(C)
(D)

()
Section 309.

granting any person a possessory interest in real property;

in violation of, by its terms, the Nation’s Gaming laws, IGRA, or other applicable federal law;
or

purporting to waive the Nation’s and/or the Commission’s sovereign immunity.

Void Contracts

Any contract or action of the Commissioners or other authorized signatory that, by its terms, violates any
provision of Section 308 of this Ordinance shall be null, void, and unenforceable ad initio in its entirety
including any provision for dispute resolution therein.

Section 310.

CBC Review or Approval Needed

The adoption of, and any changes to, the Commission’s regulations, rules, procedures, and/or standards
that are applicable to any person or entity outside of the Commission, including but not limited to those
set forth in Section 306(C), shall be considered rulemaking and shall not be effective until CBC approval
is secured by resolution. At least thirty (30) days prior to submitting the proposed changes to the CBC
for review and approval, the Commission shall forward a copy of the proposed changes to the CEO and
shall provide notice of the proposed changes to all affected parties. Such notice shall set forth the
proposed changes and the process and deadlines for submitting comments. The Commission shall
compile all comments received and submit them, along with the proposed changes, to the CBC. The
CBC shall receive copies of and provide due consideration to all comments received from persons and/or
entities affected by the proposed changes.

Section 311.

(A)

(B)

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)

Section 312.
(A)
()

Confidentiality of Commission Records

The Commission shall ensure that all records and information obtained as a result of an
investigation or other function shall be deemed Confidential Information and treated in
accordance with Section 112 of this Ordinance.

Confidential Information obtained during the course of an investigation may be disclosed to
the CEO, members of CNE’s management team, and shall be disclosed to the Nation’s legal
counsel. This Confidential Information may also be disclosed to relevant human resource
personnel on a need-to-know basis solely for actions taken in their official capacities.

The identity of persons interviewed in the course of conducting a background investigation
shall be Confidential Information.

The prohibitions of this Section do not apply to:

(1) Requests for Confidential Information from Tribal, Federal, or State law enforcement
or regulatory agency with jurisdiction over the Nation’s Gaming provided that the
Commission receives a request in writing and reasonable assurances as to the
continuing confidentiality of the information disclosed;

(2) The Commission’s statutory duty to provide Confidential Information to a Tribal,
Federal, or State law enforcement or regulatory agency; or

(3) The use of Confidential Information or records by the Commission and staff, solely
in the performance of their official duties.

Appointment of Commissioner
For any vacancy on the Commission, the Chairman of the Comanche Nation shall call for

resumes from candidates.
The CBC shall review resumes received and shall choose from among them a person meeting

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


1)
(M)
)
(0)

Section 208.

Ensure CNE’s operations comply with applicable laws and regulations;

Delegate performance of duties, as needed, to other members of management;

Other Gaming-related duties as assigned or delegated by the CBC; and

Any other duties or powers not prohibited herein that the CEO determines are necessary to
monitor and oversee the management of CNE.

CEO’s Contracting Limitations

CBC approval, by resolution, is needed prior to the CEO entering into any contract or agreement that is:

(A)
@)

(C)

(D)
@)

(F)

Section 209.

a Management Contract, as defined by IGRA;

for the construction or purchase of buildings or any other improvements to real property or

buildings thereon exceeding $3,000,000.00;

with any other Indian tribe or its agency, or any unit of federal, state, tribal or local

government; provided however that a contract or agreement for the following is not included

in this limitation:

(1) the routine provision of emergency services and utilities (including but not limited to
water, electric, telephone, sewer, sanitation, fiber optics); and

(2) other goods and services related to a Gaming Facility or a Related Enterprise
(including but not limited to marketing, transportation, lodging, and distribution);

granting any person a possessory interest in real property;

in violation of, by its terms, the Nation’s Gaming laws, IGRA, or other applicable federal law;

or

purporting to waive the Nation’s sovereign immunity; provided however that a contract or

agreement satisfying the following requirements is not included in this limitation and may be

entered into without prior CBC approval:

(1) Waiver and consent to suit is non-assignable, non-transferable, and limited to claims
against CNE arising only from acts or omissions of CNE that breach the contract, and
such waiver and consent shall terminate upon expiration of the contract;

(2) Enforcement under such contract is limited to injunctive relief or to actual contract
damages and limited to specifically identified security or assets within the sole control
of CNE, excluding property held in trust by the United States on behalf of the Nation
and excluding identifiable assets of the Nation, and such damages shall not exceed
$3,000,000.00;

(3) Jurisdiction is limited to the Tribal Court and/or such other courts or arbitration
deemed prudent by the CEO; provided that the courts of the State of Oklahoma shall
not have jurisdiction over CNE or the Nation; and

(4) Expressly approved as to form by legal counsel for the CEO and legal counsel for the
Nation.

Void Contracts

Any contract or agreement that, by its terms, violates any provision of Section 208 of this Ordinance shall
be null, void, and unenforceable ab initio in its entirety including any provision for dispute resolution

therein.

Section 210.

CEO Reports

The CEO shall meet with and make financial reports to the CBC monthly and as requested. The CEO
will keep a written record of all meetings with the CBC and make such records available to the CBC
upon request.

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


6)
6)
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(8)
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(10)

a)

(12)
(13)
(14)
(15)
(16)
(17)

Make permitting eligibility determinations and issue permits for Non-Gaming
Employees, Non-Gaming Vendors, and others requiring a permit;

May issue Gaming Vendor licenses by reciprocity to applicants that are currently
licensed by trustworthy regulatory authorities;

Issue permits, registration, and waivers to employees or vendors, if they meet
requirements;

Issue Gaming Facility licenses;

Assess and collect fees related to the processing of applications for permits,
registration, and licensure, as applicable, of employees of CNE, employees of the
Commission, and vendors;

Assess fines, as applicable, related to enforcement actions for violations of this
Ordinance or any other applicable Gaming laws and regulations; all fines assessed
shall be paid directly to the Comanche Nation Tax Commission;

In order to carry out the Commission’s regulatory duties, authorized staff of the
Commission shall have unrestricted access to all areas and records of CNE, and may
inspect, examine, and monitor all Gaming Activities and have immediate access to
review, inspect, examine, photocopy and audit all records of the Gaming Facility;
provided however, every reasonable effort shall be made to avoid unnecessary
disruptions to the Nation’s Gaming Activities;

Perform the internal audit of all major Gaming areas of the Nation’s Gaming
Facilities;

Investigate any suspicion of wrongdoing associated with any Gaming Activity, in
accordance with Section 302(C);

Establish a list of persons not allowed to Game in the Nation’s Gaming Facilities or
allowed to hold a Gaming license in order to maintain the integrity of the Gaming;
Establish and maintain a list of persons who have voluntarily asked to be excluded
from the Nation’s Gaming Facilities;

Provide referrals and information to the appropriate law enforcement officials when
such information indicates a violation of Tribal, Federal, or State statutes;

Review, solely for compliance with this Ordinance and other applicable Gaming
laws and regulations, the following items and activities of CNE if such item or
activity is directly related to Gaming or a Gaming Activity:

. contracts;

: policies and procedures;

. promotions planned by Gaming Facilities;

° implementation, maintenance, and removal of software systems,
servers, and slot management systems;

. installation, maintenance, and removal of gaming devices;

(a) The foregoing shall not be revised by the Commission and shall only be
approved or denied;

(b) If denied, documentation shall be provided to CNE that sets forth the
section(s) and language of the submitted item or process that is(are) non-
compliant and the applicable section(s) of law(s) or regulation(s) with which
the item or process does not comply;

08) Delegate other duties, as needed, to Commission staff; and
(J) Other non-adjudicatory duties as assigned or delegated by the Commissioners.

Section 334. Executive Director License

The candidate for the position of Executive Director must satisfy the eligibility standards set forth for

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


Sections 322-329 Reserved

Section 330
Section 331
Section 332
Section 333
Section 334
Section 335
Section 336
Section 337

Office of Executive Director Established.
Appointment of Executive Director
Removal of Executive Director.
Duties of Executive Director.
Executive Director License
Qualifications of Executive Directot
Compensation of Executive Director
Eligibility of Executive Directo:

Sections 338-399 Reserved

Part 400

Section 401
Section 402
Section 403
Section 404
Section 405
Section 406
Section 407
Section 408
Section 409
Section 410
Section 411
Section 412
Section 413
Section 414

LICENSING

Employee Licenses ....
License Application Forms
Licensing Fe
Fingerprints .
Background Investigations...
Gaming License Eligibility Determination
Report to the NIGC....
Granting an Individual Gaming License .
Licenses for Gaming Vendors.
Gaming Facility License:
License Ineligibility ....
License Suspensions and Revocations
License Hearing......
Retention of License Records

Sections 415-499 Reserved

Part 500

Section 501
Section 502
Section 503
Section 504
Section 505

ETHICS
Standards for CEO and Commissioner
Guiding Principles of Ethical Conduct 29
Prohibited Complimentary Items ..
Gambling Prohibited.....
Consequences of Ethical Violations.

Sections 506-599 Reserved

ii


(©)
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Section 313.

the qualifications of this Ordinance.

