OMAHA TRIBAL CODE (2003)

Class II Gaming Equipment and Supplies are utilized, sold, distributed or serviced; or where any
records of such activities are prepared or maintained;

(5) To inspect all Class II Gaming Equipment and Supplies in, about or upon or around such
premises;

(6) To seize summarily and remove from such premises and impound any Class II Gaming
Equipment or Supplies for the purposes of examination and inspection;

(7) To inspect, examine and audit all books, records and documents pertaining to a Class II
Gaming facility;

(8) To seize, impound or assume physical control of any book, record, ledger, game, device,
cash box and its contents, counting room or its equipment, or casino operations;

(9) To inspect the person and personal effects, present in or on the premises of a Class II
Gaming facility licensed pursuant to this Code, of any Licensee while that person is present in the
Class II Gaming facility;

(10) To supervise and direct the actions of all employees of the Commission;
(11) To conduct or cause to be conducted background investigations;

(12) To verify that all licensed gaming Primary Management Officials are properly accounting
for all revenues and expenses and that these revenues and expenses are properly assigned and
distributed in a manner according to tribal and applicable federal law;

(13) To assist other law enforcement agencies with the enforcement or prosecution of violations
of the Act, this Code, the Regulations and federal law;

(14) To supervise the day-to-day operations of the Commission;
(15) To report to the Commission concerning the operations thereof;
(16) To supervise audits and investigations; and

(17) To prepare reports and recommendations to the Commission concerning Applicants and
Licensees.

SECTION 28-1-10. Primary Management Official.

Primary Management Officials may operate the Tribe's gaming authorized by this Code provided that
the Management Contract, entered into between the Primary Management Official and the Tribe, does not
contain terms contradicting the terms of the Act, this Code, the Regulations, and other applicable laws. The
Management Contract must be approved by the Chairman of the National Indian Gaming Commission (the
"NIGC") and the Management Contract must prohibit the Primary Management Official from
subcontracting, assigning or transferring its rights and duties or any ownership interest under the contract.
The Primary Management Official must undergo a background investigation, as more specifically
described in Section 28-1-11 herein, to be conducted by the Commission, or its designee. The Primary
Management Official shall be licensed by the Commission, as more specifically described in Section 28-1-
11 herein, prior to conducting any authorized Class II Gaming activity. A Primary Management Official
may not operate the Class II Gaming authorized by this Code if the Chairman of the NIGC disapproved the
licensing of the Primary Management Official or Parties-in-interest thereto or if the Chairman of the NIGC
has disapproved (without suggesting modifications) the Management Contract.

SECTION 28-1-11. Occupational Licensing.

(a) Licenses, Issuance, Qualifications. Every person participating as an employee in Class II
Gaming on Indian Land, especially Key Employees and Primary Management Officials, shall have an
occupational license issued by the Commission. All such licensing shall be consistent with the
procedures found in 25 C.F.R. part 502. The Commission shall specify by promulgation of Regulations
the licensing requirements for each position. Such requirements shall include the following, together with
such other requirements as may be necessary for the effective regulation of gaming:

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OMAHA TRIBAL CODE (2003)

of gaming violations of this Code, the Regulations and federal law;
(25) To adopt and approve an operating budget for the Commission;
(26) To report to the Council and/or Tribal Citizens;
(27) To appoint, supervise and terminate a staff as necessary and

(A) all costs arising out of such necessary staffing will be paid out of Commission funds
and may be paid out of the general revenues of the Tribe, subject to approval of the Council;
and

(B) __ all costs for independent audits, investigations and other independent consultants will
be paid out of Commission funds and may be paid out of the general revenues of the Tribe,
subject to the approval of the Council provided these services are competitively selected for in
advance, and provided that this competitive selection requirement shall not be applicable
when the Commission determines that an emergency exists;

(28) To prepare a plan for the Council for distribution of per capita payments of net revenues
from Class II Gaming conducted pursuant to this Code to Tribal Citizens if and when per capita
payments are approved by the Council and the Secretary of Interior;

(29) To hear and decide promptly and in reasonable order all License application requests and the
issues affecting the granting, suspension, revocation or renewal thereof:

(30) To identify occupations within Class II Gaming operations which require licensing and to
adopt by Regulations additional standards for licensing such occupations;

(31) To deny any License application for cause and to revoke, cancel or suspend for cause any
License issued by it. Cause for denial of an application and grounds to revoke, cancel or suspend any
License issued by it shall include instances in which the Licensee, Applicant, Party-in-interest or any
person with a substantial interest therein:

(A) Willfully or knowingly violated the provisions, requirements, conditions, limitations
or duties imposed by this Code, the Act or any Regulations;

(B) _ Willfully or knowingly caused, aided, abetted or conspired with another to cause any
person to violate any of the provisions of the Act, this Code or any Regulations;

(C) Has made a false statement of a material fact on the application or in any other
information given to the Commission;

(D) Has obtained a License by fraud, misrepresentation or concealment of a material
fact;

(E) Has been convicted of, forfeited bond upon or entered a plea of guilty or no contest
to a felony within the past 10 years, any gambling-related offense or fraud or
misrepresentation or any crime involving moral turpitude, or has willfully failed to make
required payments or reports to a governmental agency at any level, whether punishable as a
felony or a misdemeanor;

(F) Whose prior activities or criminal record, if any, or reputation, habits and
associations pose a threat to the public interest or to the effective regulation of gaming or
create or enhance the dangers of unsuitable, unfair or illegal practices, methods and activities
in the conduct of Class II Gaming;

(G) Has denied the Tribe, the Commission, the State or their authorized representatives
access to any place where activity required to be licensed under this Code is being conducted
or has failed to produce for inspection or audit any book, record, document or other item;

(H) Has failed to prove by a preponderance of the evidence his, her or its qualifications
to be licensed in accordance with this Code and the Regulations;

(1) Has failed to pay any taxes and additions to taxes, including penalty and interest

T
TITLE 28. CLASS Il GAMING


G)

OMAHA TRIBAL CODE (2003)

Eligibility Determination. The Commission shall review a person's prior activities, criminal

record, if any, and reputation, habits and associations to make a finding concerning the eligibility of a
Key Employee or Primary Management Official for employment in a gaming operation. If the
Commission determines that employment of the person poses a threat to the public interest or to the
effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal practices
and methods and activities in the conduct of gaming, a tribal gaming operation shall. not employ that
person in a Key Employee or Primary Management Official position.

(4) Procedures for Forwarding Applications and Reports for Key Employees and Primary
Management Officials to the NIGC.

6)

(6

(A) | Whena Key Employee or Primary Management Official begins work at a gaming
operation authorized by this Code, the Commission shall forward to the NIGC a completed
application for employment and conduct the background investigation and make the
determination referred to in Subsections (1), (2) and (3) of this Section.

(B) | The Commission shall forward the report referred to in Subsection (5) of this Section
to the NIGC within 60 days after an employee begins work or within 60 days of the approval
of this Code by the Chairman of the NIGC.

(C) The gaming operation shall not employ as a Key Employee or Primary Management
Official a person who does not have a license after 90 days.

Report to the NIGC.

(A) Pursuant to the procedures set out in Subsection (4) of this Section, the Commission
shall prepare and forward to the NIGC an investigative report on each background
investigation. An investigative report shall include all of the following:

(i) Steps taken in conducting a background investigation;
(ii) Results obtained;
(iii) Conclusions reached; and

(iv) The basis for those conclusions.

(B) The Commission shall submit, with the report, a copy of the eligibility determination
made under Subsection (3) of this Section.

(C) Ifa license is not issued to an Applicant, the Commission:
(i) Shall notify the NIGC; and

(ii) May forward copies of its eligibility determination and investigative report, if any, to
the NIGC for inclusion in the Indian gaming individuals records system.

(D) With respect to Key Employees and Primary Management Officials, the Commission
shall retain applications for employment and reports (if any) of background investigations for
inspection by the Chairman of the NIGC or his or her designee for no less than three (3) years
from the date of termination of employment.

Granting a Gaming License.

(A) _ If, within a thirty (30) day period after the NIGC receives the report, the NIGC
notifies the Commission 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
Commission has provided an application and investigative report to the NIGC, the
Commission may issue a license to such Applicant.

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TITLE 28. CLASS If GAMING


FOR, __@_AGAINST and_z_ NOT VOTING OR ABSENT with the
Chairman not voting. A quorum of _+— was present.

Dated this /7 day of_Ghudy , 2005.
Y /
Signed:
lee Cay — $0) cA
Orville Cayou, Chairman Bert Walker, Secretary
Omaha Tribal Council Omaha Tribal Council
Reviewed:

BIA Superintendent, Winnebago Agency

Omaha Tribal Council Ordinance No. 05-_/S ¢
Amendment of Omaha Tribal Code Title 28, Class Il Gaming
Page 4 of 3



OMAHA TRIBAL CODE (2003)

(b) All Applicants must:
(1) Beat least eighteen (18);

(2) Not have been convicted, within the last ten (10) years, of a gambling-related offense, an
offense involving fraud, misrepresentation or deception, a drug-related offense or any felony. If a
conviction for any of these offenses occurred more than ten (10) years prior to the date of the
application, the Commission may issue a License if the Commission determines that sufficient
evidence of rehabilitation exists. The Commission shall temporarily deny a License and shall Suspend
an existing License if charges are pending against an Applicant which, if resulting in a conviction,
would disqualify the Applicant from receiving or holding a License;

(3) Not have been denied a gaming License by the State, or currently have a gaming License
which has been Suspended by the State or have had a gaming License Revoked by the State;

(4) Not be employed in any part-time or full-time employment with a government or private
employer in any capacity which would create a conflict of interest between the Applicant's
employment and the interests and objectives of the licensed employment;

(5) Be of good moral character;
(6) Be trainable or qualified (by experience or otherwise) to perform the duties required;

(7) Agree to comply with the Regulations, this Code, and with all other applicable laws and
submit to the jurisdiction of the Commission and the civil jurisdiction of the Tribal Court;

(8) Agree that the License shall be nontransferable thus prohibiting the Licensee from
transferring any of its rights or duties relating to the License either directly or indirectly.

(c) Temporary or probationary licenses. Prior to issuing a permanent License the Commission
shall conduct or cause background investigations to be conducted on Applicants to verify the truthfulness
of the information provided by the Applicant to the Commission and to ensure that persons and entities
licensed by the Commission are eligible for licensure. However, upon payment of the appropriate fees
and the completion of such forms as the Commission deems appropriate, temporary Licenses for all
occupations may be issued pending completion of background investigations and approval by the NIGC.
During the first 180 days following the enactment of this Code, a person or entity which holds a gaming
License issued by the states of Iowa, New Jersey, South Dakota or Nevada, upon showing proof of such
License, shall be deemed to have a temporary License under this Code.

(d) Revocation, Suspension or Cancellation of License. The Commission shall Revoke,
Suspend or Cancel an existing License upon a violation of this Code, the Regulations or the happening of
any event which would have made the Licensee ineligible for a License if the event had occurred prior to
the issuance of a License.

(e) Licenses for Key Employees and Primary Management Officials. The Commission shall
ensure that the policies and procedures set out in this section are implemented with respect to Key
Employees and Primary Management Officials employed at any Class II Gaming enterprise operated on
Indian Lands.

