that nothing herein is intended to, or shall constitute a consent to suit against 

the enterprise as to such party except to the extent such party's claim is:

a. in lieu of and identical to the claim that would have been made by 

the claimant directly but for the appointment of said representative 

or indispensable party, and participation of such other party is in 

lieu of and not in addition to pursuit of the claim by the patron, and

b. the claim of such other party would have been subject to a consent 

to suit hereunder if it had been made by the claimant directly; and

 2. For prize claims, consent is granted only to the extent such claim does not 

exceed the prize limit. Under no circumstance(iv) For prize claims, consent is granted only to 

the extent such claim does not shall any award exceed the prize limit. This consent shall only 

extend to the patron actually claiming to have engaged in the play of a covered game on 

which the claim is based. Prize claims shall not be assignable. In the event any assignment of 

the prize claim is made, or any person other than the claimant entitled to make the claim 

becomes a party to any action hereunder, this consent shall be deemed revoked for all 

purposes. Notwithstanding the foregoing, consent to suit shall not be revoked if an action on a 

prize claim is filed by (i) a court-appointed representative of a claimant's estate, or (ii) an 

indispensable party, provided that nothing herein is intended to, or shall constitute a consent to 

suit against the enterprise as to such party except to the extent such party's claim is: 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

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a. in lieu of and identical to the claim that would have been made by 

the claimant directly but for the appointment of said representative 

or indispensable party, and participation of such other party is in 

lieu of and not in addition to pursuit of the claim by the patron, and

b. the claim of such other party would have been subject to a consent 

to suit hereunder if it had been made by the claimant directly.

D. Remedies in the Event of No or Inadequate Insurance for Tort Claim. In the event 

a tort claim is made and there is no, or inadequate, insurance in effect as required under this 

Compact, the enterprise shall be deemed to be in default hereunder unless, within ten (10) days 

of a demand by the SCA or a claimant to do so, the enterprise has posted in an irrevocable 

escrow account at a state or federally chartered bank which is not owned or controlled by the 

tribe, sufficient cash, a bond or other security sufficient to cover any award that might be made 

within the limits set forth in paragraph l of subsection A of this Part, and informs the claimant 

and the state of: 

1. The posting of the cash or bond;

2. The means by which the deposit can be independently verified as to the

amount and the fact that it is irrevocable until the matter is finally resolved; 

3. The right of the claimant to have this claim satisfied from the deposit if the 

claimant is successful on the claim; and 

4. The notice and hearing opportunities in accordance with the tribe's tort 

law, if any, otherwise in accordance with principles of due process, which will be afforded to the 

claimant so that the intent of this Compact to provide claimants with a meaningful opportunity to 

seek a just remedy under fair conditions will be fulfilled. 

PART 7 

ENFORCEMENT OF COMPACT PROVISIONS 

A. The tribe and TCA shall be responsible for regulating activities pursuant to this 

Compact. As part of its responsibilities, the tribe shall require the enterprise do the following: 

1. Operate the conduct of covered games in compliance with this Compact, 

including, but not limited to, the standards and the tribe's rules and regulations; 

2. Take reasonable measures to assure the physical safety of enterprise 

patrons and personnel, prevent illegal activity at the facility, and protect any rights of patrons 

under the Indian Civil Rights Act, 25 U.S.C., Sec. 1302-1303; 

3. Promptly notify appropriate law enforcement authorities of persons who 

may be involved in illegal acts in accordance with applicable law; 

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4. Assure that the construction and maintenance of the facility meets or 

exceeds federal and tribal standards for comparable buildings; and 

5. Prepare adequate emergency access plans to ensure the health and safety 

of all covered game patrons. Upon the finalization of emergency access plans, the TCA or 

enterprise shall forward copies ofsuch plans to the SCA. 

B. All licenses for members and employees of the TCA shall be issued according to 

the same standards and terms applicable to facility employees. The TCA shall employ qualified 

compliance officers under the authority of the TCA. The compliance officers shall be 

independent of the enterprise, and shall be supervised and accountable only to the TCA. A TCA 

compliance officer shall be available to the facility during all hours of operation upon reasonable 

notice, and shall have immediate access to any and all areas of the facility for the purpose of 

ensuring compliance with the provisions of this Compact. The TCA shall investigate any such 

suspected or reported violation of this Compact and shall require the enterprise to correct such 

violations. The TCA shall officially enter into its files timely written reports of investigations 

and any action taken thereon, and shall forward copies of such reports to the SCA within fifteen 

(15) days of such filing. Any such violations shall be reported immediately to the TCA, and the 

TCA shall immediately forward the same to the SCA. In addition, the TCA shall promptly report 

to the SCA any such violations which it independently discovers.

C. In order to develop and foster a positive and effective relationship in the

enforcement of the provisions of this Compact, representatives of the TCA and the SCA shall 

meet, not less than on an annual basis, to review past practices and examine methods to improve 

the regulatory scheme created by this Compact. The meetings shall take place at a location 

mutually agreed to by the TCA and the SCA. The SCA, prior to or during such meetings, shall 

disclose to the TCA any concerns, suspected activities, or pending matters reasonably believed to 

possibly constitute violations of this Compact by any person, organization or entity, if such 

disclosure will not compromise the interest sought to be protected. 

PART 8

STATE MONITORING OF COMPACT 

A. The SCA shall, pursuant to the provisions of this Compact, have the authority to 

monitor the conduct of covered games to ensure that the covered games are conducted in 

compliance with the provisions of this Compact. In order to properly monitor the conduct of 

covered games, agents of the SCA shall have reasonable access to all areas of the facility related to 

the conduct of covered games as provided herein: 

I. Access to the facility by the SCA shall be during the facility's normal 

operating hours only; provided that to the extent such inspections are limited to areas of the 

facility where the public is normally permitted, SCA agents may inspect the facility without 

giving prior notice to the enterprise; 

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2. Any suspected or claimed violations of this Compact or of law shall be 

directed in writing to the TCA; SCA agents shall not interfere with the functioning of the 

enterprise; and 

3. Before SCA agents enter any nonpublic area of the facility, they shall 

provide proper photographic identification to the TCA. SCA agents shall be accompanied in 

nonpublic areas of the facility by a TCA agent. A one-hour notice by SCA to the TCA may be 

required to assure that a TCA officer is available to accompany SCA agents at all times. 

B. Subject to the provisions herein, agents of the SCA shall have the right to review 

and copy documents of the enterprise related to its conduct of covered games. The review and 

copying of such documents shall be during normal business hours or hours otherwise at tribe's 

discretion. However, the SCA shall not be permitted to copy those portions of any documents of 

the enterprise related to its conduct of covered games that contain business or marketing 

strategies or ether proprietary and confidential information of the enterprise, including, but not 

limited to, customer lists, business plans, advertising programs, marketing studies, and customer 

demographics or profiles. No documents ofthe enterprise related to its conduct of covered games or 

copies thereof shall be released to the public by the state under any circumstances. All such 

documents shall be deemed confidential documents owned by the tribe and shall not be subject 

to public release by the state. 

C. At the completion of any SCA inspection or investigation, the SCA shall forward a 

written report thereof to the TCA. The TCA shall be apprised on a timely basis of all pertinent, 

nonconfidential information regarding any violation of federal, state, or tribal laws, the rules or 

regulations, or this Compact. Nothing herein prevents the SCA from contacting tribal or federal 

law enforcement authorities for suspected criminal wrongdoing involving the TCA. TCA may 

interview SCA inspectors upon reasonable notice and examine work papers and SCA in the same 

fashion that SCA inspectors may examine auditors' notes and make auditor inquiry unless 

providing such information to the TCA will compromise the interests sought to be protected. If 

the SCA determines that providing the information to the TCA will compromise the interests 

sought to be protected, then the SCA shall provide such information to the tribe in accordance 

with Part 13 ofthis Compact. 

D. Nothing in this Compact shall be deemed to authorize the state to regulate the 

tribe's government, including the TCA, or to interfere in any way with the tribe's selection of its 

governmental officers, including members of the TCA; provided, however, the SCA and the 

tribe, upon request of the tribe, shall jointly employ, at the tribe's expense, an independent firm to 

perform on behalfofthe SCA the duties set forth in subsections A and B ofthis Part. 

PART 9 

JURISDICTION 

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

jurisdiction. 

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PART 10 

LICENSING 

A. 1. Except as provided in paragraph 4 of Part 3, no covered game employee 

shall be employed at a facility or by an enterprise unless such person is licensed in accordance 

with this Compact. In addition to the provisions of this Part which are applicable to the licensing 

of all covered game employees, the requirements of 25 C.F.R., Part 556, Background 

Investigations for Primary Management Officials and Key Employees, and 25 C.F.R., Part 558, 

Gaming Licenses for Key Employees and Primary Management Officials, apply to Key 

Employees and Primary Management Officials ofthe facility and enterprise. 

2. All prospective covered game employees shall apply to the TCA for a 

license. Licenses shall be issued for periods of no more than two (2) years, after which they may 

be renewed only following review and update of the information upon which the license was 

based; provided, the TCA may extend the period in which the license is valid for a reasonable 

time pending the outcome of any investigation being conducted in connection with the renewal 

of such license. In the event the SCA contends that any such extension is unreasonable, it may 

seek resolution ofthat issue pursuant to Part 11 ofthis Compact. 

3. The application process shall require the TCA to obtain sufficient 

information and identification from the applicant to permit a background investigation to 

determine if a license should be issued in accordance with this Part and the rules and regulations. 

The TCA shall obtain information about a prospective covered game employee that includes: 

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

known,

b. social security number,

c. date and place of birth,

d. residential addresses for the past five (5) years,

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

f. driver license number,

g. all licenses issued and disciplinary charges filed, whether or not 

discipline was imposed, by any state or tribal regulatory authority,

h. all criminal arrests and proceedings, except for minor traffic 

offenses, to which the applicant has been a party,

1. a set of fingerprints,

J. a current photograph,

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k. military service history, and

l. any other information the TCA determines is necessary to conduct

a thorough background investigation.

4. Upon obtaining the required initial information from a prospective 

covered game employee, the TCA shall forward a copy of such information to the SCA, along 

with any determinations made with respect to the issuance or denial of a temporary or permanent 

license. The SCA may conduct its own background investigation of the applicant at SCA 

expense, shall notify the TCA of such investigation within a reasonable time from initiation of 

the investigation, and shall provide a written report to the TCA of the outcome of such 

investigation within a reasonable time from the receipt of a request from the TCA for such 

information. SCA inspector field notes and the SCA inspector shall be available upon reasonable 

notice for TCA review and inquiry. 

5. The TCA may issue a temporary license for a period not to exceed ninety

(90) days, and the enterprise may employ on a probationary basis, any prospective covered game 

employee who represents in writing that he or she meets the standards set forth in this Part, 

provided the TCA or enterprise is not in possession of information to the contrary. The 

temporary license shall expire at the end of the ninety-day period or upon issuance or denial of a 

permanent license, whichever event occurs first. Provided that the temporary license period may 

be extended at the discretion of the TCA so long as good faith efforts are being made by the 

applicant to provide required information, or the TCA is continuing to conduct its investigation 

or is waiting on information from others, and provided further that in the course of such 

temporary or extended temporary licensing period, no information has come to the attention of 

the TCA which, in the absence of countervailing information then in the record, would otherwise 

require denial of license. A permanent license shall be issued or denied within a reasonable time 

following the completion of the applicant's background investigation.

6. In covered gaming the tribe shall not employ and shall terminate, and the

TCA shall not license and shall revoke a license previously issued to, any covered game 

employee who: 

a. has been convicted of any felony or an offense related to any 

covered games or other gaming activity,

b. has knowingly and willfully provided false material, statements or 

information on his or her employment application, or

c. is a person whose prior activities, criminal record, or reputation, 

habits, and associations pose a threat to the public interest or to the 

effective regulation and control of the conduct of covered games, 

or create or enhance the dangers of unsuitable, unfair, or illegal 

practices, methods, and activities in the conduct of covered games 

or the carrying on of the business and financial arrangements 

incidental thereto.

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7. The SCA may object to the employment of any individual by the

enterprise based upon the criteria set forth in paragraph 6 of subsection A of this Part. Such 

objection shall be in writing setting forth the basis of the objection. The SCA inspector's work 

papers, notes and exhibits which formed the SCA conclusion shall be available upon reasonable 

notice for TCA review. The enterprise shall have discretion to employ an individual over the 

objection of the SCA. 

8. The TCA shall have the discretion to initiate or continue a background

investigation of any licensee or license applicant and to take appropriate action with respect to 

the issuance or continued validity of any license at any time, including suspending or revoking 

such license. 

9. The TCA shall require all covered game employees to wear, in plain view,

identification cards issued by the TCA which include a photograph of the employee, his or her 

first name, a four-digit identification number unique to the license issued to the employee, a 

tribal seal or signature verifying official issuance of the card, and a date of expiration, which 

shall not extend beyond such employee's license expiration date. 

B. 1. Any person or entity who, directly or indirectly, provides or is likely to provide

at least Twenty-five Thousand Dollars ($25,000.00) in goods or services to the enterprise in any 

twelve-month period, or who has received at least Twenty-five Thousand Dollars ($25,000.00) 

for goods or services provided to the enterprise in any consecutive twelve-month period within 

the immediately preceding twenty-four-month period, or any person or entity who provides 

through sale, lease, rental or otherwise covered games, or parts, maintenance or service in 

connection therewith to the tribe or the enterprise at any time and in any amount, shall be 

licensed by the TCA prior to the provision thereof. Provided, that attorneys or certified public 

accountants and their firms shall be exempt from the licensing requirement herein to the extent 

that they are providing services covered by their professional licenses. 

2. Background investigations and licensing shall follow the same process and

apply the same criteria as for covered game employees set forth in paragraph 6 of subsection A 

of this Part. 

3. In the case of a license application of any entity, all principals thereofshall

be subjected to the same background investigation required for the licensing of a covered game 

employee, but no license as such need be issued; provided, no license shall be issued to the entity 

if the TCA determines that one or more of its principals will be persons who would not be 

qualified to receive a license ifthey applied as covered garne employees. 

4. Nothing herein shall prohibit the TCA from processing and issuing a

license to a principal in his or her own name. 

5. Licenses issued under this subsection shall be reviewed at least every two

(2) years for continuing compliance, and shall be promptly revoked if the licensee is determined

to be in violation of the standards set forth in paragraph 6 of subsection A of this Part. In

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connection with such a review, the TCA shall require the person or entity to update all 

information provided in the previous application. 

6. The enterprise shall not enter into, or continue to make payments pursuant 

to, any contract or agreement for the provision of goods or services with any person or entity 

who does not meet the requirements of this Part including, but not limited to, any person or 

entity whose application to the TCA for a license has been denied, or whose license has expired or 

been suspended or revoked. 

7. Pursuant to 25 C.F.R., Part 533, all management contracts must be 

approved by the chair of the National Indian Gaming Commission. The SCA shall be notified 

promptly after any such approval. 

8. In addition to any licensing criteria set forth above, if any person or entity 

seeking licensing under this subsection is to receive any fee or other payment based on the 

revenues or profits of the enterprise, the TCA may take into account whether or not such fee or 

other payment is fair in light ofmarket conditions and practices. 

C. 1. Subject to the exceptions set forth in paragraph 4 of this subsection, any 

person or entity extending financing, directly or indirectly, to the facility or enterprise in excess of 

Fifty Thousand Dollars ($50,000.00) in any twelve-month period shall be licensed prior to 

providing such financing. Principals thereof shall be subjected to background investigations and 

determinations in accordance with the procedures and standards set forth in subsection A of this 

Part. Licenses issued under this section shall be reviewed at least every two (2) years for 

continuing compliance, and shall be promptly revoked if the licensee is determined to be in 

violation of the standards set forth in paragraph 6 of subsection A ofthis Part. In connection with 

such a review, the TCA shall require the person or entity to update all information provided in 

the previous application. 

2. The SCA shall be notified of all financing and loan transactions with 

respect to covered games or supplies in which the amount exceeds Fifty Thousand Dollars 

($50,000.00) in any twelve-month period, and shall be entitled to review copies of all agreements 

and documents in connection therewith. 

3. A supplier of goods or services who provides financing exclusively in 

connection with the sale or lease of covered games equipment or supplies shall be licensed solely 

in accordance with licensing procedures applicable, if at all, to such suppliers herein. 