The CBC shall confirm such appointment by resolution. The selected candidate(s) must pass
the background investigation required of a Primary Management Official or Key Employee.
Once the background investigation is successfully completed, the candidate(s) will be sworn
in by the CBC.

Each Commissioner shall be designated as Commissioner 1, Commissioner 2, Commissioner
3, or Alternate Commissioner.

Commissioner Terms

Terms of Office for Commissioners shall be three (3) years and each staggered by one year to result in
the appointment of one (1) Commissioner per year, except that the term of the Alternate Commissioner
shall coincide with Commissioner 3. A Commissioner may be re-appointed by the CBC.

Section 314.

Commissioner Eligibility

The Nation recognizes the importance of an independent Commission in the fair regulation of Gaming
and the need to avoid potential conflicts of interest in the operation and regulation of the Gaming
Facilities. The Nation hereby finds that the following persons, at a minimum, are not eligible to serve as
a Commissioner:

(A)
(B)
(C)
(D)
(E)

Section 315.

Members of the CBC, the CEO, or a Primary Management Official of a direct competitor to
the Nation’s Gaming Facilities, while serving as such;

Persons having a financial interest in a contract to which the Nation, CNE, or the Commission
is a party;

Persons directly related to or sharing a residence with any of the above;

Employees of the Commission or CNE, while employed as such; and

Persons ineligible to be licensed as Key Employees or Primary Management Officials.

Removal of Commissioner

The independence of the Commission is essential to the well-regulated conduct of Gaming. For this

reason:
(A)
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(G)

A Commissioner may only be removed from office by the CBC prior to the expiration of their
respective term for neglect of duty, misconduct, malfeasance, or other acts that would render
a Commissioner unqualified for their position.

When the CBC believes that a removal is appropriate, it shall notify the Commissioner, in
writing, setting forth the grounds for such removal and the date, time, and place of the hearing
on the matter, providing the Commissioner at least three (3) days’ advance notice.

The CBC may opt to preliminarily remove a Commissioner pending the hearing.

Any allegations of neglect of duty, misconduct, malfeasance, or other acts that would render
them unqualified for their position must be substantiated by a preponderance of the evidence.
At the hearing, such Commissioner will be given an opportunity to provide evidence rebutting
the grounds for their proposed removal before the removal is voted upon.

A vote of the CBC on the appropriateness of removal shall be final and not subject to further
appeal.

A finding by the CBC that a preliminary removal was wrongful shall entitle the affected
Commissioner to compensation for expenses incurred in an appeal and any compensation
withheld.

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


Section 403.

Licensing Fee

The Nation may charge a reasonable fee, to be set by the CBC and imposed by the Commission, to
cover its expenses in investigating and licensing Key Employees, Primary Management Officials, other
persons, and vendors of the Gaming Facilities and the Commission.

Section 404,

(A)

(B)

Section 405.

(A)

(B)

Fingerprints

The Commission shall require fingerprints as part of the license application procedure for each
Key Employee, Primary Management Official, or other person required to obtain such level
of Gaming license.

Fingerprints shall be taken by the Commission and then forwarded to the NIGC for processing
through the Federal Bureau of Investigation and the National Criminal Information Center to
determine the applicant’s criminal history, if any.

Background Investigations

The Commission is responsible for conducting background investigations for each Primary
Management Official and Key Employee that is sufficient to allow the Commission to make
an eligibility determination in accordance with Section 406 of this Ordinance.

The Commission shall obtain from each Primary Management Official and from each Key

Employee or other person required to obtain such level of Gaming license all of the following

information:

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

(2) Currently, and for the previous five (5) years, business and employment positions held,
ownership interests in those businesses, business and residential addresses, and
drivers’ license numbers; °

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

(4) Current business and residential telephone numbers, and all cell phone numbers;

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

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

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

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

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

(10) For each criminal charge (excluding minor traffic charges), whether or not there is a
conviction, if such criminal charge is within ten (10) years of the date of the
application, and is not otherwise listed pursuant to paragraph (B)(8) or (B)(9) of this
Section, the criminal charge, the name and address of the court involved, and the
disposition, if any, and date of disposition;

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


employees, or Management Contractor.

(B) Such procedures shall at a minimum be consistent with any applicable legal requirements.

(C) | The maximum amount of damages payable for any tort claim for personal injury or property
damage shall be limited to the amount of liability insurance coverage maintained by the
Gaming Facility which shall, at a minimum, be consistent with any applicable Compact
requirements.

(D) The maximum amount payable for any prize claim shall be the amount of the prize which the
claimant establishes they were entitled to be awarded and shall not exceed the maximum
payout available for that particular Game.

Sections 322-329 RESERVED.
Section 330. Office of Executive Director Established

There is established the position of Executive Director of the Commission because effective operation of
a Commission requires active supervision on a daily basis, and also requires that fair regulation should
be separated from the daily management and activities of a Commission workforce.

Section 331. Appointment of Executive Director

The Commissioners shall hire and direct an Executive Director of the Commission to oversee and manage
the day-to-day operations and employees of the Commission, and who shall serve as an at-will, full-time
employee of the Commission.

Section 332. Removal of Executive Director

The Commissioners shall have the authority to remove the Executive Director at their discretion upon a
majority vote of the Commissioners at a meeting duly convened for such purpose; a decision to remove
the Executive Director shall be final and not subject to further appeal.

Section 333. Duties of Executive Director
The Executive Director shall have the following duties:

(A) | Management of the Commission budget;
(B) Development of regulations, rules, standards, and procedures necessary for the effective
regulation of the Nation’s Gaming;
(C) Implementation of Commission-approved policies and procedures and annual operating
budget;
(D) Direct supervisory authority over all employees of the Commission;
(E) Organize the Commission staff and functions to carry out its duties efficiently and effectively;
(F) Commission employee scheduling;
(G) — Execution of approved Commission policy and procedure;
(H) — Enforcement of this Ordinance and CBC-approved regulations, including but not limited to:
(1) Conduct appropriate background investigations of Primary Management Officials,
Key Employees, and other persons required to be licensed or permitted;
(2) Report results of background investigations, as required, to the NIGC;
(3) Obtain and process fingerprints;
(4) Make licensing eligibility determinations and issue tiered Gaming licenses for
Gaming Employees, Gaming Vendors, and others whose licensure is required;

COMANCHE NATION GAMING ORDINANCE,
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OCTOBER 19, 2018


Section 307.

(D)
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(F)
(G)
(A)

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(A)

license, for violations of this Ordinance or any other applicable Gaming laws and
regulations;

(a) Fines may be assessed against employees of CNE or employees of the
Commission pursuant to the authority provided in the Indian Civil Rights Act
of 1968 (as amended);

(5) A list of regulatory authorities that conduct background investigations of, and license
vendors;
(6) Procedures and standards for the internal audit of all major Gaming areas of the
Nation’s Gaming Facilities in accordance with the internal audit requirements set
forth in 25 C.F.R. Parts 542 and 543;
(7) Procedures and regulations to provide any affected person or entity the right to due
process and the right to appeal any adverse action taken by the Commission;
(8) Regulations governing hearings, the issuance of subpoenas, receipt of evidence, and
adjudication of appeals, as stated in Section 307 of this Ordinance;
(9) Regulations to allow for the voluntary and involuntary exclusion of certain persons
from the Nation’s Gaming Facilities;
Certify gaming devices in accordance with established procedures and as required by the
Compact and 25 C.F.R. Parts 543 and 547;
Hold hearings, issue subpoenas, receive evidence, and adjudicate appeals, all in accordance
with CBC-approved regulations, on matters related to licensing and enforcement actions taken
by the Commission;
Adjudicate Patron tort claims and prize claims in accordance with applicable laws and CBC-
approved regulations;
Approve and enter into contracts and other agreements on behalf of the Commission subject
to the limitations set forth at Section 308 of this Ordinance;
Establish, adopt, and cause to be implemented policies and procedures, including personnel
policies, that are applicable to the Commission and its employees;
Monitor and oversee the regulation and enforcement of the Nation’s Gaming by ensuring that
the Executive Director and Commission staff accomplish the duties set forth in Section 333
of this Ordinance; and
Any other duties or powers not prohibited herein that the Commission determines are
necessary to monitor and oversee the regulation of the Nation’s Gaming.

Hearings and Appeals

Hearings
(1) The Commission shall afford applicants for licenses and licensees an opportunity for
a hearing prior to any final action that:
(a) denies, suspends, revokes, limits, or terminates a license (except as allowed
at Section 412(A) and (C) of this Ordinance);
(b) _ imposes sanctions upon a licensee; or
(c) may affect an individual’s or entity’s ability to obtain or maintain a gaming
license issued by the Commission or other regulatory agency.
(2) Notice shall be served on the affected party clearly setting forth the following:
(a) The legal basis for the proposed adverse action;
(b) All. evidence relied upon by the Commission in making its initial
determination;
(c) The time, date, and place of the hearing; and
(d) The party’s right to present testimony, exhibits, and any other evidence or
testimony.

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


with notice sent to:

584 N.W. Bingo Road
Lawton, OK 73507;

With concurrent notice to:

Section 109.