(1) Application Forms.

(A) _ The following notice shall be placed on the application form for 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 employed in a gaming operation. The information will be
used by National Indian Gaming Commission members and staff
who have need for the information in the performance of their
official duties. The information may be disclosed to appropriate

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OMAHA TRIBAL CODE (2003)

prepaid, regardless of whether such notice is actually received. The burden shall be on licensees and
Applicants to keep the Commission advised of their current mailing address. In all contested cases,
papers shall, be served in the manner provided for in civil matters under the Tribal Code.

(b) The Tribe hereby designates the Chairman of the Omaha Tribe as agent for service of
process, who may be contacted at P.O. Box 368, Macy, Nebraska 68039.

SECTION 28-1-18. Reimbursement to Commission for Investigations.

(a) Any Applicant for a license under this Code shall reimburse the Commission for the costs
of all investigations to determine if he/she is a suitable licensee under this Code which are over and
above the initial license fee charged at the time of application. By signing and filing an application, the
Applicant authorizes the Commission to obtain information from other states, Indian tribes, the United
States, and all agencies and instrumentalities of the foregoing, regarding prior professional or gaming
licenses, license applications, conduct of the Applicant or such information regarding any of the
Applicant's shareholders, partners, agents or employees.

SECTION 28-1-19. Minimum Standards for Inspection and Approval of Gambling Devices.

The Omaha Tribe and Gaming Commission acknowledge their obligation to adopt and implement
Minimum Internal Control Standards (MICS) for the operation of its Tribal gaming operation no less
stringent than those found in the regulations of the NIGC at 25 C.F.R. Part 542. The Tribe’s MIC’s shall
be set out in separate regulations to be reviewed and approved by the Omaha Tribal Council and Gaming
Commission.

SECTION 28-1-20. Security and Surveillance.

The Commission and Omaha Tribal Council acknowledge their obligation to adopt and implement
minimum internal control standards for surveillance no less stringent than those found in the regulations of
the NIGC at 25 C.F.R. Part 542. The Tribe’s Security and Surveillance procedures shall be set out in
separate regulations to be reviewed and approved by the Omaha Tribal Council and Gaming Commission.

SECTION 28-1-21. Audit and Tribal Access to Financial Information

The Tribe shall cause to be conducted independent audits of gaming operations annually and shall
submit the results of those audits to the NIGC: The scope of said audit shall include all gaming related
contracts that result in purchases of supplies, services, or concessions for more than $25,000 in any year
(except contracts for professional legal or accounting services). A copy of the audit will be made available
for review, upon request to the Commission.

SECTION 28-1-22. Operational Procedures and Game Rules.

All Class II Gaming shall be conducted in conformance with the Act, this Code and the Regulations,
including the game rules to be set out in separate regulations to be reviewed and approved by the Omaha
Tribal Council and Gaming Commission.

SECTION 28-1-23. Complimentary Items.

(a) The use of complimentary items shall be governed by regulations established by the Gaming
Commission, which shall be in accord with the NIGC’s Minimum Internal Control Standards, found at 25
CFR. 542.17

SECTION 28-1-24. Location of Gaming.

(a) Gaming Conducted Solely on Indian Lands. Except as indicated in Section 28-1-24(b), all
authorized Class II Gaming shall be conducted solely on Indian Lands. Pursuant to the Act, licenses are
required for each place, facility or location on Indian Land where Class II Gaming occurs. Authorized
Class II Gaming is conducted solely on Indian Lands only if all consideration wagered is placed by
players physically located on Indian Lands at the time the wager is made, all activities performed by the

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OMAHA TRIBAL CODE (2003)

(iii) The names and current addresses of at least three personal references, including one
personal reference who was acquainted with the Applicant during each period residence listed
under paragraph (B) (ii) of this section;

(iv) Current business and residence telephone numbers;

(v) A description of any existing and previous business relationships with Indian tribes,
including ownership interests in those businesses;

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

(vii)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;

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

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

(x) For each criminal charge (excluding minor traffic charges), whether or not there is a
conviction, if such, criminal charge is within 10 years of the date of the application and is not
otherwise listed pursuant to paragraph (b) (viii) or (b) (ix) of this section, the criminal charge,
the name and address of the court involved and the date and disposition;

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

(xii)A current photograph;
(xiii) Any other information the Commission deems relevant; and

(xiv) _ Fingerprints consistent with procedures adopted by the Commission according
to 25 C.F.R. § 522.2(h). Fingerprints shall be taken by the Federal Bureau of Investigation in
Sioux City, Iowa, and forwarded to the NIGC for processing through the FBI and NCIC to
determine the applicant’s criminal history, if any.

(C) _ Inconducting a background investigation, the Commission or its agent will interview
a sufficient number of knowledgeable people, such as previous employers, personal
references and any other person who may provide the Commission with a knowledgeable
basis for making its eligibility determination. The Commission or its agent shall promise to
keep confidential the identity of each person interviewed in the course of the investigation.

(D) Upon completion of the background investigation and prior to submitting its report
to the NIGC, as provided in Subsections (4) and (5) of this Section, the Commission shall
review and approve all background investigations performed by tribal law enforcement
authorities, the Federal Bureau of Investigation, DCI and any other entity handling such
background investigations.

(E) The results of all background investigations must be documented in an investigative
report to be submitted to the NIGC, pursuant to Subsection (5) hereof. All problem areas must
be clearly documented with procedures for resolving such problems. The inability to resolve
such problems shall effect the Commissions eligibility determination as provided below

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OMAHA TRIBAL CODE (2003)

II Gaming under this Code. The Commission shall be responsible for ascertaining any defects in this
Code or in the Regulations issued hereunder, for formulating recommendations for changes in this Code
to prevent abuses thereof, for guarding against the use of this Code and the Regulations as a cloak for the
carrying on of illegal gambling or other criminal activities, and for insuring that this Code and the
Regulations shall be in such form and be so administered as to serve the true purposes of this Code. The
Commission shall make annual report to the Tribal Council, on or before February 1 of each year, of all
Tevenues, expenses and disbursements, and shall include therein such recommendations for changes in
this Code as the Commission deems necessary or desirable. The Commission shall report immediately to
the Tribal Council any matters which, in the Commissions' judgment, requires immediate changes in the
law of the Tribe in order to prevent abuses and evasions of this Code or the Regulations. The
Commission shall also rectify undesirable conditions in connection with the operation and regulation of
Class II Gaming.

@) Cooperation by Licensees or Applicants. Each Licensee or Applicant for a License under
this Code shall fully and completely cooperate with the Commission in performance of its duties.

(kK) Gaming Commission Regulation-Making Authority.

0) General Authority. The Commission shall draft and promulgate Regulations for the orderly
transaction and conduct of its business and such other substantive Regulations as may be proper and that
concern the following: the application for, issuance of, Revocation and Suspension of gaming Licenses,
the conduct of Licensees, game rules and operation of the Class II Gaming activities, technical standards
for Gambling Devices and Class II Gaming Equipment, Class II Gaming Supplies, , Lottery, additional
games authorized pursuant to the terms hereof, security requirements, cash control standards and
accounting procedures and any other subject the Commission determines necessary or desirable to carry
out the purposes of this Code. The Commission shall also promulgate Regulations necessary to resolve
complaints which may be received from the public.

(m) Regulations; Mandatory Subjects. The Commission may, without limitation on the powers
conferred in the preceding section, include within its Regulations the following specific provisions in
accordance with the provisions of this Code:

(1) The methods and forms of application which any Applicant shall follow and complete prior
to consideration of his application by the Commission;

(2) The manner and procedure of all hearings conducted by the Commission or any hearing
examiner, including special rules of evidence applicable thereto and notices thereof:

(3) The manner and method of collection of administrative fines, assessments, fees and
penalties;

(4) The rules of authorized games, the odds, and the devices permitted, and the method of
operation of such games and devices;

(5) The grounds and procedures for the Revocation or Suspension of Licenses;

(6) The rules governing the manufacture, distribution, sale and servicing of Class II Gaming
Equipment and Supplies;

(7) The procedures for approving the forms and methods of management controls, including
employee and supervisory tables of organization and responsibility, rotation schedules and minimum
security standards, security personnel structure, alarm and other electrical, auditory or visual security
measures;

(8) The minimum procedures for the exercise of effective control over the internal fiscal affairs
of a Primary Management Official, including provisions for the safeguarding of assets and revenues,
the recording of cash and evidence of indebtedness, and the maintenance of records and reports of
transactions, operations and events, including all such reports to the Commission;

(9) The procedures for approval of accounting methods, procedures, forms and accounting
classifications and such other operating procedures as may be necessary to assure consistency,
comparability and effective disclosure of all financial information, including calculations of

ll
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OMAHA TRIBAL CODE (2003)

card games, and (3) the term “class II gaming” does not include:
(A) any banking card games, including baccarat, chemin de fer, or blackjack (21), or

(B) electronic or electromechanical facsimiles of any game of chance or slot machines of
any kind.

(e) "Class II Gaming Equipment" means all proprietary devices, machines, and parts used in
the manufacture or maintenance of equipment which are used in and are an integral part of the conduct of
any Class II Gaming activity authorized pursuant to this Code.

(6) "Class II Gaming Supplies" means any and all tickets, cards, boards, sheets or other
supplies which are used in and are an integral part of the conduct of any Class II Gaming activity
authorized or regulated under this Code.

(g) "Commission" and "Commissioner" means the Omaha Tribal Gaming Commission and all
members thereof, including the Chairman.

(h) "Gambling Device" means any mechanical, electronic, or other device specifically used for
the purpose of effectuating the play of Class II gaming.

(i) "Gaming Code" and "Code" mean the laws, rules and Regulations of the Omaha Tribe, as
amended from time to time, which authorize, among other things, Class II Gaming on Indian Lands.

(0) "Indian Lands" means Land within the limits of an Indian Reservation; or land over which
an Indian Tribe exercises governmental power and that is either held in trust by the United States for the
benefit of any Indian Tribe or individual; or held by an Indian Tribe or individual subject to restriction by
the United States against alienation.

(kK) "Key Employee" means a person who performs one or more of the following functions: (1)
Bingo caller; (2) Counting room supervisor; (3) Chief of security; (4) Custodian of gaming supplies or
cash; (5) Floor manager; (6) Pit boss; (7) Dealer; (8) Croupier; (9) Approver of credit; or (10) Custodian
of gambling devices including persons with access to cash and accounting records within such devices. If
not otherwise included, any other person whose total cash compensation is in excess of $ 50,000 per
year; or if not otherwise included, the four most highly compensated persons in the gaming operation.

(0) "License" or "Licensee" means the authority to operate, regulate or manage Class II
Gaming on Tribal Land and the holder of such authority.

(m) "Management Contract" means the complete agreement between the Tribe and a Primary
Management Official including all collateral agreements relating to Class II gaming activity.

(n) "Omaha Tribe" or "Tribe" means the Omaha Tribe of Nebraska, tribal law enforcement
authorities and all governmental persons or entities acting under the authority of the Omaha Tribe.