4. Financing provided by a federally regulated or state-regulated bank, 

savings and loan, or trust, or other federally or state-regulated lending institution; any agency of 

the federal, state, tribal or local government; or any person or entity, including, but not limited 

to, an institutional investor who, alone or in conjunction with others, lends money through 

publicly or commercially traded bonds or other commercially traded instruments, including but 

not limited to the holders ofsuch bonds or instruments or their assignees or transferees, or which 

bonds or commercially traded instruments are underwritten by any entity whose shares are 

publicly traded or which underwriter, at the time of the underwriting, has assets in excess of One 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

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Hundred Million Dollars ($100,000,000.00), shall be exempt from the licensing and background 

investigation requirements in subsection B of this Part or this subsection. 

D. In the event the SCA objects to a lender, vendor or any other person or entity 

within subsection B or C of this Part seeking to do business with the enterprise, or to the 

continued holding of a license by such person or entity, it may notify the TCA of its objection. 

The notice shall set forth the basis of the objection with sufficient particularity to enable the TCA to 

investigate the basis of the objection. The SCA inspector and SCA inspector field notes shall be 

available for TCA review and inquiry. Within a reasonable time after such notification, the 

TCA shall report to the SCA on the outcome of its investigation and of any action taken or 

decision not to take action. 

PART 11

EXCLUSIVITY AND FEES 

A. The parties acknowledge and recognize that this Compact provides tribes with 

substantial exclusivity and, consistent with the goals of IGRA, special opportunities for tribal 

economic opportunity through gaming within the external boundaries of Oklahoma in respect to 

the covered games. In consideration thereof, so long as the state does not change its laws after 

the effective date of this Compact to permit the operation of any additional form of gaming by 

any such organization licensee, or change its laws to permit any additional electronic or machine 

gaming within Oklahoma, the tribe agrees to pay the following fees: 

1. The tribe covenants and agrees to pay to the state a fee derived from 

covered game revenues calculated as set forth in paragraph 2 of this subsection. Such fee shall be 

paid no later than the twentieth day of the month for revenues received by the tribe in the 

preceding month; and 

2. The fee shall be:

a. four percent (4%) of the first Ten Million Dollars ($10,000,000.00) 

of adjusted gross revenues received by a tribe in a calendar year 

from the play of electronic amusement games, electronic bonanzastyle bingo games and electronic instant bingo games,

b. five percent (5%) of the next Ten Million Dollars ($10,000,000.00) 

of adjusted gross revenues received by a tribe in a calendar year 

from the play of electronic amusement games, electronic bonanzastyle bingo games and electronic instant bingo games,

c. six percent (6%) of all subsequent adjusted gross revenues 

received by a tribe in a calendar year from the play of electronic 

amusement games, electronic bonanza-style bingo games and 

electronic instant bingo games, and

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d. ten percent (10%) of the monthly net win of the common pool(s) or

pot(s) from which prizes are paid for nonhouse-banked card 

games. The tribe is entitled to keep an amount equal to state 

payments from the common pool(s) or pot(s) as part of its cost of 

operating the games.

Payments of such fees shall be made to the Treasurer of the State of Oklahoma. Nothing 

herein shall require the allocation of such fees to particular state purposes, including, but not 

limited to, the actual costs of performing the state's regulatory responsibilities hereunder. 

B. Annual oversight assessment. In addition to the fee provided for in subsection A 

of this Part, the state shall be entitled to payment for its costs incurred in connection with the 

oversight of covered games to the extent provided herein, the "annual oversight assessment". 

The annual oversight assessment, which shall be Thirty-five Thousand Dollars ($35,000.00), 

shall be determined and paid in advance on a fiscal year basis for each twelve (12) months 

ending on June 30 of each year. 

C. Upon the effective date of this Compact, the tribe shall deposit with the SCA the 

sum of Fifty Thousand Dollars ($50,000.00) ("start-up assessment"). The purpose of the start-up 

assessment shall be to assist the state in initiating its administrative and oversight responsibilities 

hereunder and shall be a one-time payment to the state for such purposes. 

D. Nothing in this Compact shall be deemed to authorize the state to impose any tax, 

fee, charge or assessment upon the tribe or enterprise except as expressly authorized pursuant to 

this Compact; provided that, to the extent that the tribe is required under federal law to report 

prizes awarded, the tribe agrees to copy such reports to the SCA. 

E. In consideration for the covenants and agreements contained herein, the state 

agrees that it will not, during the term of this Compact, permit the nontribal operation of any 

machines or devices to play covered games or electronic or mechanical gaming devices 

otherwise presently prohibited by law within the state in excess ofthe number and outside ofthe 

designated locations authorized by the State-Tribal Gaming Act. The state recognizes the 

importance of this provision to the tribe and agrees, in the event of a breach of this provision by 

the state, to require any nontribal entity which operates any such devices or machines in excess 

ofsuch number or outside ofthe designated location to remit to the state at least quarterly no less 

than fifty percent (50%) of any increase in the entities adjusted gross revenues following the 

addition of such excess machines. The state further agrees to remit at least quarterly to eligible 

tribes, as liquidated damages, a sum equal to fifty percent (50%) of any increase in the entities 

adjusted gross revenues following the addition of such excess machines. For purposes of this 

Part, eligible tribes means those tribes which have entered into this Compact and are operating 

gaming pursuant to this Compact within forty-five ( 45) miles of an entity which is operating 

covered game machines in excess of the number authorized by, or outside of the location 

designated by, the State-Tribal Gaming Act. Such liquidated damages shall be allocated pro rata 

to eligible tribes based on the number of covered game machines operated by each eligible tribe 

in the time period when such adjusted gross revenues were generated. 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

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F. In consideration for the covenants and agreements contained herein, the tribe 

agrees that in the event it has currently or locates in the future a facility within a radius of twenty 

(20) miles from a recipient licensee as that term is defined in subsection K of Section 4 of the 

State-Tribal Gaming Act that it shall comply with the requirements ofsubsection K of Section 4 of 

the State-Tribal Gaming Act.

PART 12

DISPUTE RESOLUTION 

In the event that either party to this Compact believes that the other party has failed to 

comply with any requirement of this Compact, or in the event of any dispute hereunder, 

including, but not limited to, a dispute over the proper interpretation ofthe terms and conditions of 

this Compact, the following procedures may be invoked: 

1. The goal of the parties shall be to resolve all disputes amicably and voluntarily 

whenever possible. A party asserting noncompliance or seeking an interpretation of this 

Compact first shall serve written notice on the other party. The notice shall identify the specific 

Compact provision alleged to have been violated or in dispute and shall specify in detail the 

asserting party's contention and any factual basis for the claim. Representatives of the tribe and 

state shall meet within thirty (30) days ofreceipt of notice in an effort to resolve the dispute; 

2. Subject to the limitation set forth in paragraph 3 of this Part, either party may 

refer a dispute arising under this Compact to arbitration under the rules' of the American 

Arbitration Association (AAA), subject to enforcement or pursuant to review as provided by 

paragraph 3 of this Part by a federal district court. The remedies available through arbitration are 

limited to enforcement of the provisions ofthis Compact. The parties consent to the jurisdiction of 

such arbitration forum and court for such limited purposes and no other, and each waives 

immunity with respect thereto. One arbitrator shall be chosen by the parties from a list of 

qualified arbitrators to be provided by the AAA. If the parties cannot agree on an arbitrator, then 

the arbitrator shall be named by the AAA. The expenses of arbitration shall be borne equally by 

the parties. 

A party asserting noncompliance or seeking an interpretation of this Compact 

under this section shall be deemed to have certified that to the best of the party's knowledge, 

information, and belief formed after reasonable inquiry, the claim of noncompliance or the 

request for interpretation of this Compact is warranted and made in good faith and not for any 

improper purpose, such as to harass or to cause unnecessary delay or the needless incurring of 

the cost of resolving the dispute. If the dispute is found to have been initiated in violation of this 

Part, the Arbitrator, upon request or upon his or her own initiative, shall impose upon the 

violating party an appropriate sanction, which may include an award to the other party of its 

reasonable expenses incurred in having to participate in the arbitration; and 

3. Notwithstanding any provision of law, either party to the Compact may bring an 

action against the other in a federal district court for the de novo review of any arbitration award 

under paragraph 2 of this Part. The decision of the court shall be subject to appeal. Each of the 

parties hereto waives immunity and consents to suit therein for such limited purposes, and agrees 

PAWNEE TRIBE OF OKLAHOMA AND ST A TE OF OKLAHOMA GAMING COMPACT 

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not to raise the Eleventh Amendment to the United States Constitution or comparable defense to 

the validity of such waiver. 

Nothing herein shall be construed to authorize a money judgment other than for damages 

for failure to comply with an arbitration decision requiring the payment of monies. 

PART 13

CONSTRUCTION OF COMP ACT; 

FEDERAL APPROVAL 

A. Each provision, section, and subsection of this Compact shall stand separate and 

independent of every other provision, section, or subsection. In the event that a federal district 

court shall find any provision, section, or subsection ofthis Compact to be invalid, the remaining 

provisions, sections, and subsections ofthis Compact shall remain in full force and effect, unless 

the invalidated provision, section or subsection is material. 

B. Each party hereto agrees to defend the validity ofthis Compact and the legislation 

in which it is embodied. This Compact shall constitute a binding agreement between the parties 

and shall survive any repeal or amendment ofthe State-Tribal Gaming Act. 

C. The parties shall cooperate in seeking approval of this Compact from an 

appropriate federal agency as a tribal-state compact under the Indian Gaming Regulatory Act. 

D. The standards for electronic bonanza-style bingo games, electronic instant bingo 

games and electronic amusement games established in the State-Tribal Gaming Act as enacted in 

2004, and, at the election of the tribe, any standards contained in the Oklahoma Horseracing 

Commission rules issued pursuant to subsection B of Section 9 of the State-Tribal Gaming Act 

are hereby incorporated in this Compact and shall survive any repeal of the State-Tribal Gaming 

Act, or any games authorized thereunder. In the event that any of said standards are changed by 

amendment of the State-Tribal Gaming Act, the tribe shall have the option to incorporate said 

changes into this Compact by delivery of written notice ofsaid changes to the Governor and the 

SCA. 

PART 14 

NOTICES 

All notices required under this Compact shall be given by certified mail, return receipt 

requested, commercial overnight courier service, or, personal delivery, to the following persons: 

Governor 

Chair, State-Tribal Relations 

Committee Attorney General 

PAWNEE TRIBE OF OKLAHOMA AND STATE OF OKLAHOMA GAMING COMPACT 

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President of the Pawnee Tribe of Oklahoma 

P. 0. Box 280

Pawnee, Oklahoma 74058

With copies to: 

David J. Ketelsleger 

McAfee & Taft A Professional Corporation 

10th Floor, Two leadership Square

211 North Robinson, Suite 1000 

Oklahoma City, Oklahoma 73102-7103 

PARTIS 

DURATION AND NEGOTIATION 

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

following requirements: 

1. Due execution on behalf of the tribe, including obtaining all tribal 

resolutions and completing other tribal procedures as may be necessary to render the tribe's 

execution effective; 

2. Approval of this Compact by the Secretary of the Interior as a tribal-state 

compact within the meaning of IGRA and publication in the Federal Register or satisfaction of 

any other requirement offederal law; and 

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

of this Compact. 

B. This Compact shall have a term which will expire on January 1, 2020, and at that 

time, if organization licensees or others are authorized to conduct electronic gaming in any form 

other than parimutuel wagering on live horse racing pursuant to any governmental action of the 

state or court order following the effective date of this Compact, the Compact shall automatically 

renew for successive additional fifteen-year terms; provided that, within one hundred eighty 

(180) days of the expiration of this Compact or any renewal thereof, either the tribe or the state, 

acting through its Governor, may request to renegotiate the terms of subsections A and E of Part 

11 of this Compact.

C. This Compact shall remain in full force and effect until the sooner of expiration of

the term or until the Compact is terminated by mutual consent of the parties. 

D. This Compact may be terminated by state upon thirty (30) days' prior written 

notice to the tribe in the event of either (I) a material breach by the tribe of the terms of a 

tobacco Compact with the state as evidenced by a final determination ofmaterial breach from the 

dispute resolution forum agreed upon therein, including exhaustion of all available appellate 

remedies therefrom, or (2) the tribe's failure to comply with the provisions of Section 346 et seq. 

PAWNEE TRlBE OF OKLAHOMA AND ST A TE OF OKLAHOMA GAMING COMPACT 

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Pawnee Nation of Oklahoma

Gaming Ordinance

Enacted August 22, 2022
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Table of Contents

Article 1 - Introduction..................................................................................................................1

Section 1.1 - Declaration of Policy ..............................................................................................1

Section 1.2 - Scope.......................................................................................................................1

Section 1.3 - General Prohibition - Exceptions............................................................................1

Section 1.4 - Definitions...............................................................................................................2

Article 2 - General Provisions.......................................................................................................7

Section 2.1 - Gaming Authorized.................................................................................................7

Section 2.2 - Use of Net Revenue ................................................................................................7

Section 2.3 - Class II and Class III Licensing ..............................................................................8

Section 2.4 - Ownership of Gaming.............................................................................................8

Section 2.5 - Audit Provisions......................................................................................................8

Section 2.6 - Environmental Protection .......................................................................................9

Section 2.7 - Civil Penalties.........................................................................................................9

Section 2.8 - Criminal Penalties...................................................................................................9

Section 2.9 - Invalidity and Severability....................................................................................10

Section 2.10 - No Tribal Liability ..............................................................................................10

Section 2.11 - Regulations of Tribal Subdivision ......................................................................10

Article 3 - Pawnee Nation Gaming Commission.......................................................................11

Section 3.1 - Pawnee Gaming Commission ...............................................................................11

Section 3.2 - Appointment of Members.....................................................................................11

Section 3.3 - Appointment of Commissioners...........................................................................13

Section 3.4 - Conflict of Interest ................................................................................................13

Section 3.5 - Meetings................................................................................................................13

Section 3.6 - Authority and Responsibility ................................................................................14

Section 3.7 - Quarterly Reports..................................................................................................15

Section 3.8 - Budget...................................................................................................................15

Section 3.9 - Staffing of Commission ........................................................................................15

Section 3.10 - Access to Information .........................................................................................17

Section 3.11 - Assessment of Fees.............................................................................................18

Section 3.12 - Ethics...................................................................................................................18
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Article 4 - Pawnee Nation Tribal Development Corporation Board of Directors.................19

Section 4.1 - Duties of the Designated Business Entity.............................................................19

Section 4.2 - Board of Directors.................................................................................................19

Section 4.3 - License Required...................................................................................................19

Section 4.4 - Statement of Gross Gaming Revenue and Net Revenues.....................................20

Section 4.5 - Verification of Report ...........................................................................................20

Section 4.6 - Record Retention and Maintenance ......................................................................21

Article 5 - Licensing.....................................................................................................................21

Section 5.1 - License Requirements...........................................................................................21

Section 5.2 - Nature of Gaming License ....................................................................................21

Section 5.3 - Types of Licenses to be Issued .............................................................................21

Section 5.4 - Gaming Facility License .......................................................................................22

Section 5.5 - Consent to Jurisdiction..........................................................................................22

Section 5.6 - Application............................................................................................................23

Section 5.7 - Notice Features .....................................................................................................24

Section 5.8 - Application Fee .....................................................................................................24

Section 5.9 - Manner of Filing Instruments With Commission .................................................25

Section 5.10 - Application Timeline ..........................................................................................25

Section 5.11 - Fingerprinting .....................................................................................................25

Article 6 - Gaming & Gaming Related Vendors.......................................................................25

Section 6.1 - Licenses for Gaming & Gaming Related Vendors ...............................................25

Section 6.2 - Submission of a Gaming & Gaming Related Vendor License Application .........26

Section 6.3 - Contents of the Gaming & Gaming Related Vendor License Application...........26

Section 6.4 - Vendor Background Investigation ........................................................................27

Section 6.5 - Vendor License Fee ..............................................................................................27

Section 6.6 - Vendor Background Investigation Report ............................................................28

Section 6.7 - Exemption for Vendors Licensed by Recognized Regulatory Authorities...........28

Section 6.8 - Registration for Non-Gaming Vendors.................................................................28

Article 7 - Background Investigations .......................................................................................28

Section 7.1 - Required Background Investigations....................................................................28

Section 7.2 - Background Investigation - Key Employees and Primary Management Officials

....................................................................................................................................................28

Section 7.3 - Report to the National Indian Gaming Commission.............................................30
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Section 7.4 - Other Background Investigations..........................................................................31

Article 8 - Granting a Gaming License, Denial, Renewal, and Suspension............................32

Section 8.1 - Granting a Gaming License ..................................................................................32

Section 8.2 - Denying a Gaming License...................................................................................32

Section 8.3 - License Renewals..................................................................................................33

Section 8.4 - License Revocation...............................................................................................33

Article 9 - Management Contracts.............................................................................................34

Section 9.1 - Commission Licensing of Management Contractor Required..............................34

Section 9.2 - Provisions of Management Contract.....................................................................34

Section 9.3 - Percentage of Net Revenue Fees...........................................................................35

Article 10 - Unlawful Acts...........................................................................................................35

Section 10.1 - Unlawful Acts - Civil..........................................................................................35

Section 10.2 - Unlawful Acts - Criminal....................................................................................39

Article 11 - Administrative Enforcement ..................................................................................42

Section 11.1 - Action to be Taken..............................................................................................42

Section 11.2 - Hearings and Appeals to the Commission ..........................................................42

Section 11.3 - Jurisdiction of the Pawnee Court ........................................................................44

Article 12 - RESERVED..............................................................................................................46

Article 13 - Applicable Laws.......................................................................................................47

Section 13.1 - Controversies Involving Contract .......................................................................47

Article 14 - Service of Process.....................................................................................................47

Section 14.1 - Gaming Commission Service Agent...................................................................47

Section 14.2 - Management Service Agent................................................................................47

Article 15 - Patron Disputes........................................................................................................48

Section 15.1 - Patron Disputes - Prize Claims ...........................................................................48

Article 16 - Exclusion or Ejection of Individuals......................................................................49

Section 16.1 - Exclusion List .....................................................................................................49

Section 16.2 - Notice or Opportunity to be Heard .....................................................................49

Article 17 - Regulations...............................................................................................................49

Section 17.1 - Promulgating Regulations...................................................................................49

Article 18 - Tort Claims...............................................................................................................50

Section 18.1 - Tort Claims .........................................................................................................50
iv

Article 19 - Amendment of Ordinance and Effective Date/Repeal .........................................52

Section 19.1 - Amendment.........................................................................................................52

Section 19.2 - Effective Date and Repeal of Prior Ordinances..................................................52
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An Ordinance to authorize, license, & regulate Class I, II and III gaming

activities on the Indian Lands of the Pawnee Nation of Oklahoma pursuant to 

the Indian Gaming Regulatory Act. Adopted by the Pawnee Business Council 

pursuant to Statute 22-04 on August 23, 2022.

