b.

ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
The gaming operation shall not employ as a key employee or primary
management official a person who does not have a license after ninety (90) days.

Report to the National Indian Gaming Commission.

a.

The Tribal Gaming Commission shall prepare and forward a teport on each
background investigation to the National Indian Gaming Commission. 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 bases for those conclusions.

The Commission shall forward the completed investigative report to the National
Indian Gaming Commission within sixty (60) days after an employee begins work
or within sixty (60) days of the approval of this Ordinance by the Chairman of the
National Indian Gaming Commission.

The Commission shall submit, with the investigative report, a copy of the
eligibility determination, unless the N1GC shall have advised the Tribe that

the submission of the eligibility determination is not necessary. This
determination shall include a Statement describing how the information submitted
by the applicant was verified; a Statement of results following an inquiry into the
applicant's prior activities, criminal record, if any, and reputation, habits and
associations; a Statement showing the results of interviews of a sufficient number
of knowledgeable people (such as former employers, personal references, and
others referred to by the applicant) in order to provide a basis for the Tribe

to make a finding concerning the eligibility for employment in a gaming
operation; and a Statement documenting the disposition of all potential problem
areas noted and disqualifying information obtained.

Ifa license is not issued to an applicant, the Tribal Gaming Commission:
i. Shall notify the NIGC; and

ii. Shall forward copies of its eligibility determination and investigative
report (if any) to the NIGC for inclusion in the Indian Gaming Individuals
Records System.

With respect to all employees, and in particular Key Employees and primary
management officials, the Tribal Gaming 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.

16


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

The Gaming Commission shall ensure that all records and information obtained as a
result of all employee background investigations shall remain confidential and shall not
be disclosed to persons who are not directly involved in the licensing process. Under no
circumstances shall information obtained during the course of an employee background
investigation be disclosed to members of management, human resource personnel or
others employed by the tribal gaming operation.

This Section does not apply to requests for such information or records from any Tribal,
Federal or State law enforcement or regulatory agency, or for the use of such information
or records by the Commission and staff in the performance of their official duties.

Terms of Office for Tribal Gaming Commissioners shall be as follows: the Chair shall
serve an initial term of one year, with subsequent Chairs serving three-year terms. The
Vice Chair and Commissioner(s) shall serve an initial term of two years, with subsequent
Vice-Chairs and Commissioners serving three-year terms.

The following persons are not eligible to serve as Tribal Gaming Commissioners: Tribal
Council members, while serving as such; employees of the gaming operation, while
serving as such; gaming contractors (including any principal of a management or other
contracting company); persons directly related to or sharing a residence with any of the
above; persons ineligible to be key employees or primary management officials. Tribal
members previously convicted of a felony, of embezzlement, of theft, or of any other
money-related crime or honesty-related crime (such as fraud) will only be allowed if the
Tribal Council specifically finds a significant amount of time has passed and that the
person's character has been reformed. The Tribal Council shall require a criminal history
check with appropriate law enforcement agencies and shall review this criminal history
report and make an appropriate suitability determination before appointing an individual
in a position as a Tribal Gaming Commissioner.

The independence of the Tribal Gaming Commission is essential to a well-regulated
gaming operation. For that reason, Commissioners may only be removed from office by
the Tribal Council prior to the expiration of their respective terms: for neglect of duty,
misconduct, malfeasance, or other acts that would render a Commissioner unqualified for
the position. Any allegations of neglect of duty, misconduct, malfeasance, or other acts
that would render the Commissioner unqualified for the position must be substantiated by
a preponderance of the evidence. Commissioners will be given an opportunity to provide
evidence rebutting the grounds for their proposed removal before the removal is
considered. A vote of the Tribal Council on the validity of the removal shall be final and
not subject to further appeal.

A majority of the Commission shall constitute a quorum. The concurrence of a majority
of the members appointed to the Commission shall be required for any final
determination by the Commission. The Commission may act in its official capacity even
if there are vacancies on the Commission.

Tribal Gaming Commissioners shall be compensated at a level determined by the Tribal
Council. This compensation shall be included in the gaming operation's annual estimated
budget, and shall be approved by the Tribal Council. Commissioner compensation shall
not be based on a percentage of gaming revenue to ensure the Commission is not
improperly influenced.