(0) "Parties-in-interest" or "Party-in-interest" shall include all trustees and beneficiaries of a
trust and spouses of such trustees or beneficiaries; parties of a partnership and spouses of such partners,
whether the partnership is a limited partnership or a general partnership; the members of an association
and spouses of such members and; in the case of corporations, those individuals who are members of the
board of directors or officers of such corporation and spouses of officers of such corporation and spouses
of such members of the board or officers and each of its stockholders and spouses of such stockholders
who hold, directly or indirectly, applying the attribution rules of Section 318 of the Internal Revenue
Code (1986), 5 % or more of its issued and outstanding stock, or warrant or stock options entitling the
holder to acquire 5 % or more of its issued and outstanding stock at any time; and such other entities or
natural persons having a direct financial interest in, or management responsibility for, a Primary
Management Official or a Class II Gaming facility and; if any stockholder owning more than 5 % of the
stock of a corporate Primary Management Official is a corporation or partnership, every partner of such
partnership and of such partners or stockholder and spouses of such stockholders which own more than 5
% of the stock of such corporation as well as corporate officers or members of the board of directors of
such corporation and spouses of such officers or members as well as those holding warrants or stock

3
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Communications between members of the Commission and its agents or attorneys or any law
enforcement authority or regulatory body relating to licensing, disciplining of licensees, or violations by
licensees are privileged and confidential if made lawfully and in the course of and in furtherance of the
business of the Commission, unless such communications were made pursuant to an order of the Tribal
Court after an in-camera review. Any member of the Commission or its agents may claim this privilege.

SECTION 28-1-37. Application Forms.

Until such time as the Commission exercises its power to prescribe the forms for applications, the
Commission shall utilize forms for similar licenses.

SECTION 28-1-38. Calculation of Time.

In computing any period of time prescribed or allowed by this Code or the Regulations of the
Commission, the day of the act, event or default from which the designated period of time begins to run
shall not be included. The last day of the period so computed shall be included, unless the last day is a
Saturday, a Sunday or a legal holiday under tribal law or federal law. If the act to be done is the filing of or
providing access to any report or document, and the last day of the period falls on a day in which the
weather or other conditions have made the offices in which the report or document is to be filed
inaccessible, the designated period shall extend until the end of the next day on which the office is
accessible which is not a Saturday, Sunday or legal holiday. When the period of time prescribed or allowed
is less than eleven (11) days, intermediate Saturdays, Sundays and legal holidays under tribal law or federal
law shall be excluded from the computation period.

SECTION 28-1-39. Limitations on Use of Gaming Revenues.

The net revenues of any tribally licensed Class II Gaming activity shall not be used for purposes other
than:

(a) Funding tribal government operations or programs;
(b) Providing for the general welfare of the Tribe and its Citizens;

(c) Promotion of tribal economic development;
(d) Donation to charitable organizations;
(e) Helping funding of the operation of local government agencies; and

(f) Making per capita payments to members of the Tribe, but only if:

(1) the Tribe has prepared a plan to allocate revenues to uses authorized in this paragraph
hereinabove or Section 29-1-43 of the Omaha Tribal Code;

(2) the plan is approved by the Secretary of the Interior as adequate;

(3) the interests of minors and other legally incompetent persons who are entitled to receive
any of the per capita payments are protected and preserved and the per capita payments are disbursed
to the parents or legal guardian(s) of such minors or legal incompetents in such amounts as may be
necessary for the health, education, or welfare, of the minor or other legally incompetent person under
a plan approved by the Secretary of the Interior and the governing body of the Tribe; and,

(4) the per capita payments are subject to Federal taxation and the Tribe notifies members of
such tax liability when payments are made.

SECTION 28-1-40. Assessment for Commission Operations.

The Commission shall annually submit to the Tribal Council a budget for the operation of the
Commission. Said budget shall set forth monthly expenditures for the operation of the Commission. The
Tribal Council after consultation with the Commission shall approve a budget for the Gaming Commission
and authorize the expenditures as exclusively determined by the Tribal Council. The resolution was
submitted to the BIA and referred to Tribal Government Services for follow-up.

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OMAHA TRIBAL CODE (2003)

posting of notice.

(1) Any Primary Management Official, his/her officers, employees or agents, may question any
person in his/her establishment suspected of violating any of the provisions of this Code. No Primary
Management Official or any of his/her officers, employees or agents will be held criminally or civilly
liable:

(A) As a result of any such questioning; or

(B) For reporting to the Commission or law enforcement authorities the person suspected
of the violation.

(2) Any Primary Management Official or any of his/her officers, employees or agents who have
probable cause for believing that there has been a violation of this Code or the Regulations in his/her
establishment by any person may take that person into custody and detain him in the establishment in a
reasonable manner and for a reasonable length of time. Such a taking into custody and detention does
not render the Primary Management Official or his/her officers, employees or agents criminally or
civilly liable unless it is established by clear and convincing evidence that the taking into custody and
detention are unreasonable under all the circumstances;

(3) No Primary Management Official or his/her officers, employees or agents are entitled to the
immunity from liability provided for in Subsections (1) and (2) hereof, unless there is displayed in a
conspicuous place in his establishment a notice in bold face type clearly legible and in substantially
this form:

Any gaming Primary Management Official or any of his/her officers, employees or agents who has
probable cause for believing that any person has violated any provision of the Code or the Regulations may
detain that person in the establishment.

SECTION 28-1-29. Civil Penalties for Persons or Entities that are not Licensees.

(a) Any person or entity, other than a licensee, who violates this Code or the Regulations, may
be assessed an administrative fine by the Commission. Such administrative fine may be assessed only
after the person or entity has been given notice and an opportunity to be heard before the Commission.
Each day a violation occurs or continues shall be treated separately and may be assessed as a separate
violation.

(b) The administrative fine assessed pursuant to Section 28-1-29(a) above shall not exceed
Fifty Thousand Dollars ($50,000.00) per violation, or twice the amount of any grand prize awarded or
available to win in a gaming activity which is directly associated with the violation, whichever is greater.

(c) The civil penalties provided for in this Section may be imposed in addition to possible
criminal penalties provided for under applicable law.
SECTION 28-1-30. Use of Gaming Billets and Coins; Alteration of Normal Operation of Gambling
Devices.
It is unlawful for any person playing or using a Gambling Device:

(a) To knowingly use other than a lawful coin or legal tender of the United States of America,
or to use a coin not of the same denomination as the coin intended to be used in such Gambling Device,
however, it shall be lawful for any person to use gaming billets, tokens or similar objects when approved
by the Commission;

(b) To use any cheating or thieving device, including, but not limited to, tools, drills, wires,
strings, coins or tokens attached to strings or wires, electronic or magnetic devices, or electromechanical
devices, or electromagnetic devices to facilitate the alignment of any winning combination or to assist in
the removal from any Gambling Device any money or cther contents thereof.

SECTION 28-1-31. Enforcement of Administrative Fines.

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OMAHA TRIBAL CODE (2003)

SECTION 28-1-34. Exclusion or Ejection of Certain Persons from Gaming Establishment.
SECTION 28-1-35. Records of Gaming Commission...

SECTION 28-1-36. Communications Between Members of the Commission and its Agents.....
SECTION 28-1-37. Application Forms......
SECTION 28-1-38. Calculation of Time...
SECTION 28-1-39. Limitations on Use of Gaming Revenues. ....
SECTION 28-1-40. Assessment for Commission Operations...
SECTION 28-1-41. Penalties. ...

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OMAHA TRIBAL CODE (2003)

TITLE 28. CLASS Il GAMING

Table of Contents

SECTION 28-1-2. Title; Effective Date; Repealer...

SECTION 28-1-4. Purposes.
SECTION 28-1-5. Definitions.
SECTION 28-1-6. Games Permitte
SECTION 28-1-7. Tribal Gaming Commission.
SECTION 28-1-8. Gaming Commission Meetings.
SECTION 28-1-9. Chairman of the Gaming Commission.....
SECTION 28-1-10. Primary Management Official.....
SECTION 28-1-11. Occupational Licensing. ....

SECTION 28-1-12. Approval of Licenses; Submission to Jurisdiction. ...
SECTION 28-1-13. Conflict of Interest...
SECTION 28-1-14. Application/License Fee; Resident Agent. ....

SECTION 28-1-15. Types of Licenses and Registrations; Issuance and Other Fees......
SECTION 28-1-16. Licensee Ownership Rights.

SECTION 28-1-17. Notice and Agent for Service of Process...

SECTION 28-1-18. Reimbursement to Commission for Investigations. ...

SECTION 28-1-19. Minimum Standards for Inspection and Approval of Gambling Devices...
SECTION 28-1-20. Security and Surveillance.
SECTION 28-1-21. Audit and Tribal Access to Financial Information

SECTION 28-1-22. Operational Procedures and Game Rules.
SECTION 28-1-23. Complimentary Items.
SECTION 28-1-24. Location of Gaming. ..
SECTION 28-1-25. Age Limit for Players...

SECTION 28-1-26. Environment and Public Health and Safety.....
SECTION 28-1-27. Compliance with Federal Law.....
SECTION 28-1-28. Illegal Games and Activities.....
SECTION 28-1-29. Civil Penalties for Persons or Entities that are not Licensees.....

SECTION 28-1-31. Enforcement of Administrative Fines. .....
SECTION 28-1-32. Criminal Violations...
SECTION 28-1-33. Procedures for Dispute Resolution.....

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stv"

OMAHA TRIBAL CODE (2003)

percentages of profit by games; and

(10) The required periodic financial reports and the form thereof, which shall include a semi-
annual audit prepared by a certified public accountant attesting to the financial condition of a gaming
enterprise and disclosing whether the accounts, records and control procedures examined are
maintained by the Licensee as required by this Code and the Regulations.

SECTION 28-1-8. Gaming Commission Meetings.

The Commission may hold regular and special meetings at such times and places as it may deem
convenient, but at least one regular meeting shall be held quarterly. Meetings may be held by telephonic
conference call. A majority of the appointed members constitutes a quorum of the Commission. A special
meeting may be called by any one Commissioner. Each part-time member of the Commission shall receive
a stipend of $80.00 plus expenses-at regular or special meetings at which a quorum is present. The stipend
shall be paid from fees and assessments collected by the Commission.

(a) Open Meetings. All actions and proceedings of the Commission shall be conducted during
meetings open to the public except actions and proceedings which the Commission, by a majority vote, at
an open meeting, determines best‘conducted during an executive session closed to the public for the
reasons set forth in Section 28-8-1(b ) hereof. Any record or document maintained by the Commission
shall not be subject to being produced, copied or disclosed in any manner, whether by the discovery
process or court order of a court if the Commission determines that the disclosure of such information
would be harmful to the effective and fair regulation of gaming, would disclose trade secrets or
proprietary information or would impair ongoing investigations.

(b) Purposes for Executive or Closed Meetings. The Commission may hold executive sessions
or closed meetings for any of the following purposes:

(1) Considering applications for licensing when discussing the background investigations,
financial information or personal information of Applicants;

(2) Meeting with the gaming officials of other Indian tribes or other jurisdictions, including
Nebraska or Iowa, or meetings with tribal law enforcement officials, the tribal prosecutor, the United
States Attorney General, the Federal Bureau of Investigation, the Office of the Inspector General, the
United States Attorney and other law enforcement officials relating to possible criminal violations;

(3) Consulting with the employees and agents of the Commission concerning possible civil or
criminal violations of this Code, the Regulations, or the Act;

(4) Deliberating to reach a decision after hearing evidence in a contested case;

(5) Discussing business strategies, marketing or pricing strategies of a Licensee or an Applicant
for a License, if the Commission determines public discussion may be harmful to the competitive
position of the Licensee or Applicant for License or discussions with a Licensee or an Applicant for a
License for the purposes of overseeing gaming contracts; and

(6) Meeting with attorneys and General Counsel to the Tribe.

