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RESOLUTION NO. 2003-43

-~

RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

WHEREAS, the Shawnee Tribe is a federally recognized Indian Tribe, pursuant to an Act of

Congress known as Public Law 106-568, also known as the Shawnee Tribe Status Act of 2000 and

Title VII of the Omnibus Indian Advancement Act 114 Stat. 2868]; and

WHEREAS, the Shawnee Tribe is imbued with all inherent attributes of sovereignty, having

exclusive civil and governmental jurisdiction over its lands, and is organized pursuant to a Constitution

duly ratified by the membersof the Shawnee Tribe on September 15, 2001; and

WHEREAS, the Shawnee Tribe Business Committee is empowered to prescribe rules and

regulations, to enact laws, and to transact all business on behalf of the Tribe, in accordance with

Articles IV, VI, and VII of the Constitution of the Shawnee Tribe; and

WHEREAS, in certain treaties entered into between the Shawnee Tribe and the United States,

the Shawnee Tribe retained all of its inherent rights of self government and undertook to provide

protection to businesses that were located within its jurisdiction; and

WHEREAS, the Shawnee Tribe is desirous of providing a basis under tribal law to authorize

and regulate the conduct of gaming on Indian lands of the Shawnee Tribe, including entering into

tribal-state compacts with the states where Shawnee Indian lands are located and entering into

appropriate management contracts with management agents to provide for the establishment and

operation of Class II and Class III gaming operations, as defined by the Indian Gaming Regulatory Act

of 1988; and

WHEREAS, the Shawnee Tribe accordingly desires to approve the attached SHAWNEE

TRIBE GAMING ACT;

NOW THEREFORE BE IT RESOLVED, that the Shawnee Tribe Business Committee herewith

enacts the SHAWNEE TRIBE GAMING ACT, the purpose of which Act is to authorize and regulate

gaming on the Indian lands of the Shawnee Tribe as defined by the Indian Gaming Regulatory Act of

1988. The SHAWNEE TRIBE GAMING ACT is attached and made a part of this Resolution 2003-43.

NOW THEREFORE BE IT FURTHER RESOLVED, that Resolution 2003-01, as it

pertains to Title 4 is hereby revised consistent with this Resolution 2003-43 and the revised

SHAWNEE TRIBE GAMING ACT, as attached.
RESOLUTION NO: 2003-43

RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

SHAWNEE TRIBE GAMING ACT

Chapters

1. General Provisions

2. Administration and Enforcement

3. Licensing

4. Rules of Operation and General Accountability

CHAPTER 1

GENERAL PROVISIONS

Sections

1. Title

2. Purpose

3. Definitions

4-10. Reserved

§ 1. Title

This enactment shall be known as the Shawnee Tribe Gaming Act.

§ 2. Purpose

The purpose of this Act is:

A. To regulate the conduct of gaming owned and operated by the Shawnee Tribe or

its officially licensed agents, on Indian lands of the Shawnee Tribe, (hereafter

referred to as Shawnee Tribe or Tribe) in compliance with Public Law 100-497,

October 17, 1988, 102 Stat. 2467, the Indian Gaming Regulatory Act (IGRA).

B. To provide a basis under tribal law for the operation of gaming on Indian lands as a

means for promoting tribal economic development, self-sufficiency, and a strong

tribal government.

C. To provide a basis under tribal law for the regulation of gaming by the Shawnee

Tribe adequate to shield it from organized crime and other corrupting influences,

and to insure that the Shawnee Tribe is the primary beneficiary of the gaming

operation, and to assure that gaming is conducted fairly and honestly by the

Shawnee Tribe, its agents and players.

§ 3. Definitions

A. Act means this Shawnee Tribe Gaming Act.

B. Business Committee means the Shawnee Tribe Business Committee.

C. Chairman means the Chairman of the Shawnee Tribe Gaming Commission

established pursuant to this Ordinance.

D. 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.

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RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

E. 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 card;

2. If played in the same location as bingo or lotto, pull-tabs, punch boards, tip

jars, instant bingo, and other games similar to bingo;

3. Nonbanking 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 concerning

hours, periods of operation, and limitations on wagers and pot sizes.