10


XV.

XVIL

XVII.

ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
Minimal Internal Control Standards

The Tribe acknowledges its 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 MICS shall be set out in
separate regulations to be reviewed and approved by the Tribal Council.

License Locations

The Tribal Gaming Commission shall issue a separate license to each place, facility, or location
on Indian lands where gaming is conducted under this Ordinance.

Agent for Service of Process

The Tribe hereby designates the Tribe’s President as agent for service of process, who may be
contacted at:

President

Rosebud Sioux Tribe
P.O. Box 430
Rosebud SD 57570

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.

Repeal

To the extent that they are inconsistent with this Ordinance, all prior gaming ordinances are
hereby repealed.

20


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

Index

I. Purpose
IL. Definitions

I. Gaming Authorized

IV. Ownership of Gaming

V. Use of Gaming Revenue

VI. Board of Directors

VII. Gaming Commission

BRAM ES

moo 9 p

mom

i

Ethics

Audit

Complimentary Items

Environment and Public Health and Safety

Dispute Resolution

Licenses for Key Employees and Primary Management Officials
A.

Scope

Application Forms

Background Investigations

Eligibility Determination

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

Granting a Gaming License

License Suspension

Board of Review for Disputes

XIV. Licenses for Vendors

XV. Minimum Internal Control Standards

XVI. License Locations

XVII. Agent for Service of Process

CDN NH A Hw Ww

12
12
12
12
12
12
12
13
15

15
16
17
17
17
18
20
20
20


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

Granting a Gaming License

a.

If within a thirty (30) day period after the National Indian Gaming Commission
receives a report, the National Indian Gaming Commission notifies the Tribe that
it has no objection to the issuance of a license pursuant to a license application
filed by a key employee or a primary management official for whom the Tribe has
provided an application and investigative report to the National Indian Gaming
Commission, the Tribal Gaming Commission, acting for the Tribe, may issue a
license to such applicant.

The Tribal Gaming Commission shall respond to a request for additional
information from the Chairman of the National Indian Gaming Commission
concerning a key employee or a primary management official who is the subject
of a report. Such a request shall suspend the thirty (30) day period under
paragraph G(a) of this section until the Chairman of the National Indian Gaming
Commission receives the additional information.

If, within the thirty (30) day period described above, the National Indian Gaming
Commission provides the Tribe with a Statement itemizing objections to

the issuance of a license to a key employee or a primary management official for
whom the Tribal Gaming Commission has provided an application and
investigative report to the National Indian Gaming Commission the Tribe

shall reconsider the application taking into account the objections itemized by the
National Indian Gaming Commission. The Tribe shall make the final

decision whether to issue a license to such applicant.

License Suspension

a.

If, after the issuance of a gaming license, the Tribal Gaming Commission
receives from the National Indian Gaming Commission reliable information
indicating that a key employee or a primary management official is not eligible
for employment, the Tribal Gaming Commission shall suspend such

license and shall notify in writing the licensee of the suspension and the proposed
revocation.

The Tribal Gaming Commission shall notify the licensee of a time and a place for
a hearing on the proposed revocation of a license.

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

Board of Review for Disputes

a

The Tribe has determined that, in order to adhere to this Ordinance and all gaming
regulations there shall be established a Tribal Gaming Board of Review (Board of
Review). The Board of Review shall serve as the final review body for employee
disputes. Employee disputes shall include disputes with management,
terminations, fines or other internal employee disputes, not to include actions
taken by the Commission.

17


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
c. If the applicant is a corporation, the state of incorporation, and the
qualification to do business in the State of State of South Dakota if the gaming
operation is in a different State than the State of incorporation;

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

e. General description of the business and its activities;

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

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

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

Indian tribes, including ownership, financial, management interests in
non-gaming activities;

i, Names, addresses, and phone numbers of three business references with
whom the company had regularly done business for the last five years;

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

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

1. A list of lawsuits to which the business has been a defendant, including the
name and address of the court involved, and the date and disposition if any;

m. List the business funding sources and any liabilities of $50,000 or more;

n. A list of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership in the
company; and

0. Any further information the Tribe deems relevant.

The following notice shall be placed on the application form for a vendor and its
principals:

a. Inclusion of false or misleading information on the vendor application
may be grounds for denial or revocation of the Tribe's vendor license.