ARTICLE 1 – INTRODUCTION

SECTION 1.1 DECLARATION OF POLICY

It is declared policy of the Pawnee Nation of Oklahoma that:

1) All Gaming conducted on the Nation’s Indian Lands shall be regulated by the Pawnee 

Nation Gaming Commission to protect the public health and welfare of employees and 

Patrons from the adverse effects which may derive from unregulated Gaming;

2) It is the objective of the Nation to achieve and sustain the maximum Tribal revenue from 

Gaming for the benefit of the Tribal government and membership and to promote Tribal 

economic self-sufficiency and the general Tribal health and welfare while at the same time 

ensuring that Pawnee Nation Gaming activities are conducted fairly and honestly by both 

the operation and players;

3) The conduct of activities provided for by this Ordinance on the Nation’s Indian Lands shall 

conform with the Indian Gaming Regulatory Act, 102 Stat. 2467, 25 U.S.C. §§ 2701- 2721, 

and the regulations promulgated by the National Indian Gaming Commission as well as 

any effective Tribal-State Gaming Compact with the State of Oklahoma or any state; and 

other laws and regulations applicable to the Nation’s Gaming activities;

4) Furthermore, it shall be recognized that effective regulatory oversight requires a functional 

separation between the operation of Tribal Gaming and the regulation of Tribal Gaming; 

and

5) Accordingly, it is believed that the Nation’s regulatory framework shall have sufficient 

freedom and flexibility to operate as independently without undue political interference 

and shall have a stable source of funding.

SECTION 1.2 SCOPE

This Ordinance shall apply to all Gaming activities, including Class I, II, and III Gaming activities 

conducted on the Indian Lands of the Pawnee Nation.

SECTION 1.3 GENERAL PROHIBITION – EXCEPTIONS

No person shall conduct Class II Gaming or any Class III Gaming on the Nation’s Indian Lands

for which a charge is made or other consideration requested or required for participation, or to the 

winner of which any prize is awarded except as Licensed and conducted pursuant to this 

Ordinance.
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SECTION 1.4 DEFINITIONS

As used in this Ordinance, the following definitions shall apply:

1) "ACCOMPLICE" means one who acts 1) jointly with another, 2) as an accessory before 

the fact to an act committed by another, or 3) as a co-conspirator with another to violate 

any provision(s) of this Ordinance or any applicable federal or Tribal law.

2) "BUSINESS COUNCIL" or “COUNCIL” means the Pawnee Business Council as 

described in the Constitution of the Pawnee Nation of Oklahoma.

3) "CHEATING" means operating or playing in a game in a manner in violation of the written 

or commonly understood rules of the game with the intent to create for oneself, directly or 

through any accomplice, an advantage over and above the chance of the game.

4) “CLASS I GAMING” means that Gaming defined in 25 U.S.C. § 2703 (6) and 25 C.F.R. 

§ 502.2.

5) "CLASS II GAMING" means that Gaming defined in 25 U.S.C. § 2703(7) and 25 C.F.R. 

§ 502.3.

6) "CLASS III GAMING" means that Gaming defined in 25 U.S.C. § 2703(8) and 25 C.F.R. 

§ 502.4.

7) "COMMISSION" means the Pawnee Nation Gaming Commission.

8) "COMMISSION STAFF" means all employees of the Commission, including the Director, 

and does not include the individual Commissioners.

9) "COMPACT" means the Tribal-State Gaming Compact between the Pawnee Nation of 

Oklahoma and the State of Oklahoma, which is also known as the Pawnee Tribe of 

Oklahoma and State of Oklahoma Gaming Compact.

10) "CONCESSIONS" means all drinks and food sold at the Gaming Facility.

11) "EQUIPMENT" means all Gaming, office, and maintenance Equipment necessary to the 

operation of Class II Gaming or Class III Gaming, as applicable, and of a Gaming Facility.

12) "EQUIPMENT COSTS" means the cost at which Equipment may be acquired pursuant to 

competitive bidding.

13) “DIRECTOR” means the official responsible for directing, supervising, and overseeing the 

Commission Staff and the day-to-day regulation of the Nation’s Gaming Operation(s), who 

is cloaked with the authority to: 1) issue all Gaming Licenses, permits, and registrations; 

2) conduct regulatory oversight and monitoring activities, including audits and reviews; 3) 

investigate potential violations and conditions of noncompliance in relation to all laws, 
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regulations, and Compact provisions applicable to the conduct of the Nation’s Gaming

activities; 4) bring enforcement actions; 5) conduct hearings; 6) make criminal referrals to 

appropriate law enforcement agencies; and 7) assess fines and sanctions consistent with 

principles of fundamental fairness and due process of law.

14) "FACILITY COSTS" means the actual and direct cost of acquiring a Gaming site and the 

development, construction, and establishment thereon of a Gaming Facility, including the 

Equipment Costs incurred in connection therewith.

15) "GAMING" means risking any money or other thing of value for gain, contingent, wholly 

or partially, upon lot, chance, the operation of a Gaming apparatus, or the happening or 

outcome of an event over which the person taking the risk has no control.

16) "GAMING FACILITY" means a building or buildings used in the operation of Class II 

Gaming or Class III Gaming, as applicable, including all appurtenances, access roads, 

parking lots, easements, outside lighting, water and sewer facilities, electrical facilities, 

heating and air conditioning Equipment, fixtures, and any and all other improvements 

reasonable and necessary to a facility of similar operation and use.

17) “GAMING FINANCIER” means unless otherwise provided herein or in a Compact 

between the Nation and a state, any provider of financing to a Gaming Operation.

18) "GAMING OPERATION" means each economic entity that is licensed under this 

Ordinance, which operates the games, receives the revenues, issues the prizes, and pays the 

expenses. A Gaming Operation may be operated by the Nation directly or by a Licensed 

Management Contractor pursuant to an approved Management Contract.

19) "GAMING SITE" or "SITE" means the tract or tracts of land upon which a Gaming Facility

is located.

20) “GAMING-RELATED VENDOR” means any person or business entity that supplies any 

goods or services directly related to the Gaming Operation, including 

suppliers/manufacturers of Gaming Equipment and devices, including electronic,

computer, or technological aids to games; providers of accounting services; and Gaming 

Financiers.

21) "GROSS GAMING REVENUE" means annual total amount of cash wagered on class II 

and class III games and admission fees (including any table or card fees) less any amounts 

paid out as prizes or paid for prizes awarded.

22) “INDIAN GAMING REGULATORY ACT” OR “IGRA” OR “ACT” means the Act of 

October 17, 1988, of the United States Congress establishing the National Indian Gaming

Commission and authorizing tribal governments to conduct Gaming activities subject to 

the regulatory framework established in the Act, codified at 25 U.S.C.§§ 2701, et seq.
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23) "KEY EMPLOYEE" of a Gaming Operation means:

a) A person who performs one or more of the following functions:

i) Shift leader;

ii) Counting room supervisor;

iii) Security personnel, including the Chief of Security;

iv) Custodian of Gaming supplies or cash;

v) Floor manager;

vi) Pit boss;

vii) Dealer;

viii) Croupier;

ix) Approver of credit;

x) Bingo caller; and

xi) Custodian of gambling devices including persons with access to cash and 

accounting records within such devices; or

b) If not otherwise included any other person whose total cash compensation is in excess 

of $50,000 per year;

c) If not otherwise included, the four most highly compensated persons in the Gaming 

Operation; or

d) Any other Person identified as requiring a Key License pursuant to future enactment.

24) "LICENSE" means a formal permit or authorization issued on behalf of the Pawnee Nation 

pursuant to and in accordance with this Ordinance and/or the Compact, consistent with the

Indian Gaming Regulatory Act and associated regulations.

25) "MANAGEMENT CONTRACT" means any contract, subcontract, or collateral agreement 

between the Tribally-designated entity and an outside Management Contractor, not a 

regular employee of the Nation, if such contract or agreement provides for the development 

and/or management of all or part of a Gaming Operation at a specified Gaming Facility.
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26) "MANAGEMENT CONTRACTOR " means the Person (other than the Nation or a Nation 

entity) holding a Management Contract entered into pursuant to 25 U.S.C. §§ 2710(d)(9) 

and 2711.

27) "NATION" means the Pawnee Nation of Oklahoma.

28) "NATION’S INDIAN LANDS" means: (a) all land within the limits of the boundaries of 

the Pawnee Indian Reservation; and (b) land over which the Pawnee Nation exercises 

governmental power and that is either (1) held in trust by the United States for the benefit 

of the Pawnee Nation or individual Tribal members; or (2) held by the Pawnee Nation or 

individual Tribal member subject to restriction by the United States against alienation.

29) "NATIONAL INDIAN GAMING COMMISSION" or “NIGC” means the National Indian 

Gaming Commission or any successor authorized under the Act.

30) "NET REVENUE" means Gross Gaming Revenue less:

a) Amounts paid out as, or paid for, prizes; and

b) Total Gaming-related Operating Expenses, including all those expenses of the Gaming 

Operation commonly known as Operating Expenses and non-operating expenses

consistent with professional accounting pronouncements, excluding management fees.

31) “NON-GAMING VENDOR” means any person or entity that provides goods or services 

not directly related to Gaming activities, back-of-house software systems, currency 

counting Equipment, player tracking software and/or Gaming goods, supplies, or 

Equipment. Non-Gaming Vendors include but are not limited to:

a) Providers or subcontractors of food and beverage goods and/or services;

b) Providers or subcontractors of entertainment and/or entertainment services;

c) Providers or subcontractors of non-Gaming products, such as products for sale, 

tobacco, or other non-Gaming products;

d) Providers or subcontractors of any other non-Gaming goods, supplies or services; and

e) Such other Non-Gaming Vendors as the Commission may designate by rule or 

regulation.

32) "OPERATING EXPENSES" means any expenses incurred in the operation of Gaming that 

is specifically designated as an operating expense in any Management Contract or which 

by operation of Generally Accepted Accounting Principles (GAAP) consistently applied is 

so treated.
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33) "PATRON" means a Person participating in a game with the hope of winning money or 

other benefit, but does not include a Licensee, or any assignee of a Licensee.

34) “PAWNEE NATION GAMING COMMISSION” means the governmental 

instrumentality of the Nation established to secure, oversee, and protect the honesty, 

integrity, fairness, and security of the Nation’s Gaming Operations and activities, to

adjudicate appeals arising from enforcement actions and decisions of the Director and/or 

other Commission Staff members, and to perform such other functions as are delegated 

pursuant to this Ordinance.

35) "PERSON" means any individual, firm, partnership, corporation, limited liability 

company, association, or other business entity recognized under the laws of the Nation or 

any state.

36) "PRIMARY MANAGEMENT OFFICIAL" means:

a) Person(s) having management responsibility over a Gaming Operation and/or facility 

whether an employee of the Nation or a contractor pursuant to a Management Contract;

b) Each Person (including individuals comprising a business entity) having a direct 

financial interest in a Management Contract. In the case of a corporation, the term 

includes those Persons who serve on the Board of Directors of such corporation and 

every Person who owns, directly or indirectly, either individually or by agent, including 

Relatives, any stock in a corporate Management Contractor or equity interests in any 

other legal entity which is a Management Contractor however those shares or interests 

be designated, or a Person having sufficient voting power individually or by proxy to 

elect at least one member to the Board of Directors or other managing entity of a 

Management Contractor. The term also includes all other Persons employed by a 

Management Contractor in any capacity, and Relatives of Persons who are defined as 

Primary Management Officials by the preceding text, having five percent (5%) or more 

equity ownership, either individually or by agent, including Relatives, in any other 

business entity hired by a Management Contractor or by doing any business with a 

Management Contractor with respect to an agreement entered into by the Management 

Contractor in a Gaming Operation; or

c) Any Person who has authority:

i) To hire and fire employees; or

ii) To set up working policy for a Gaming Operation; or

iii) The chief financial officer or other person who has financial management 

responsibility.

37) "RELATIVE " means an individual related to a referenced natural Person as a father, 

mother, son, daughter, brother, sister, husband, wife, step-father, step-mother, step-son, 
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step- daughter, step-brother, step-sister, half-brother, or half- sister, whether via biological 

connection or adoption.

38) "STANDARD EMPLOYEE" means any employee of the Gaming Operation who serves

in a position that does not require a Key Employee or Primary Management Official

license.

39) "STATE" means any state or territory of the United States and any of its agencies or 

instrumentalities.

40) “SUITABILITY STANDARD” means the measure of character, honesty, and integrity 

required of all Persons or entities subject to the Nation’s licensing, permitting, and/or 

registration processes, taking into account whether such Person or entity poses a threat to 

the public interest or to the effective regulation of Gaming, or creates or enhances the 

dangers of unsuitable, unfair, or illegal practices and methods and activities in the conduct 

of Gaming.

41) "TRIBAL COURT" means courts duly constituted under the Constitution of the Pawnee 

Nation of Oklahoma.

42) "TRIBAL-STATE COMPACT" means an agreement between the Nation and any state 

which regulates Class III Gaming pursuant to 25 U.S.C. § 2710(d).

43) "TRIBE" means the Pawnee Nation of Oklahoma.

ARTICLE 2- GENERAL PROVISIONS

SECTION 2.1 GAMING AUTHORIZED

Class I Gaming as defined at 25 U.S.C. § 2703 (6), Class II Gaming as defined at 25 U.S.C. § 2703

(7), and Class III Gaming as defined at 25 U.S.C. § 2703(8) of the Indian Gaming Regulatory Act 

and by the regulations promulgated by the National Indian Gaming Commission at 25 C.F.R. §§ 

502.3 and 502.4 are hereby authorized in accordance with the provisions of this Ordinance and the 

IGRA.

SECTION 2.2 USE OF NET REVENUE

1) Purpose. Net Revenue from any Tribal Gaming Operation(s) shall only be used for the 

following purposes:

a) To fund Tribal government operations and/or programs;

b) To provide for the general welfare of the Nation and its members;

c) To promote Tribal economic development;
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d) To donate to charitable organizations; and

e) To help fund operations of local Tribal agencies.

2) Per Capita Payments. No per capita payment of Gaming revenues may be made. If the 

Pawnee Business Council subsequently elects to make per capita payments, it shall 

authorize such payments only upon approval of a Gaming revenue allocation plan 

submitted to the Secretary of the United States Department of Interior pursuant to 25 U.S.C. 

§ 2710(b)(3).