F. Class Ill gaming means all forms of gaming that are not Class I gaming or Class II

gaming, including but not limited to

1. Any house banking game, 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);

b. Casino games such as roulette, craps, and keno;

2. Any slot machines as defined in 15 U.S.C. § 1 171(a)(1) and electronic or

electromechanical games of chance;

3. Any sports betting and pari-mutuel wagering, including but not limited to

wagering on horse racing, dog racing, orjai alai;

4. Lotteries.

G. Commission means the Shawnee Tribe Gaming Commission established by this

Ordinance.

H. Compact means the agreement between the Shawnee Tribe and any State of the

United States, pursuant to 25 U.S.C. S2710(b)(iv), as further approved in

accordance with the Indian Gaming Regulatory Act, as the procedures under which

Class Ill gaming may be conducted on Indian lands over which the Shawnee Tribe

has jurisdiction.

I. Executive Director means the Executive Director of the Shawnee Tribe Gaming

Commission established pursuant to this ordinance.

J. IGRA means the Indian Gaming Regulatory Act of 1988, P.L. 100-497.

K. Indian land or Indian lands means

1. Lands within the limits of an Indian reservation; or

2. Land over which an Indian tribe exercises governmental power and that is

either

a. Held in trust by the United States for the benefit of any Indian tribe or

individual; or

b. Held by any Indian tribe or individual subject to restriction by the United

States against alienation.

L. Net revenues means gross gaming revenues of an Indian gaming operation less

1. Amounts paid out as, or paid for, prizes; and

2. Total gaming-related operating expenses, excluding management fees.

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RESOLUTION NO: 2003-43

RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

M. State means any State of the United States.

N. Tribe means the Shawnee Tribe.

§ 4-10. Reserved

CHAPTER 2

ADMINISTRATION AND ENFORCEMENT

Sections

11. Establishment of the Shawnee Tribe Gaming Office and Commission.

12. Duties of the Commission

13. Powers of the Commission

14. Chairman of the Commission

15. Executive Director

16. Commission Meetings

17. Commission Procedures

18. Background Investigation

19. Preliminary Determination

20. Hearing

21. Final Determination

22. Sanctions

23. Reports

24-30. Reserved

§ 11. Establishment of the Shawnee Tribe Gaming Office and Commission.

There is hereby established the Shawnee Tribe Gaming Office and the Shawnee Tribe

Gaming Commission, which shall have the duties and powers as hereinafter described. The

Commission shall constitute no less than three (3) nor more than five (5) members to be

appointed by the Tribal Chairman, acting as the Chairman of the Shawnee Business

Committee. Commission members shall serve for a period of two (2) years. However, for the

first appointments, the names shall be placed in a receptacle with the first name drawn

serving a term of two (2) years. The second name drawn shall serve a term of one (1) year,

and terms shall alternate accordingly with each subsequent name drawn. The Commission

shall elect from among its members a Chairman. The Commission shall have the power to

generally oversee the Chairman and the tribal gaming office and review its actions for

approval or to ensure compliance with this Act and any regulations adopted and orders

issued by the Commission. The Commission members shall submit to a conflict of interest

provision to disclose potential unethical situations.

§ 12. Duties of the Commission

It shall be the responsibility of the Commission to promulgate regulations necessary to

administer the provisions of this Act. The duties shall include but not be limited to the

following:

A. Printing and making available application forms for initial and renewal licenses, as

well as other licenses or tax return forms.

B. Supervise the collection of all fees and taxes prescribed by this Act.

C. Processing all license applications and tax returns which will be submitted under

oath.

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RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

D. Issuance of licenses.

E. Determining applicable license fees.

F. Auditing all returns.

G. Reviewing all records, documents and anything else necessary and pertinent to

the financial accountabilities of licensees or enforcement of any provision of this

ordinance.

H. Review for approval or denial any application or licensee, and to limit conditions to

suspend or restrict any license.

I. Propose fines and penalties as needed.

J. Preparing and monitoring a plan for the protection of public safety and the physical

security of patrons utilizing security and law enforcement personnel.