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

19


ii.

iii.

iv.

vii.

viii.

ix.

xi.

xii.

xiii.

ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
Currently and for the previous five (5) years: business and employment
positions held, ownership interests in those businesses, business and
residence addresses, and drivers’ license numbers;

The names and current addresses of at least three personal references,
including one personal reference that was acquainted with the applicant
during each period of residence listed on the application;

Current business and residence telephone numbers;

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

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

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

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

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 date and
disposition;

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

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

A photograph taken within the last year; and

Any other information the Tribe deems relevant.

Each applicant for a Key Employee or Primary Management official shall be
required to have fingerprints taken by the Tribal Gaming Commission as part of
the license application procedure.

As part of its review procedure, the Tribal Gaming Commission or its authorized
agent shall conduct a background investigation on each applicant sufficient to
allow the Tribal Gaming Commission to make an eligibility determination under
subsection D below. The investigator shall:

14


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
a. to fund tribal government operations and programs;

b. to provide for the general welfare of the Tribe and its members;
c. to promote tribal economic development;

d. to donate to charitable organizations; or

e. to help fund operations of local government agencies.

Any Tribal per capita payments to tribal members shall be in accordance with a plan
submitted to and approved by the Secretary of the Interior under 25 U.S.C. § 2710(b)(3).

The Tribe shall ensure that the interests of minors and other legally incompetent persons
who are entitled to receive any per capita payments under a Tribal per capita payment
plan are protected and preserved, and that the per capita payments are disbursed to the
parents or legal guardian 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 Tribal Council and the Secretary of the Interior.

VI. Board of Directors

A.

Cc.

In addition to the General Manager for the facility, there shall be established a Tribal
Gaming Board of Directors which shall serve in policy oversight role over the non-
regulatory operations of the gaming operation. In the event the Tribe enters into a
management contract approved by the NIGC, the Board may delegate some or all duties
to the approved management contractor. Regulation of the gaming operation shall be the
sole responsibility of the Tribal Gaming Commission.

The Board of Directors shall consist of three (3) members; a Chairperson, Vice-
Chairperson, and Director. Terms of office for members of the Tribal Gaming Board of
Directors shall be as follows: the Chairperson shall serve an initial term of one year, with
subsequent Chairpersons serving three-year terms. The Vice-Chairperson and other
Director(s) shall serve an initial term of two years, with subsequent Vice-Chairpersons
and Directors serving three-year terms. The members of the Board shall be subject to the
same background requirements as key employees and primary management officials, and
must be licensed accordingly. The minimum requirements for appointment as a member
of the Board of Directors are as follows:

a. One of the following:

i. Degree in Business Administration, Accounting, Marketing, or an
equivalent field;
ii. Minimum five (5) years experience in business management;

iii. Minimum two (2) years experience in casino management; or

iv. Demonstrated knowledge of federal Indian law, the Indian Gaming
Regulatory Act, and related statutes and regulations.

The Board of Directors shall perform the following non-regulatory duties:


I.

IT.

Purpose

The Rosebud Sioux Tribal Council empowered by their Constitution hereby enacts this
ordinance in order to regulate gaming activities within the Tribe’s jurisdiction.

Definitions

ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

ROSEBUD SIOUX TRIBE GAMING ORDINANCE

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

A.

Board of Directors means the Tribal Gaming Board of Directors, who shall serve as
primary management officials who shall work closely with the General Manager in the
development of policies governing the management aspects of the Tribally-owned
gaming operation(s).

Class I gaming means social games solely for prizes of minimal value or traditional

forms of Indian gaming engaged in by individuals as a part of, or in connection with,
tribal ceremonies or celebrations.

Class II gaming has the same definition as laid out in 25 U.S.C. § 2703(7)(A) and means

a.

the game of chance commonly known as bingo (whether or not electronic,
computer, or other technologic aids are used in connection therewith):

i.

ii.

iii.

which is played for prizes, including monetary prizes, with cards bearing
numbers or other designations,

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

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

card games that;

i.

ii.

are explicitly authorized by the laws of the State, or

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 card games.