SECTION 28-1-9. Chairman of the Gaming Commission.

The Chairman is responsible on a full-time basis for the conduct of the Commission's administrative
matters but the Chairman may delegate his responsibilities to the Secretary or Treasurer of the
Commission.. The Chairman and his designees shall have the following powers:

(1) To issue temporary and probationary Licenses for all Licensees other than a Primary
Management Official;

(2) To issue permanent Licenses for all employees of any Class II Gaming facility other than
Key Employees and Primary Management Officials;

(3) To oversee, regulate and define the conduct of Licensees;
(4) To inspect, monitor and examine all premises where Class II Gaming is conducted, and
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OMAHA TRIBAL CODE (2003)

(e) To assure that the Tribe is the primary beneficiary of Class II Gaming, and that the profits
received by the Tribe from the operation of Class II Gaming are used to promote economic development,
education, governmental services, health and the general welfare of the Tribe and its members;

(f) To develop and implement an effective regulatory scheme for the conduct of Class II
Gaming on Indian Lands and to assure that such gaming adequately protects the environment and is
clean, well-run and provides safe and fair entertainment for its customers;

(g) To provide a basis for the operation and regulation of Class II Gaming by the Tribe as a
means of promoting tribal economic development, self-sufficiency and full employment of Tribal
Citizens and a strong tribal government;

(h) To assure that all Class II Gaming activities will be conducted under the exclusive
ownership, control and responsibility of the Tribe;

(i) To assure that the Tribe will receive at least 100 % of the net revenues of all Class II
Gaming activities conducted pursuant to this Code, unless such other percentage is deemed appropriate
by the Tribe from time to time;

(0) To comply with the Indian Gaming Regulatory Act, Public Law 100-497, 102 Stat. 2425,
codified at 24 U.S.C. § 2701, et seq. (1988) (hereinafter referred to as the "Act"), and to set forth the
procedure and requirements for investigating, licensing and regulating Class II Gaming on Indian Lands.

(kK) To protect the health, welfare and safety of the public;

(0) To assure that the profits derived from Class II Gaming are accurately reported, are
transferred to the rightful parties and are used for the purposes intended;

(m) To assure honesty and financial integrity of all Class II Gaming conducted pursuant to this
Code;

(n) To deter any criminality, or the potential for any criminality to occur, and to shield any
Class II Gaming from any involvement with organized crime or other corrupting influences; and

(0) To protect, preserve and enhance the economic and general welfare of the public and the
Citizens of the Tribe.

SECTION 28-1-5. Definitions.

(a) "Act" means the Indian Gaming Regulatory Act, §§ 2-24, Pub. L. 100-497, 102 Stat. 2425
(codified at 25 U.S.C. §§ 2701-2721 and 18 U.S.C. §§ 1166-1168 (1991).

(b) "Applicant" means any person, partnership, corporation or entity applying for a License
pursuant to this Code.

(c) "Chairman" means the Chairman of the Omaha Tribal Gaming Commission.

(d) "Class II Gaming" means: (1) the game of chance commonly known as bingo (whether or

not electronic, computer or other technological aids are sed in connection therewith:

(A) which is played for prizes, including monetary prizes, with cards bearing numbers or other
designations.

(B) in which the holder of the card covers such numbers or designations when objects, similarly
numbered or designated, are drawn or mechanically determined, and

(C) in which the game is won by the first person covering a previously designated arrangement of
numbers or designations on such cards, including (if played in the same location) pull-tabs, lotto,
punch boards, tip jars, instant bingo, and other games similar to bingo; and , (2) card games that:

(A) are explicitly authorized by the laws of the State, or

(B) are not explicitly prohibited by the laws of the State and are played at any location in the State,
but only if such card games are played in conformity with those laws and regulations (if any) of the State
regarding hours or periods of operation of such card games or limitations on wagers or pot sizes in such

2
TITLE 28. CLASS II GAMING


OMAHA TRIBAL CODE (2003)

(B) The Commission shall respond to a request for additional information from the
Chairman of the NIGC concerning a Key Employee or a Primary Management Official who is
the subject of a report. Such a request shall suspend the 30-day period under paragraph (6)(a)
of this Section until the Chairman of the NIGC receives the additional information.

(C) _ If, within the thirty (30) day period described above, the NIGC provides the
Commission with a statement itemizing objections to the issuance of a license to a Key
Employee or to a Primary Management Official for whom the Commission has provided an
application and investigative report to the NIGC, the Commission shall reconsider the
application, taking into account the objections itemized by the NIGC. The Commission shall
make the final decision whether to issue a license to such Applicant.

(D) If, after the issuance of a gaming license, the NIGC receives reliable information
indicating that a key employee or a primary management official is not eligible for
employment under subsection 28-1-11, the NIGC shall notify the Commission. Upon receipt
of such notification, the commission shall suspend such license and shall notify in writing the
licensee of the suspension and the proposed revocation. The commission shall notify the
licensee of a time and place for a hearing on the proposed revocation of the license. After a
revocation hearing, the commission shall decide to revoke or to reinstate a gaming license.
The commission shall notify the NIGC of its decision.

SECTION 28-1-12. Approval of Licenses; Submission to Jurisdiction.

The Commission may approve or disapprove any application for license, depending upon whether it
deems the Applicant a suitable person to hold the license under this Code and the Regulations and whether
it considers the proposed location suitable. All Applicants for licenses and all persons, firms, or entities
which have any contractual relationship with the Tribe or contractual relationship relating to any gaming
activities conducted pursuant to this Code shall be conclusively deemed to have voluntarily submitted to
the jurisdiction of the Tribe, the Commission and the civil jurisdiction of the Tribal Court unless such
contract is with the Tribe and contains provisions expressly to the contrary.

SECTION 28-1-13. Conflict of Interest.

No officer, agent or employee of the Commission may hold a license under this Code if the duties of
such office, agency or employment have to do with the enforcement of the gaming laws and rules. This
prohibition applies to the Commission, all of its employees and all law enforcement officials and officers.
No licensee may employ any person in any capacity while that person is in the employment of a law
enforcement agency or the Commission except that certified police officers may be employed as security
personnel. Members of the Commission and its officers and agent, including its attorneys, and their
relatives who reside in the same household, may not have any interest, whether financial or proprietary,
direct or indirect, in any gaming activity conducted under this Code, except as a member of the Tribe
sharing in the benefits and revenues enjoyed equally by all Tribal Citizens.

SECTION 28-1-14. Application/License Fee; Resident Agent.

The Commission may establish an application fee which, at the option of the Commission, shall
include the cost of the background investigation. The fee may vary with the type of license for which
application is made and is nonrefundable. Any person who does not reside on the reservation or any
corporation, firm, partnership or other entity that does not have an agent present on the reservation shall
appoint the Secretary of the Tribal Council as agent for the service of process and other documents under
this Code. The Commission shall maintain a list of all such nonresidents and when serving documents upon
the Secretary of the Tribal Council shall also provide the Secretary with an envelope addressed to such
nonresident, first-class postage prepaid, and the Secretary shall mail the documents to the nonresident no
later than the first business day following receipt. Service upon the Secretary shall be made in the manner
specified for civil suits under tribal law and shall be deemed complete upon such service, regardless of
whether the papers or documents are ultimately received by the licensee or Applicant. It is the
responsibility of licensees and Applicants to keep their addresses listed with the Commission current.

18
TITLE 28. CLASS If GAMING


NAL |
iO No,

AS y
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Ne comm?
AUG -8 2605

Via Facsimile and U.S. Mail

Maurice R. Johnson, Esq.
Johnson Thompson LLP
10844 Old Mill Road, Suite 4
Omaha, NE 68154

RE: Approval of Class II Gaming Ordinance for the Omaha Tribe of Nebraska

Dear Mr. Johnson:

This is in response to your letter misdated June 8, 2005, requesting review and approval
of the Omaha Tribe of Nebraska’s Ordinance Number 05-154 (July 19, 2005), and
attached Class II Gaming Code. The National Indian Gaming Commission received your
letter on July 21, 2005. The ordinance and attached gaming code are consistent with the
requirements of the Indian Gaming Regulatory Act (IGRA) and this agency’s regulations,
and they are therefore approved.

Please note that ce citation at the beginning of the Tribe’s Class II Gaming Code
should be reVised in order to cite to Omaha Tribal Council Resolution No. 05-1 54, rather

iOn. If you have any questions or require assistance, please

‘ey/Nelson, Attorney, at (202) 632-7003.
rg

ilip N. Hogen
Chairman

Cc: The Honorable Orville Cayou, Chairman
Omaha Tribal Council

NATIONAL HEADQUARTERS 1447 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax: 202.632.7066 + WWW.NIGC.Gov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK


OMAHA TRIBAL CODE (2003)

to approve by Regulation such additional Class II Gaming activities as may be lawfully conducted
pursuant to the Act and this Code.

SECTION 28-1-7. Tribal Gaming Commission.

The Omaha Tribal Gaming Commission (the "Commission"), as previously established, is hereby
authorized to regulate the manner in which Class II gaming is conducted. The Omaha Tribe depends on
gaming revenues, in part, to generate revenue to promote economic development, and to protect
employment opportunities. In order to help ensure that the gaming revenues continue, the Commission is
authorized to develop and implement regulations regarding Class II gaming, take necessary steps to ensure
that the gaming facilities comply with the Indian Gaming Regulatory Act and this Tribal Gaming
Ordinance, and to take steps to deter any and all criminal activity.