K. Review and approve floor plans and surveillance systems for each gaming facility

and shall confer with the State regarding the adequacy of such plans and systems.

L. Maintain a list of persons barred from the gaming facilities because their criminal

history or associations pose a threat to the integrity of the gaming activities of the

Shawnee Tribe.

M. Approve the rules of each game of chance operated pursuant to this Act.

N. Commencement of any civil or criminal action necessary to enforce the provisions

of this Act.

0. Retain legal counsel or other professional services, including investigative

services, to assist the Commission with respect to any of the issues over which the

Commission exercises jurisdiction.

P. Hire appropriate staff, subject to the approval of the Business Committee,

necessary to carry out its duties.

Q. Prepare and submit to the Business Committee an annual operating budget.

R. Establish policy and take all actions necessary to complete all tasks and

procedures defined and required by the Shawnee Tribe Class II Gaming

Ordinance.

S. Establish policy and take all actions necessary to complete all tasks and

procedures defined and required by the Shawnee Tribe Class Ill Gaming

Ordinance.

T. Establish policy and take all actions necessary to complete all tasks and

procedures defined and required by the Shawnee Tribe Class II Gaming

Regulations.

U. Establish policy and take all actions necessary to complete all tasks and

procedures defined and required by the Shawnee Tribe Class Ill Gaming

Regulations.

§ 13. Powers of the Commission

In order to adequately perform its duties, the Commission is hereby vested with the

following powers:

A. To employ non-uniformed, licensed inspectors who shall be present in all gaming

facilities during all hours of operation who shall be responsible solely to the

Commission and not to any management employees of the gaming operations.

Such inspectors shall have unfettered access to all areas of the gaming facility at

all times, including locked and secure areas.

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RESOLUTION NO: 2003-43

RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

B. To investigate on its own initiative any aspect of the gaming operations in order to

protect the public interest in the integrity of the gaming activities and to prevent

improper or unlawful conduct in said gaming activities.

C. To compel any person employed by and doing business with any gaming operation

to appear before it under oath and to provide such information, documents or other

material as required in writing by the Commission.

D. To impose penalties and sanctions for violations of this Shawnee Tribe Gaming

Act, any applicable Compact, or other rules of procedure adopted by the

Commission.

E. To establish policy and take all actions necessary to carry out the provisions of this

Act in compliance with IGRA.

§ 14. Chairman of the Commission

The Chairman, or any other member of the Commission acting in the absence of the

Chairman may, whenever he deems it necessary to protect the public interest in the integrity

of the Shawnee Tribes gaming operations, issue in the name of the Commission any order

that the Commission has the power to issue to the gaming operations or to any employee or

contractor thereof or to any person within the jurisdiction of the Shawnee Tribe, to take any

action or to cease and desist from taking any action as may be required to protect the public

interest, provided that any such order shall be subject to subsequent review by the

Commission at its earliest opportunity, whereupon said order may be confirmed or vacated by

the Commission.

§ 15. Executive Director

The Commission shall appoint an individual to serve as a full-time Executive Director

of the Commission to administer its responsibilities on a day to day basis and to oversee

inspectors appointed by the Commission, as well as such other staff as the Commission may

from time to time employ. The Executive Director shall be responsible for coordination of the

functions of the Commission with the State Police and the State gaming agency. The

Chairman may request the Executive Director to conduct a preliminary investigation and

render a recommendation to the Commission with respect to the grant or denial of any

license, the imposition of any penalty, the investigation of any complaint, or any other action

within the jurisdiction of the Commission. The Executive Director shall have the power, in the

name of the Commission, to conduct any hearing, investigation or inquiry, to compel the

production of any information or documents, and to otherwise exercise the investigatory

powers of the Commission that the Commission may exercise under this Ordinance.

§ 16. Commission Meetings

Regular meetings of the Commission may be held upon such notice, or without notice,

and at such time and place as shall from time to time be fixed by the Commission. Unless

otherwise specified by the Commission, no notice of such regular meetings shall be

necessary. Special meetings of the Commission may be called by the Chairman or the

Executive Director. The person or persons calling the special meeting shall fix the time and

place thereof. Neither the business to be transacted at, nor the purpose of, any regular or

special meeting of the Commission need to be specified in the notice of the meeting.