SECTION 2.3 CLASS II AND CLASS III LICENSING

The following games may be Licensed and conducted on the Nation’s Indian Lands:

1) Any game defined as Class II Gaming as defined by the IGRA and otherwise determined 

to be Class II Gaming by amendment of the IGRA, by regulation, by decision of the 

National Indian Gaming Commission, or by a federal court.

2) Class III Games, as provided for in the Compact between the State of Oklahoma or any 

state and the Nation, or such procedures as prescribed by the Secretary of the Interior 

pursuant to the Act.

SECTION 2.4 OWNERSHIP OF GAMING

The Nation shall have the sole propriety interest in and responsibility for the conduct of any 

Gaming activities authorized by this Ordinance. If the Nation, acting through the Business Council, 

elects to allow individually owned Gaming Operations, it shall authorize such operations in 

accordance with the requirements set forth in 25 C.F.R. §522.10 and 522.11.

SECTION 2.5 AUDIT PROVISIONS

The following audit requirements shall apply to License applicants, Gaming Operations, and 

contractors as set forth below:

1) Implied Consent for Audits and Review. In return for the privilege of conducting Gaming

within the Nation's jurisdiction, any Person that applies for or receives a License to conduct 

Gaming pursuant to this Ordinance shall be deemed to have consented to the audit and 

review of any of its records by federal or Tribal law enforcement agencies, or a duly 

authorized accounting firm designated by the Director or Commission Staff, without notice 

or warrant, at any reasonable time, including, but not limited to, spot checks or field audits 

of its operations during Gaming sessions.

2) Annual Audits. At least once each calendar year, an external financial audit, which may be 

encompassed within the existing independent Tribal audit system, and an external set of 

agreed-upon-procedures or operational audit, will be conducted by a certified public 

accountant designated by the Director in consultation with the Gaming Operation(s) for 
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each Gaming Facility. The resulting audit reports shall be submitted promptly to the 

Director and the National Indian Gaming Commission.

3) Audit of Contracts. All contracts for supplies, services, or concessions for a contract 

amount of Twenty-Five Thousand dollars ($25,000.00) or greater annually, except 

contracts for professional legal or accounting services, relating to a Gaming Operation shall 

be subject to such annual independent audits, and each such contract shall contain a 

provision whereby each party thereto agrees to cooperate and comply with the audit.

4) Costs of Audits. The cost of the annual external audits shall be borne by the subject Gaming 

Operation(s) for each Gaming Facility.

SECTION 2.6 ENVIRONMENTAL PROTECTION

Class II and Class III Gaming Facilities shall be constructed, maintained, and operated in a manner 

that adequately protects the environment and the public health and safety. The Commission shall 

ensure compliance with this Subsection of this Ordinance and applicable NIGC Regulations.

SECTION 2.7 CIVIL PENALTIES

Any person or entity that violates any provision(s) of this Ordinance may be subject to Civil 

Penalties, as authorized. The Director is authorized to conduct investigations into any suspected 

violation(s) of this Ordinance and, where warranted, bring a civil action in any court of competent 

jurisdiction, including the Tribal Court, against any Person or entity violating the provisions of 

this Ordinance. Upon finding that a violation has occurred, the Tribal Court may impose a civil 

penalty as provided in Section 12 of this Ordinance, for each separate violation in addition to any 

or all actual damages, administrative costs, and the fees of counsel retained by the Commission to 

prosecute such offense. Each game played at which a continuing violation occurs shall be deemed 

a separate violation.

SECTION 2.8 CRIMINAL PENALTIES

1) Any person subject to the criminal jurisdiction of the Nation convicted of a criminal 

violation of the laws of the Nation, including criminal violations of this Ordinance, shall 

be punished by confinement for a period of not more than one (1) year, and a fine of not 

more than five thousand dollars ($5,000.00), or by both such fine and imprisonment for 

each separate criminal offense, and may further be subject to civil sanctions imposed by 

the Director, including, among other potential civil sanctions, a permanent or temporary 

Order of Exclusion from the Nation’s Gaming Facilities. Any person subject to an Order 

of Exclusion who thereafter enters upon the premises of a Gaming Facility shall be deemed 

in trespass and may be removed by Casino Security or an officer(s) of the Pawnee Nation 

Police. No person subject to an active Order of Exclusion may engage in any Gaming
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activity or Gaming promotion. If an excluded person should gain access to a Gaming 

Facility, any winnings or prizes to which he or she would otherwise be entitled shall be 

forfeited, and no payment or prize may be issued to such person. Funds forfeited pursuant 

to this provision shall be deposited in the General Fund of the Pawnee Nation. 

2) Any person not subject to the criminal jurisdiction of the Nation violating the criminal 

provisions of this Ordinance or other criminal law of the Pawnee Nation, the laws of the 

State of Oklahoma, or the United States shall be referred to the appropriate law 

enforcement agency for arrest and/or prosecution and may further be subject to civil 

sanctions imposed by the Director, including, among other potential civil sanctions, a 

permanent or temporary Order of Exclusion from the Nation’s Gaming Facilities. Any 

person subject to an Order of Exclusion who thereafter enters upon the premises of a 

Gaming Facility shall be deemed in trespass and may be removed by Casino Security or an 

officer(s) of the Pawnee Nation Police. No person subject to an active Order of Exclusion 

may engage in any Gaming activity or Gaming promotion. If an excluded person should 

gain access to a Gaming Facility, any winnings or prizes to which he or she would 

otherwise be entitled shall be forfeited and no payment or prize may be issued to such 

person. Funds forfeited pursuant to this provision shall be deposited in the General Fund 

of the Pawnee Nation. 

SECTION 2.9 INVALIDITY AND SEVERABILITY

If any provision of this Ordinance, or the application thereof to any Person or circumstances, is 

held invalid, the invalidity shall not affect other provisions or applications of the Ordinance which 

can be given effect without the invalid provisions of application, and, to this end, the provisions 

of this Ordinance are severable.

SECTION 2.10 NO TRIBAL LIABILITY

Neither the Nation nor its officers, agents, or agencies, shall be responsible for the debts or 

liabilities of any Gaming Operation, it being the intent that each Gaming Operation shall be a 

corporate entity solely responsible (with its Management Contractor if provided for by contract) 

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

explicitly provided for by this Ordinance. No provision of this Ordinance or regulations 

promulgated pursuant thereto constitutes a waiver of the Nation's sovereign immunity from suit, 

except as expressly provided otherwise herein.

SECTION 2.11 REGULATIONS OF TRIBAL SUBDIVISION

Each Gaming Operation shall be regulated by the Commission as provided for and to the extent of 

this Ordinance, Tribal regulations, IGRA, regulations of the National Indian Gaming Commission,

and the Compact(s). All Gaming Operations shall be subordinate agencies of the Nation and shall 

enjoy all the Nation’s privileges and immunities.
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ARTICLE 3- PAWNEE NATION GAMING COMMISSION

SECTION 3.1 PAWNEE GAMING COMMISSION

1) Powers. The Tribal Gaming Commission established under prior law shall henceforth be 

called the Pawnee Nation Gaming Commission and henceforth shall be delegated the 

following powers:

a) To adjudicate all matters arising on appeal from the actions and/or decisions of the 

Director;

b) To hire the Director, provided that the Commissioners shall abstain from involvement 

in licensing and enforcement actions brought by the Director except where such actions 

and/or decisions are before the Commissioners on appeal by an aggrieved Person;

c) To issue rules and regulations pertaining to the Nation’s Gaming Operations and 

activities;

d) To classify games; and

e) Upon application of the Director, to issue orders of impoundment of Gaming

Equipment believed to be malfunctioning for testing or for other good cause.

2) The Commission will consist of three (3) members appointed by majority vote of the 

Pawnee Business Council, provided, however, that no Commissioner shall be:

a) Younger than 25 years of age at the time of appointment;

b) A current employee of the Pawnee Gaming Commission;

c) A current member of the Pawnee Business Council;

d) A current member of the Board of the Pawnee Tribal Development Corporation;

e) A current employee of any Pawnee Nation Gaming Operation or Gaming Facility; or

f) A current employee of any vendor registered or Licensed under this Ordinance.

g) A current member of any other Tribal Gaming Board/ Enterprise except with the 

expressed knowledge and consent of the Pawnee Business Council

SECTION 3.2 APPOINTMENT OF MEMBERS

1) Appointments of the Commission shall be for a period of three (3) years. Commissioners 

serving under prior law shall continue to serve until the expiration of his or her term. 
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Commissioners may be reappointed for successive terms and will serve until his or her 

successor is confirmed by the Pawnee Business Council.

2) Commissioners may not be removed nor may their compensation be diminished during 

their term of appointment except for cause. The following are causes for removal of 

members from the Commission:

a) Malfeasance;

b) Misfeasance;

c) Non-feasance;

d) Neglect of duty;

e) Abuse of power;

f) Conviction of a Gaming-related offense;

g) Noncompliance with this Title;

h) Acceptance of a bribe; or

i) Conviction of a crime of any degree, an element of which pertains to untruthfulness or 

dishonesty or any felony. Any member of the Commission who, during the term for 

which he or she is serving, is convicted of any felony shall automatically forfeit his or 

her office effective on the date of the initial court conviction, provided that any member 

of the Commission may be suspended without pay if charged with or indicted for any 

criminal offense.

3) Commissioners must satisfy a background check. Commissioners may not participate in 

matters relating to their background investigation. Such background investigations shall be 

under the direction of the Business Council or its designee.

4) Upon completion of the background investigation, the Pawnee Business Council, in 

Executive Session shall discuss all information gathered, and in regular session by majority 

vote, must either:

a) Confirm the appointment; or

b) Notice the candidate for a hearing before the Council; or

c) Deny the appointment.

5) Removal for Cause. Commissioners may be removed by a majority vote of the Pawnee 

Business Council, provided that a Commissioner subject to removal shall be provided a 
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bill of particulars establishing the factual basis for the proposed removal at least ten (10) 

days in advance of the scheduled date for the removal hearing before the Council during 

which the subject Commissioner will be granted an opportunity to speak and provide a 

defense. The Council’s decision to remove a Gaming Commission shall be final and not 

subject to further appeal.

SECTION 3.3 APPOINTMENT OF COMMISSIONERS

The Chairman, Vice-Chairman, and Associate Commissioner shall be appointed by the President 

of the Pawnee Nation and confirmed by a majority vote of the Pawnee Business Council. In the 

absence of the Chairman, the Vice-Chairman shall serve as Chairman.

SECTION 3.4 CONFLICT OF INTEREST

1) No member of the Commission, while serving as such, may engage in any business which 

is subject to regulation by the provisions of this Ordinance. No member, during his term of 

office or for two (2) years thereafter, may consult with or in any manner be employed by 

or own, directly or through a Relative, nominee, or trustee, any interest in any business 

subject to regulation by this Ordinance.

2) Members of the Commission and Commission Staff are prohibited from playing or 

participating in any promotional or Gaming activity in any Gaming Facility regulated by 

this Ordinance.

3) The Commission will develop and promulgate all regulations, internal agency forms, 

and/or policies and procedures that it deems necessary and prudent to ensure the integrity 

and independence of the Commission and its staffing is upheld. 

a) Such regulations and/or policies and procedures must include guidelines as to when a 

Commissioner must or should recuse themselves from the consideration of any matter 

before the Commission, as well as how such recusal is effected and the results of such 

recusal.

b) The Commission may, at its sole discretion, delegate the development of regulations 

and/or policies and procedures to the staffing of the Commission under the leadership 

of the Director.

SECTION 3.5 MEETINGS

1) Regular Meetings. The Commission shall hold at least one (1) regular meeting per quarter, 

or as otherwise determined by the Commission.

2) Special Meetings. Special meetings may be called at the request of the Pawnee Business 

Council or two (2) or more members of the Commission.

3) Quorum. A quorum shall comprise of two (2) Commission members.
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4) Voting. All questions arising in connection with the action of the Commission shall be 

decided by majority vote with each Commission member having one (1) vote. 

SECTION 3.6 AUTHORITY AND RESPONSIBILITY

The Commission shall have the power, authority, and responsibility to:

1) Conduct appellate hearings over matters challenging the actions or decisions of the 

Director in accordance with such rules and procedures as the Commission may promulgate;

2) Affirm, reverse, or modify actions and/or decisions of the Director, provided that all 

decisions of the Commission must be issued in writing not more than forty-five (45) days 

from the date of hearing;

3) Administer oaths or affirmations to witnesses;

4) By majority vote, authorize the Chairman of the Commission to issue, or cause to be issued, 

subpoenas commanding the appearance of witnesses or the production of documents, 

which subpoenas shall be of like effect as if issued by the Tribal Court;

5) Promulgate, adopt or develop regulations, provided that all such regulations deemed 

necessary to clarify or enforce provision(s) of this Ordinance or the Nation 's right and 

interests established in approved Management Agreements:

a) Shall be filed with the Tribal Secretary;

b) Shall be public records open to inspection by any person during normal business hours; 

and

c) Except for regulations required by federal law or regulation or the Compact, proposed 

rules and regulations and proposed amendments to rules and regulations will be 

published on the Commission’s website and must be subject to a thirty (30) day 

comment period, which comment period may be extended by the Commission at its 

discretion.

6) Deposit all payments, fees, assessments, penalties, interest, and civil fines collected under 

authority of this Ordinance into accounts designated by the Commission to the credit of the 

Nation;

7) Establish a fine and fee structure and provide periodic updates; and

8) Collect fees and assessments as provided for in this Ordinance.
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SECTION 3.7 QUARTERLY REPORTS

The Commission will submit a report to the Council on a quarterly basis each calendar year. The 

report shall include information concerning:

1) Funding, including income and expenses, of the Commission;

2) Net Revenue and Gross Gaming Revenue received by the Nation from Gaming Operation;

3) Recommendations for amendments to this Ordinance, if any;

4) A summary of Gaming Licenses issued and denied, by type, during the preceding quarterly 

reporting period; and

5) Any other matter considered appropriate and relevant to the conduct of the Tribal Gaming 

Operations or the Commission.

SECTION 3.8 BUDGET

The Pawnee Business Council is hereby authorized to appropriate such sums as may be necessary 

for the adequate operation of the Commission.

SECTION 3.9 STAFFING OF COMMISSION

The Commission’s day-to-day regulatory affairs shall be conducted by the Commission’s staff to 

be supervised by an Director.

1) The day-to-day regulatory functions and activities necessary to the proper regulation of the 

Nation’s Gaming activities must be conducted in a manner consistent with basic 

administrative law principles. The Director is responsible for monitoring and enforcing 

compliance with this Ordinance and any related Tribal ordinances, rules and/or regulations 

as well as the Indian Gaming Regulatory Act, the Compact, and all other applicable rules 

and regulations of the United States. Among other functions, duties, and activities, the 

Director will:

a) Secure, monitor, and safeguard the honesty, integrity, fairness and security of all Tribal 

Gaming Operations;

b) Monitor and enforce compliance with all laws and regulations applicable to the 

Nation’s Gaming activities;

c) Develop licensing and background procedures applicable to the Gaming Operation and 

issue Licenses to Gaming and Gaming-related vendors, Key Employees, Primary 

Management Officials, Standard Employees and Gaming Equipment and Facilities;
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d) Adopt and submit to the Gaming Commission an annual proposed operating budget for 

joint submission to the Business Council;

e) Prepare a quarterly report of the status of all its activities and Gaming matters;

f) Issue, renew, suspend, condition, and revoke Licenses as appropriate and in accordance 

with the provisions of this Ordinance and basic principles of due process of law;

g) Conduct background investigations according to requirements at least as stringent as 

those set forth in 25 C.F.R. Parts 556 and 558;

h) Create and maintain an investigative report on each background investigation in 

accordance with the requirements set forth in 25 C.F.R. Parts 556 and 558, which 

investigative report will include the following, at minimum: 1) steps taken in 

conducting a background investigation, 2) the results obtained, 3) conclusions reached, 

and 4) the basis for those conclusions;

i) Forward results and findings of background investigations of Key Employees and 

Primary Management Officials to the NIGC and comply with all applicable notice and 

submission requirements set forth in 25 C.F.R. Parts 556 and 558;

j) Review License applicant activities, criminal record, if any, and reputation, habits, and 

associations to make a finding of their suitability for licensure and eligibility for 

employment in and/or contracting with the Gaming Operation;

k) Maintain a complete application file for each person and entity either applying for 

licensure or licensed by the Nation, which file shall contain the License application and 

background investigation results and findings;

l) Conduct such audits as may be necessary for the proper control and financial oversight 

of Gaming activities, including but not limited to financial and operational audits, 

internal control audits, revenue tracking, and monitoring the integrity of information 

technology systems;

m) Ensure that audits as required hereunder are conducted and the reports transmitted to 

the NIGC;

n) Ensure that the Nation’s Gaming Facilities are constructed, maintained, and operated 

in a manner that adequately protects the environment and public health and safety;

o) Monitor Gaming activities to ensure compliance with this Ordinance, the Indian 

Gaming Regulatory Act, and all other laws applicable to the Nation’s Gaming

activities, including rules and regulations issued thereunder;

p) Work with law enforcement and regulatory agencies as needed to carry out the 

Director’s duties and responsibilities;
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q) Investigate possible violations of this Ordinance, the Indian Gaming Regulatory Act, 

and any other applicable laws and regulations pertaining to the Nation’s Gaming

activities, including rules and regulations issued thereunder, and take appropriate 

enforcement actions;

r) Ensure compliance with the Nation’s internal control standards through oversight and 

enforcement;

s) Implement regulations, standards, and procedures for the licensing of Gaming-Related

Vendors, Gaming Financiers, and the registration of all Non-Gaming Vendors;

t) In consultation with the Commission, select and retain legal counsel or professional 

services, including investigative services, to assist in any of the issues over which the 

Commission exercises jurisdiction;

u) Issue such orders and directives as may be necessary to ensure the Nation’s compliance 

with all applicable laws and regulations, including but not limited to notices of 

violation, orders to compel, and orders to cure;

v) Conduct hearings pertaining to all matters arising under this Ordinance, including 

without limitation, Patron disputes, licensure matters, violations, sanctions, and 

penalties; and

w) Carry out all duties and functions necessary to implement, carry-out and enforce the 

provisions of this Ordinance, including, but not limited, to the development of internal 

agency forms, schedules, guidance documents, policies and procedures.