(a) Jurisdiction, Powers of Commission. The Commission shall have full, complete and perfect
jurisdiction over Class II Gaming and shall have autonomous authority to regulate and supervise all
authorized and unauthorized Class II Gaming. However, the Commission shall not have the power to
interfere with a Primary Management Official's decisions regarding expenses of operation which
implement a budget approved by the Tribe in accordance with a Management Contract. The Commission
shall have and perform duties and powers as prescribed by this Code which include the following duties
and powers which shall be exercised consistently with the Act, this Code and the Regulations:

(1) To draft, propose and promulgate Regulations with regard to engaging in, licensing and
regulating all aspects of Class II Gaming and which have the force of law as may be necessary or
desirable in the judgment of the Commission for the effective, fair and efficient regulation of Class II
Gaming. Such Regulations shall be consistent with the purposes of this Code, and the Act under which
all Class II Gaming shall be conducted and all Class II Gaming facilities maintained, and to specify by
Regulation the wagering structure for Class Il Gaming;

(2) To issue and serve subpoenas for the production of documents, things or persons and to
administer oaths or affirmations and to require testimony under oath or affirmation before the
Commission in the course of any investigation or hearing conducted under this Code or the
Regulations; for which process notices shall be served in the manner provided by the Tribal Code;

(3) _ To propound written interrogatories and to appoint hearing examiners to whom may be
delegated the power and authority to administer oaths or affirmations, issue subpoenas, propound
written interrogatories and require testimony under oath;

(4) To specify the payout from Class II Gaming consistent with the limitations in this Code;

(5) To inspect, monitor and examine all premises where gaming is conducted and Gaming
Devices, Equipment or Supplies are utilized, sold or distributed;

(6) To enter, inspect, observe or investigate at any time, with or without warrants, notice or
warnings, the offices, facilities or other places of business of a Primary Management Official,
wherever the same may be located, in order to determine compliance with this Code, the Regulations
and other applicable laws;

(7) To investigate alleged violations of this Code, the Regulations and other applicable laws and
to take appropriate disciplinary action or recommend institution of criminal proceedings against a
Primary Management Official or a Licensee and other persons for a violation of any of the foregoing
or to institute appropriate legal action for enforcement or any of the foregoing;

(8) To conduct investigative hearings concerning the conduct of Class II Gaming and Gaming
operations as well as the development and well-being of the industries controlled by the Act, this Code
and the Regulations;

(9) To determine, assess and collect civil and administrative fines and Revoke or Suspend
Licenses for conduct violating the terms of this Code, the Regulations or other applicable laws;

(10) To investigate the activities of any person, firm or other business entity relating to the
conduct of any Class II Gaming activity;
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TITLE 28. CLASS Il GAMING


OMAHA TRIBAL CODE (2003)

options entitling them to acquire at any time 5 % or more of the stock; furthermore, such corporation
shall also be considered a Party-in-interest to the Primary Management Official. In the event that a
proposed Primary Management Official is a publicly held corporation or partnership, whether general or
limited, the term Parties-in-interest shall mean all general partners and any limited partners holding
greater than 30 % of the issued and outstanding partnership units of any class and; with respect to the
publicly held corporation, the officers and director plus any person holding greater than 30% of the
issued and outstanding stock of any class as well as the spouses of such officers; members of the board of
directors and partners, whether general or limited; as well as those individuals holding options or
warrants which would entitle them to acquire 30 or more of the outstanding stock of such corporations or
units of a partnership, applying the attribution rules of Section 318 of the Internal Revenue Code (1986).

(p) "Primary Management Official" means the person having management responsibility for a
management contract and any person who has authority to hire and fire employees or to set up working
policy for the gaming operation or the chief financial officer or other person who has financial
management responsibility .

(q) "Regulations" mean the Regulations promulgated by the Commission or the Tribal Council
pursuant to this, Code.

(@) "Revoke" shall mean to permanently void and recall all rights and privileges to hold or
obtain a License.

(s) "Secretary" means the Secretary of the United State Department of Interior.

(3) "State" means the States of Iowa or Nebraska, as is appropriate, including individuals,

entities, political subdivisions (including counties), agencies and all others using, claiming or in any
manner asserting any right or power under the authority of the States of lowa or Nebraska.

(u) "Suspend" means to cause a temporary interruption of all rights and privileges of a License.
(v) "Tribal Chairman" means the duly elected Chairman of the Tribe.
(w) "Tribal Citizen" or "Citizen" means a person who is an enrolled member of the Tribe or a

person under the age of 18 who is eligible for enrollment.

(x) "Tribal Court" or "Court" means the judicial body of the Tribe. "Tribal Council" or
“Council" means the Omaha Tribal Council.

(y) "Tribal Gaming Commission," "Gaming Commission" and "Commission" means the
Omaha Tribal Gaming Commission established by the Tribe pursuant to this Code.
(2) "Tribe" means the Omaha Tribe of Nebraska, a federally recognized Indian tribe organized

pursuant to Section 16 of the Act of June 18, 1934 (48 Stat. § 984) (25 USC § 476), as amended by the
Act of June 15, 1935 (49 Stat. § 378).
SECTION 28-1-6. Games Permitted.
(a) When Permissible. The Tribe may engage in Class II Gaming on Indian Lands provided:
(1) Such gaming is conducted in accordance with the requirements of the Act;

(2) The State permits such gaming for any purpose by any person, organization or entity (and
such gaming is not otherwise specifically prohibited on Indian lands by Federal law); and

(3) Such gaming is conducted in conformance with the terms of the Regulations and this Code.

Any Class II Gaming activity conducted on Indian Land which does not meet these requirements is
illegal.

(b) Permissible Class II Gaming. The Tribe may conduct any and all Class II games allowed
and provided for under the Act and in compliance with the terms of this Code and the Act and any and all
rules promulgated under the Act.

(c) Additional Class II Games; Procedure for Approval. The Commission shall have authority

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TITLE 28. CLASS Il GAMING


OMAHA TRIBAL CODE (2003)

policies of this Code and to maintain effectively the strict regulation of licensed gaming.

(b) Exclusion list, considerations. The Commission may provide each establishment with a list
of persons who are to be excluded or ejected from any licensed gaming establishment, including any
person whose presence in the establishment is determined to pose a threat to the interest of the Tribe or to
licensed gaming. In making the determination for exclusion, the Commission may consider any of the
following:

(1) A prior conviction of a felony, a misdemeanor involving moral turpitude or a violation of the
gaming laws of any Indian tribe, state, the United States, or any of its possessions, enclaves, or
territories;

(2) A violation, attempt to violate or conspiracy to violate the provisions of this Code,or the
Regulations, including: failure to make required disclosures to the Commission or the intentional
evasion of fees or taxes;

(3) A notorious or unsavory reputation that would adversely affect public confidence and impact
the trust that the public has regarding the gaming industry as free from criminal or corruptive
influences; and

(4) The opinion of the Commission, that the presence of a person in a licensed gaming facility
would be harmful to the interest of the Tribe, or Indian gaming generally.

(c) Notice to Excluded Person. If the name and description of any person is placed on the
exclusion list, the Commission shall, within three (3) business days thereafter, serve notice of that action
upon the person by at least one of the following means:

(1) By personal service;
(2) By certified or registered mail to the last known address of the person; or

(3) By publication, at least twice, for two consecutive weeks in a newspaper of general
circulation on the Reservation.

A person placed upon the exclusion list may contest that action by filing a written protest with the
Commission and the protest shall be heard by the Commission within thirty (30) days after filing, but all
such exclusions shall become final and non-reviewable if no protest is filed within forty-five (45) days after
such name is placed on the exclusion list. Failure to provide notice to the excluded person in accordance
with this section shall render such exclusion void.

SECTION 28-1-35. Records of Gaming Commission.

Information and records of the Commission enumerated by this Section are confidential and may not
be disclosed except pursuant to the discretion of the Commission in proceedings before it, as required by
this Code, or pursuant to a court order of the Tribal Court. No person may use a subpoena, discovery
methods or other applicable laws, rules or regulations to obtain such information or records. Information
and records considered confidential include:

(a) Tax returns and financial statements of individual licensees;

(b) Applications, credit, medical and security reports of Applicants for licenses and other
persons seeking or doing business with the Commission;

(c) Marketing, financial or sales data, the disclosure of which may be harmful to the
competitive position of tribal gaming, licensees or persons seeking or doing business with the
Commission;

(d) Audit work papers, worksheets and auditing procedures used by the Commission, its agents
or employees; and

(e) Results of investigations, work products and other such privileged communications.

SECTION 28-1-36. Communications Between Members of the Commission and its Agents.

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TITLE 28. CLASS Il GAMING


OMAHA TRIBAL CODE (2003)

If any person or entity fails or refuses to pay an assessment levied pursuant to § 28-1-29(a) above, the
Commission may take all actions necessary to collect the assessment at any time following 30 days from
the date of the assessment by initiating a civil action against the person or entity in Tribal Court or in any
other court of competent jurisdiction. In such civil action, the validity and amount of the assessment shall
not be subject to judicial review. The validity and amount of any administrative fine levied pursuant to this
Code is only subject to judicial review as a contested case under regulations to be promulgated by the
Commission, which shall constitute the sole and exclusive means of judicial review. Admission into
evidence of a certified copy of the order of the Commission levying such assessment shall establish a prima
facia case of the Commission's right to judgment in its favor. The Commission shall be entitled to all
remedies in law or in equity.

SECTION 28-1-32. Criminal Violations.

Any violation of this Code or the Regulations by a Tribal Citizen shall constitute a criminal offense
under the Tribe's "Law and Order Code" and, upon conviction, carries the penalties of imprisonment of up
to one year in the tribal jail; a fine of up to One Thousand Dollars ($1,000.00), or both, in addition to any
administrative fine levied by the Commission. In addition to such penalties, any property utilized in
violating this Code or the Regulations, and any proceeds derived from a violation hereof, shall be subject to
seizure and forfeiture to the Tribe upon conviction. Any violation of this Code or the Regulations by a
person who is not a Tribal Citizen shall be subject to the Commission's civil and regulatory powers,
pursuant to Section 28-1-29.

SECTION 28-1-33. Procedures for Dispute Resolution.

In the event of any alleged personal injury or property damage suffered within a gaming facility, or in
the event of a dispute between a patron and the gaming facility regarding the payment of a wager or
distribution of winnings, the patron may make a claim against the gaming facility as follows:

(a) Any person having a claim against a gaming facility must present that claim to the
Commission for appropriate relief. Claims against a gaming facility are to be presented within ninety
(90) days of the date that the loss occurred. In the event a claim is not presented within ninety (90) days
of the loss but is presented within one year of the date of the loss, any judgment in a lawsuit that arises
from such claim shall be reduced by ten (10) percent. A claim against a gaming facility shall be forever
barred unless notice thereof is presented within one year after the loss occurs. Claims against a gaming
facility must be in writing and filed with the Commission. Notices explaining this procedure shall be
posted in the gaming facility. Such notices shall explain that this procedure is the exclusive method of
making claim or registering a patrons dispute. Such notices shall also explain that upon denial of a claim
by the Commission redress must be sought exclusively in Tribal Court.

(b) The written notice of all claims shall state the date, time, place and circumstances of the
claim, the identity of the effected licensees or employees, if known, the amount of compensation or other
relief demanded, the name, address and telephone number of the claimant, and the name, address and
telephone number of any agent authorized to settle the claim.

(c) A claim is deemed denied if the Commission fails to approve the claim in its entirety within
ninety (90) days of receipt, unless the interested parties have reached a settlement before the expiration of
that period. A person may not initiate suit against a gaming facility unless the claim has been denied in
whole or in part. The claimant and the gaming facility may continue attempts to settle a claim; however,
settlement negotiations do not extend the date of denial.

(d) No action for any cause arising from personal injury, property damage or gaming disputes
shall be maintained unless valid notice has been given and the action is commenced in Tribal Court
within 180 days after denial of the claim as set forth above. Neither the claimant nor the gaming facility
may extend the time to commence an action by continuing to attempt settlement of the claim.

SECTION 28-1-34. Exclusion or Ejection of Certain Persons from Gaming Establishment.

(a) Exclusion of persons required for effective regulation. The Tribe hereby declares that the
exclusion or ejection of certain persons from licensed gaming establishments is necessary to carry out the

24
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OOS
OMAHA TRIBAL CODE (2003)

TITLE 28. CLASS Il GAMING
\s4
Source: Omaha Tribal Council Resolution No. 05-146; approval by the NIGC was given on
and can be found at .

SECTION 28-1-2. Title; Effective Date; Repealer.