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RESOLUTION NO: 2003-43

RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

At any meeting of the Commission, a majority of the members then in office shall

constitute a quorum for the transaction of business. The vote of a majority of the members

present at a meeting at which a quorum is present shall be the act of the Commission. The

Chairman shall preside at all meetings of the Commission, unless the Chairman designates

another member to preside in his absence.

Any action required or permitted to be taken at a meeting of the Commission may be

taken without a meeting if all of the members sign written consents setting forth the action

taken or to be taken at any time before or after the intended effective date of such action.

Such consents shall be filed with the minutes of the Commission and shall have the same

effect as a unanimous vote or resolution of the Commission at a legal meeting thereof. Any

such action taken by unanimous written consents may, but need not be, set forth in such

consents in the form of resolutions or votes.

Members of the Commission may participate in a meeting of the Commission by means of conference telephone or similar communications equipment by means of which all

persons participating in the meeting can hear each other. Participation in such a meeting by

any member who does not object at the beginning of such meeting shall constitute presence

in person at such meeting.

§ 17. Commission Procedures

The Commission shall afford an applicant for a license an opportunity for hearing prior

to final action denying such application and shall afford a licensee or any other person

subject to this ordinance the opportunity for a hearing prior to taking final action resulting in

denying, terminating, revoking, suspending, or limiting a license or any other adverse action

the Commission deems appropriate, provided that the Executive Director may summarily

temporarily suspend or extend suspension of licenses for sixty (60) days in those cases

where such action is deemed appropriate by the Executive Director. In cases where a

license is suspended prior to hearing, an opportunity for a hearing shall be provided.

§ 18. Background Investigation

The Commission shall request from each primary management official and each key

employee information defined in the gaming ordinances, to include a minimum of the

following information:

A. Full name, other names used (oral and written), social security number(s), birth

date, place of birth, citizenship, gender, all languages (spoken or written);

B. Currently, and for the previous 5 years: business and employment positions held,

ownership interests in those businesses, business and residence addresses, and

drivers license numbers;

C. The names and current addresses of at least three personal references, including

one personal reference who was acquainted with the applicant during each period

of residence listed under paragraph (B) of this section;

D. Current business and residence telephone numbers;

E. A description of any existing and previous business relationships with Indian tribes,

including ownership interests in those businesses;

F. A description of any existing and previous business relationships with the gaming

industry generally, including ownership interests in those businesses;

G. The name and address of any licensing or regulatory agency with which the person

has filed an application for a license or permit related to gaming, whether or not

such license or permit was granted;

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RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

H. For each felony for which there is an ongoing prosecution or a conviction, the

charge, the name, and address of the court involved, and the date and disposition if

any;

I. For each misdemeanor conviction or ongoing misdemeanor prosecution (excluding

minor traffic violations), within 10 years of the date of the application, the name and

address of the court involved and the date and disposition;

J. For each criminal charge (excluding minor traffic charges), whether or not there is a

conviction, if such criminal charge is within 10 years of the date of the application

and is not otherwise listed pursuant to paragraph (H) or (I) of this section, the

criminal charge, the name and address of the court involved and the date and

disposition;

K. 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;

L. A current photograph;

M. Any other information the Tribe deems relevant, and the Tribe shall perform

background investigations and issue licenses for key employees and primary

management officials according to requirements that are at least as stringent as

those in parts 556 and 558 of 25 C.F.R; and

N. Fingerprints consistent with procedures adopted by the Tribe according to 25

C.F.R. § 522.2(b). The Tribe shall use the Johnson County Sheriffs Department or

the Unites States Federal Bureau of Investigation to take fingerprints. The Tribe

shall perform criminal history check of criminal history information maintained by

the Federal Bureau of Investigation or the Johnson County Sheriffs Department.