2) To ensure that Gaming is conducted fairly and honestly by both the operator and the 

players, the Commission Staff, under the authority of the Director, is delegated exclusive 

jurisdiction to hear and decide all matters arising under this Ordinance in the first instance, 

subject to appellate review by the Gaming Commission.

3) Commission Staff. The Director may hire and supervise staff in accordance with the 

personnel policies and procedures of the Pawnee Nation, at such rates of pay as shall be 

reflected in the budget as approved by the Business Council, provided that no Commission 

employee may be a Relative of the first degree of a member of the Commission, Tribal 

Manager, Management Contractor, or a member of the Pawnee Business Council.

SECTION 3.10 ACCESS TO INFORMATION

1) General Authorization. The Director may secure from any department or agency of the 

Tribal government, and from cooperating agencies or departments of the government of 

any Indian tribe, any State, or the United States, information necessary to enable it to carry 

out its functions hereunder. Upon request of the Director, the head of any department or 

agency of the Nation shall furnish such information to the Director unless otherwise 

prohibited by law.
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2) Distribution. The Director is authorized, upon request for law enforcement purposes or as 

required by law, to distribute to the National Indian Gaming Commission, and any agency 

of another federally recognized tribe or state having authority to regulate Gaming or 

prosecute offenders for violations of the appropriate Gaming laws within the jurisdiction 

of such tribe or state, such information as it may have available, unless otherwise prohibited 

by law.

SECTION 3.11 ASSESSMENT OF FEES

1) Authorization. The Director may, subject to regulations adopted by the Commission, assess

annual fees to be paid to the Commission by each Gaming Operation that is regulated by 

this Ordinance. The fee imposed on a Gaming Operation may be reduced or waived by the 

Gaming Commission in the event a Gaming Operation experiences a severe economic 

hardship or serious natural disaster. The rate of fees imposed under this Section shall be 

assessed as follows:

a) No less than 0.5 percent nor more than 2.5 percent of the first One Million Dollars 

($1,000,000) of the Gross Gaming Revenue, and

b) No more than 5 percent of the Gross Gaming Revenue in excess of the first One Million 

Dollars ($1,000,000) of the Gross Gaming Revenue from each entity regulated by this 

Ordinance.

2) Non-Payment. Failure to pay the appropriate fees required under any provision of this 

Ordinance shall, subject to the regulations of the Commission, be grounds for revocation 

or suspension of the License of the nonpaying entity regulated by this Ordinance.

SECTION 3.12 ETHICS

1) The Nation recognizes that the duties of the Commission include making important 

decisions on highly sensitive issues. As such, the Nation has determined that the 

Commission and Commission Staff shall be held to extremely high ethical standards. The 

Commission and its staff shall agree to be bound by the following:

a) Endeavor to avoid any actions creating the appearance that they are violating the law 

or the ethical standards listed herein.

b) Not use their positions for private gain.

c) Not hold financial interests that conflict with the conscientious performance of their 

duties as regulators.

d) Not solicit or accept any gift or other item of monetary value, including complimentary 

items or services over the amount of $100 from any person or entity seeking official 

action or inaction from, doing business with, or conducting activities regulated by the

member's organization, or whose interests may be substantially affected by the 

performance or nonperformance of the Commission’s duties.
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e) Make no unauthorized commitments or promises of any kind purporting to bind the 

Nation or Commission.

f) Act impartially, in accordance with all relevant Tribal, Federal, and State laws (where 

applicable), and shall not give preferential treatment to any private organization or 

individual, including to any persons related to Commissioners or Commission Staff.

ARTICLE 4- PAWNEE NATION TRIBAL DEVELOPMENT CORPORATION BOARD 

OF DIRECTORS

SECTION 4.1 DUTIES OF THE DESIGNATED BUSINESS ENTITY

It shall be the duty of the "Pawnee Nation Tribal Development Corporation Board of Directors" 

(hereinafter "Board of Directors"), appointed by the Business Council, to manage and conduct all 

Class II and Class III Games of a Tribal Gaming Operation in a fiduciary capacity to maximize 

the Revenues of said operation, to cause to be prepared and submitted to the Pawnee Business 

Council such reports as may be required by law, to account for all monies and property entrusted 

to the Tribal Gaming Operation, to collect and pay over all taxes due the Nation and all assessments 

due to the National Indian Gaming Commission and the Commission, and to perform any other 

duties as may be required by law.

SECTION 4.2 BOARD OF DIRECTORS

1) The Board of Directors shall oversee and control all non-regulatory aspects of the Nation's 

Gaming Operations through oversight of the Executive Management of the Gaming 

Facilities and adoption of policies and procedures to govern the Gaming Operations.

2) The actions and duties of the Board of Directors shall not violate applicable Gaming laws 

or interfere with the regulation of the Nation's Gaming Operations by the Commission.

3) All members of the Board of Directors shall be fully Licensed by the Commission, prior to 

any Board of Director assuming the appointment from the Business Council.

SECTION 4.3 LICENSE REQUIRED

1) The members of the Board of Directors shall be subject to the same background check and 

License eligibility requirements as Key Employees and Primary Management Officials 

found within this Ordinance and regulations promulgated hereunder, and each must be fully 

Licensed accordingly in order to qualify for and retain office after appointment by the 

Business Council.

2) Appointees of the Board of Directors must be persons of the utmost honesty and integrity;

must never have been convicted of a felony or a misdemeanor involving theft, 

embezzlement or a crime involving moral turpitude; and must be persons whose prior 

activities, reputation, habits and associations shall not in any way jeopardize the effective 

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Appointees shall not be affiliated with or employed by the Gaming Operation in any 

capacity and shall not gamble in any Gaming Facility run by the Gaming Operation nor 

assume any personal financial interest in any Gaming by any Patron of the Gaming Facility.

3) The Board of Directors or its members shall not have any pecuniary interest in any business 

or company holding a License under this Ordinance or doing business with any person 

Licensed under this Ordinance.

4) The Board of Directors or its members shall not obtain or hold any interest in real property

related to the Nation’s Gaming activities, including but not limited to, the lease, sale, or 

use of that real property for Gaming purposes.

5) Such background investigation shall be performed by the Director in accordance with the 

licensing requirements set forth in this Ordinance. Upon completion of the background 

investigation, the Director shall notify the Business Council of its decision to grant or deny 

the License.

SECTION 4.4 STATEMENT OF GROSS GAMING REVENUE AND NET REVENUES

1) The Board of Directors (or Management Contractor, as applicable), shall ensure that:

a) Proper accounting standards are followed in relation to the Gaming Operation;

b) All necessary books, records, and documentation are maintained in accordance with 

Generally Accepted Accounting Principles (GAAP); and

c) The Gaming Operation prepares monthly financial statements to include a statement of 

Gross Gaming Revenue, Operating Expenses, and Net Revenues received or collected 

at each Gaming Facility for each month as well as records of assets and liabilities, 

monetary transactions, ledgers, journals, and supporting documentation.

2) The Board shall verify a monthly financial report, which report shall be filed with the 

Commission each month. Upon request, the Gaming Operation shall provide the 

Commission receipts for disbursements of all funds related to Class II Gaming and Class 

III Games and an itemized list of all disbursements including, but not limited to, Operating 

Expenses, Equipment Costs, Facility Costs, materials, supplies, Equipment furnished, and 

prizes paid. The specified reports shall be timely submitted pursuant to regulations adopted 

from time to time by the Commission.

SECTION 4.5 VERIFICATION OF REPORT

The Board of Directors shall verify the accuracy of each financial report submitted to the 

Commission.
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SECTION 4.6 RECORD RETENTION AND MAINTENANCE

1) Scope. Each Gaming Operation shall keep and maintain sufficient books and records to 

substantiate the Gross Gaming Revenue, Operating Expenses, and uses of revenues relating 

to the conduct of Gaming Operations authorized under a License. Included in the records 

of the activity shall be session summary sheets, operational budgets and projections, and 

tour/bus attendance and compensation.

2) Duty to Account. No Gaming Operation shall fail to account fully for all moneys received 

or collected in connection with Gaming authorized under this Ordinance.

ARTICLE 5- LICENSING

SECTION 5.1 LICENSE REQUIREMENTS

1) Any Person seeking to conduct, operate or manage any Gaming activity on the Nation’s 

Indian Lands shall apply for and receive all the required Licenses from the Commission 

prior to engaging in such Gaming activity. All Gaming-Related Vendors who directly or 

indirectly, provide, have provided, or are deemed likely to provide at least twenty-five 

thousand dollars ($25,000.00) in Gaming Services in a twelve-month period, shall apply 

for and receive all required Licenses from Commission prior to providing Gaming services.

2) All Gaming Employees shall apply for and receive all required Licenses from the 

Commission prior to employment. Any person seeking to conduct, operate, or manage 

Gaming Activities without first obtaining the required Licenses shall be deemed in 

violation of this Ordinance and shall be subject to fines and penalties set forth within this 

Ordinance. Gaming Operations Management may request, in writing, a temporary License

be issued for a Gaming Employee provided that the employment maintains compliance 

with all applicable laws and regulations.

SECTION 5.2 NATURE OF GAMING LICENSE

A Gaming License is a revocable privilege, and the issuance shall not create any vested right. A 

Gaming License is personal to the Licensee or specific to a Gaming Facility and may not be 

reassigned or transferred except upon approval of the Director.

SECTION 5.3 TYPES OF LICENSES TO BE ISSUED

1) The Commission shall require Licenses for all persons and entities for which a Tribal 

Gaming License is required and each License shall be valid for a term of two (2) years 

commencing from the date the License is issued, including:

a) Primary Management Officials, including all Persons coming within the definition of 

PMO, such as managers, directors, executives, and members of the Board of Directors 

as well as any Management Contractor;
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b) Key Employees;

c) Gaming-Related Vendors

d) Standard Employees; and

e) Gaming Financiers.

2) Facility License. The Commission shall require a License for all Gaming Facilities and 

each License shall be valid for a term of three (3) years commencing from the date the 

License is issued.

SECTION 5.4 GAMING FACILITY LICENSE

1) Gaming Facility. The Commission shall issue a separate License to each place, facility, or 

location conducting Class II and/or Class III Gaming Operations. Applications for a new 

Gaming Facility License must contain at a minimum:

a) A complete legal description of the Gaming Site, including evidence that the Gaming

Site is within the territorial jurisdiction of the Nation and the Nation’s Indian Lands;

b) A complete and accurate description of the Gaming Facility, including where possible, 

blueprints, drawings, floor plans, including square footage, utility services, waste 

services, parking plans, and photographs (or renderings for a facility to be constructed);

c) Evidence that the proposed Gaming Facility complies with applicable building and fire 

laws; and evidence that the Gaming Facility, or proposed, is insurable against fire and 

other hazards, and that liability insurance may be obtained to protect the public from 

hazards which may exist in or around the, proposed, Gaming Facility;

d) A copy of the insurance policies covering each Gaming Operation or any part thereof 

shall be filed with the Director; and

e) Copies of all inspection reports.

2) Fees for Gaming Operations. Gaming Operations shall tender the designated fee or fees to 

the Commission at the time application is made for a License.

3) Facility License renewal will only require the applicant to provide the information 

contained in Section 5.4(1)(c-f) and the Renewal Fee.

SECTION 5.5 CONSENT TO JURISDICTION

1) Any person who applies for a License under this Ordinance, applies for employment in any 

Gaming Operation, enters into any contract or agreement with the Gaming Operation, or 

participates in any Gaming Activity on the Nation’s Indian Lands, shall be deemed to have 
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consented to the civil jurisdiction of Pawnee Nation. Nothing in this Section shall limit the 

jurisdiction of the Nation, the Commission, or the Nation’s Courts under any circumstances 

not explicitly contemplated in this Ordinance.

2) A Tribal Court of competent jurisdiction may order execution upon property of a Person 

or entity, the suspension or termination of the Person or entity’s further conduct of Gaming

activities, and/or the seizure of the Person's or entity's Gaming Equipment or proceeds of 

other property, upon a finding of the Director, the Commission, and/or the Court that the 

Person or entity has violated a provision of the Act, regulations of the National Indian 

Gaming Commission, this Ordinance, or regulations promulgated by the Commission.

3) All persons or entities shall be afforded notice and a meaningful opportunity to be heard 

before any forfeiture action, License revocation or execution on property shall be had; 

except that no payout of any promotional prize or jackpot may be given to any Person 

whose name appears on the exclusion list. Excluded Persons may be summarily removed 

from the premises of the Gaming Facility by Security, which shall promptly notify the 

Director of such occurrence. The Director may refer any Person whose name is on the 

exclusion list who enters upon the premises of a Pawnee Nation Gaming Facility to the 

appropriate law enforcement agency for prosecution for trespass.

SECTION 5.6 APPLICATION

1) Each Person having a Management Contract, each Primary Management Official and each 

Key Employee shall complete any application for an initial License or renewal of an 

existing Gaming License on an application form prescribed by the Commission. Each 

Gaming License or renewal License shall be valid for a term of two (2) years commencing 

from the date the License is issued. The application shall set forth:

a) The name under which the applicant transacts or intends to transact business on the 

Nation’s Indian Lands;

b) The location of the Gaming Facility for which the Gaming License is sought; and

c) The application shall be signed by the applicant if a natural person, or, in the case of an 

association or partnership, by a member or partner thereof, or in the case of a limited 

liability company, by a manager thereof, or in the case of a corporation, by an executive 

officer thereof. The applicant shall provide evidence of authority of the signatory or 

any other representative to act for and bind the applicant. If any change is made in that 

authority, the Commission shall be immediately informed in writing and, until that 

information is filed with the Commission, any action of the representative shall be 

presumed to be that of the applicant.
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SECTION 5.7 NOTICE FEATURES

1) Privacy Act Notice. The following notice shall be placed on the application form of a Key 

Employee or a Primary Management Official before that form 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 (“NIGC”) 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’s

being unable to License you for a Primary Management Official or Key Employee

position. 

The disclosure of your Social Security Number (SSN) is voluntary. However, 

failure to supply a SSN may result in errors in processing your application.

2) Notice of Consequences of False Statement. The following notice shall be placed on the 

application for a Key Employee or Primary Management Official before that form is filled 

out by an applicant:

A false statement on any part of your License application may be grounds for 

denying a License or the suspension or revocation of a License. Also, you may be 

punished by fine or imprisonment (U.S. Code, Title 18, section 1001).

3) The Commission shall notify existing Key Employees and Primary Management Officials, 

if any, that they shall either:

a) Complete a new application form that contains a notice regarding false statements; or

b) Sign a statement that contains the notices.

SECTION 5.8 APPLICATION FEE

The Commission shall establish a License application fee schedule. The application fee must be 

paid to the Commission upon submission of a License application. The purpose of the application 

fee is to defray the direct and indirect costs to be incurred by the Commission in reviewing and 

evaluating License applications and Management Contracts, including without limitation, costs 

and expenses for conducting background investigations and employing independent third-party 
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consultants, accountants, and legal counsel to assist in the License application review and 

evaluation process.