CEO, Comanche Nation Entertainment
302 NW Rogers Lane
Lawton, OK 73507;
and
Chair, Comanche Nation Gaming Commission
1915 East Gore Boulevard
Lawton, OK 73501.

Compliance with Federal Law

The Nation, CNE, and the Commission shall comply with all applicable federal law, including the Bank
Secrecy Act, 31 U.S.C. § 5311 et seq., regulating the conduct of Gaming on Indian lands.

Section 110.

Repealer

All prior Gaming ordinances and/or codes of the Comanche Nation are hereby repealed.

Section 111.

Tribal Member Access to Financial Information

A copy of the annual outside independent audit, required by Sections 213 and 320 of this Ordinance, shall
be available for review by Comanche Nation tribal members in accordance with established procedures
that protect proprietary data.

Section 112.
(A)
)
©

Section 113.

(A)

@)

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED THROUGH

OCTOBER 19, 2018

Confidential Information

Confidential Information shall be safeguarded with strong custody and access procedures by
the Nation, CNE, and the Commission.

Confidential Information shall be made available only to authorized persons or for authorized
functions on a “need to know” basis.

Confidential Information shall not be considered tribal records subject to disclosure to
Comanche Nation tribal members as set forth at Article X § 4 of the Comanche Nation
Constitution.

Political Activity Prohibited

Commissioners and the CEO shall have the right to vote as they choose and to express their
personal opinion on political subjects and candidates, but shall not, at any time, while holding
the position of Commissioner or CEO:
(1) take an active part in political campaigns for election to the Nation’s public offices;
(2) use his or her official authority or influence for the purpose of interfering with or
affecting the result of an election to a public office of the Nation; or

G3) knowingly solicit, accept, or receive a political contribution from any person.
No CEO, Commissioner, vendor, contractor, employee of CNE, or employee of the
Commission shall engage in any partisan political activity or political activity related to the
Nation’s public offices while:

(1) on duty;

Page 5 of 33


PART 500. ETHICS

Section 501. Standards for the CEO and Commissioners

The Nation recognizes that the duties of the CEO and the Commissioners include making important
decisions on highly sensitive, pecuniary, and sometimes controversial issues, and as such, the Nation has
determined that the CEO and the Commissioners shall be held to extremely high ethical standards.

Section 502. Guiding Principles of Ethical Conduct

Prior to taking their positions as CEO or Commissioners, each shall agree to be bound by the following
principles:

(A) | No CEO or Commissioner shall use or attempt to use, any actual or apparent authority of their
position or office, which places or could reasonably be perceived as placing their financial
interests, or the financial interests of a family member, or any other business interest with
which they are associated, before the best interests of the Comanche Nation.

(B) The CEO and Commissioners are operating with the paramount goal of carrying out the best
interest of the Comanche Nation.

(C) _ Itis the intent of this Part, that the CEO and Commissioners avoid any action, whether or not
specifically prohibited herein, which could result in, or create an appearance of:

(1) Using their position or office for private gain;

(2) Giving improper preferential treatment to any person or business;

(3) | Compromising the complete independence or impartiality of their actions;

(4) Making a decision outside of the scope of his or her official duties and capacity that
interferes with, as a Commissioner, the conduct of Gaming, or as the CEO, the actions
of the Commission; or

(5) Adversely affecting the confidence of the Comanche Nation members in the integrity
of Gaming or the Commission.

(D) No CEO or Commissioner shall use or disclose Confidential Information gained in the course
of, or by reason of, their official position or duties to unauthorized persons or entities, or to
further the financial interest or personal interest of any entity or person other than the Nation.

(E) | ACEO or Commissioner desiring to take employment under the supervision of the other entity
must resign their position prior to applying for such employment,

(F) | No CEO or Commissioner may serve in an operational or policymaking capacity with a tribal
Gaming organization of another tribe.

Section 503. Prohibited Complimentary Items

(A) _ The use of complimentary items shall be governed by regulations approved by the CBC and
promulgated by the Commission.

(B) No Key Employee, Primary Management Official, CBC member, CEO, Commissioner,
Commission employee, or any person directly related to or sharing a residence with such
persons, shall accept complimentary items except those that are:

(1) Valued at twenty-five dollars ($25) or less;

(2) Offered to the general public at a public event;

(3) Ceremonial gifts; or

(4) _ Traditionally or customarily offered by the Nation to such officials.

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


Section 410.
(A)
@)

()

(D)

()

Section 411.

(A)

(B)

(C)
)

(14) Publishers of newspapers, magazines, journals, periodicals, and other print media for
routine subscriptions, provided that licensure shall be required if the services of such
publisher are secured to publish tickets, coupons, or other instruments that may be
used or redeemed for value for gaming activities in the Nation’s gaming facilities;

(15) Television, radio, and other media companies, unless such entity is to publish,
provide, or distribute tickets, coupons, or other instruments that may be used or
redeemed for value for gaming activities in the Nation’s gaming facilities;

(16) Providers of training and/or educational services if such provider is affiliated with an
educational institution, professional association, not-for-profit organizational
institution, tribal, federal, or state agency, or other public institution;

(17) _ Federally- or state-chartered financial institutions;

(18) Providers of medical equipment, supplies, and/or services; and

(19) Any other vendor that provides goods or services of insubstantial or insignificant
amounts or quantities and that shall not pose a threat to the public interest if they are
not licensed.

Gaming Facility Licenses

The Commission shall issue a separate license to each Gaming Facility once every three (3)

years.

The Commission shall specify the form, conditions, and content for the application for

Gaming Facility licenses, which shall be submitted by CNE, and the initial application shall

include:

(1) a legal description of the lands whereon the facility is located and a certification that
said premises constitute Indian lands as specified in IGRA; and

(2) a provision identifying the environmental, health, and public safety standards with
which the facility must comply, and a certification that the facility is in compliance
therewith.

Each subsequent application for the renewal of a Gaming Facility license shall identify any

changes or additions to said legal description and applicable environmental, health, and safety

standards, and shall include current certifications of compliance therewith.

The Commission shall only issue a Gaming Facility license if the application includes the

required information and certifications and such further conditions as specified in the

applicable regulations.

The Nation or Commission shall submit to the NIGC Chair a notice that issuance of a facility

license is under consideration by the Commission. This notice must be submitted at least 120

days before the opening of any new Gaming Facility.

License Ineligibility

Any person or entity determined ineligible for a Gaming license shall be afforded the
opportunity for a hearing, in accordance with applicable law and regulations, prior to the
Commission making a final determination on license eligibility.

After a hearing, the Commissioners shall issue a written determination whether the applicant
is eligible for a Gaming license.

The Commissioners’ eligibility determination shall be considered a final determination.

If the Commission decides not to issue a Key Employee or Primary Management Official
license to an applicant, the Commission shall:

(1) Notify the applicant of the basis for such denial;

(2) Notify CNE of such denial; and

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


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Enterprises.
Commission means the Comanche Nation Gaming Commission established by the CBC,
which performs regulatory oversight and monitors compliance with applicable Gaming laws
and regulations in accordance with the authority provided herein.
Commission Employee means a person employed by the Commission.
Commissioner means a person appointed by the CBC to serve on the Comanche Nation
Gaming Commission.
Compact means the Comanche Nation — State of Oklahoma Gaming Compact concerning
Class III Gaming approved by the Secretary of the Interior and published in the Federal
Register pursuant to 25 U.S.C. § 2710(d).
Confidential Information means all private and/or proprietary information of the Comanche
Nation, CNE, and/or the Commission that may have a significant adverse impact on the
Nation, CNE, the Commission, or any employees, Patrons, and/or Vendors of the foregoing
entities if it is published or its integrity compromised. Confidential Information includes
information protected by tribal law, federal privacy laws, and the kind of information
exempted from disclosure under the federal Freedom of Information Act.
Game means the actual activity qualifying as Class II or Class III Gaming or, as appropriate,
to engage in Class II or Class III Gaming.
Gaming, as used throughout this Ordinance, means conducting or, as appropriate, engaging
in Class II and/or Class IIT Gaming on the Nation’s Indian lands, but shall not include bona
fide business transactions.
Gaming Activity means an endeavor associated with or directly related to (i) the manufacture,
distribution, service, or maintenance of Gaming devices or (ii) the supervision, conduct, or
operation of any Gaming. Gaming Activity does not include commercial activity that is not
directly related to Gaming, such as, but not limited to, hospitality services and retail activity.
Gaming Employee means an employee of CNE or the Commission whose duties:
() are directly connected with a Gaming Activity; or
(2) require or authorize unescorted access to areas of a Gaming Facility that are highly

restricted.
Gaming Facility means any building, part of a building, or area located on Indian lands where
Gaming Activities authorized and regulated by this Ordinance are conducted but does not
include any Non-Gaming enterprises that are adjacent or attached to a Gaming Facility.
Gaming Facility License is a separate license issued by the Commission to each Gaming
Facility.
Gaming Vendor means any person, business, or entity, who manufactures, distributes, sells,
leases, supplies, markets, services, repairs, updates, installs, removes, or otherwise provides
goods or services to CNE or the Commission and such goods or services are directly related
and unique to a Gaming Activity.
IGRA means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 ef seq., including
regulations promulgated thereunder, as now enacted or as may from time to time be amended,
re-enacted, or replaced.
Indian lands means those lands meeting the requirements set forth in 25 U.S.C. § 2703(4)
and 25 C.F.R. § 502.12 (see also 25 U.S.C. § 2719; 25 C.F.R. Part 292).
Key Employee means:
(1) | A person who performs one or more of the following functions:

(a) Bingo caller;

(b) Counting room supervisor;

(c) Chief of security;

(d) Custodian of Gaming supplies or cash;

(e) Floor manager;

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PART 100. GENERAL PROVISIONS

Section 101. Purpose

The Comanche Business Committee, empowered by Article VI § 7(j) of the Comanche Nation
Constitution to enact ordinances and codes, hereby enacts this Gaming Ordinance in order to govern
Class II and Class II] Gaming on the Nation’s Indian lands.