0. The Tribe shall conduct an investigation sufficient to make a determination under

25 C.F.R. § 558.2. In conducting the background investigation, the Tribe or its

agents shall promise to keep confidential the identity of each person interviewed in

the course of the investigation. The Tribe shall conduct interviews of a sufficient

number of former employers, personal references, and other applicable individuals

in reference to the applicant.

§ 19. Preliminary Determination

Whenever, upon preliminary factual finding, the Commission determines that any

person has failed to comply with the provisions of this Act or any regulations promulgated

hereunder, the Commission shall make a certification of findings with a copy thereof to the

subject or subjects of that determination. After five (5) day notice, and within thirty (30) days

thereof, the Commission shall hold a hearing at which time the subject shall have an

opportunity to be heard and present evidence. The Commission shall have the specific right

to enjoin and restrain illegal activities.

§ 20. Hearing

At such hearing it shall be the obligation of the subject to show cause why the

preliminary determination is incorrect, why the application in question shall not be revoked or

suspended, why the period of suspension should not be extended, or to show cause why

special conditions or limitations upon a license should not be imposed, or to show cause why

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RESOLUTION NO: 2003-43

RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

any other action regarding. any other person or persons subject to any action should not be

taken.

§ 21. Final Determination

Following such hearing, the Commission shall, within thirty (30) days, reach a final

determination concerning the accuracy of the preliminary certification of facts, and whether

the license in question should be granted, continued, suspended, revoked, conditioned or

limited, and whether or not any other action recommended to or by the Commission

(including but not limited to forfeitures or fines) should be taken. The action of the

Commission will be the final action of the Shawnee Tribe. Within (30) days following this

determination the Executive Director shall inform the subject in writing of that determination.

§22. Sanctions

Any person who engages in activities on property subject to the provisions of this Act

without a license, in violation of the license or terms imposed thereon, in violation of terms of

suspension, or in violation of any other provision of this Act, any Compact with the State, the

Indian Gaming Regulatory Act of 1988, regulations promulgated thereunder, or amendments

thereto, shall be in violation of this Act, including any person who unlawfully trespasses upon

any premises licensed by this Act without the consent of the Commission or the Executive

Director. Separate violations shall be prosecuted as separate offenses. Each day of

violation shall constitute a separate count or violation of this Act. Each violation shall carry a

potential fine of Five Hundred ($500.00) to Five Thousand Dollars ($5,000.00), to be

determined at the discretion of the Commission. Any property used in the furtherance of any

violation of this Act may become the property of the Shawnee Tribe. All winnings found to

have been received in violation of this Act are subject to seizure and forfeiture and become

the property of the Shawnee Tribe.

§23. Reports

The Commission shall make an annual, comprehensive report to the Shawnee Tribe

Business Committee.

§ 24-30. Reserved

CHAPTER 3

LICENSING

Sections

31. License Required

32. Classes and Fees

33. Class I Gaming

34. Class II Gaming

35. Class Ill Gaming

36. Tribe-State Compact

37. Jurisdiction

38. Management Contracts

39. Termination

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RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

40. Violation of Act by Licensee

41-50. Reserved

§ 31. License Required

Any agent of the Shawnee Tribe conducting public gaming operations for the benefit of

the Shawnee Tribe on Indian lands of the Shawnee Tribe shall be required to have and

display prominently an appropriate, valid, and current public gaming license issued pursuant

to the provisions of this Act. Any forms of public gaming operations conducted within the

jurisdiction of the Shawnee Tribe without the lawful, written approval of the Shawnee Tribe

Gaming Commission are prohibited. Furthermore, it shall be unlawful for any person to

conduct gaming activities on Indian lands of the Shawnee Tribe that are not under license by

and for the benefit of the Shawnee Tribe or which mislead the general public in believing the

gaming operation is owned or under the control of and operated by the Shawnee Tribe. The

Commission shall have the right to enjoin and restrain illegal activities.

§ 32. Classes and Fees

There shall be three (3) different classes of gaming, each characterized by its separate

requirements and fees. These classes are created in compliance with the Indian Gaming

Regulatory Act, Public Law 100-497, October 17, 1988.

§ 33. Class I Gaming

No license required.