This shall be known as the Omaha Tribe of Nebraska and Iowa Class II Gaming Code ("Code"). This
Code is promulgated pursuant to Article IV, §§ 1(h), (j) and (g) of the Constitution, the Bylaws and the
inherent powers of the Omaha Tribe of Nebraska and Iowa (hereinafter "Tribe") as a sovereign Indian
Nation and sets forth the terms for Class II Gaming operations on Indian Lands (as that term is defined
generally within the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et seq.). The previous laws of the
Tribe governing Class II Gaming, to the extent they are inconsistent with this Code, are repealed hereby at
the date and time of enactment hereof. This Code shall be effective at the date and time of enactment.

SECTION 28-1-3. Findings.
The Tribal Council of the Tribe finds as follows:

(a) Any Class II Gaming on Indian Lands shall be within the jurisdiction of the Tribe, subject
to the provisions of the Indian Gaming Regulatory Act (25 U.S.C. § 2701 et seq.).

(b) The Tribe has, to the greatest extent possible under the Indian Gaming Regulatory Act (25
U.S.C. § 2701 et seq.), the sole proprietary interest in, and responsibility for, the licensing and regulation
of any gaming operation authorized by this Code, and by this Code, the Tribe has the authority to operate
Class II Gaming activities on Indian Lands.

(c) The Indian gaming industry is vitally important to the economy of the Tribe and the health
and general welfare of its members as well as the economy of the area surrounding the Tribe's
reservation and the inhabitants of such surrounding areas.

(d) The continued growth and success of Indian gaming is dependent upon public confidence
and trust that Indian gaming is conducted honestly and competitively and that Indian gaming is free from
criminal and corrupt elements.

(e) Public confidence and trust can only be maintained by strict and fair regulation of all
persons, practices and activities related to the operation of Indian gaming.

() It is essential to the health, safety and general welfare of the Citizens of the Tribe that
standards and regulations to govern the conduct of Class II Gaming activities be established and
promulgated.

(g) Gaming is a socially acceptable method of recreation and a valid and efficient means for
enhancing governmental revenue, provided that it is properly, fairly and fully regulated.

(h) This Code is intended to implement the purposes set forth below as well.

SECTION 28-1-4. Purposes.

This Code was promulgated in order to regulate the conduct of Class II Gaming on Indian Lands
located within the jurisdiction of the Tribe as authorized by, and subject to, the Indian Gaming Regulatory
Act (25 U.S.C. § 2701 et seq.):

(a) To promote tribal economic development;

(b) To enhance employment opportunities for Tribal Citizens as well as residents of the Tribe's
reservation and the surrounding area;

(c) To strengthen the economy of the Tribe and that of the surrounding areas;

(d) To generate revenue for use in improving the economic status, health, education and

general welfare of Tribal Citizens and create economic opportunities for Tribal Citizens;

1
TITLE 28. CLASS Il GAMING


2)

OMAHA TRIBAL CODE (2003)

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 National Indian Gaming Commission in
connection with the hiring or firing of an employee, the issuance 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 hire you in a primary management official or key
employee position.

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

(B) _ Existing Key Employees and Primary Management Officials shall be notified in
writing that they shall, either:

(i) Complete a new application form that contains a Privacy Act Notice; or

(ii) Sign a statement that contains the Privacy Act Notice and consent to the routine uses
described in that Notice.

(C) _ The following notice shall be placed on the application form for a Key Employee or
a Primary Management Official before that form is filled out by an Applicant:

A false statement on any part of your application may be
grounds for not hiring you, or for firing you after you begin work.
Also, you may be punished by fine or imprisonment. (U.S. Code,
Title 18, § 1001)

(D) The Commission shall notify in writing existing Key Employees and Primary
Management Officials that they shall either:

(i) Complete a new application form that contains a notice regarding false statements; or

(ii) Sign a statement that contains the notice regarding false statements.
Background Investigations.

(A) _ Background investigations for Primary Management Officials and Key Employees
performed for the Commission or required by any federal agency must be completed prior to
the issuance of a permanent license. Background investigations performed for the
Commission may be performed by tribal law enforcement authorities, provided that such
authorities have access to the law enforcement records of the Federal Bureau of Investigation
and such authorities are certified graduates of the federal law enforcement academy or the
Nebraska or Iowa law enforcement academy, the Federal Bureau of Investigation or another
entity mutually agreeable to the Tribe and the Director.

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

(i) Full name, other names used (oral or written), social security number(s), birth date,
place of birth, citizenship, gender, all languages (spoken or written);

(ii) Currently and for the previous 5 years: business and employment positions held,
ownership interests in those businesses, business and residence addresses and drivers license
numbers;

15
TITLE 28. CLASS Il GAMING


OMAHA TRIBAL CODE (2003)

player to participate in the game physically occur on Indian Lands, and all activities related to
determining and validating winners occur on Indian Lands. The activities prohibited by this Section,
include, without limitation, placing bets or playing games by telephone or by mail unless calls both
originate and terminate on Indian Lands and unless correspondence is sent from an address on Indian
Lands to an address on Indian Lands. Winners may receive prize winnings outside the boundaries of
Indian Lands without violating this provision.

(b) Inter-reservation Gaming; When Permissible. Nothing in this Section 28-1-25 shall prevent
the Tribe from conducting inter-reservation Class II Gaming by means of telecommunications, satellite
or technologic or computer enhancement, provided that the inter-reservation gaming conforms with the
requirements of federal law, including the Act, and conforms with the laws, rules and Regulations of all
tribes involved in the gaming and participating in the gaming. Inter-reservation gaming must, however,
be conducted solely on "Indian Lands" (as that term is defined herein and in Section 4(4) of the Act, 25
U.S.C. § 2703(4), and as that term is limited by Section 20 of the Act, 25 U.S.C. § 2719) which belongs
to one of the participating tribes.

SECTION 28-1-25. Age Limit for Players.

Any participant in Class II Games of chance shall be eighteen (18) years or older at the time of his/her
participation. In the event a person who has not attained the age of eighteen (18) participates in any game
of chance and wins a prize, the prize shall not be awarded, but instead shall be forfeited to the Tribe and the
consideration wagered shall be returned to the under-age participant.

SECTION 28-1-26. Environment and Public Health and Safety.

(a) Gaming facilities shall be constructed, maintained and operated in a manner that adequately
protects the environment and public health and safety.

(b) The Omaha Tribal Gaming Commission shall adopt standards that assure adequate
protection of the environment and the public health and safety..

SECTION 28-1-27. Compliance with Federal Law.
The Tribe will comply with all applicable federal law, including the Bank Secrecy Act, 31 U.S.C. 5311
et.seq.
SECTION 28-1-28. Illegal Games and Activities.

(a) Unlawful activities. It is unlawful for any person playing or for any licensee conducting any
authorized game of chance to:

(1) Knowingly use bogus or counterfeit chips, gaming billets, tokens, devices or coins, or
knowingly to substitute and use cards or dice that have been marked, loaded or tampered with;

(2) Employ or have on one's person any cheating device to facilitate cheating in any game of
chance;

(3) Use any fraudulent scheme or technique;
(4) Cheat or attempt to cheat at any game of chance;

(5) By any trick or slight of hand performance, or by fraud or fraudulent scheme, or with cards,
dice or device, for himself or for another, win or attempt to win money or property or reduce a losing
wager or attempts to reduce a losing wager in connection with Class II Gaming;

(6) Knowingly possess or use while on the premises of any Class II Gaming facility any key or
device designed for the purpose of or suitable for opening or entering into a Class II gaming device,
except that a duly authorized employee of a Class II Gaming facility or employee of the Commission

21

TITLE 28. CLASS Il GAMING


(D) all contracts for supplies, services, or concessions for a contract
amount in excess of $25,000 annually (except contracts for
professional legal or accounting services) relating to such gaming
shall be subject to such independent audits;

(E) the construction and maintenance of the gaming facility, and the
operation of that gaming will be conducted in a manner that
adequately protects the environment and the public health and
safety; and

(F) there will be an adequate system that—

(i) ensures that background investigations are conducted on

the primary management officials-and key employees of the

gaming enterprise and that oversight of such officials and
their management is conducted on an ongoing basis; and

(ii) includes—

. (1) tribal licenses for primary management officials
and key employees of the gaming enterprise with
prompt notification to the Commission of the issuance
of such licenses;

(Il) a standard whereby any person whose prior
activities, criminal record, if any, or reputation, habits
and associations pose a threat to the public interest or
to the effective regulation of gaming, or create or
enhance the dangers of unsuitable, unfair, or illegal
practices and methods and activities in the conduct of
gaming shall not be eligible for employment; and

(II!) notification by the Tribe to the Commission of the
results of such background check before the issuance
of any of such licenses.

BE it FURTHER ORDAINED, That the Omaha Tribal Council requests to
withdraw Ordinance number 05-140 and related documents received by the
NIGC on June 9, 2005 and submit the attached Ordinance and related
documents to the NIGC for approval

BE IT FINALLY ORDAINED,
That this ordinance and attached law shall be submitted to the
National Indian Gaming Commission (NIGC) for approval pursuant
to the Indian Gaming Regulatory Act, 25 U.S.C. § 2710, and the
regulations found at 25 CFR Part 522.

CERTIFICATION
This will certify that the foregoing ordinance was considered at a meeting of the

Omaha Tribal Council of the Omaha Tribe of Nebraska, duly called and held on
the /7TM day of Jul y , 2005, and was adopted by a vote of

Omaha Tribal Council Ordinance No. 05- /' S¢
Amendment of Omaha Tribal Code Title 28, Class Il Gaming
Page 3 of 3



OMAHA TRIBAL CODE (2003)

lawfully required by Tribe;

() Has failed to pay an administrative fine imposed pursuant to this Code or the
Regulations;

(K) Has been found guilty of any violation or attempt or conspiracy to violate any law,
tule or regulation of gaming in any jurisdiction for which suspension or termination of
employment or License might be imposed in such jurisdiction;

(L) Has been Suspended from operating a game of chance or a gambling operation in
another jurisdiction or had a License to conduct gaming canceled, revoked, suspended or
limited for any reason;

(M) Has previously been found unfit for licensing by Nevada, New Jersey, Iowa, South
Dakota or Nebraska;

(N) _ Isa person who is an employee or Key Employee of a gaming establishment, if such
person is also a member of the Tribal Council or a spouse or relative of the first degree of
such a member and residing in the same household;

(O) Has failed to provide information, documentation or assurances required or requested
by the Tribe, the State or the Commission, or has failed to reveal any material fact as to
qualification, or the supplying of information which is untrue or misleading as to any material
fact pertaining to such qualification criteria;

(P) Has failed to demonstrate financial responsibility sufficient to meet his, her or its
requirements (if any) under the License;

(Q Has not disclosed the true ownership of the enterprise proposed;

(R) Has any demonstrated contacts, association or business enterprises with individuals
associated with or identified as organized crime;

(S) Has loaned money or other property of value to others for the purpose of permitting a
wager on any game of chance unless permitted in that jurisdiction; or

(T) Has any material investigation or prosecution pending in any jurisdiction;

(32) To issue and cause to be served upon the holder of a License issued by it an order requiring
the License holder to cease and desist from violations of this Code or any Regulation.