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

XVIII. Compliance with Federal Law
XIX. Repeal

20
20


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
i. Verify the applicant’s identity through items such as a social security card,
driver’s license, birth certificate or passport;

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

iii. Obtain a personal credit check;
iv. Conduct a civil history check;

v. Conduct a criminal history check which shall include a criminal check of
the history and information maintained by the Federal Bureau of
Investigation, and further obtain information from the appropriate court
regarding past felony and/or misdemeanor convictions and criminal
charges;

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

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

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

e. The investigator shall create an investigative report noting the steps taken,
information gained, potential problems areas, and disqualifying information.

f. The Tribal Gaming Commission and its investigator shall promise to keep
confidential the identity of each person interviewed in the course of the
investigation, other than disclosure as required under Federal, Tribal, or State law.

Eligibility Determination

The Tribal Gaming Commission shall review a person's prior activities, criminal record,
if any, 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 Tribal Gaming 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 management contractor or a tribal gaming operation shall not
employ that person in a key employee or primary management official position.

Procedures for Forwarding Applications and Reports for Key Employees and Primary
Management Officials to the National Indian Gaming Commission

a When a key employee or primary management official is employed to work at a
gaming operation authorized by this Ordinance, the Commission shall forward to
the National Indian Gaming Commission a completed application for
employment and conduct the background investigation and make the
determination referred to in subsection D of this section.

15


Ii.

ROSEBUD SIOUX TRIBE

ORDINANCE 2006-04
v. Floor manager;
vi. Pit boss;
vii. Dealer;
viii. | Croupier;
ix. Approver of credit; or
x. Custodian of gambling devices including persons with access to cash and

accounting records within such devices;

b. If not otherwise included, any other person whose total cash compensation is in
excess of $50,000 per year; or

c. If not otherwise included, the four most highly compensated persons in the
gaming operation.

N. Net Revenues means gross gaming revenues of an Indian gaming operation less
a. Amounts paid out as, or paid for, prizes; and
b. Total gaming-related operating expenses, excluding management fees.

Oo. Per Capita Payment means the distribution of money or other thing of value to all
members of the Tribe, or to identified groups of members, which is paid directly from
the net revenues of any tribal gaming activity.

P. Primary Management Official means
a. The person(s) having management responsibility for a management contract;
b. Any person who has authority:
i. To hire and fire employees; or
ii. To set up working policy for the gaming operation; or

c. The chief financial officer or other person who has financial management
responsibility.

Gaming Authorized
Class II and Class III gaming are hereby authorized.
Ownership

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

Use of Gaming Revenue
A. Net revenues from tribal gaming shall be used only for the following purposes:


NAL 7,
«\? No,

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* *
5 5
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S comm

March 12, 2007

Mr. Rodney Bordeaux, President
Rosebud Sioux Tribe

P.O. Box 430

Rosebud, SD 57570

Re: Approval of amended gaming ordinance
Dear President Bordeaux:

This is in response to your January 10, 2007, letter seeking review and approval of the
newly amended tribal gaming ordinance, no. 2006-04, enacted pursuant to tribal council
resolution No. 2006-199. The amended ordinance is consistent with the requirements of
the Indian Gaming Regulatory Act and this agency’s regulations, and it is therefore
approved.

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

contact, Michael Gfoss, Senior Attorney, at 202-632-7003.

Sincerely,

ce: Gerald Eagle Bear, Exec. Dir., RST Gaming Commission
Mato Standing Hight, RST Attorney

NATIONAL HEADQUARTERS 1441 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


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

VIL Gaming Commission

A.

The Tribe hereby establishes a Tribal Gaming Commission whose duty it is to regulate
tribal gaming operations. The Tribal Gaming Commission shall consist of five (5)
members. There shall be among them a Chairperson, Vice-Chairperson, and at least one
additional Commissioner.

The purpose of the Tribal Gaming Commission is regulatory and does not include
managerial duties at the gaming operation. The Commission will conduct oversight to
ensure compliance with Tribal, Federal, and, if applicable, State laws and regulations.
The Commission will serve as the licensing authority for individuals employed in the
gaming operation and administer background investigations as part of the licensing
process. The Commission will also have a role in monitoring compliance with the
internal control standards for the gaming operation and in tracking revenues. In order to
carry out its regulatory duties, the Commission shall have unrestricted access to all areas
of the gaming operation and to all records. The Commission shall have authority to take
enforcement actions, including suspension or revocation of an individual gaming license
when appropriate.