§ 34. Class II Gaming

Only a wholly owned the Shawnee Tribe enterprise or its designated and approved

agent or employee may apply for and receive a Class II gaming license. Also, gaming must

be conducted in facilities of the Shawnee Tribe. A separate license must be issued by the

Commission for each place, facility or located on Indian lands at which Class II gaming is

conducted.

The Shawnee Tribe shall cause annual audits of all gaming activity under a Class II

license to be conducted within the existing independent tribal audit system and shall provide

all audit information to the National Indian Gaming Commission. The management and

operation of any Class II gaming facility shall be subject to all applicable provisions of the

Indian Gaming Regulatory Act. An annual fee of $1,000.00 shall be charged for any Class II

gaming license.

The Shawnee Tribe shall have the sole proprietary interest and responsibility for the

conduct of any gaming activity under a Class II license and all net revenues from any said

gaming are to be used for tribal purposes including:

A. to fund tribal government operations or programs;

B. to provide for the general welfare of the Shawnee Tribe and its members;

C. to promote tribal economic development.

§ 35. Class III Gaming

Class Ill gaming is hereby authorized to be conducted only by an enterprise that is

owned solely by the Shawnee Tribe. A license may be issued to its designated and approved

agents and employees. A separate license shall be required for each place, facility or

location on Indian lands at which Class III gaming is conducted. An annual fee for a Class Ill

gaming license will be $2,500.00.

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RESOLUTION TO ADOPT AN ACT FOR THE SHAWNEE TRIBES

REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

The Shawnee Tribe will have the sole proprietary interest and responsibility for the

conduct of any Class Ill gaming activity and the net revenues from any Class Ill gaming are

to be used for no purposes other than:

A. to fund tribal government operations or programs;

B. to provide for the general welfare of the Shawnee Tribe and its members;

C. to promote tribal economic development.

§ 36. Tribe-State Compact

The Chairman is hereby authorized by the Business Committee to approve a TribeState compact governing Class Ill gaming activities. Said compact shall be approved by the

Secretary of the Interior or~ the Chairman of the National Indian Gaming Commission, as

required, and published in the Federal Register, as provided by the Indian Gaming

Regulatory Act. The compact may include provisions relating to the application of criminal

and civil laws and regulaticns of the Shawnee Tribe or of the State to the Class III gaming

activity, an allocation of criminal and civil jurisdiction between the Shawnee Tribe and the

State, where necessary, for the enforcement of laws and regulations, taxation, where

appropriate, by the Shawnee Tribe of such activity in amounts comparable to the amounts

assessed by the State for comparable activities, remedies for breach of contract, standards

for operation of such activity, and maintenance of the gaming facility, including licensing and

any other subjects directly related to the operation of gaming activities. The Shawnee Tribe

Business Committee is hereby authorized to negotiate said compact on behalf of the

Shawnee Tribe.

§ 37. Jurisdiction

Any cause of action initiated by the Shawnee Tribe arising from the failure of the State

to enter into negotiations with the Shawnee Tribe for purposes of entering into a Tribe-State

compact or to conduct said negotiations in good faith will be filed in the United States District

Court.

§ 38. Management Contracts

The Shawnee Tribe Business Committee, on behalf of the Shawnee Tribe, is

authorized to enter into and approve management contracts for the management of any

Class II and/or Class III gaming facility owned and operated by the Shawnee Tribe. Said

management contract shall in all respects be in compliance with the Indian Gaming

Regulatory Act. All management contracts shall be approved by the Chairman of the

National Indian Gaming Commission, or as designated by the IGRA. No person holding a

management contract with the Shawnee Tribe for the management of any Class II or Class III

gaming facility shall be an elected member of the Shawnee Tribe, or have been convicted of

any felony or gaming offense, or have knowingly or willingly provided any material reporting

false statements to the National Indian Gaming Commission or Shawnee Tribe Gaming

Commission pursuant to this Act or the Indian Gaming Regulatory Act, or whose prior

activities, criminal record, if any, or reputation, habits, and association pose a threat to the

effective regulation and control of the gaming activity subject to the management contract, or

who has attempted in any way to unduly influence or interfere with the decision process

relating to any management contract or license.