Section 102. Definitions

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein shall have the
same meaning as set forth in the Indian Gaming Regulatory Act , 25 U.S.C. § 2701 ef seq., and its
regulations, 25 C.F.R. § 501 et seq., or as either may be amended. Capitalized words and phrases used
in this Ordinance shall have the meanings respectively ascribed to them in this Section.

(A)
@)

()

(D)

©

)

CBC means the Comanche Business Committee.
Chief Executive Officer (CEO) means the person appointed by the CBC to oversee and
manage CNE
Class I gaming means:
(1) _ social games played solely for prizes of minimal value; or
(2) traditional forms of Indian gaming when played by individuals in connection with
tribal ceremonies or celebrations.
Class II Gaming means:
(1) Bingo or lotto (whether or not electronic, computer, or other technologic aids are used)
when players:
(a) play for prizes with cards bearing numbers or other designations;
(b) cover numbers or designations when objects, similarly numbered or designated,
are drawn or electronically determined; and
(c) win the game by being the first person to cover a designated pattern on such
cards;
(2)  Pull-tabs, punch boards, tip jars, instant bingo, and other games similar to bingo, if
played in the same location as bingo or lotto; and
(3) Non-banking card games that:
(a) State law explicitly authorizes or does not explicitly prohibit and are played
legally anywhere in the State; and
(b) players play in conformity with State laws and regulations regarding hours,
periods of operation, and limitations on wagers and pot sizes.
Class III Gaming means all forms of gaming that are not Class I or Class II, including, but
not limited to:
(1) Any house banking games, including but not limited to:
(a) Card games such as baccarat, chemin de fer, blackjack (21), and pai gow (if
played as house-banking games); and
(b) Casino games such as roulette, craps, and keno;
(2) Any slot machines, as defined in 15 U.S.C. §1171(a)(1), and electronic or
electromechanical facsimiles of any game of chance;
(3) Any sports betting and pari-mutuel wagering, including, but not limited to, wagering
on horse racing, dog racing or jai alai; or
(4) Lotteries.
Comanche Nation Entertainment (CNE) means the unincorporated entity wholly-owned by
the Nation composed of the Nation’s Gaming Facilities, Surveillance Department, and Related

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


(B)

(3)

2)

(5)

All hearings shall be on the record and the affected party or parties may be represented
by an attorney.
(a) Any attorney appearing before the Commission must be duly qualified and
admitted to practice before the Tribal Court.
A party’s failure to appear at a hearing may constitute grounds for:
(a) Refusal to grant a license to the applicant;
(b) Imposition of proposed sanctions; or
(c) Revocation, modification, or suspension of a license, as proposed in the
notice.
The Commission shall not be bound by technical rules relating to evidence and
witnesses but the basic principles of relevancy, materiality, and probative force shall
govern the proof of all questions of fact.

Appeals

i)
(2)

@)

(4)
(5)

(6)
1)

The Tribal Court shall have exclusive appellate jurisdiction over a final determination
made by the Commission related to licensing and enforcement actions.
An affected party shall have the right to appeal a final determination of the
Commission to the Tribal Court provided that a notice of appeal is filed with the Tribal
Court and the Commission within thirty (30) days of receiving the written
determination. Upon receipt of the notice of appeal, the Commission shall promptly
file the full record of the Commission’s proceedings with the Tribal Court.
Failure to seek review of a final determination of the Commission within thirty (30)
days of receiving the written determination shall constitute a waiver of all rights of
appeal and further shall deprive the Tribal Court of jurisdiction over the matter.
In all appeals, the Tribal Court shall give proper deference to the Commission’s
interpretation of its regulations.
The Tribal Court shall not set aside, modify, or remand any determination by the
Commission unless it finds that such determination is:

(a) Arbitrary and capricious;

(b) — An abuse of the Commission’s discretion;

(c) Unsupported by substantial evidence; or

(d) Contrary to law.
The Tribal Court shall issue a written decision on all appeals and such decision shall
be final.
The Tribal Court may award the prevailing party or parties reasonable costs and
attorney fees, as set by the Tribal Court.

Section 308. Commission Contracting Limitations

CBC approval, by resolution, is needed prior to the Commission entering into a contract or agreement

that is:
(A)
(B)

for the construction or purchase of buildings or any other improvements to real property or
buildings thereon;

with any other Indian tribe or its agency, or any unit of federal, state, tribal or local
government; provided however that a contract or agreement for the following is not included
in this limitation:

(1)
(2)

the routine provision of utilities (including but not limited to water, sewer, electric,
telephone, sewer, sanitation); and

other goods and services related to the Commission operations (including but not
limited to transportation and lodging);

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


(FF)

(GG)

(HH)
Section 103.

(A)

(B)

(C)

Section 104.

and operated by CNE.

Revenue Allocation Plan or RAP means that document setting forth the Nation’s plan for
allocating Net Gaming Revenue and, as required by IGRA, has been submitted to and
approved by the Secretary of the Interior.

State means the State of Oklahoma.

Tribal Court means any court established by the Nation to hear disputes and that complies
with the due process requirements set forth in the Indian Civil Rights Act, 25 U.S.C. §1302.

Gaming Authorized and Regulated

Class II and Class II] Gaming are hereby authorized to be conducted on the Nation’s Indian
lands in accordance with this Ordinance.

Any Class II Gaming shall be authorized if conducted in accordance with a Compact between
the Nation and the State of Oklahoma or Secretarial procedures approved by the Secretary of
the Interior.

No person under the age of eighteen (18) years may participate in Gaming Activities.

Ownership of Gaming

The Nation shall have the sole proprietary interest in and responsibility for the conduct of any Gaming
authorized by this Ordinance.

Section 105.

Use of Net Gaming Revenues

Net Gaming Revenues shall be distributed in accordance with the Nation’s RAP and the CBC shall ensure
that such funds are used only for the following purposes, as prescribed by IGRA:

(A)
(B)
(C)
@)
©)

Section 106.

To fund the Nation’s government operations and programs;

To provide for the general welfare of the Nation and its members;
To promote the Nation’s economic development;

To donate to charitable organizations; or

To help fund operations of local government agencies.

Per Capita Payments

The Nation shall authorize and issue per capita payments to its members only in accordance with the
Revenue Allocation Plan submitted to and approved by the Secretary of the Interior as required by 25
U.S.C. § 2710(b)(3).

Section 107.
(A)
()

Section 108.

Environment and Public Health and Safety

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

The CBC shall, with input from CNE and the Commission, adopt and enforce laws and
standards applicable to Gaming Facilities to ensure adequate protection of the environment
and the health and safety of the public.

Agent for Service of Process

The Nation hereby designates the Chairman of the Comanche Nation as its agent for service of process,

COMANCHE NATION GAMING ORDINANCE.
AS REVISED, CODIFIED, AND AMENDED THROUGH

OCTOBER 19, 2018

Page 4 of 33


Key Employees and Primary Management Officials, found in Part 400 of this Ordinance, and regulations
promulgated hereunder, and must be licensed accordingly in order to retain the position.

Section 335. Qualifications of Executive Director
The Executive Director shall be subject to the same qualification requirements outlined in Section 305 of
this Ordinance for the Commissioners, except that the Executive Director shall have a minimum of five
(5) years’ work experience in the management, compliance, or regulation of a business in a highly-
regulated industry, which shall include at least two (2) years’ work experience in Gaming.

Section 336. Compensation of Executive Director

The Executive Director shall be compensated at a level determined by the Commissioners and such
compensation shall not be based on a percentage of Gaming revenue.

Section 337. Eligibility of Executive Director

The Executive Director shall be subject to the same eligibility requirements that are imposed on the
Commissioners, as found in Section 314 of this Ordinance.

Sections 338-399 RESERVED.