The Tribe recognizes the importance of an independent Tribal Gaming Commission in
maintaining a well-regulated gaming operation. The Commission shall be and act
independently and autonomously from the Tribe in all matters within its purview. No
prior or subsequent review by the Tribal Council of any actions of the Commission shall
be required or permitted except as otherwise explicitly provided in this Ordinance. To
avoid potential conflicts of interest between the operation and regulation of the gaming
facility, the Tribe hereby finds that, at a minimum:

a. No member of the Tribal Council or Tribal Gaming Board of Directors shall serve
on the Gaming Commission;

b. No member directly related to or living with any Tribal Council member or Tribal
Gaming Board of Directors member may serve on the Gaming Commission as
defined in Article II). Within thirty (30) days of the origination of a conflict,
one of the affected parties must resign;

c. Members of the Gaming Commission are prohibited from gambling in the
facility; and

d. Members of the Gaming Commission are prohibited from accepting
complimentary items from the gaming operation.

Tribal Gaming Commissioner positions shall be filled through appointment by the Tribal
Council.

Nominees for positions of Tribal Gaming Commissioner must satisfy suitability standards
set forth for key employees and primary management officials, found in Section XII of
this Ordinance. Such background investigations shall be performed under the direction of
the Tribal Council or designated official.

The Tribal Gaming Commission authorities shall include:


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
i. Approve non-regulatory policies of the gaming facility, whether managed by a
tribal employee or by an approved management contractor;

ii. Inspect and examine on a periodic basis all books, records, and papers of the
gaming facility;

iii. Approve hours of operation for the gaming facility;

iv. Approve wager limits;

v. Approve marketing plans;

vi. Approve policies regarding interviews, selection, and training of the gaming
operation employees;

vii. Approve employee policies, rate of pay, and hours of work;
viii. Approve an annual operating budget, subject to Tribal Council approval;

ix. Any other duties necessary to monitor and oversee the policies of the gaming
operation.

Board of Director positions shall be filled through appointment by the Tribal Council.

The Tribe recognizes the importance of an independent Tribal Gaming Board of
Directors maintaining a well-managed gaming operation. To avoid potential conflicts of
interest between the operation and regulation of the gaming facility, the Tribe hereby
finds that, at a minimum:

a. No more than one member of the Tribal Council may serve on the Board of
Directors. No member of the Tribal Gaming Commission may serve on the Board
of Directors;

b. No person directly related to or living with a Tribal Gaming Commissioner may
serve on the Board of Directors as defined in Article (1). Within thirty (30) days
of the origination of a conflict, one of the affected parties must resign;

c. Members of the Board of Directors are prohibited from gambling in the facility;
and

d. Members of the Board of Directors are prohibited from accepting complimentary
items from the gaming operation.

Members of the Board of Directors may be removed from office by the Tribal Council
prior to the expiration of their respective terms only for neglect of duty, misconduct,
malfeasance, or other acts that would render the Director unqualified for the position.
When the Tribal Council believes that removal is appropriate, it shall so notify the
Director(s) and hold a hearing on the matter. A vote of the Tribal Council on the validity
of the removal shall be final and not subject to further appeal.

Members of the Tribal Gaming Board of Directors shall be compensated at a level
determined by the Tribal Council.


‘_

ROSEBUD SIOUX TRIBE

ORDINANCE 2006-04
c. The term "class II gaming" does not include:
i. any banking card games, including baccarat, chemin de fer, or blackjack
(21), or
ii. electronic or electromechanical facsimiles of any game of chance or slot
machines of any kind.

Class III gaming means all forms of gaming that are not class I gaming or class II
gaming.

Commission means the Tribal Gaming Commission established to perform regulatory
oversight and to monitor compliance with Tribal, federal, and applicable State
regulations.

Commissioner means a Tribal Gaming Commissioner.

Compact means a Tribal-State Compact concerning class III gaming approved pursuant
to 25 U S.C. § 2710(d).