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REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

§ 39. Termination

The Commissioner shall have the duty to bring before the Commission any charge of

any unfair or illegal practice of any licensee or manager, which charge shall constitute

grounds for temporary suspension by the Commissioner or termination by the Commission of

any license or management contract. The same procedure as provided herein under Section

31. et seq., will be followed here.

§ 40. Violation of Act by Licensee

Any violation of any provisions of this Act or of any of the Commissions rules by a

licensee, his agent, or employee, shall be deemed contrary to the public health, safety,

morals, good order, and general welfare of the Shawnee Tribe and the inhabitants of

Shawnee Tribal lands and shall be grounds for refusing to grant or renew a license or

management contract, for suspension or revocation of a license or management contract, or

for the filing of a complaint with the National Indian Gaming Commission.

§ 41-50. Reserved

CHAPTER 4

RULES OF OPERATION AND GENERAL ACCOUNTABILITY

Sections

51. Records, Returns and Audits

52. Rules of the game

53. Age limit for all gaming

54. Inherent sovereignty of the Shawnee Tribe.

55. Repeal

56-60. Reserved

§ 51. Records, Returns and Audits

It shall be the responsibility of the Shawnee Tribe Gaming Commission to promulgate

regulations establishing proper accounting procedures and methods of operations for all

licensees of Class II and Class Ill gaming activities, so that all monies or things of value

received and paid out may be properly monitored and accounted for. All licensees under this

Act shall be required to abide by an approved accounting system, which shall comply with,

but not be limited to, all applicable provisions of this Act or regulations of the Commission.

Said accounting system shall reflect all business and financial transactions involved or

connected in any manner with the operation and conducting of activities authorized by this

Act. The Commission shall have the right to subpoena records or to secure a court order to

seize records for property not surrendered.

No applicant, license or employee thereof shall neglect or refuse to produce records or

evidence, or to give information upon proper and lawful demand by the Commissioner or

Commission, or to otherwise interfere or attempt to interfere with any proper and lawful efforts

by the Executive Director or the Commission to produce such information. The Commission

may conduct such hearings as deemed necessary to insure compliance with the provisions of

this Act and accountability for all monies received and spent. Failure to comply with the

provisions of this Act shall constitute grounds for complaint with the National Indian Gaming

Commission and summary suspension or revocation of any license or management contract.

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REGULATION AND LICENSING OF GAMING ON INDIAN LANDS

§ 52. Rules of the game

It shall be the responsibility of the Shawnee Tribe Gaming Commission to promulgate

regulations establishing the particular rules of any given Class II or Class Ill gaming in order

that said gaming will be conducted with fairness and uniformity.

§ 53. Age limit for all gaming

No person who is under the age of 18 shall operate or be allowed to participate in any

manner in the operation of any Class II or Class Ill gaming activities. It shall be the

responsibility of any manager or licensed agent of the Shawnee Tribe to insure compliance

with this age limit requirement.

§ 54. Inherent sovereignty of the Shawnee Tribe.

With the passage of this legislative Act, notwithstanding any other law or ordinance,

this Act does not limit the inherent sovereignty of the Shawnee Tribe.

§ 55. Repeal

To the extent that they are inconsistent with this ordinance, all prior gaming ordinances

are hereby repealed.

§ 56-60. Reserved

CERTIFICATION

The foregoing resolution, number 2003-43, was duly adopted this date, May 5th 2003,

by a vote of the Shawnee Tribe Business Committee, resulting in a vote of 1 for,

O against, p abstaining, and J absent, with an established quorum.