COMANCHE NATION GAMING ORDINANCE,
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OCTOBER 19, 2018


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May 7, 2019
By First Class Mail and Facsimile

Chairman William Nelson, Sr.
Comanche Nation

P.O. Box 908

Lawton, OK 73502

Fax: (580) 492-3796

Re: Comanche Nation Gaming Ordinance Amendment, Comanche Business Council
Resolution 36-19

Dear Chairman Nelson:

This letter responds to your request on behalf of the Comanche Nation (Nation) for the
Chairman of the National Indian Gaming Commission (NIGC) to review and approve the
Nation’s amendment to its Gaming Ordinance. The amendment was authorized by the Comanche
Nation Business Committee, by Resolution 36-19 dated, March 02, 2019. The amendment
removes the Gaming Ordinance’s recourse provisions for the Chief Executive Officer of the
Comanche Nation Enterprises.

Thank you for bringing this amendment to our attention and for providing us with a copy.
This amendment is approved as it is consistent with the requirements of the Indian Gaming
Regulatory Act and the NIGC’s regulations.

I note, however, that although the Ordinance was enacted on March 02, 2019, the NIGC
did not receive a copy of the Gaming Ordinance until April 04, 2019. Under 25 C.F.R. § 522.3(a)
a Tribe is required to submit any amendment to a gaming ordinance or resolution within 15 days
of its adoption. The Nation has failed to comply with this requirement for this submission. I
caution the Nation to timely submit any future amendments to its gaming ordinance in the future.

Thank you for bringing the amended Gaming Ordinance to our attention. If you have any
questions, please feel free to contact Staff Attorney Heather McMillan Nakai at (202) 527-5577.

GC Chairman

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

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


Section 201.

PART 200. COMANCHE NATION ENTERTAINMENT

Comanche Nation Entertainment Created

There is hereby established an unincorporated entity wholly-owned by the Nation, comprising the
Nation’s Gaming Facilities, Surveillance Department, and Related Enterprises, and this entity shall be
known as Comanche Nation Entertainment (CNE). CNE shall possess the same immunity and tax

status of the Nation.
Section 202. Office of CEO Established
(A) _ CNE shall be led and managed by the Chief Executive Officer (CEO) because the effective
operation of CNE requires active supervision by a qualified individual on a daily basis. The
office of the CEO, including management and staff hired thereby, shall be an authorized
Gaming-related operating expense for purposes of audit and determining Net Revenue, as
defined by IGRA, and for purposes of determining Net Gaming Revenue subject to
distribution under the Nation’s RAP.
(B) In the event that the Nation enters into a Management Contract approved by the NIGC, the
CEO may delegate some or all of its duties to the approved Management Contractor.
(C) The actions and duties of the CEO shall not violate applicable Gaming laws or interfere with
the Commission’s regulation of the Nation’s Gaming Activities.
Section 203. CEO Appointment, Term, and Compensation
(A) | The CBC shall appoint the CEO to serve as a full-time employee of CNE pursuant to an
employment agreement and the requirements established herein.
(B) _ If the CEO position is vacant, the Chairman of the Comanche Nation shall call for resumes
from qualified candidates.
(C) The CBC shall review resumes received and shall choose from among them a person meeting
the qualifications required herein.
(D) | The CBC shall confirm such appointment by resolution.
(E) | The CEO’s term shall be three (3) years and an individual may be reappointed by the CBC
without limitation on the number of terms.
(F) The CEO shall be compensated at a level determined by the CBC and such compensation shall
be an authorized Gaming-related operating expense for purposes of audit and determining Net
Revenues, as defined by IGRA, and for purposes of determining Net Gaming Revenue subject
to distribution under the Nation’s RAP.
Section 204. CEO License

The CEO shall be subject to the same background check and license eligibility requirements as Key
Employees and Primary Management Officials, found in Part 400 of this Ordinance and regulations
promulgated hereunder, and must be licensed accordingly in order to qualify for and retain the position

of CEO.

Section 205.

CEO Qualifications

In addition to satisfying the licensing eligibility standards for Key Employees and Primary Management
Officials set forth in Commission regulations, to qualify for the position of CEO, an individual must

possess:

COMANCHE NATION GAMING ORDINANCE
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OCTOBER 19, 2018


©

(2) in any room or building where he or she performs his or her official duties; or
(3) wearing a uniform or official insignia identifying the office or position of the person.
No CEO, Commissioner, vendor, contractor, employee of CNE, or employee of the

Commission shall engage in or promote any partisan political activity or political activity
related to the Nation’s public offices while:

(1) using any vehicle owned or leased by CNE or the Commission; or
(2) using any equipment or property of CNE or the Commission.

Sections 114-199 RESERVED

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OCTOBER 19, 2018


(C) | The right to a revocation hearing vests only when a Gaming license is granted pursuant to this
Ordinance, once the Ordinance has been approved by the NIGC.

Section 414. Retention of License Records

The Commission shall retain, for no less than three (3) years from the date of termination of employment,
the following documentation for each Primary Management Official and Key Employee:

(A) _ Application for licensing;
(B) _ Investigative reports; and
(C) _ Eligibility determination.

Sections 415 — 499 RESERVED

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OCTOBER 19, 2018


Section 412.

(A)

(B)

(C)

@)

©)

Section 413.

(A)

@B)

(3) Notify the NIGC of the denial and forward copies of its eligibility determination and
notice of results of the applicant’s background investigation to the NIGC for inclusion
in the Indian Gaming Individuals Records System after the expiration of any waived
appeal process or after the conclusion of an unsuccessful appeal process.

License Suspensions and Revocations

If, after a license is issued to a Primary Management Official or a Key Employee, the

Commission receives notice from the NIGC that the Primary Management Official or Key

Employee is not eligible for licensing and employment, the Commission shall:

(1) Immediately suspend the license;

(2) Provide written notice of the suspension and proposed revocation to the licensee;

(3) Provide written notice of a time and place for a hearing on the proposed revocation of
the license to the licensee;

(4) Conduct the hearing in accordance with Section 413 of this Ordinance and applicable
regulations; and

(5) Notify the NIGC of its decision to revoke or reinstate a license within forty-five (45)
days of receipt of notice from the NIGC that the person is not eligible for licensing
and employment as a Primary Management Official or Key Employee.

If, after the issuance of any Gaming license, the Commission receives or discovers reliable

information indicating that any licensed employee, official, or vendor may no longer meet the

applicable eligibility standards to retain such license, the Commission shall immediately

notify the licensee, in writing, of the suspension and proposed revocation of such license and

shall afford the licensee an opportunity for a hearing, conducted in accordance with Section

413 of this Ordinance.

Following a revocation hearing, the Commission shall decide whether to revoke or reinstate

the license at issue. The Commission shall notify the NIGC of its decision to revoke or

reinstate a license within 45 days of receiving notification from the NIGC that a Primary

Management Official or Key Employee is not eligible for employment.

The Commission may temporarily suspend a license without a hearing for up to fifteen (15)

days in those cases where such extraordinary action is essential to protect the public safety or

the integrity of Gaming and such action shall be taken only in those emergency cases where

there is a clear need for these extraordinary measures. Such licensee shall be provided an

opportunity for a hearing before an emergency suspension is extended.

A license suspension shall be effective only upon a specific order issued by the Commission

to the licensee, the Board, and the employing Gaming Facility. A license shall not be

suspended for more than sixty (60) days. If the Commission does not fully reinstate the

license or set a hearing on the revocation or conditional reinstatement of the license within

sixty (60) days of the initial suspension, such suspension shall be considered a final

determination and subject to appeal.

License Hearing

The Commission shall set a hearing on a proposed suspension, revocation or conditional
reinstatement of a license in accordance with regulations approved by the CBC and
promulgated hereunder and shall notify the licensee and CNE’s designated agents for such
notices, in writing, of a time and a place for such hearing.

No more than seven (7) days after a licensing hearing, the Commissioners shall issue a final
written determination to revoke or to reinstate the license, with or without conditions, and
shall forward such determination to the licensee, the CNE, and the NIGC.

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OCTOBER 19, 2018


(f) Pit boss;

(g) Dealer;

(h) Croupier;

(i) Approver of credit;

(j) Custodian of Gaming devices, including persons with access to cash and
accounting records within such devices;

(2) All Commission employees;

(3) Any employee of CNE whose total cash compensation is in excess of $50,000 per
year;

(4) The four (4) most highly compensated persons in a Gaming Facility; and

(5) Any other Gaming or Gaming-related position that the Commission designates by
regulation as a Key Employee position.

(V) | Management Contract shall have the meaning set forth at 25 C.F.R. § 502.15.

(W) Nation means the Comanche Nation.

(X) Net Gaming Revenues has the same meaning as set forth in the Nation’s Revenue Allocation
Plan and means Gaming revenue remaining at the end of each calendar month, after
disbursement of operating expenses and dues, including but not limited to loan payments,
player winnings, equipment costs, adequate contingency reserves, supplies, casino employee
wages, salaries, fees, and all other expenses (excluding Management Contract fees, if
applicable, as set forth at 25 U.S.C. § 2703(9) and 25 C.F.R. § 502.16), for that month or
period.

(Y) | NIGC means National Indian Gaming Commission.

(Z) Non-Gaming Vendor means any person, business, or entity that provides goods and services
to the Commission or CNE that are not necessary for, or directly related to, the conduct of
Gaming, including but not limited to construction, repair and maintenance services, and food
and beverage services.