(A) The Order to cease and desist shall give reasonable notice of the rights of the License
holder to request an administrative hearing before the Commission and shall state the reason
for the entry of the order. Failure to cease and desist upon service of such an order shall be
grounds for disciplinary action by the Commission;

(B) A hearing shall be held not later than 10 days after the request for the hearing is
received by the Commission and, within 20 days after the date of the hearing, the Commission
shall issue an order vacating the cease and desist order or making it permanent, as the facts
require. Licensees shall be entitled to a single continuation of not more than five days upon
good cause shown. All hearings shall be held in accordance with the Regulations; and

(©) If the License holder to whom a cease and desist order is issued fails to request a
hearing within 30 days following the entry of such order or fails to appear at the hearing after
being duly notified, the License holder shall be deemed in default and the proceeding may be
determined against the License holder upon consideration of the cease and desist order, the
allegations of which may be deemed to be true.

(33) To impose or levy on a Licensee for cause an administrative fine of not more than
$50,000.00 per violation. For purposes of this subsection, "cause" shall include instances in which the
Licensee willfully or knowingly violated the provisions, requirements, conditions, limitations or duties
imposed by this Code or any Regulations.

(A) _ In determining whether to levy an administrative fine and the amount of the fine, if
8
TITLE 28. CLASS Il GAMING


OMAHA TRIBAL CODE (2003)

crimes);
(5) Noncompliance with this Code, the Regulations or the acceptance of bribes.

(d) Procedure for Removal. Any Commission member who during the term for which he is
selected is charged with committing any of the offenses listed in 28-1-7 (c) may be removed from office
by order of the Tribal Court following a hearing on the record.

(e) Vacancies: Should a vacancy in the Commission occur for any reason, the Tribal Council
shall appoint a replacement by majority vote.

(f) Notification to the Commission. A copy of the resolution for removal and the petition shall
be provided to the Commission and its members in the manner specified for service of process in civil
matters generally.

(1) Trial. The Tribal Court shall hear the petition for removal on an expedited basis and trial
shall commence no later than sixty (60) days following service of the petition unless both parties agree
to a longer period and the Court approves. The Tribal Council shall bear the burden of proof on a
preponderance of the evidence standard. The accused shall enjoy the rights available to him as a civil
litigant under tribal law.

(2) Written notification of decision. The Commissioner alleged to be in violation must,
following such hearing, be sent a written decision of the Tribal Court, including findings of fact and
conclusions of law. Such decision shall be rendered by the Tribal Court within forty-five (45) days
following submission of the case.

(g) Sovereign Immunity. The Commission is an entity of and created by the sovereign powers
of the Tribe and, as such, shares the sovereign immunity of the Tribe. The Commissioners, except when
being removed from office under Section 28-1-7 (c) shall also enjoy the sovereign immunity of the Tribe.
No waiver of sovereign immunity for acts of the Commission or its members is made or implied hereby
in any manner. However, persons aggrieved by the decisions of the Commission may appeal such
decisions in contested cases to the Tribal Court, and such appeal shall constitute the sole and exclusive
method of review. No person, firm, entity or government may institute any suit against the Commission
or its members, excepting appeals in contested cases under administrative regulations to be promulgated
by the Commission and actions for removal of a Commissioner from office under Sections 28-1-7 (c)
without the written unanimous waiver of sovereign immunity by the Commission and approval of the
Tribal Council.

(h) Testimonial Immunity. The Commission may order any person to answer a question or
questions or produce evidence of any kind or bestow immunity, as provided in this section. If, in the
course of any investigation or hearing conducted under this Code or the Regulations, a person refuses to
answer any question or produce evidence on the grounds that he will be exposed to criminal prosecution
thereby, then, in addition to any other remedies or sanctions provided for by this Code, the Commission
may, by unanimous resolution and approval of the tribal prosecutor, issue an order to answer or produce
evidence with immunity. If, upon issuance of such an order, the person complies therewith, he shall be
immune from having such responsive answers given by him or such responsive evidence produced by
him, or evidence derived there from, used to expose him to criminal prosecution by the Tribe, except that
such person may nevertheless be prosecuted for any perjury committed in such answer or in producing
such evidence, or for contempt for failing to give an answer or produce evidence in accordance with the
order of the Commission; provided, however, that no period of incarceration for contempt pursuant to
this section shall exceed one year in duration. Any such answer given or evidence produced shall be
admissible against him in any investigation, proceeding or trial against him for perjury; in any
investigation, proceeding or trial against him for contempt; or in any manner consistent with tribal law
and constitutional provisions.

(i) Reports and Recommendations Concerning Gaming Regulation. The Commission shall
carry on a continuous study of gaming issues, including the operation and administration of gaming laws
which may be in effect in other jurisdictions, all the literature on gaming which may from time to time
become available, the federal laws which may affect the operation of Class II Gaming and the reaction of
Licensees, Primary Management Officials and Tribal Citizens to existing and potential features of Class

10
TITLE 28. CLASS Il GAMING


WHEREAS:

WHEREAS:

WHEREAS:

WHEREAS:

WHEREAS:

The above-referenced resolutions were effectively superseded by
the passage of the Indian Gaming Regulatory Act, 25 U.S.C. §

2701 et seq., and Omaha Tribal Council Resolution Nos. 92-59, 95-
108; and,

The Omaha Tribal Council finds that new Class II gaming
regulations are desirable to govern Class II gaming on “Indian
lands” of the Omaha Tribe.

On June 2, 2005, The Omaha Tribal council adopted Ordinance
number 05-140, authorizing an amendment of Omaha Tribal Code
Title 28, Class Il Gaming; and, ‘

By letter dated June 10, 2006, the National Indian Gaming
Commission acknowledged receipt on June 9, 2005 of the Class I!
Gaming Ordinance submission and related documents; and,

The Omaha Tribal Council requests to withdraw Ordinance number
05-140 and related documents received by the NIGC on June 9,
2005 and submit the attached Ordinance and related documents to
the NIGC for approval.

NOW THEREFORE BE IT ORDAINED,

That Title 28 of the Omaha Tribal Code is hereby amended by
replacing the existing language in its entirety with the language
attached to this ordinance.

BE IT FURTHER ORDAINED,

That it is the express intention of the Omaha Tribal Council that the
following provisions be included and not severable in the attached
ordinance:
(A) except as provided in 25 U.S.C. § 2710(b)(4), the Omaha Tribe
will have the sole proprietary interest and responsibility for the
conduct of any gaming activity;
(B) net revenues from any tribal gaming are not to be used for
purposes other than—

(i) to fund tribal government operations or programs;

(ii) to provide for the general welfare of the Indian tribe and

its members;

(iii) to promote tribal economic development;

(iv) to donate to charitable organizations; or

(v) to help fund operations of local government agencies;
(C) annual outside audits of the gaming, which may be
encompassed within existing independent tribal audit systems, will
be provided by the Tribe to the Commission;

Omaha Tribal Council Ordinance No. 05- 1s X
Amendment of Omaha Tribal Code Title 28, Class Il Gaming

Page 2 of 3


OMAHA TRIBAL CODE (2003)

SECTION 28-1-15. Types of Licenses and Registrations; Issuance and Other Fees.

Aside from licenses for Primary Management Officials and Key Employees, the Commission, upon
receipt of the appropriate application fee, issuance fee and costs of any background investigations and upon
satisfaction of the applicable requirements, may issue other types of licenses in a manner consistent with 25
C.F.R. §§ 556 and 558 and as appropriate.

(a) Party-in-interest License. Any Party-in-interest must hold such a license. The issuance fee
is $300 and thereafter an annual fee of $300 renewable February Ist. This issuance fee is in addition to
the costs of any background investigation and application fee.

(b) Employee License. All persons employed to work directly with the gaming portion of a
gaming operation must hold an employee license. The issuance fee is $25 and thereafter an annual fee of
$25 renewable February Ist. This issuance fee is in addition to the costs of any background investigation
and application fee.

(c) Class II Gaming Equipment Vendor. Vendors of Class II Gaming Equipment must, as a
condition precedent to any sale of property to any Primary Management Official of a facility licensed
pursuant to this Gaming Code, first obtain a license from the Commission. The issuance fee for such a
license is $1,000 and thereafter an annual fee of $1,000 renewable each February 1st. This issuance fee is
in addition to the cost of any background investigation and application fee. Applicants for such a license
shall be entitled to the issuance of a temporary license if they have completed the application, filed the
application with the Commission and paid the required fees and if the results of the preliminary
background checks are acceptable to the Commission and they hold a license for similar activity issued
by the States of South Dakota, Iowa, Nevada or New Jersey.

(d) Class II Gaming Supplies Vendor. Vendors of Class II Gaming Supplies must, as a
condition precedent to any sale of property to any Primary Management Official of a facility licensed
pursuant to this Code, first obtain a license from the Commission. The issuance fee for such a license is
$300 and thereafter an annual fee of $300 renewable each February Ist. This issuance fee is in addition to
the costs of any background investigation and application fee. Upon the filing of an application required
by the Commission and payment of the required fees, the Commission may issue a temporary Class II
Gaming Supplies license, provided that the Vendor holds a license issued by the States of South Dakota,
Iowa, New Jersey or Nevada.

(e) Vendor's Registration. All persons or firms that sell any property to a gaming operation
licensed under this Code shall be registered with the Commission.

SECTION 28-1-16. Licensee Ownership Rights.

(a) License as a Privilege, Nontransferability of License. Any license that is issued under this
Code is a revocable privilege and no person holding a license acquires any vested rights or other property
rights in it. Any Applicant for a license has the burden of proof of his, hers or its qualification as regards
to his past conduct, as may be required by the Commission. No license issued pursuant to this Code may
be transferred.

(b) Notification of Disciplinary Action to Licensees. A person holding a license shall be
notified that disciplinary action of his license is being considered by the Commission. The license holder,
may, upon such notice, request an informal hearing before the Commission within 10 days following
such notice. Any disciplinary action, including the Suspension or Revocation of a gaming license, shall
comply with the appropriate provisions of the Regulations and this Code.

(c) _Disciplinary actions; hearings; procedure. Hearings on Revocations or Suspension of
gether with appeals from any decision of the Commission shall be conducted in accordance
ith Exhibit G of this Gaming Code.