SECTION 5.9 MANNER OF FILING INSTRUMENTS WITH COMMISSION

Any application, affidavit, return, report, fee, or other instrument, or payment required to be filed 

with, delivered to, or served upon the Commission by this Ordinance shall be deemed to be 

properly filed, delivered, or served, as the case may be, if it is filed, delivered or served upon the 

Chairman of the Commission at the Pawnee Nation Gaming Commission Office, or his designee 

at the Pawnee Nation Gaming Commission Office as the Commission shall designate in writing.

SECTION 5.10 APPLICATION TIMELINE

All Gaming License Applications, excluding vendor applications, shall be required to be filled out 

and returned to the Commission office for processing within seven days after issuance. The 

Commission Staff will assign a tracking number to ensure that the applicant will not exceed the 

seven days. If the applicant does exceed the seven days requirement the applicant shall reassigned 

a new application with a new tracking number.

SECTION 5.11 FINGERPRINTING

The Commission shall obtain, or cause to be obtained, a current set of fingerprints on each person 

for whom background investigations are required, using forms supplied by the National Indian 

Gaming Commission Fingerprints shall be taken by the Pawnee Nation Gaming Commission.

Fingerprints will then be forwarded to the NIGC for processing through the Federal Bureau of 

Investigation and the National Criminal Information Center to determine the applicant’s criminal 

history, if any.

ARTICLE 6- GAMING & GAMING RELATED VENDORS

SECTION 6.1 LICENSES FOR GAMING & GAMING RELATED VENDORS

1) Vendors of Gaming Equipment, services and supplies must receive a Gaming-Related 

Vendor License from the Director in order to transact business with the Tribal Gaming 

Operation.

2) Gaming Related Vendors providing goods or services to the Gaming Operation with a 

value in excess of $25,000.00 annually must receive a Gaming Related Vendor License

from the Director in order to transact business with the Tribal Gaming Operation. 

3) Non-Gaming Vendors must be registered with the Commission, which is hereby delegated 

the authority to operate a registration program for Non-Gaming Vendors pursuant to such 

regulation as may be adopted by the Commission. Such regulation may provide for 

appropriate exemptions. Unless exempted by the Commission’s regulation, Non-Gaming 

Vendors must be registered to do business with the Gaming Operation. 
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4) Attorneys and Certified Public Accountants are exempt from the licensing requirements 

herein to the extent that they are providing services covered by their professional Licenses, 

provided that such professionals must register with the Gaming Commission.

SECTION 6.2 SUBMISSION OF A GAMING & GAMING RELATED VENDOR 

LICENSE APPLICATION

To obtain a Gaming or Gaming related vendor License, applicants must complete a vendor 

application and submit to background checks of the entity, its principals, and any staff which will 

be on-site to perform services in accordance with the contract or agreement. Principals of a 

corporation, partnership, or LLC include the entity’s officers, directors, managers, owners, 

partners, non-institutional stockholders that either own 5% or more of the stock or are the 10 largest 

stockholders, and the on-site personnel under the agreement with the Gaming Operation, as 

applicable.

SECTION 6.3 CONTENTS OF THE GAMING & GAMING-RELATED VENDOR 

LICENSE APPLICATION

1) Applications for Gaming-Related Vendor Licenses must include the following:

a) 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, type of service applicant will provide;

b) Whether the applicant is a partnership, corporation, limited liability company, sole 

proprietorship, or other entity;

c) If the applicant is a corporation: the state or jurisdiction of incorporation;

d) Trade name, other names ever used, names of any wholly owned subsidiaries or other 

businesses owned by the vendor or its principals;

e) General description of the business and its activities;

f) Whether the applicant will be investing in or loaning money to the Gaming Operation

and, so, how much;

g) A description of any existing and previous business relationships with the Gaming

industry generally, including ownership interests in those businesses;

h) 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;

i) Names, addresses, and phone numbers of three business references with whom the 

company had regularly done business for the last five years;
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j) 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;

k) If the business has ever had a License revoked for any reason, the circumstances 

involved;

l) 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;

m) List the business' funding sources and any liabilities of $50,000 or more;

n) A list of the principals of the business, their social security numbers, addresses and 

telephone numbers, title, and percentage of ownership in the company; and

o) Any further information the Nation deems relevant.

2) 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 any vendor License issued under this Ordinance.

SECTION 6.4 VENDOR BACKGROUND INVESTIGATION

The Commission Staff shall complete an investigation of the Gaming-Related Vendor. This 

investigation shall contain, at a minimum, the following steps:

1) Verification of the business' incorporation status and qualification to do business in the 

State where the Gaming Operation is located;

2) Obtain a business credit report, if available, and conduct a Better Business Bureau check 

on the vendor;

3) Conduct a check of the business' credit history;

4) Call each of the references listed in the vendor application; and

5) Conduct a background investigation of the principals of the business, including a criminal 

history check, a credit report, and interviews with the personal references listed.

SECTION 6.5 VENDOR LICENSE FEE

The Gaming Commission will set and charge a licensing fee for investigating and licensing of 

vendors of the Gaming Operation.
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SECTION 6.6 VENDOR BACKGROUND INVESTIGATION REPORT

Commission Staff shall complete an investigative report covering each of the steps taken in the 

background investigation of the Gaming-Related Vendor and its principals and present it to the 

Commission.

SECTION 6.7 EXEMPTION FOR VENDORS LICENSED BY RECOGNIZED 

REGULATORY AUTHORITIES

The Gaming Commission may adopt regulations naming specific licensing authorities that it 

recognizes and may authorize exemptions to the vendor licensing process for vendors which have 

received a License from one of the named regulatory authorities.

SECTION 6.8 REGISTRATION FOR NON-GAMING VENDORS

The Gaming Commission will establish by regulation a Non-Gaming Vendor Registration 

Program to be administered by the Director. At a minimum, the program will include a duediligence check to verify that the proposed registrant is duly established and in good standing, 

provided that the Director may expand the scope of the background investigation where warranted 

in his or her judgment to ensure the registrant’s suitability. The Commission may investigate such 

vendors and may conduct audits of any contract in addition to monitoring the Operation’s 

purchases. Registration may be denied to any entity whose principals are found to be of poor 

character, reputation or otherwise unsuitable in accordance with the Suitability Standard.

ARTICLE 7- BACKGROUND INVESTIGATIONS

SECTION 7.1 REQUIRED BACKGROUND INVESTIGATIONS

Upon receipt of any appointment, contract, or application of a Management Contractor, Key 

Employee, Primary Management Official, Standard Employee, Gaming Commissioner, principal 

of a Gaming or Gaming-Related Vendor, the Commission shall conduct, or cause to be conducted, 

a background investigation of the above-referenced individual(s). The Commission shall keep 

confidential the identity of each person interviewed and the documents gathered or reviewed 

during each background investigation.

SECTION 7.2 BACKGROUND INVESTIGATION – KEY EMPLOYEES AND PRIMARY 

MANAGEMENT OFFICIALS

1) For each Management Contractor, Primary Management Official, and Key Employee, the 

Commission shall verify all of the following information obtained through the approved 

application:

a) Full name, other names used (oral or written), social security number(s), birth date, 

place of birth, citizenship, gender, all languages (spoken or written);
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b) Currently, and for the previous five (5) years, the business and employment positions 

held, ownership interests in those businesses, business and residence addresses for 

previous five (5) years, and drivers’ license numbers;

c) The names and current addresses of at least three (3) personal references, including one 

personal reference who was acquainted with the applicant during each period of 

residence listed under paragraph (b) of this Section;

d) Current business and residence telephone numbers;

e) A description of any existing and previous business relationships with the Nation and 

any other Indian tribes, including ownership interests in those businesses;

f) A description of any existing and previous business relationships with the Gaming

industry generally, including ownership interests in those businesses;

g) 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 as well as any suspension, revocation and reason for such;

h) For each felony for which there is an ongoing prosecution or a conviction, the charge, 

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

i) For each misdemeanor conviction or misdemeanor prosecution (excluding minor 

traffic violations) within ten (10) years of the date of the application, the name and 

address of the court involved, and the date and disposition;

j) For each criminal charge (excluding minor traffic charges) whether or not there is a 

conviction, if such criminal charge is within ten (10) years of the date of the application 

and is not otherwise listed pursuant to paragraphs (h) or (i) of this Section, the criminal 

charge, the name and address of the court involved, the date, and disposition;

k) The name and address of any licensing or regulatory agency with which the applicant 

has filed an application for an occupational license or permit, whether or not such 

license or permit was granted;

l) A recent photograph;

m) fingerprints consistent with procedures adopted by the Commission according to 25

C.F.R. § 522.2 (h);

n) Military information; and

o) Any other information the Commission deems relevant.
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2) The Commission shall inquire into the applicant's prior activities, criminal record, if any, 

and reputation, habits and associations; interview a sufficient number of knowledgeable 

people such as former and current employers, business associates, personal references, and 

others to whom referred in order to provide a basis for the Commission to make a finding 

concerning the eligibility for employment in a Gaming Operation.

3) The Commission may inquire into state and local law enforcement agencies, business 

registration and licensing agencies, and taxing authorities for purposes of conducting 

inquiry and investigation of the truthfulness and accuracy of all information required for 

each applicant.

4) Commission Staff shall submit a detailed written report to the Commission disclosing the 

results of the background inquiry, designating areas of inquiry for which incomplete 

information exists following diligent efforts customary for the subject matter of the 

particular inquiry, and the disposition of all potential problem areas noted and disqualifying 

information obtained. The Commission shall render an eligibility determination.

SECTION 7.3 REPORT TO THE NATIONAL INDIAN GAMING COMMISSION

1) 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 the National 

Indian Gaming Commission a completed Notice of Results.

2) The Gaming Operation shall not employ a Key Employee or Primary Management Official 

who does not have a License after ninety (90) days.

3) Notice of Results of Background Investigations.

a) Before issuing a License to a Primary Management Official or Key Employee, the 

Gaming Commission shall prepare a notice of results of the applicant’s background 

investigation which shall be submitted to the NIGC no later than sixty (60) days after 

the applicant begins working for the Nation.

b) The notice of results shall include the following information:

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

ii) The date on which the applicant began, or will begin, working as a Primary 

Management Official or Key Employee;

iii) A summary of the information presented in the investigative report, including:

A) Licenses that have previously been denied;

B) Gaming Licenses that have been revoked, even if subsequently reinstated;
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C) Every known criminal charge brought against the applicant within the last 10 

years of the date of the application; and

D) Every felony offense of which the applicant has been convicted or any ongoing 

prosecution; and

E) A copy of the eligibility determination made in accordance with Section 7.2 and 

Article 8.

4) Record Keeping. With respect to all Licensed Primary Management Officials and Key 

Employees, the Director shall retain applications for employment, investigative reports, if 

any, background investigations and eligibility determinations for inspection by the 

Chairman of the National Indian Gaming. Commission or his or her designee for no less 

than three (3) years from the date of termination of employment.

5) Notification to National Indian Gaming Commission. Whenever it appears to the 

Commission that a proposed License would be consistent with the Act, this Ordinance, and 

the public interest, it may issue the requested License after thirty (30) days’ notice of intent 

to issue the License to the National Indian Gaming Chairman, unless during the notice 

period, the Commission is directed by the National Indian Gaming Commission to delay 

issuance of the License for further investigation. It shall be a condition of the License that 

each applicant, or proponent thereof, notify the Commission in writing within three (3) 

business days of any event which would change any of the answers or information 

submitted with a License application.

6) If the Commission has issued a License to a Primary Management Official or Key 

Employee before receiving the NIGC’s statement of objections, notice and a hearing shall 

be provided to the Licensee, as required by Article 12.

7) The Gaming Commission shall notify NIGC of the issuance of a License to a Primary 

Management Official or Key Employee within thirty (30) days.

7.4 OTHER BACKGROUND INVESTIGATIONS

For each applicant for a Standard Employee License; a Gaming or Gaming-related Vendor 

License, and non-gaming registrant as well as candidates for appointment to the Gaming 

Commission and principals of a Gaming or Gaming-Related Vendor, the Commission shall 

conduct, or cause to be conducted, a background investigation of the above-referenced 

individual(s) in accordance with the Commission’s regulatory requirements. The Commission 

shall keep confidential the identity of each person interviewed and the documents gathered or 

reviewed during each background investigation.
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ARTICLE 8- GRANTING A GAMING LICENSE, DENIAL, 

RENEWAL, AND SUSPENSION

SECTION 8.1 GRANTING A GAMING LICENSE

1) If, within a thirty (30) day period after the NIGC receives a report, the NIGC notifies the 

Nation 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 Nation has 

provided an application and investigative report to the National Indian Gaming

Commission, the Commission, acting for the Nation, may issue a License to such applicant.

2) 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 thirty (30) day period under paragraph 

(5) of Section 7.3 until the Chairman of the NIGC receives the additional information.

3) If, within the thirty (30) day period described above, the NIGC provides the Director with 

a Statement itemizing objections to the issuance of a License to a Key Employee or to a 

Primary Management Official for whom the Director has provided an application and 

investigative report to the NIGC, the Gaming Commission, upon hearing, shall reconsider 

the Application, considering the objections itemized by the NIGC. The Commission shall 

make the final decision whether to issue a License to such applicant.

SECTION 8.2 DENYING A GAMING LICENSE

1) The Director shall not License a Primary Management Official or Key Employee if an 

authorized Tribal official determines, when applying the Suitability Standard set forth in 

this Ordinance, and reviewing a Person’s prior activities, criminal record, if any, reputation, 

habits, and associations, and any violation(s) of Section 10.1 of this Ordinance, that the 

Person:

a) Poses a threat to the public interest;

b) Poses a threat to the effective regulation of Gaming; or

c) Creates or enhances the dangers of unsuitable, unfair or illegal practices, methods 

and/or activities in the conduct of Gaming.

2) When the Director 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:

a) Notify the NIGC; and
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b) 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 8.3 LICENSE RENEWALS

1) Every License shall be renewable upon request in such form as the Commission shall, by 

regulation, determine, provided that the renewal request shall specifically identify any 

changes in the renewal applicant's original License application or renewal License

application, as the case may be, since the issuance of the License being renewed.

2) Renewal Fee. The renewal applicant shall pay a License renewal fee established by the 

Commission.

3) Expiration. Each renewed Gaming License shall be valid for a term of (2) year commencing 

from the date the License renewal is issued.

SECTION 8.4 LICENSE REVOCATION

1) Grounds for Revocation. If, after the issuance of a Gaming License, the Director receives 

from the NIGC, or any other source, reliable information indicating that a Primary 

Management Official or Key Employee is not eligible for employment, the Director shall:

a) Immediately suspend the License;

b) Provide the Licensee with written notice of the suspension and proposed revocation;

and

c) Provide the Licensee with notice of a time and place for a hearing before the full 

Commission on the proposed revocation of the License.

2) The right to a revocation hearing vests only when a License is granted under an ordinance 

approved by the NIGC Chair.

3) Notification to National Indian Gaming Commission. 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 to revoke or reinstate a License within forty-five (45) 

days of receiving notification from the NIGC that a Primary Management Official or Key 

Employee is not eligible for employment.
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ARTICLE 9- MANAGEMENT CONTRACTS

SECTION 9.1 COMMISSION LICENSING OF MANAGEMENT CONTRACTOR

REQUIRED

1) Any Management Contract entered into by the Nation for the operation and management 

of Class II and/or Class III Gaming Activity must provide that the parties in interest 

associated with the Management Contractor shall submit to a suitability determination by 

the licensing requirements of the Director. The Director may require and obtain the 

following information:

a) The name, address and other additional pertinent background information on each 

Person including, in cases involving entities, each individual, partner, officer, 

shareholder, and director comprising such entity having direct financial interest in, or 

management responsibility for, such Contract; and in the case of a corporation, those 

individuals whose serve on the board of directors of such corporation and each of its 

stockholders who hold, directly or indirectly, 10% or more of its issued and outstanding 

stock; and

b) A complete financial statement of each Person listed pursuant to subsection (a) above.

2) Any Person listed pursuant to subsection (l)(a) above shall be required to respond to such 

written or oral questions that the Director may propound in accordance with its 

responsibilities under this Ordinance.

3) The Director may require Management Contractors and potential Management Contractors 

to pay a fee as set from time to time to cover the cost of the investigation necessary to reach 

a suitability determination as required by the Ordinance.