(AA) Patron means any natural person who enters upon the premises of a Gaming Facility for the
purpose of playing Games located therein.

(BB) Persons directly related to means a spouse, child, parent, or sibling.

(CC) Person having a financial interest in a contract includes:
qd) A natural person that is a party to a contract;

(2) Any beneficiary or trustee of a trust when that trust is a party to a contract;

(3) Any partner of a partnership when that partnership is a party to a contract;

(4) Any director or holder (either alone or in combination with a spouse, parent, child, or
sibling) of five percent (5%) or more issued and outstanding stock of a corporation
when that corporation is a party to a contract;

(5) All parties of an entity when that entity holds an interest in a trust, partnership, or
corporation that is a party to a contract;

(6) Any person or entity that will receive an interest from those listed above through
attribution, grant, pledge, or gift.

(DD) Primary Management Official means:

(1) The person(s) having management responsibility for a Management Contract;

(2) Any person who is employed by CNE and has authority:

(a) To hire and fire Gaming Facility employees;

(b) To establish and supervise working policies for a Gaming Facility; or

(c) The chief financial officer or other person who has financial management
responsibility for the Nation’s Gaming; or

(3) Any other Gaming or Gaming-related position that the Commission designates by
regulation as a Primary Management Official.

(EE) Related Enterprise, as used in this Ordinance, means any Non-Gaming enterprise managed

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()

Section 316.

(A)
(B)

()

Section 317.
(A)
(B)

Section 318.

The unexpired term of a Commissioner removed under this Section shall be filled in
accordance with this Ordinance.

Commissioner Compensation

Commissioners shall be compensated at a level determined by the CBC.

Commissioner compensation shall not be based on a percentage of Gaming revenue to ensure
the Commissioners are not improperly influenced.

Commissioners shall not be considered employees of the Nation, the Commission, or a
Gaming Facility for any purpose and shall carry out the responsibilities of their terms on a
part-time periodic basis.

Commissioner Meetings

The Commissioners shall hold regular meetings monthly and special meetings or hearings as
needed.

The Commission shall keep a written record of all Commissioner meetings and hearings and

make such records available to the CBC upon request.

Commission Reports

The Commission shall make reports, at least monthly, to the CBC summarizing the Commission’s

activities.

Section 319,

(A)

®)

()

Section 320.

Upon request, compliance reports shall be provided to the CEO.
Commission Budget

The Commission shall develop annually, prior to the beginning of each fiscal year, a budget
for its operations, including personnel costs, capital expenditures, and equipment upgrades.
This budget shall include a projection of fees expected to be collected over the year. Surplus
cash reserves at the end of the fiscal year shall be included in the following year’s budget.
Such fees shall not overlap the authority of the Nation’s Tax Commission as set forth in the
Nation’s General Revenue and Taxation Act of 1995.

The Commission shall submit said proposed budget to the CBC for approval by resolution.
The CBC shall distribute to the Commission monthly, or less frequently if requested by the
Commission, a pro rata share of the Commission’s CBC-approved budget.

The Commission may obtain such furnishings, equipment, supplies, stationery, subscriptions,
employees, and service(s) as it deems necessary or desirable to carry out its functions within
the limit of the budgeted funds approved by the CBC pursuant to this Section.

Commission Annual Audit

The Nation, through the Commission, shall cause to be conducted an annual outside independent audit
of the Commission’s operations, which may be encompassed within existing independent audit systems
of the Nation. The resulting audit reports shall be submitted to the CBC within one hundred twenty (120)
days from the close of the fiscal year.

Section 321. Patron Dispute Resolution

(A)

The CBC shall approve regulations, with input from CNE and the Commission, governing the
procedures for resolving Patron tort claims and prize claims against the Gaming Facilities, its

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OCTOBER 19, 2018


(11) | 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;

(12) A photograph taken within a year of the date of application;

(13) | Fingerprints obtained in accordance with CBC-approved procedures required by 25
C.F.R. § 522.2(h); and

(14) Any other information required by the CBC-approved procedures for the
Commission’s background investigations of Primary Management Officials and Key
Employees.

(C) The identity of persons interviewed in the course of conducting a background investigation
shall be Confidential Information.

(D) The Commission shall create and maintain an investigative report for each background
investigation of a Primary Management Official or Key Employee. The investigative report
must be created prior to issuing a Gaming license to a Primary Management Official or a Key
Employee and shall include all of the following information:

(1) Steps taken in conducting the investigation;

(2) Results obtained;

(3) Conclusions reached; and

(4) The basis for those conclusions.

Section 406. Gaming License Eligibility Determination

(A) Before a Gaming license is issued to a Primary Management Official or a Key Employee, the
Commission shall make a finding concerning the eligibility of that person for receiving such
a license, according to CBC-approved eligibility standards, by reviewing that person’s prior
activities, criminal record, if any, and reputation, habits, and associations.

(B) If the Commission, in applying the CBC-approved eligibility standards, determines that
licensing that person poses a threat to the public interest or to the effective regulation of
Gaming, or creates or enhances the dangers of unsuitable, unfair or illegal practices, methods,
and/or activities in the conduct of Gaming, the Commission shall not license that person as a
Key Employee or Primary Management Official.

(C) Copies of the eligibility determination shall be included with the notice of results that must be
submitted to the NIGC before the licensing of a Primary Management Official or Key
Employee.

Section 407. Report to the NIGC

(A) Before issuing a Gaming license to a Primary Management Official or Key Employee, the
Commission shall prepare a notice of results of the applicant’s background investigation to
submit to the NIGC. The notice of results must be submitted to the NIGC no later than sixty
(60) days after the applicant begins working. The notice of results shall include all of the
following:

(1) _ The applicant’s name, date of birth, and social security number;
(2) The date on which the applicant began, or will begin, working as a Primary
Management Official or Key Employee;
(3) | Asummary of the information presented in the investigative report, including:
(a) licenses that have previously been denied;
(b) Gaming licenses that have been revoked, even if subsequently reinstated;
(c) every known criminal charge brought against the applicant within the last 10
years of the date of the application;

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OCTOBER 19, 2018


COMANCHE NATION GAMING ORDINANCE

Table of Contents

Part 100 GENERAL PROVISIONS
Section 101 Purpose...

Section 102 Definitions ...

Section 103 Gaming Authorized and Regulate

Section 104
Section 105
Section 106
Section 107
Section 108
Section 109
Section 110
Section 111
Section 112
Section 113

Ownership of Gaming...
Use of Net Gaming Revenue:
Per Capita Payments ..
Environment and Public Health and Safety
Agent for Service of Process..
Compliance with Federal Laws.
Repealer....
Tribal Member Access to Financial Information
Confidential Information:
Political Activity Prohibite

Sections 114-199 Reserved

Part 200

Section 201
Section 202
Section 203
Section 204
Section 205
Section 206
Section 207
Section 208
Section 209
Section 210
Section 211
Section 212
Section 213
Section 214

COMANCHE NATION ENTERTAINMENT
Comanche Nation Entertainment Create
Office of CEO Established...
CEO Appointment, Term, and Compensation
CEO License...
CEO Qualifications
CEO Eligibility
CEO’s Duties
CEO’s Contracting Limitations
Void Contracts

CEO Reports

CNE Budget 10
Distribution of Net Gaming Revenue .. 10
CNE Annual Audit.. 10

Removal of CEO..

Sections 215-299 Reserved

Part 300

Section 301
Section 302
Section 303
Section 304
Section 305
Section 306
Section 307
Section 308
Section 309
Section 310
Section 311
Section 312
Section 313
Section 314
Section 315
Section 316
Section 317
Section 318
Section 319
Section 320
Section 321

COMANCHE NATION GAMING COMMISSION
Gaming Commission Established
Role of Commission and Commissioner:
Commission Composition; Quorum ...
Commissioner License...
Commissioner Qualifications.
Commissioners’ Duties
Hearings and Appeals
Commission Contracting Limitations ..
Void Contracts...
CBC Review or Approval Needed
Confidentiality of Commission Records.
Appointment of Commissioner
Commissioner Terms .
Commissioner Eligibility
Removal of Commissioner...
Commissioner Compensation
Commissioner Meetings
Commission Reports...
Commission Budget...
Commission Annual Audit
Patron Dispute Resolution



Section 211.

(A)

(B)
(C)

Section 212.

CNE Budget

The CEO shall develop annually, prior to the beginning of the Nation’s fiscal year, a projection
of the Net Gaming Revenue to be distributed to the Nation and a budget for CNE’s operations,
including personnel costs, proposed capital expenditures, loan payments, contingency
reserves, and other expenses, for the following fiscal year.

Said proposed budget shall be submitted to the CBC prior to the Nation’s fiscal year and shall
be treated as highly confidential and proprietary.

CNE may obtain and pay for such capital improvements, furnishings, equipment, supplies,
stationery, subscriptions, employees, and services as it deems necessary or desirable to carry
out its functions within the limit of the budgeted funds and expenditures and in accordance
with Section 208.