SECTION 28-1-17. Notice and Agent for Service of Process.
(a) Notice, when required by this Code, shall be given by registered or certified mail and shall
be considered to be complete upon placing the properly addressed notice in the U.S. mail, postage
19
TITLE 28. CLASS If GAMING


OMAHA TRIBE OF NEBRASKA

P. O. Box 368 (402)837-5391
Macy, Nebraska 68039 FAX (402) 837-5308
EXEC! MEMBERS.
esa Rodney Morris
Antione Provost
Barry D. Webster

TRIBAL ADMINISTRATION

vy,
Mo,
Us

ORDINANCE NO. 05- {54
OF THE
OMAHA TRIBE OF NEBRASKA

Amendment of Omaha Tribal Code Title 28, Class Il Gaming

WHEREAS, the Omaha Tribe of Nebraska is a federally recognized Indian tribe
organized under its Constitution and Bylaws approved by the
» Secretary of Interior on April 30, 1936, pursuant to Section 16 of the
Indian Reorganization Act of June 18, 1934; and,

WHEREAS, pursuant to Article Ill, Section 1 of the Constitution of the Omaha

Tribe of Nebraska, the governing body of the Omaha Tribe shall be
known as the Tribal Council: and,

WHEREAS: Article IV, Section 1()). of the Constitution of the Omaha Tribe of
Nebraska provides the Omaha Tribal Council with the power to
safeguard, promote, and enforce the peace, economy, safety, law
and order; and general welfare of the tribe and the Omaha Indian
Reservation; to regulate trade and commerce; and to regulate all
manner of criminal and non-criminal conduct; and,

WHEREAS: By Resolution No. 81 -68, the Omaha Tribal Council established
regulations of gaming activities within the Omaha Indian
Reservation, which regulations were later amended by Resolution
Nos. 83-62, 84-91, 85-20, and 87-50, and which can be found at
Title 28 of the Omaha Tribal Code; and,

Omaha Tribal Council Ordinance No. 05-
Amendment of Omaha Tribal Code Titie 8, Class Il Gaming
Page 1 of 3


OMAHA TRIBAL CODE (2003)

SECTION 28-1-41. Penalties.

Any person who knowingly makes a false statement on any application for a license or in any
statement attached to the application, or otherwise provides false information to the Commission or fails to
disclose facts which are necessary to make the information supplied not misleading, or who fails to keep
sufficient or accurate books and records to substantiate the receipts, expenses or uses resulting from Class
II Gaming conducted under this Code, or who falsifies any books or records relating to any transaction
connected with the holding, operating, and conducting of any Class II Gaming activity, or who violates any
of the provisions of this Code, or any Regulations promulgated by the Commission, or procedures prepared
by Primary Management Officials and approved by the Commission, or any terms of a license granted
under this Code, shall be deemed in violation of this Code. The Tribe recognizes that it may not subject
offenders who are not Indians to the criminal jurisdiction of its Tribal Court. This provision is not intended
to subject individuals who are not Tribal Citizens to criminal penalties. The penalties, as they relate to those
who are not Tribal Citizens, are intended to be administrative in nature.

27
TITLE 28. CLASS Il GAMING


OMAHA TRIBAL CODE (2003)

may possess and use any of the foregoing instruments only in furtherance of his/her employment;

(7) Knowingly conduct, carry on, operate, deal or allow to be conducted, carried on, operated or
dealt any cheating or thieving game or device;

(8) Knowingly deal, conduct, carry on, operate or expose for play any game or games played
with cards, dice, a Gambling Device or other mechanical, electronic or electromechanical device, or
any combination of games or devices, which have been in any manner marked or tampered with, or
placed in a condition, or operated in a manner, the result of which tends to deceive the public or tends
to alter the normal random selection characteristics or the normal chance of the game which could
determine or alter the result of the game;

(9) Knowingly use or possess any marked cards, loaded dice, plugged or tampered with
machines or devices;

(10) Operate or participate in gaming on Indian Lands in violation of the provisions of this Code
or in violation of the Regulations promulgated pursuant to this Code;

(11) Knowingly make a false statement on an application for employment with a gaming activity
or enterprise, or on an application for a license to operate, manage or be employed by, or sell any
property to, a gaming activity or enterprise on Indian Lands;

(12) Bribe or attempt to bribe, or unduly influence or attempt to unduly influence, any person
who licenses, regulates, operates, conducts, assists, or is otherwise employed in a gaming activity or
enterprise located on Indian Lands;

(13) Alter or misrepresent the outcome of a game or other event on which wagers have been
made after the outcome is made sure but before it is revealed to the players;

(14) Place, increase or decrease a bet or determine the course of play after acquiring knowledge,
not available to all players, of the outcome of the game or any event that affects the outcome of the
game or which is the subject of the bet or aid anyone in acquiring such knowledge for the purpose of
placing, increasing or decreasing a bet or determining the course of play contingent upon that event or
outcome;

(15) Claim, collect or take, or attempt to claim, collect or take, money or anything of value in or
from a gambling game, with intent to defraud, without having made a wager contingent thereon, or to
claim, collect or take an amount greater than the amount won;

(16) Use, or possess with the intent to use, any device to assist:
(A) _ Inprojecting the outcome of the game;
(B) _ Inkeeping track of the cards played;
(C) _ Inanalyzing the probability of the occurrence of an event relating to the game;

(D) In analyzing the strategy for playing or betting to be used in the game; except as
permitted by the Commission.

(17) Manipulate, with the intent to cheat, any component of a Gambling Device in a manner
contrary to the design and normal operational purpose for the component, including, but not limited to,
varying the operation of a Class II gaming device with knowledge that such manipulation affects the
outcome of the game or with knowledge of any event that affects the outcome of the game.

(b) Violations; forfeiture. Any property used in the commission of a violation of a provision of
this Code or the Regulations may be seized and, following a hearing, forfeited to the Tribe and disposed
of by the Commission.

(c) Violations; exclusions. Any person who is not a Tribal Citizen and who violates a provision
of this Code or the Regulations, in addition to the imposition of an administrative fine, may be excluded
from the Reservation of the Tribe.

(d) Detaining and questioning of person suspected of violating Code; limitations on liability;

22
TITLE 28. CLASS Il GAMING


OMAHA TRIBAL CODE (2003)

(11) To compel, by order of the Commission, the attendance of witnesses or the production of
any books, papers, correspondences, memoranda, documents, agreements or other records which the
Commission, in the exercise of its discretion, deems relevant or material to any investigation;

(12) To provide by Regulations for the surveillance and videotaping of all authorized Class II
Gaming Activities;

(13) To provide by Regulations for requirements necessary for reasonably adequate security at all
facilities in which authorized gaming is conducted;

(14) To confiscate or shut down all Class II Gaming Equipment and Class II Gaming Supplies
failing to conform to the standards required under this Code, the Regulations, or the Act;

(15) To seize, impound, inspect, examine and photocopy all papers, books and records of
Applicants and Licensees and require verification of income and expense of Class II Gaming activities
and all activities conducted under or in violation of this Code or the Regulations;

(16) To collect all license, investigation and registration fees imposed by this Code and the
Regulations; to conduct all hearings, pertaining to civil violations of this Code, the Regulations, and
the Act;

(17) To be present through its members and agents at all times during the operation of any Class
II gaming activities for the purpose of certifying the revenue thereof and conducting such other
investigations into the conduct of Class II Gaming and the maintenance of Class II Gaming Equipment
and Supplies as from time to time the Commission may deem necessary and proper;

(18) To review and rule upon any complaint by a gaming Primary Management Official regarding
any investigative procedures of the Commission which are unnecessarily disruptive of Class II gaming
activities operations. The disruption of a Class II Gaming operation shall be proved by preponderance
of the evidence and establish that:

(A) the procedures had no reasonable law enforcement purpose; and

(B) _ the procedures were so disruptive as to unreasonably inhibit operations of a Class II
Gaming facility;
(19) To make changes to and approve operational procedures prepared by Primary Management
Officials which govern the specific operation of Class II Gaming facilities, including security,

accounting, game rules, cash control, game procedures and other matters, all of which, following
approval, will have the force of law pursuant to this Code;

(20) To develop licensing procedures and issue permanent, probationary and temporary Licenses
and to oversee, regulate and define the conduct of all Licensees;

(21) To conduct or cause to be conducted background investigations and a review of the prior
activities, reputation, habits and associations, as prescribed by law, of all Key Employees and Primary
Management Officials, and such other persons as the Commission shall determine to be necessary in
the exercise of its discretion, including, but not limited to, Primary Management Officials, Parties-in-
interest, Vendors, Class II Gaming Equipment or Supply Vendors;

(22) To forward completed employment applications and completed background reports for Key
Employees and Primary Management Officials to the National Indian Gaming Commission
(hereinafter "NIGC") prior to issuing a License, pursuant to the Act and to notify the NIGC if, after
completing the background investigations on the Key Employee or Primary Management Official, the
Tribe does not license the individual;

(23) To ensure that all licensed gaming Primary Management Officials are properly accounting
for all revenues and expenses (provided that the Commission shall not interfere with a Primary
Management Official's decisions respecting implementation of a budget approved by the Tribe under a
Management Contract) and that these revenues and expenses are properly assigned and disbursed in a
manner accorded by tribal and applicable federal law;

(24) To assist other law enforcement agencies in the investigation, enforcement and prosecution
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TITLE 28. CLASS II GAMING


OMAHA TRIBAL CODE (2003)

any such fine is levied, the Commission shall take into consideration the seriousness of the
violation and the extent to which the Licensee derived financial gain as a result of the
violation; and

(B) If an administrative fine is levied, such fine shall be remitted by the Licensee to the
Commission within 30 days from the date of the order issued by the Commission imposing
such fine. Any unpaid administrative fine shall constitute a debt to the Commission, which
debt may be sued upon and recovered in any proper form of action in the name of the
Commission in either the Tribal Court or the United States District Court and in the event
such courts do not have subject matter jurisdiction, in any court of competent jurisdiction.

(34) To require periodic reports of Class II Gaming activity from any person, firm or entity with
whom the Tribe has a contractual relationship and any other person, organizations or corporation, as
the Commission deems necessary to carry out the provisions of this Code;

(35) To annually audit, examine or cause to have examined, by any agent or representative
designated by the Commission for such purpose, any bank accounts, financial accounts, books, papers,
records, bills, contracts for services and supplies totaling over $25,000 in a year, timesheets, receipts,
vouchers, documents, electronic media, database, computer records or memoranda relating in any
manner to the conduct of any Class II Gaming activity. Such independent outside audits must be
submitted to the NIGC pursuant to the Act;

(36) To compute, determine, assess and collect accurate amounts required to be paid to the
Commission as may be necessary to defray the costs of regulating Class II Gaming incurred by the
Commission;

(37) To prescribe all forms as are necessary to carry out the provisions of this Code and the
Regulations;

(38) Following advice and consent of the Tribal Council, to appoint a trustee to operate a Gaming
facility in the event the Primary Management Official's License has been Revoked or Suspended
pursuant to the terms of this Code or the Regulations;

(39) To take any act which may be necessary or desirable to assure compliance with the terms of
any contract to which the Tribe or its enterprises is a party which relates to any Gaming activity or to
which the Tribe is not a party but relates to Class II Gaming activities conducted under this Code or the
Regulations; and

(40) To possess such other powers and authority as may be necessary or desirable to fulfill its
obligations under the Act, this Code and the Regulations.

(b) Specific Prohibitions.

(1) The Commission shall not become involved in, nor shall any of its members have any input
in, any official plans or discussions relative to the disbursement of any tribal funds derived from the
regulated gaming activity.

(2) The Commission may not interfere with Class II gaming operation’s management's decisions
with respect to expenses of the gaming operation because those types of decisions are made pursuant to
a budget that has been approved by the Tribal Council.

(3) The Commission is not authorized to be or become involved in any personnel problems or
issues, other than those which may arise within the context of the licensing procedure.

(c) Causes for Removal of Commissioners. The following are causes for removal from the
Commission:

(1) Malfeasance in office;
(2) Neglect of duty;
(3) Excessive absence from regularly scheduled Commission meetings;
(4) Conviction of a felony or any gaming related offense (misdemeanor, felony and other certain
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TITLE 28. CLASS Il GAMING