Complimentary means a service or item provided at no cost, or at a reduced cost, toa
customer.

Directly related to means a spouse, common law partner, sibling, child, parent,
grandparent, grandchild, brother-in-law, sister-in-law, mother-in-law and father-in-law.

Director means a Member of the Tribal Gaming Board of Directors.
Indian lands means
a. all lands within the limits of any Indian reservation; and

any lands title to which is either held in trust by the United States for the benefit
of any Indian Tribe or individual or held by any Indian Tribe or individual subject
to restriction by the United States against alienation and over which an Indian
Tribe exercises governmental power.

Indian Tribe means the Rosebud Sioux Tribe.
Key Employee means
a. A person who performs one or more of the following functions:
i. Bingo caller;
ii. Counting room supervisor;
iii. Chief of security;
iv. Custodian of gaming supplies or cash;

4


e

ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

The Board of Review shall consist of five (5) members. The membership shall be
comprised of one member of the Tribal Gaming Commission, one member from
the Tribal Council, one primary management official or key employee, one
enrolled Tribal member not employed by the gaming operation, and one employee
of the gaming operation. The members shall be elected from their representative
group and shall serve staggered terms. The two Tribal members shall serve three-
year terms. The primary management official or key employee shall serve a two-
year term. The members from the Tribal Gaming Commission and the Tribal
Council shall serve one-year terms. Tribal Council shall determine the level of
compensation. However, compensation shall never be tied to tribal gaming
revenues.

The Board of Review members shall elect a Chairperson from among them,
whose duty it shall be to preside over all meetings and hearings. In addition, the
members shall elect a Vice-Chair who shall be the custodian of any evidence
submitted, and who shall preside in the Chairperson’s absence. The Board of
Review shall meet as needed and shall keep official records of the meetings. No
later than three (3) working days following a hearing on employer disputes, the
Board of Review shall issue its findings. Findings of the Board shall be final
when issued and a copy of the same will be provided to the Tribal Secretary and
the director of the casino human resources department.

No Board of Review member shall be removed prior to the end of their term
without cause. Removal shall be effectuated by a majority vote of the entire
Tribal Council, and shall be a final decision.

No Board Member shall serve as a member of the Tribe’s Ethics Commission.

XIV. Licenses for Vendors

A.

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

In order to obtain a vendor license, the business must complete a vendor application and
submit to background checks of itself and its principals. Principals of a business include
its officers, directors, management, owners, partners, non-institutional stockholders that
either own 10% or more of the stock or are the ten (10) largest stockholders, and the on-
site supervisor or manager under the agreement with the Tribe, if applicable.

Applications for vendor licenses must include the following:

a.

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

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

18


ROSEBUD SIOUX TRIBE
RESOLUTION NO. 2006-199

Approval of Articles of Formation for Rosebud Sioux Tribe Gaming Enterprise

WHEREAS, the Rosebud Sioux Tribe of South Dakota is a federally recognized Indian Tribe
organized pursuant to the Indian Reorganization Act of 1934 (48 Stat. 984) (25
U.S.C. §476), as amended by the Act of June 15, 1935 (49 Stat. 378); and

WHEREAS, the Tribe in order to establish its Tribal organizations, to conserve its Tribal
property, to develop its common resources, and to promote the general welfare of
its people has ordained and established a Constitution and Bylaws; and

WHEREAS, the Rosebud Sioux Tribe is governed by a Tribal Council made up of elected
representatives who act in accordance with the powers granted to it by its
Constitution and By-Laws; and

WHEREAS, the Rosebud Sioux Tribe adopted, and the Chairman of the National Indian
Gaming Commission, acting under the authority of the Indian Gaming Regulatory
Act of 1988, 25 U.S.C. §2710(b)(1)(B), approved the Rosebud Sioux Tribe
Gaming Ordinance 86-13; and

WHEREAS, the attached proposed Amended Gaming Ordinance 06-04 promotes safeguards in
the following sections to prevent the misappropriation of gaming revenues: (1) use
of gaming revenue; (2) minimum qualifications for the management board of
directors; (3) independence of the Tribal gaming commission and clearly
delineated authorities; (4) code of ethics that applies to both the Tribal gaming
commission and the management board of directors; and (5) clearly delineated
licensing criteria for key employees and primary management officials.