Distribution of Net Gaming Revenue

The CEO shall determine and distribute quarterly to the Nation the Net Gaming Revenues generated by
CNE in accordance with projected Net Gaming Revenue distributions in the manner directed by CBC
resolution. Within forty-five (45) days of the end of CNE’s fiscal year, extra Net Gaming Revenues, if
any, will be distributed in one lump sum to the Nation in the same manner as projected Net Gaming

Revenue.

Section 213.

(A)

(B)

Section 214,

CNE Annual Audit

The CEO shall cause to be conducted an annual outside independent audit of CNE, which may
be encompassed within existing independent audit systems of the Nation. The resulting audit
report(s) shall be submitted to the CBC, Commission, and NIGC within one hundred twenty
(120) days from the close of the fiscal year.

All contracts that result in the purchase of supplies, services, or concessions in excess of
$25,000.00 in any fiscal year (except contracts for professional legal and accounting services)
shall be specifically included within the scope of the audit required by Subsection (A) above.

Removal of CEO

The CEO is not an at-will employee and may be removed from employment by the CBC prior to the
expiration of his/her respective term only for neglect of duty, misconduct, malfeasance, or other acts that
would render the CEO unqualified for his/her position.

Sections 215-299 RESERVED

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED THROUGH Page 10 of 33

OCTOBER 19, 2018


Section 304. Commissioner License

Commissioners shall be subject to the same background check and license eligibility requirements as Key
Employees and Primary Management Officials, found in Part 400 of this Ordinance and regulations
promulgated hereunder, and each must be licensed accordingly in order to qualify for and retain office.

Section 305. Commissioner Qualifications

In addition to satisfying the licensing eligibility standards set forth for Key Employees and Primary
Management Officials, each candidate for Commissioner shall have a demonstrated knowledge of federal
Indian law, IGRA, and related statutes and regulations and must meet the requirements of either (A) or
(B) of this Section:

(A)

@)

A high school diploma; four (4) or more years’ work experience in a highly- regulated industry

in the field of business management, compliance, or regulation; and at least one of the

following:

(1) Demonstrated knowledge of licensing requirements for Gaming Facilities; or

(2) Demonstrated knowledge of compliance and audit requirements for Gaming Facilities;
or

A Bachelor’s degree in Business Administration, Management, Accounting, Marketing, Law,

or another relevant field, with a preference given to candidates with a relevant graduate

degree; two (2) or more years’ work experience in a highly-regulated industry in the field of

business management, compliance or regulation; and at least one of the following:

(1) Demonstrated knowledge of licensing requirements for Gaming Facilities; or

(2) Demonstrated knowledge of compliance and audit requirements for Gaming Facilities.

Section 306. Commissioners’ Duties

Commissioners shall have the following duties:

(A)
()

(©)

Hire, direct, and supervise an Executive Director of the Commission in accordance with

Sections 330-337 of this Ordinance;

Comply and ensure compliance with this Ordinance, IGRA, the Compact, and any other

applicable Gaming laws and regulations, including but not limited to any and all reporting

requirements;

Promulgate the following tribal internal control standards, regulations, and procedures, all of

which must be approved by the CBC, to implement the provisions of this Ordinance, to

comply with other applicable Gaming laws and regulations, to track and audit the generation
and expenditure of Gaming revenue, and to promote effective regulation of Gaming:

(1) Regulations for the licensure, including tiered licensure, or registration of vendors,
employees, and Gaming Facilities as required in Part 400 of this Ordinance;

(2) Regulations and procedures governing the conduct of background investigations that
set forth eligibility standards for the different tiers of licensing and the registration of
vendors, employees, and Gaming Facilities;

(3) Regulations providing for the levying of fees, including a schedule of such fees,
associated with registering, permitting, and licensing, as applicable, of employees,
vendors, and Gaming Facilities, and the certification, as applicable, of Gaming
devices;

(4) Regulations governing enforcement actions, the levying of fines, including a schedule
of such fines, and the denial, suspension, or revocation of any individual or vendor

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED THROUGH Page 12 of 33

OCTOBER 19, 2018


COMANCHE NATION
GAMING ORDINANCE

AS REVISED, CODIFIED, AND AMENDED
THROUGH Month xx, xxxx

(History: Enacted by Comanche Business Committee (CBC) Resolution No. 56-09, approved by National Indian Gaming Commission (NIGC) on
May 18, 2009; amended by CBC Resolution No. 111-09, amendment approved by NIGC on September 21, 2009; amended by CBC Resolutions
No. 69-14, 83-14, and 114-14, amendments approved by NIGC on January 9, 2015; amended by CBC Resolution No. 33-15, amendment
approved by NIGC on June 19, 2015; amended by CBC Resolution No. 79-17, amendment approved by NIGC on October 5, 2017; amendment
by motion on July 7, 2018 and by CBC Resolution No. 143-18, amendment approved by NIGC on October 19, 2018.)


Section 401.

(A)

®)

©)

@)

Section 402.

(A)

(B)

(C)

PART 400. LICENSING

Employee Licenses

The Nation, through the Commission, shall ensure that the requirements set forth in this
Ordinance are implemented with respect to Key Employees and Primary Management
Officials and any other persons required by this Ordinance to have a Gaming license.

The Nation, through the Commission, shall issue licenses and perform background
investigations for Key Employees and Primary Management Officials according to
requirements at least as stringent as 25 C.F.R. Parts 556 and 558.

Key Employees and Primary Management Officials must have a Gaming license issued by
the Commission and shall not be employed if such person has not been issued a fully-approved
Gaming license within ninety (90) days of beginning work.

The Commission shall promulgate regulations and standards that have been approved by the
CBC concerning the licensing, tiered licensing, and permitting of Gaming Employees.

License Application Forms

The following notices shall be placed on the Nation’s Gaming license application form for a

Key Employee or a Primary Management Official before it is filled out by an applicant:

(1) In compliance with the Privacy Act of 1974, the following information is provided:
Solicitation of the information on this form is authorized by 25 U.S.C. §§ 2701 et seq.
The purpose of the requested information is to determine the eligibility of individuals
to be granted a gaming license. The information will be used by the Commission and
the National Indian Gaming Commission (NIGC) members and staff who have need
for the information in the performance of their official duties. The information may be
disclosed by the Nation or the NIGC to appropriate Federal, Tribal, State, local, or
foreign law enforcement and regulatory agencies when relevant to civil, criminal or
regulatory investigations or prosecutions or when pursuant to a requirement by a tribe
or the NIGC in connection with the issuance, denial, or revocation of a gaming license,
or investigations of activities while associated with a tribe or a gaming operation.
Failure to consent to the disclosures indicated in this notice will result in a tribe being
unable to license you for a primary management official or key employee position.

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

(3) A false statement on any part of your license application may be grounds for denying
a license or the suspension or revocation of a license. Also, you may be punished by
fine or imprisonment. (U.S. Code, title 18, section 1001).

Any existing Key Employees and Primary Management Officials who have not yet done so

shall be notified in writing by the Commission of the need to sign a statement acknowledging

receipt of the notices required by 25 C.F.R. Part 556 and consent to the routine uses described
in the notices.

License Applications shall also contain a notice of consent to the jurisdiction of the

Commission and the Tribal Court as follows, with a separate signature line immediately below

such notice for the applicant to accept such jurisdiction:

(1) Acceptance of a Commission-issued license by an employee or vendor shall constitute
acceptance by that individual or entity of the jurisdiction of the Comanche Nation
Gaming Commission and the Tribal Court for all licensure actions and any violations
of such licensure or this Ordinance.

COMANCHE NATION GAMING ORDINANCE,
AS REVISED, CODIFIED, AND AMENDED THROUGH Page 21 of 33

OCTOBER 19, 2018


Comanche Nation

A RESOLUTION TO ELIMINATE SECTION 214(B)-(A) OF THE COMANCHE
NATION GAMING ORDINANCE (“ORDINANCE”), SECTION 214(B)-(H): REMOVAL
OF CEO, AND DIRECTING SUBMISSION TO THE NATIONAL INDIAN GAMING
COMMISSION (“NIGC”) FOR APPROVAL PURSUANT TO THE INDIAN GAMING
REGULATORY ACT (“IGRA”)

WHEREAS, the Comanche Nation is a federally-recognized Indian Tribe with a Constitution
approved by the Secretary of the Interior on January 9, 1967, to safeguard tribal rights, powers,
and privileges to improve the economic, moral, educational, and health status of its members;

and

WHEREAS, the Comanche Nation Constitution, Article 6, Section 7, establishes the Comanche
Business Committee as the duly elected official body designated to conduct business for and on
behalf of the Comanche Nation in a legal quorum; and

WHEREAS, the Comanche Business Committee desires to eliminate Section 214(b)-(h) to
eliminate the recourse provisions for the removal of the CEO; and

NOW THEREFORE BE IT RESOLVED, the Comanche Business Committee, hereby
eliminates the CEO recourse provision found in Section 214(b)-(h) of the Gaming Ordinance;

and

BE IT FURTHER RESOLVED, that the Chairman can submit the amended Ordinance to the
NIGC for approval.

“ CERTIFICATION

The foregoing resolution was adopted at a regular meeting of the Comanche Business Committee
held on the 2" of March, 2019, at the Comanche Tribal Complex, Lawton, Oklahoma, by a
majority vote of 6 for, 0 against and 0 abstaining, a legal quorum being present.