SECTION 9.2 PROVISIONS OF MANAGEMENT CONTRACTS

Any Management Contract entered into by the Nation may include the following provisions:

1) That accounting procedures are maintained and verifiable financial reports are prepared, 

by or for the Nation, on a monthly basis;

2) For access to daily operations of the Gaming Facility to appropriate Tribal officials and 

their accountants and assistants, who shall also have a right to verify the daily Gross 

Gaming Revenue of the Gaming Operation and income made from any Gaming Activity 

or other activities managed pursuant to the Management Contract;

3) For minimum guaranteed payment to the Nation that has preference over the retirement of 

development and construction costs;

4) For an agreed ceiling for the repayment of development and contraction costs;
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5) For a Contract term not to exceed five (5) years, except that, upon the request of the Nation, 

a contract term that exceeds five (5) years but does not exceed seven (7) years;

6) For grounds and mechanisms for terminating such Management Contract;

7) That preference will be given to Tribal members and non-member Indians in hiring of 

employees for the Gaming Activity; and

8) That the whole agreement is subject to review and approval by NIGC.

SECTION 9.3 PERCENTAGE OF NET REVENUE FEES

A Management Contract providing for a fee based upon a percentage of Net Revenues of a Gaming 

Operation shall not exceed 30% of the Net Revenue unless the Nation is satisfied that the capital 

investment required, and income projections for such Tribal Gaming Operation, justify an 

additional fee, subject to approval by the NIGC. In no event will such a fee exceed 40% of Net 

Revenue.

ARTICLE 10- UNLAWFUL ACTS

SECTION 10.1 UNLAWFUL ACTS - CIVIL

In addition to any other civil and/or criminal acts that may be regulated or prohibited by this 

Ordinance, other Pawnee Nation law, or applicable federal or state law, the following prohibited 

activities shall constitute civil violations under this Ordinance and may subject any Person or entity 

to the enforcement authority of the Director as provided in this Ordinance:

1) Gaming Licenses. No person shall operate or conduct any Gaming activity within the 

exterior boundaries of the Nation’s Indian Lands without a Gaming License issued by the 

Director under this Ordinance. Nor shall any person under the age of eighteen (18) be 

permitted to participate in Gaming activities or Gaming promotions.

2) Falsifying information. No Licensee or applicant will provide false information to the 

Director, the Nation, or any of its governmental agencies in connection with any document, 

investigation, or proceeding under this Ordinance.

3) Accounting and Inspection. No Management Contractor or Primary Management Official

or Director or Executive shall fail to account fully for all monies received or collected in 

connection with Gaming activities, nor omit the filing of any report required under a 

Management Contract, the laws or regulations of the Nation, or pursuant to an order, 

request, or command of the Director.

4) Cheating. No person shall engage in Cheating in any Gaming activity in any Nation 

Gaming Operation, nor shall any person be permitted to engage in fraudulent conduct 

affecting the Gaming Operation and/or its customers. For the purposes of this subsection, 

Cheating shall include, but is not limited to:
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a) Altering or misrepresenting the outcome of Gaming or another event on which wagers 

have been made after the outcome of such Gaming or event has been determined but 

before such outcome is revealed to the players;

b) Placing or increasing a bet or wager after acquiring knowledge of the outcome of the 

Gaming or event which is the subject of the bet or wager;

c) Altering, concealing, or marking cards or other Gaming Equipment or devices such as 

dice or chips;

d) Aiding any person in acquiring knowledge about the forms of Cheating referred to 

herein for the purposes of increasing or decreasing any bet or wager, or for the purpose 

of determining the course of play;

e) Altering or tampering with any Gaming Equipment;

f) Using slugs, tokens, or forged or fraudulent coins or instruments for any Gaming

machine or to place a wager in a card game;

g) Aiding another person to cheat in any manner; 

h) Violating any rules of play;

i) Using any device, apparatus, or contraption to determine or alter the outcome of play 

or change the odds of any game, including any calculator, computer, or other electronic 

or mechanical device to assist in projecting the outcome or odds of such Gaming, to 

keep track of or analyze cards, or to change probabilities of any game or the playing 

strategies regularly utilized in such Gaming;

j) Reducing the amount wagered or canceling a wager after acquiring knowledge of the 

outcome of the game or other event which is the subject of the bet or wager; or

k) Manipulating any component or part of a game or Gaming Equipment in a manner 

contrary to the designed and normal operational purpose for such component or part, 

so as to affect the outcome of the game.

l) Any person who is in privity with a person who violates this law shall be deemed to be 

in violation of this law to the same extent as the violator, and shall be treated 

accordingly.

5) Possession of a Firearm. No person, other than an on-duty law enforcement or security

officer duly authorized by Federal, Nation, or State law to be on the premises, may enter

into or remain on the premises of a Nation Gaming Facility while in possession of a firearm. 

For purposes of this section, the term “firearm” includes air guns which are capable of 

discharging dangerous projectiles or gases, including but not limited to “B.B.’s” or CO2 

guns, rifles, shotguns, pistols, or revolvers.
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6) Violation of Any Provision, Rule, Regulation, or Order. No person shall violate any 

provision of this Ordinance, any order, regulation, or rule of the Commission, Director, or 

the NIGC, including any internal controls and/or procedures.

7) Fraudulent Scheme or Techniques. No person playing in or conducting any Gaming

activity authorized under this Ordinance shall:

a) Use bogus or counterfeit cards or dice, or substitutes or use any Game cards or dice 

that have been tampered with, altered, or marked;

b) Employ or have on one’s person any Cheating device which may be used to facilitate 

Cheating in a Gaming activity;

c) Use any fraudulent scheme or technique, including when an operator or player of games 

of charitable Gaming tickets directly or indirectly solicits, provides, or receives inside 

information of the status of the game for the benefit of either person; or

d) Cause, aid, abet, or conspire with another person to violate any provision of this 

Ordinance or any regulation adopted under this Ordinance. 

8) Fraudulent Conduct. In shall be a substantial violation of this Ordinance for any person or 

entity to engage in fraudulent conduct, which includes:

a) Defrauding the Nation, the Gaming Operation, any Gaming Operation Licensee, or any 

game participant in relation to any Gaming activity or promotion;

b) Knowingly and maliciously providing false, misleading, or materially inaccurate 

information that is known to be false with respect in relation to any License application 

or vendor registration program established by Director;

c) Claiming, collecting, taking, or attempting to claim, collect or take money or anything 

of value in or from a Gaming Facility to which one is not entitled with the intent to 

defraud; or claiming, collecting, or taking an amount greater than the amount actually 

won in a game with intent to defraud;

d) Falsifying, destroying, wrongfully altering, or intentionally failing to produce any 

books, data, records, or other information relating to the Gaming Operation required to 

be produced under applicable laws or regulations;

e) Offering or attempting to offer anything of value, to a Licensee in an act that is an 

attempt to induce, or may be perceived as an attempt to induce, the Licensee to act in a 

manner contrary to the official duties of that Licensee;

f) Acceptance by Licensee of anything of value with the expectation that the receipt of 

value is intended, or may be perceived as intended, to induce the Licensee to act in a 

manner contrary to their official duties; and
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g) Entering into any contract or making payment on any contract for the delivery of goods 

or services to the Gaming Operation, when such contract fails to provide for or result 

in the delivery of goods or services of less than fair value for the payment made or 

contemplated. 

9) Unlawful Conversion/Diversion of Gaming Revenue. It shall be a substantial violation of 

this Ordinance for any person or entity to divert or convert for personal enrichment Gaming

revenues for any purpose not authorized by the Nation.

10) Failure to Comply with Regulations. It shall be a violation of this Ordinance for any person 

or entity subject to the Nation’s jurisdiction to:

a) Handle cash or cash equivalents in a manner inconsistent with the Nation’s regulations 

or internal control procedures;

b) Carry out the installation of Gaming machines in a manner that is inconsistent with 

Federal and Nation rules and regulations;

c) Refuse to comply with any lawful order, directive, demand, or request of the Director

or the Commission; or

d) Take any action which interferes with, impedes, or prevents the Commission or the

Director from fulfilling their duties and responsibilities under this Ordinance.

11) Gaming Management and Employees. It shall be a violation of this Ordinance for any 

Gaming manager, employee, or other responsible person or official to:

a) Fail to keep appropriate books and records sufficient to substantiate the income and 

expenses and to verify the propriety of all expenditures and disbursements by any 

component of the Gaming Operation;

b) Falsify any books or financial records related to any transaction connected with 

holding, operating, of conducting Gaming activity or Gaming promotions;

c) Make any unauthorized payments or disbursements related to the operation of Gaming; 

d) Convert for one’s personal use any funds, property, or other financial assets of the 

Gaming Operation;

e) Place unlicensed or unauthorized Gaming Equipment on the Gaming floor and permit 

its play; or

f) Fail to comply with any lawful order, demand, or directive of the Commission or the 

Director.
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12) Facility Compliance with the Ordinance. The management of each Gaming Facility is 

responsible for ensuring that all Primary Management Officials and Key Employees 

assisting in the operation of any Gaming activity comply with this Ordinance. 

13) Discretion of the Director.

a) Any person found to be in violation of any of the foregoing by the Director or 

Commission Staff may be subject to an adverse licensing action or may be permanently 

or temporarily excluded from the Gaming Facility, or may be subject to such other 

sanction as may be determined by the Director, including a civil fine assessment, order 

of admonishment, order to compel, order to cease and desist, or such other order as 

may be appropriate under the circumstances.

b) The Director shall have the discretion to bring enforcement actions or take such action 

as listed above against any person or entity whose actions present an actual or imminent 

threat or danger to the public health and safety of the facility and its Patrons or to the 

integrity of Gaming. The Director will undertake such action under a reasonable and 

prudent standard with specific documentation to support specific grounds for action. 

SECTION 10.2 UNLAWFUL ACTS - CRIMINAL

In addition to any other criminal acts that may be regulated or prohibited by this Ordinance, other 

Pawnee Nation law, or applicable federal or state law, the following prohibited activities shall 

constitute crimes against the Pawnee Nation. Violations of this Section 10.2 may be referred by 

the Commission or the Director to the law enforcement agencies of the Pawnee Nation and/or the 

Pawnee Nation prosecutor for investigation and/or prosecution. The Commission or the Director

may also refer any matter that would constitute a violation of this Section 10.2 to any federal law 

enforcement agency of competent jurisdiction for investigation and/or prosecution under federal 

law.

1) Cheating. No person shall engage in Cheating in any Gaming activity in any Nation 

Gaming Operation, nor shall any person be permitted to engage in fraudulent conduct 

affecting the Gaming Operation and/or its customers. For the purposes of this subsection, 

Cheating shall include, but is not limited to:

a) Altering or misrepresenting the outcome of Gaming or another event on which wagers 

have been made after the outcome of such Gaming or event has been determined but 

before such outcome is revealed to the players;

b) Placing or increasing a bet or wager after acquiring knowledge of the outcome of the 

Gaming or event which is the subject of the bet or wager;

c) Altering, concealing, or marking cards or other Gaming Equipment or devices such as 

dice or chips;
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d) Aiding any person in acquiring knowledge about the forms of Cheating referred to 

herein for the purposes of increasing or decreasing any bet or wager, or for the purpose 

of determining the course of play;

e) Altering or tampering with any Gaming Equipment;

f) Using slugs, tokens, or forged or fraudulent coins or instruments for any Gaming

machine or to place a wager in a card game;

g) Aiding another person to cheat in any manner; 

h) Violating any rules of play;

i) Using any device, apparatus, or contraption to determine or alter the outcome of play 

or change the odds of any game, including any calculator, computer, or other electronic 

or mechanical device to assist in projecting the outcome or odds of such Gaming, to 

keep track of or analyze cards, or to change probabilities of any game or the playing 

strategies regularly utilized in such Gaming;

j) Reducing the amount wagered or canceling a wager after acquiring knowledge of the 

outcome of the game or other event which is the subject of the bet or wager; or

k) Manipulating any component or part of a game or Gaming Equipment in a manner 

contrary to the designed and normal operational purpose for such component or part, 

so as to affect the outcome of the game.

l) Any person who is in privity with a person who violates this law shall be deemed to be 

in violation of this law to the same extent as the violator, and shall be treated 

accordingly.

2) Falsifying information. No Licensee or applicant will provide false information to the 

Director, the Nation, or any of its governmental agencies in connection with any document, 

investigation, or proceeding under this Ordinance.

3) Possession of a Firearm. No person, other than an on-duty law enforcement or security

officer duly authorized by Federal, Nation, or State law to be on the premises, may enter

into or remain on the premises of a Nation Gaming Facility while in possession of a firearm.

For purposes of this section, the term “firearm” includes air guns which are capable of 

discharging dangerous projectiles or gases, including but not limited to “B.B.’s” or CO2 

guns, rifles, shotguns, pistols, or revolvers.

4) Fraudulent Scheme or Techniques. No person playing in or conducting any Gaming

activity authorized under this Ordinance shall:

a) Use bogus or counterfeit cards or dice, or substitutes or use any Game cards or dice 

that have been tampered with, altered, or marked;
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b) Employ or have on one’s person any Cheating device which may be used to facilitate 

Cheating in a Gaming activity;

c) Use any fraudulent scheme or technique, including when an operator or player of games 

of charitable Gaming tickets directly or indirectly solicits, provides, or receives inside 

information of the status of the game for the benefit of either person; or

d) Cause, aid, abet, or conspire with another person to violate any provision of this 

Ordinance or any regulation adopted under this Ordinance. 

5) Fraudulent Conduct. In shall be a substantial violation of this Ordinance for any person or 

entity to engage in fraudulent conduct, which includes:

a) Defrauding the Nation, the Gaming Operation, any Gaming Operation Licensee, or any 

game participant in relation to any Gaming activity or promotion;

b) Knowingly and maliciously providing false, misleading, or materially inaccurate 

information that is known to be false with respect in relation to any License application 

or vendor registration program established by Director;

c) Claiming, collecting, taking, or attempting to claim, collect or take money or anything 

of value in or from a Gaming Facility to which one is not entitled with the intent to 

defraud; or claiming, collecting, or taking an amount greater than the amount actually 

won in a game with intent to defraud;

d) Falsifying, destroying, wrongfully altering, or intentionally failing to produce any 

books, data, records, or other information relating to the Gaming Operation required to 

be produced under applicable laws or regulations;

e) Offering or attempting to offer anything of value, to a Licensee in an act that is an 

attempt to induce, or may be perceived as an attempt to induce, the Licensee to act in a 

manner contrary to the official duties of that Licensee;

f) Acceptance by Licensee of anything of value with the expectation that the receipt of 

value is intended, or may be perceived as intended, to induce the Licensee to act in a 

manner contrary to their official duties; and

g) Entering into any contract or making payment on any contract for the delivery of goods 

or services to the Gaming Operation, when such contract fails to provide for or result 

in the delivery of goods or services of less than fair value for the payment made or 

contemplated. 
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ARTICLE 11- ADMINISTRATIVE ENFORCEMENT

SECTION 11.1 ACTION TO BE TAKEN

The Commission may take any one or a combination of the following actions with respect to any 

Person who violates any provision of this Ordinance:

1) Impose a civil fine not to exceed the maximum amount allowed by the National Indian 

Gaming Commission for each day any violation continues;

2) Suspend, condition or revoke any Pawnee Nation Gaming License;

3) Exclude such Person from Gaming Facilities;

4) Deny prize claims; 

5) Issue an Order of Admonishment;

6) Issue an Order of Censure; 

7) Refer such Person to the appropriate law enforcement agency for prosecution; and/or

8) Issue such other sanction as may appropriate.

SECTION 11.2 HEARINGS AND APPEALS TO THE COMMISSION

1) The staffing of the Commission, under the authority of the Director, will adopt public 

written rules, standards, and/or procedures for the conduct of hearings pertaining to all 

matters arising under this Ordinance, including without limitation, Patron disputes, 

licensure matters, violations, sanctions, and penalties, which shall cover the following 

subjects or include the following provisions, as applicable:

a) The Director will act as hearing officer and ensure that such hearings are conducted 

efficiently and in accordance with the principles of due process of law;

b) Hearings will be open to the public;

c) The right to a hearing must be invoked following the subject’s receipt of written notice 

thereof within a timeframe to be determined by the Director, which time frame will not 

be less than five (5) days following receipt by certified mail or in-hand delivery to the 

subject or their legal counsel or electronic delivery to the subject’s legal counsel;

d) Hearings must be held within thirty (30) calendar days of the day on which the subject 

invokes their right to a hearing unless otherwise agreed to by the subject and the 

Director;
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e) Standards and information regarding the permissibility of evidence, the standard of 

proof, the burden of proof, procedural logistics, and any motion practice;

f) The staffing of the Commission will keep minutes or other records of all hearings as 

are deemed necessary and/or appropriate by the Director, which records shall be 

retained for a time to be established in policies and/or procedures promulgated by the 

Director; 

g) The Director and the staffing of the Commission may take such steps as are necessary 

to protect the confidentiality of the Pawnee Nation’s proprietary information and to 

conduct deliberations related to adjudications, including inspections of books, records, 

and any evidence; 

h) All decisions of the Director following a hearing will be issued in writing within fortyfive (45) days of the hearing and will be deemed final; and

i) Any person or entity aggrieved by a final decision made or action taken by the Director

may request reconsideration by the Director by writing.