NOW, THEREFORE BE IT RESOLVED, The Tribal Council hereby authorizes submission
of the attached proposed Amended Gaming Ordinance 2006-04 (incorporated herein) to the
National Indian Gaming Commission for approval pursuant to the Indian Gaming Regulatory
Act, 25 U.S.C. § 2701 et seq.

CERTIFICATION

This is to certify that the above Resolution No. 2006-199 was duly passed by the Rosebud Sioux
Tribal Council in session for a First Reading on August 9, 2006, by a vote of eighteen (18) in
favor, None (0) opposed and none (0) not voting. A Second Reading was held on January 4,
2007 and approved by roll call vote of fourteen (14) yes, one (1) no, three (3) absent and two (2)
abstained. The said Resolution No. 2006-199 adopting Ordinance 2006-04 was adopted pursuant
to authority vested in the Council. A quorum was present.

ATTEST:
Arne h SAR CK
w C/E EZ
Gerri Night Pipe, Secyftary Rodney M Bordeaux, President
Rosebud Sioux Tribe Rosebud Sioux Tribe


VIL Ethics

ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
The Commission shall keep a written record of all its meetings.

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

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

b. Members shall not engage in financial transactions using nonpublic information
or allow the improper use of such information by others on their behalf to further
any private interest.

c. Members shall not solicit or accept any gift or other item of monetary value
including complimentary items (see Section IX, below), from any person or entity
seeking official action or inaction from, doing business with, or conducting
activities regulated by the member's organization, or whose interests may be
substantially affected by the performance or nonperformance of the Members'

duties.

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

e Members shall not use their positions for private gain.

f. Members shall act impartially, in accordance with all relevant Tribal, Federal,
and State laws (where applicable via class III gaming compact), and shall not give
preferential treatment to any private organization or individual, including to any
persons related to Members.

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

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

responsibilities.

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

j Members shall endeavor to avoid any actions creating the appearance that they are

violating the law or the ethical standards listed herein.

k. Members shall execute a confidentiality agreement and shall be bound by the
terms therein.

1


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

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

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

b. The following additional notice shall be placed on the application form for a key
employee or a primary official: “A false statement on any part of your application
may be grounds for not hiring you, or for firing you after you begin work. Also,
you may be punished by fine or imprisonment. (U.S. Code, Title18, section 1001).

c The Commission shall notify in writing existing key employees and primary
management officials who have not completed an application containing the
notices set forth above that they shall either:

i. Complete a new application form that contains both the Privacy Act and
false statement notices; or

ii. Sign a statement that contains the Privacy Act and false statement notices
and consent to the routine uses described in that notice.

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

Cc. Background Investigations

a. The Tribal Gaming Commission is responsible for conducting background
investigations, collecting fingerprints, and making eligibility determinations.

b. The Tribal Gaming 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, and languages (spoken or
written);

13


RST GAMING COMMISSION
HC 14, BOX 136

VALENTINE, NEBRASKA 69201
PHONE: (605) 378-3880
FAX: (605) 378-3873

us
Ay 19 »
Dp

Amended
Title 13-Gaming Ordinance
Rosebud Sioux Tribe


RST GAMING COMMISSION
HC 14, BOX 136

VALENTINE, NEBRASKA 69201
PHONE: (605) 378-3880

FAX: (605) 378-3873

Ay
79
uy

January 10, 2007

Jim McKee, Field Investigator
National Indian Gaming Commission
1719 West Main, Suite 103

Rapid City, South Dakota 57702

RE: Amendments to Gaming Ordinance
Mr. McKee;

Attached you will find (1) the existing Title 13-Gaming Ordinance of the
Rosebud Sioux Tribe and, (2) the revised Title 13-Gaming Ordinance as
amended and approved by the Rosebud Sioux Tribal Council on January
04, 2007. The revised Title 13-Gaming Ordinance is forwarded to your
office for review and concurrence.

Thank you for your time and consideration. Should you have any
questions or need further information, do not hesitate to contact me at
605-378-3880.