Wem Moo.

7 William Nelson Sr., Chairman

he Lppeeonte

Robert TippeconnffA Secretary/Treasurer

COMANCHE NATION P.O. BOX 908 / LAWTON. OK 73502
PHONE: 580-492-4988 TOLL FREE: 1-877-492-4988 FAX: 580-492-3796


Section 504. Gambling Prohibited

The CEO, all Commissioners, and those employees of CNE and the Commission that hold licenses for
all Gaming Facilities are prohibited from gambling in any of the Nation’s Gaming Facilities. Gaming
Facility employees may gamble in the Nation’s Gaming Facilities at which they are not directly employed
or for which they do not hold a license.

Section 505. Consequences of Ethical Violations

Violations of this Part shall constitute just cause for removal of a CEO or Commissioner or adverse action
against an employee.

Sections 506 — 599 RESERVED

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED THROUGH Page 29 of 33
OCTOBER 19, 2018


Section 408.

(A)

(B)

©

Section 409.

(A)

(B)
(©)

(D)

(d) every felony offense of which the applicant has been convicted or any ongoing
prosecution; and
(4) A copy of the eligibility determination made in accordance with Section 406 of this
Ordinance.

Granting an Individual Gaming License

The Commission may license a Primary Management Official or Key Employee applicant
after submitting a notice of results of the applicant’s background investigation to the NIGC,
as required by Section 407 of this Ordinance. The Commission must notify the NIGC of the
issuance of a license to a Primary Management Official or Key Employee within thirty (30)
days of issuance.

If, within the thirty (30) day period following NIGC’s receipt of the notice of results required
by Section 407 of this Ordinance, the Commission receives from the NIGC a statement of
itemized objections to the issuance of a license to a Primary Management Official or Key
Employee, the Commission must reconsider that application. The Commission must take into
account the NIGC’s objections; however, the Commission shall make the final decision
whether to issue a license to that applicant for a Primary Management Official of Key
Employee Gaming license.

If the Commission has issued a license to a Primary Management Official or Key Employee
before receiving the NIGC’s statement of objections, written notice and a hearing shall be
provided to the licensee, as required by Sections 412 and 413 of this Ordinance.

Licenses for Gaming Vendors

The Commissioners shall promulgate CBC-approved regulations governing the tiered

licensing of Gaming Vendors with no less than the following tiers:

(1) Gaming Vendors that provide goods or services valued at $25,000 or more annually;

(2) Gaming Vendors that provide goods or services valued at less than $25,000 annually.

The Commissioners shall promulgate CBC-approved regulations governing the registration,

permitting, and waivers of Non-Gaming Vendors.

Such regulations shall set forth the process and the eligibility standards for the licensing and

background investigation of Gaming Vendors that must be licensed and the process for the

permit, registration, and waivers of vendors that do not need to be licensed.

The following types of vendors shall be exempt from the licensing and background

investigation process:

(dd) Tribal, local, state, or federal governments and associated agencies;

(2) Businesses and companies owned and/or chartered by the Nation;

(3) Sponsorships or charitable organizations;

(4) Public Utilities;

(5) Vendors that are regulated by a state or the federal government;

(6) Entertainment in the form of single event contracts;

(7) Restaurants and caterers;

(8) Insurance companies;

(9) Travel companies;

(10) | Commercial transportation companies;

(11) Fleet service providers;

(12) Attorneys, accountants, and other professionals providing services covered by their
respective professional license;

(13) Vendors licensed by regulatory authorities recognized as trustworthy;

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED THROUGH Page 24 of 33

OCTOBER 19, 2018


(A)
(B)

Section 206.

A degree in Business Administration, Accounting, Marketing, or an equivalent field; and
Five (5) or more years’ work experience in the executive management of similarly-sized
business entities, which shall include at least two (2) years’ professional casino management
experience.

CEO Eligibility

The Nation recognizes the importance of an independent CEO in maintaining well-managed Gaming
Facilities and Related Enterprises and the need to avoid potential conflicts of interest in the operation and
regulation of such. The Nation hereby finds that, at a minimum, the following persons are not eligible to

serve as the CEO:

(A) Member of the CBC, the Commission, or a Primary Management Official of a direct
competitor to the Nation’s Gaming Facilities, while serving as such;

(B) Persons having a financial interest in a contract to which the Nation, CNE or the Commission
is a party;

(C) Persons directly related to or sharing a residence with any of the above;

(D) — Employees of the Commission, while employed as such; and

(E) _ Persons ineligible to be licensed as Key Employees or Primary Management Officials.

Section 207. CEO’s Duties

The CEO shall have the following duties:

(A)

(B)

()
(D)
©)
()
(G)
(H)
00)

O)
(K)

Hire, direct, and supervise CNE’s management team, which may include, but not be limited
to, persons who perform the duties and functions normally associated with a chief operating
officer, chief information officer, chief financial officer, chief legal officer, chief compliance
officer, and general managers of the Gaming Facilities, Surveillance Department, and Related
Enterprises, and indirectly supervise all CNE employees;

Develop and implement policies and procedures for CNE to guide development, protect
Patrons, employees, and property, promote operational efficiency, reduce operating costs,
comply with relevant laws and regulations, and encourage growth of Net Gaming Revenues
and other income;

Develop, approve, and present to the CBC, the annual operating budget for CNE in accordance
with Section 211 of this Ordinance and implement and manage such budget;

Approve and enter into contracts and other agreements, in accordance with Section 208 of this
Ordinance, on behalf of CNE, the Gaming Facilities, and/or Related Enterprises and monitor
and ensure the performance of such contracts and other agreements;

Adopt personnel policies governing the employees of CNE;

Monitor and oversee CNE’s operations;

Develop CNE’s organizational structure to enhance communication and optimize
performance;

Provide a copy of all Gaming-related contracts to the Commission to review for compliance
with this Ordinance and other applicable Gaming laws and regulations;

Establish wager limits, prize limits, and pay-out ratios;

Develop marketing and strategic development plans;

Oversee the investigation, negotiation, and informal resolution of Patron complaints related
to tort claims and prize claims and, if applicable, assist Gaming Facilities throughout the
Commission’s hearing process;

COMANCHE NATION GAMING ORDINANCE
AS REVISED, CODIFIED, AND AMENDED THROUGH Page 8 of 33

OCTOBER 19, 2018


Section 301.

(A)

(B)

Section 302.

(A)

(B)
(C)

(D)

Section 303.

(A)

(B)
(©)
(D)
€)

)
(G)

PART 300. COMANCHE NATION GAMING COMMISSION

Gaming Commission Established

There is hereby established an agency of the Nation which shall be known as the “Comanche
Nation Gaming Commission” (hereinafter “Commission”) whose duty is to regulate the
Nation’s Gaming operations.

The Nation recognizes the importance of an independent Commission in maintaining well-
regulated Gaming. The Commission shall act independently and autonomously from the CBC
in the enforcement of regulatory matters within its purview. No prior or subsequent review
by the CBC of any actions of the Commission shall be required or permitted except as
otherwise explicitly provided in this Ordinance.

Role of Commission and Commissioners

The purpose of the Commission is regulatory, not managerial, and therefore, the Commission
shall not interfere with the management of the Nation’s Gaming operations except for citing
violations of applicable Gaming laws and regulations to ensure compliance therewith.

The Commission and CNE will work together to resolve regulatory issues.

Commissioners’ duties and responsibilities are limited and specific to ensure the fair and
impartial review and adjudication of all matters related to licensing and enforcement of
compliance with Gaming laws and regulations. Commissioners shall not participate in, direct,
or attempt to influence the outcome, course, or direction of a Commission investigation into
any aspect of compliance, revenue control, background investigation, internal audit, or any
other Commission activity. Commissioners must remain independent of all day-to-day
activities in order to fairly and impartially judge all matters.

Nothing in this Ordinance shall prevent the Comanche Nation Police Department from
investigating criminal activity within its jurisdiction.

Commission Composition; Quorum

The Commission shall consist of four (4) members, one of whom shall be designated as a non-
voting alternate, and at least two (2) of whom shall be an enrolled member of the Comanche
Nation.

The Commissioners shall elect a Chair, whose duty it shall be to call for and preside over all
meetings and hearings and to execute official documents of the Commission.

The Commissioners shall elect a Vice-Chair who shall perform the duties of the Chair in the
Chair’s absence.

A majority of the voting Commissioners shall constitute a quorum and the concurrence of a
majority of the same shall be required for any official action.

The alternate Commissioner may attend all meetings of the Commission, but shall not count
toward a quorum, vote, or take other official action unless a voting Commissioner is
unavailable.

The Commission may act in its official capacity even if there are vacancies on the
Commission.

Commissioners shall serve in such capacity until their respective successor is duly appointed
and qualified unless removed in accordance with this Ordinance prior to the expiration of a
term.

COMANCHE NATION GAMING ORDINANCE,
AS REVISED, CODIFIED, AND AMENDED THROUGH Page 11 of 33

OCTOBER 19, 2018