2) Any person or entity aggrieved by a final decision of the Director may appeal to have the 

matter heard by the Commission, regardless of whether such person or entity has sought 

reconsideration of the Director on the instant matter pursuant to § 11.2 (1)(i) herein. The 

Commission will promulgate public written rules, standards, and/or procedures for the 

conduct of hearings held on the subject of such appeals, which shall cover the following 

subjects or include the following provisions, as applicable:

a) Standards for a quorum of the Commission, including in circumstances in which one 

or more of the Commissioners recuses themselves pursuant to regulations, rules, and/or 

policies and procedures related to conflict of interest adopted pursuant to § 3.4 herein;

b) Procedures by which the Commission may select an independent hearing officer to 

conduct any appeals hearings, as well as the selection criteria for such third-party 

hearing officer;

c) Standards and/or procedures for electing to resolve a Patron dispute via paper 

submissions in lieu of holding an oral hearing; 

d) The process by which an aggrieved person or entity may appeal to the Commission, 

which shall include:

i) A deadline to file such an appeal with the Commission within thirty (30) calendar 

days from the date on which the final decision of the Director is received by the 

aggrieved Person or entity or their legal counsel by certified mail or via hand 
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delivery or by the aggrieved Person or entity’s legal counsel via electronic 

communication; and

ii) The required contents of a petition for appeal, which shall include, at minimum, the 

specific reasons for the grievance.

e) Hearings must be held within thirty (30) calendar days of the day on which the 

aggrieved person or entity files their petition unless otherwise agreed to by the 

Commission and the aggrieved person or entity;

f) Hearings will be open to the public;

g) Standards and information regarding the permissibility of evidence, the standard of

proof, the burden of proof, procedural logistics, and any motion practice;

h) The Commission will keep minutes or other records of all hearings as are deemed 

necessary and/or appropriate by the Commission which records shall be retained for a 

time to be established in policies and/or procedures promulgated by the Commission; 

i) The Commission may take such steps as are necessary to protect the confidentiality of 

the Pawnee Nation’s proprietary information and to conduct deliberations related to 

adjudications, including inspections of books, records, and any evidence; 

j) Upon finding good cause, the Commission may affirm, modify, reverse, and/or vacate 

the Director’s decision; and

k) All decisions of the Commission following a hearing will be issued in writing within 

forty-five (45) days of the hearing and will be deemed final.

SECTION 11.3 JURISDICTION OF THE PAWNEE COURT

The Pawnee Courts shall have jurisdiction to review all final orders or actions of the Gaming

Commission, as provided herein:

1) The Court’s review of any action of the Commission provided for herein must be initiated 

by a notice of appeal filed not later than thirty (30) days after the date the order or action 

appealed from is entered or taken, provided that the appellant has exhausted all 

administrative remedies. Failure to seek review as provided herein shall constitute a waiver 

of all rights of appeal and further shall deprive the Court of jurisdiction over the matter.

2) In appeals to the Tribal Court brought pursuant to this section, review shall be limited to 

the record that was before the Commission at the time of the final decision or action 

appealed from, including: 
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a) The order or decision involved;

b) Any findings or reports on which such order is based;

c) The notices, pleadings, evidence, and other materials placed into the record before the 

administrative hearing officer;

d) Any minutes or transcriptions made of any hearings; and

e) Any other materials entered into the record by the hearing officer. administrative record 

of its decision.

3) The Tribal Court shall afford deference to the expertise of the Commission and shall not 

set aside, modify, or remand any action or decision or action except upon a finding that 

such decision, action, or inaction was:

a) Arbitrary and capricious, an abuse of discretion, or otherwise not in accordance with 

law;

b) Contrary to Tribal law or other applicable controlling law;

c) In excess of statutory jurisdiction, authority, or limitation or short of statutory right;

d) Without observance of procedure required by law; or

e) Unsupported by a preponderance of the evidence in a case reviewed on the record.

4) Standing to Seek Review.

a) Only those persons or entities directly and adversely affected by a decision or action of 

the Gaming Commission shall have standing to appeal a decision of the Gaming

Commission, except where:

i) The petitioner is seeking relief against the Commission for an action unduly or 

unreasonably delayed or withheld, where such inaction is causing articulable harm 

to the Petitioner; or

ii) The petitioner is a Licensee seeking review of an administrative regulation 

promulgated pursuant to this Ordinance on the grounds that such regulation is 

arbitrary and capricious, constitutes an abuse of discretion, or is otherwise not in 

accordance with law.

b) Challenges to administrative regulations must be brought within two (2) years of the 

publication of a final rule.
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5) Remedies. Upon hearing an appeal hereunder, the Court may:

a) Affirm, reverse, or modify an order or other action of the Commission, or may or 

remand a matter as appropriate;

b) Command the Commission to take an action it has determined to be unlawfully or 

unreasonably delayed or withheld; or

c) Set aside a regulation of the Gaming Commission upon a finding that such regulation 

or some portion thereof is arbitrary and capricious, an abuse of discretion, or otherwise 

not in accordance with law.

6) Other Matters.

a) A petitioner in any appeal brought hereunder shall bear the burden of proof.

b) Except as otherwise provided in this Ordinance, the manner and requirements for 

seeking review of administrative decisions by the Tribal Court shall be in accordance 

with the Court’s rules and procedures.

c) A petitioner may be represented by legal counsel in any proceeding or adjudication 

hereunder at the petitioner’s sole expense. 

d) The Tribal Court shall not award any attorney fees or costs for any matter arising under 

this Ordinance.

e) The filing of every appeal under this Ordinance shall be subject to a nonrefundable 

filing fee, as established under Tribal law, to be paid to the Clerk of the Tribal Court 

upon filing.

7) The Court may remand any matter to the Commission for further proceedings, as warranted 

by the circumstances.

8) Immunity. As governmental officials of the Pawnee Nation, members of the Commission 

and the Director and Commission Staff shall be absolutely immune from civil suit in all 

actions at law or in equity for any actions taken or statements made within the scope of 

their authority as members of the Commission, or in a good faith belief that their actions 

or statements were within the scope of their authority. The Pawnee Nation of Oklahoma 

may defend and indemnify the individual members against any civil suit even if the civil 

suit alleges actions outside the scope of authority; provided, however, that if a final 

judgment determines that the Commissioner's actions were, in fact, outside the scope of 

authority, with no good faith belief that they were otherwise, then the costs of defense may 

be recovered from the individual members of the Commission by the Pawnee Nation.

ARTICLE 12 - RESERVED
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ARTICLE 13- APPLICABLE LAWS

SECTION 13.1 CONTROVERSIES INVOLVING CONTRACT

1) All controversies involving contracts relating to Gaming entered into under the authority 

of the Nation on the Nation’s Indian Lands shall be resolved in the Pawnee Tribal District 

Court, as appropriate, and in accordance with:

a) The IGRA;

b) Regulations promulgated by the National Indian Gaming Commission;

c) FinCEN Regulations;

d) This Ordinance;

e) Tribal laws, ordinances, regulations, and resolutions;

f) Pawnee Tribal District Court decisions; and

g) In the event that no Federal or Tribal law, ordinance, regulation, resolution, court 

precedent exists to address any particular case or controversy, then disputes shall be 

resolved by looking first to the laws and court decisions of other Indian tribes, and 

thereafter to the law of the State of Oklahoma. No provision of this Ordinance or 

regulations promulgated pursuant thereto constitutes a waiver of the Nation's sovereign 

immunity from suit, except as expressly provided otherwise herein.

ARTICLE 14- SERVICE OF PROCESS

SECTION 14.1 GAMING COMMISSION SERVICE AGENT

The Chairperson for the Business Council is hereby appointed as the agent for service of process. 

The address for the Chairperson of the Business Council is 881 Little Dee Drive, Pawnee, 

Oklahoma 74058.

SECTION 14.2 MANAGEMENT SERVICE AGENT

Each Management Contractor shall designate, by written notification to the Commission and the 

National Indian Gaming Commission, an agent for service of any official determination, order, or 

notice of violation.
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ARTICLE 15 - PATRON DISPUTES

SECTION 15.1 PATRON DISPUTES --- PRIZE CLAIMS

1) Prize Claims. If a dispute arises between a Patron and the Gaming Operation regarding the 

payment of a wager or distribution of winnings, the Patron may make a claim against the 

Gaming Operation by filing a written prize claim notice within forty-eight (48) hours of 

the event which is the basis of the prize claim. The written notice of the prize claim shall 

state, at a minimum, the following information:

a) Time of the event;

b) Date of the event;

c) Place of the event;

d) Circumstances of the claim; 

e) Identity of the affected Licensees or employees, if known; 

f) Amount of the relief demanded; and

g) The name, address, and telephone number of the claimant. 

2) Failure to file the prize claim during such forty-eight (48) hour period of time shall forever 

bar such prize claim. 

3) Management shall promptly review, investigate, and make a determination regarding the 

prize claim. Any portion of the prize claim which remains unresolved after thirty (30) days 

from the date of filing shall be deemed denied if management fails to notify the claimant 

in writing of its approval within such thirty (30) day period. 

4) To appeal Management’s decision, the claimant must file an appeal with the Director not 

later than thirty (30) days after the date of Management decision or within sixty (60) days 

of the date of the incident if management has failed to notify the claimant in writing of its 

decision on the claim. 

5) The maximum amount payable for any prize claim shall be the amount of the prize which 

the claimant establishes he or she was entitled to be awarded.

6) Notices explaining the prize claims procedure shall be prominently posted in the Gaming 

Facility, and pamphlets describing the same shall be made available to all Patrons of the 

Gaming Facility. 

7) A Claimant aggrieved by the decision of the Director may appeal the decision to the 

Gaming Commission, which may decide the matter on paper submissions or set the matter 
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for oral hearing. The decision of the Gaming Commission on a prize claim shall be final 

and not subject to further review.

ARTICLE 16- EXCLUSION OR EJECTION OF INDIVIDUALS

SECTION 16.1 EXCLUSION LIST

The Commission shall provide for the establishment of a list of persons who are to be excluded or 

ejected from any duly Licensed Gaming Facility. The list shall include any person whose presence 

in the Gaming Facility is determined by the Commission to pose a threat to the integrity of Gaming 

Operation or a threat to the health, safety or welfare of employees or Patrons, interests of the 

Nation, provided that race, religious creed, color, national origin, ancestry, physical or mental 

disability, medical condition, marital status, sex, age, or sexual orientation must not be grounds 

for placing the name of a Person on the list.

SECTION 16.2 NOTICE OR OPPORTUNITY TO BE HEARD

The Director will to the extent practicable notify or attempt to notify Person(s) identified in 16.1 

for the purpose of due process for consideration to be placed on the exclusion list.

ARTICLE 17- REGULATIONS

SECTION 17.1 PROMULGATING REGULATIONS

1) The Commission shall from time-to-time promulgate and issue regulations governing any 

aspect of its responsibilities under the Pawnee Nation Gaming Ordinance. Such 

regulations, so long as they are in furtherance of and not inconsistent with any provisions 

of the Pawnee Nation Gaming Ordinance, shall have the force of law. Without limitation, 

the matters to be addressed by such regulations may include the following:

a) The timing, manner and procedures applicable to applying for Licenses for Gaming 

Facility Operators, Gaming Managers, Gaming Manufacturers and Suppliers, Gaming

Employees, and Gaming Facilities, as well as the timing, manner, and procedures 

applicable to applying for a Standard Employee License, including the information to 

be provided in connection with such applications and the manner in which such 

applications will be processed;

b) The specific types of accounting, organizational and security measures to be in place 

and functioning at any Gaming Facility licensed under the Commission;

c) The grounds for, and procedures for imposition of, any disciplinary action taken against 

Licensee;

d) The public health and safety standard governing the physical plant of the Gaming

Facilities, the provision of food and beverages, and the admission of Patrons to the 

Gaming Facilities; and
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e) The procedures to be instituted by the Gaming Operation to ensure the physical safety 

of its employees and Patrons, to safeguard its assets when being transported to and from 

the Gaming Facility and cashier's cage department, and to protect its property and the 

property of the Patrons from illegal activity.

2) The Commission must approve its regulations in proposed form and must then submit such 

proposed regulation to public comment for a period of no less than thirty (30) calendar 

days after publication. Following the public comment period, the Commission will again 

consider its proposed regulations prior to finalization and may submit proposed regulation 

to the Pawnee Nation Business Council for review. Upon review of proposed regulations, 

the Commission will then file the final version of such regulations with the Pawnee Nation 

Business Council Secretary and shall be public records open to inspection by any person 

during normal business hours.

3) In the event the Commission determines that immediate administrative action is necessary 

to avoid serious jeopardy to the integrity of any Gaming Activity under its jurisdiction, the 

Commission may, upon making an express written findings as to the urgency of the 

situation, issue an interim regulation which shall take immediate effect as if final, and shall 

remain in effect until Steps 1 and 2 are taken.

ARTICLE 18 – TORT CLAIMS

SECTION 18.1 TORT CLAIMS

1) Any Patron having a claim against the Gaming Operation for personal injury or property 

damage shall first file a tort claim notice with the Gaming Operation within ninety (90) 

days of the date of the alleged injury or damage. The tort claim notice shall state the 

following:

a) Date of the incident;

b) Time of the incident;

c) Place of the incident;

d) Circumstances of the claim;

e) The identities of Tribal or Gaming employees, and witnesses, as applicable; 

f) The amount of compensation or other relief demanded;

g) The name, address, and telephone number of the claimant; and 

h) The name, address, and telephone number of any agent authorized to settle the claim. 
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2) If a claim is not filed within ninety (90) days after the date of the alleged injury or damage, 

but within one (1) year, any judgment arising from the act which is the subject of the claim 

shall be reduced by ten percent (10%). 

3) The Gaming Operation shall promptly review, investigate, and make a determination 

regarding the tort claim within thirty (30) days from the filing date. Failure to notify the 

claimant of a decision within the specified 30-day period shall be deemed a denial of the 

claim. 

4) To appeal the Gaming Operation’s decision, the claimant must file an appeal with the 

Tribal Court no later than on the thirtieth (30th) day after the date on which the claim was 

denied by the Gaming Operation. 

5) The Tribal Court shall have exclusive jurisdiction to adjudicate a claim by a Gaming Patron

for personal injury or property damage provided for herein, but only if:

a) The purported injury occurred on the premises of a Gaming Facility Licensed under 

this Ordinance;

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

c) The claimant has followed all required procedures pursuant to Tribal law, including the 

pertinent terms of any Compact relating to tort claims;

d) The Gaming Operation has denied the claim; and

e) The claimant has filed an appeal with the Tribal Court no later than on the thirtieth 

(30th) day after the date the claimant received notice of the denial of the claim by the 

Gaming Operation. 

6) Failure to file a tort claim notice within one (1) year of the date of the alleged injury or 

damage shall deprive the Tribal Courts of jurisdiction over the matter and forever bar such 

tort claim against the Gaming Operation. 

7) The maximum amount of damages payable for any tort claim for personal injury or 

property damage shall be limited to liability insurance coverage maintained by the Gaming 

Operation which shall, at a minimum, be consistent with any applicable requirements under 

the Compact. 

8) Notices explaining the tort claims procedure shall be prominently posted in the Gaming 

Facility, and pamphlets describing the same shall be made available to all Patrons of the 

Gaming Facility. 
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ARTICLE 19- AMENDMENT OF ORDINANCE AND EFFECTIVE DATE/REPEAL

SECTION 19.1 AMENDMENT

This Ordinance may be amended by majority vote of the Pawnee Business Council. Within fifteen 

(15) days after adoption, the Pawnee Business Council shall submit any amendment to the 

Chairperson of the NIGC for approval.

SECTION 19.2 EFFECTIVE DATE AND REPEAL OF PRIOR ORDINANCES

This Ordinance shall be effective upon approval of the Chairperson of the National Indian Gaming

Commission. Once effective, this Ordinance shall serve to repeal all previous Gaming Ordinances 

of the Pawnee Nation of Oklahoma.