Respectfully Submitted,

Pe Ep Ben

Gerald Eagle Bear
Executive Director

ATTACHMENT:(1) Rosebud Sioux Tribe Gaming Ordinance
(2) Amendments

CC: Rodney Bordeaux, RST President
Mato Standing High, RST Attorney
RST Gaming Commission
OO NAY 61 NYT 202

NOISSINNOD «

Gaming Commission

Cheryl Murray
Chairperson

Marcella Prue
Vice-Chairperson

Freemont Fallis
Commissioner

Ronald Valandra
Commissioner

Vacant
Commissioner

Gaming Staff

Gerald Eagle Bear
Executive Director

Valerie Crazy Bull
Administrative Assistant

Marvin Thin Elk, Jr.
Licensing Agent

Lisa White Hat
Internal Auditor

Benjamin Young
Gaming Inspector

Vacant
Gaming Inspector

Vacant
Gaming Inspector

nw? SF


ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04
Conduct or cause background investigations to be conducted on, at a minimum,
primary management officials and key employees;

Review and approve all investigative work conducted;
Report results of background investigations to the NIGC;

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

Make suitability determinations, which shall be signed by the Chairperson of the
Gaming Commission;

Issue gaming licenses to management officials and any other employee of the
operation the Gaming Commission deems licensing appropriate, consistent with
the suitability determination;

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

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

Investigate any suspicion of wrongdoing associated with any gaming activities;

Hold hearings on patron and/or employee complaints, in compliance with
procedures established in this Ordinance and other Tribal gaming
regulations;

Comply with any and all reporting requirements under the IGRA, Tribal-State
compact to which the Tribe is a party, and any other applicable law;

Promulgate and issue regulations necessary to comply with the Tribe and
the NIGC's Minimum Internal Control Standards (MICS);

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

Promulgate and issue regulations on the levying of fines and/or suspension or
revocation of gaming licenses for violations of the gaming ordinance, or any other
Tribal, Federal, or State, if applicable, gaming regulations;

Hire, supervise, and terminate all Gaming Commission staff, including the
Executive Director. The Commission’s authority to supervise Gaming
Commission staff is absolute and shall not be subject to Tribal Council or Tribal
Administration intervention; and

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


XI.

ROSEBUD SIOUX TRIBE
ORDINANCE 2006-04

Complimentary Items

A. The use of complimentary items shall be governed by regulations established by the
Tribal Gaming Commission, which shall be in accord with the NIGC's Minimum Internal
Control Standards, found at 25 C.F.R. § 542.17.

B. No Key Employee, Primary Management Official, Tribal Council member, member of
the Gaming Board of Directors or Tribal Gaming Commission or any person directly
related to or sharing a residence with the persons, shall be authorized to receive
complimentary items.

Cc. Complimentary Items shall be included in the annual budget for the gaming operation,
with maximum limits specified, and shall be subject to approval by the Tribal Council.

Audit

A. The Tribe shall cause an annual outside independent audit of gaming operations to
be conducted, and shall submit the resulting audit reports to the National Indian Gaming
Commission.

B. All gaming related contracts that result in the purchase of supplies, services, or
concessions in excess of $25,000.00 annually, except contracts for professional legal and
accounting services shall be specifically included within the scope of the audit that is
described in subsection A above.

Environment and Public Health and Safety

Gaming facilities shall be constructed, maintained and operated in a manner that adequately
protects the environment and the public health and safety. [25 C F.R. § 522.4(b)(7)]
Dispute Resolution

Patrons who have complaints against the gaming establishment, a gaming employee, or a
management contractor shall have as their sole remedy the right to file a petition for relief with
the Tribal Gaming Commission. Complaints shall be submitted in writing, and at the discretion
of the Commission, the petitioner may be allowed to present evidence. The Gaming Commission
shall hold a hearing within thirty (30) days of receipt of petitioner’s complaint. The Commission
shall render a decision in a timely fashion and all such decisions will be final when issued.

Licenses for Key Employees and Primary Management Officials
A. Scope.

The Tribe shall ensure that the policies and procedures set out in this section are
implemented with respect to key employees and primary management officials
employed at any gaming enterprise operated on Indian lands.

B. Application Forms

a. The following notice shall be placed on the application form for a key employee
or a primary management official:

12