Filed with

Ron c~KW~n, Chairman

Shawnee Tribe

The Shawnee Tribe Seal:

(embossed on original;

seal on first page in color on original)

Bureau of Indian Affairs Miami Field Office

Chairman, National Indian Gaming Commission

Attest

13
RESOLUTION NO. 2003-45

RESOLUTION TO ADOPT AN ORDINANCE FOR THE

SHAWNEE TRIBES REGULATION OF

CLASS II GAMING ON INDIAN LANDS

WHEREAS, the Shawnee Tribe is a federally recognized Indian Tribe, pursuant to an

Act of Congress known as Public Law 106-568, also known as the Shawnee Tribe Status Act

of 2000 and Title VII of the Omnibus Indian Advancement Act 114 Stat. 2868]; and

WHEREAS, the Shawnee Tribe is imbued with all inherent attributes of sovereignty,

having exclusive civil and governmental jurisdiction over its lands, and is organized pursuant

to a Constitution duly ratified by the members of the Shawnee Tribe on September 15, 2001;

and

WHEREAS, the Shawnee Tribe Business Committee is empowered to prescribe rules

and regulations, to enact laws, and to transact all business on behalf of the Tribe, in

accordance with Articles IV, VI, and VII of the Constitution of the Shawnee Tribe; and

WHEREAS, in certain treaties entered into between the Shawnee Tribe and the United

States, the Shawnee Tribe retained all of its inherent rights of self government and undertook

to provide protection to businesses that were located within its jurisdiction; and

WHEREAS, the Shawnee Tribe is desirous of providing a basis under tribal law to

authorize and regulate the conduct of Class II gaming operations on Indian lands of the

Shawnee Tribe, as defined by the Indian Gaming Regulatory Act of 1988; and

WHEREAS, the Shawnee Tribe desires to approve the attached SHAWNEE TRIBE

CLASS II GAMING OPERATIONS ORDiNANCE in order to set the terms for Class II gaming

on the Indian lands of the Shawnee Tribe as defined by the Indian Gaming Regulatory Act of

1988;

NOW THEREFORE BE IT RESOLVED, that the Shawnee Tribe Business Committee

herewith enacts the SHAWNEE TRIBE CLASS II GAMING OPERATIONS ORDINANCE, the

purpose of which is to authorize and regulate Class II gaming on the Indian lands of the

Shawnee Tribe as defined by the Indian Gaming Regulatory Act of 1988. The SHAWNEE

TRIBE CLASS II GAMING OPERATIONS ORDINANCE is attached and made a part of this

Resolution 2003-45.
RESOLUTION NO: 2003-45

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS II GAMING ON INDIAN LANDS

SHAWNEE TRIBE

CLASS II GAMING OPERATIONS ORDINANCE

I. Purpose

The Business Committee of the Shawnee Tribe (hereinafter referred to as the Tribe), which is

empowered by the Constitution of the Shawnee Tribe to prescribe rules and regulations, to enact laws,

and to transact all business on behalf of the Tribe, hereby enacts this ordinance in order to set the

terms for Class II gaming operations on tribal lands.

II. Gaming Authorized

Class II gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-497, 25 U.S.C. §

2703(7)(A) (IGRA) and by the regulations promulgated by the National Indian Gaming Commission at

25 C.F.R. § 502.3 (as published in the Federal Register at 57 FR 12382-1 2393, April 9, 1992) is hereby

authorized.

Ill. Ownership of Gaming

The Tribe shall have the sole propriety interest in and responsibility for the conduct of any

gaming operation authorized by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from Class II gaming shall be used only for the following purposes: to fund

tribal government operations and programs; provide for the general welfare of the Tribe and its

members; promote tribal economic development; donate to charitable organizations; or help fund

operations of local governmeht agencies.

B. If the Tribe elects to make per capita payments to tribal members, it shall authorize such

payments only upon approval of a plan submitted to the Secretary of the Interior under 25 U.S.C. §

271 0(b)(3).

V. Audit

A. The Tribe shall cause to be conducted annually an independent audit of gaming operations

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.

VI. Protection of the Environment and Public Health and Safety

Class II gaming facilities shall be constructed, maintained and operated in a manner that

adequately protects the environment and the public health and safety.

VII. Licenses for Key Employees and Primary Management Officials

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 Class II gaming

enterprise operated on Indian lands:

A. For the purposes of this section, the following definitions apply:

1. Key employee means

(a). A person who performs one or more of the following functions:

(1). Bingo caller;

(2). Counting room supervisor;

(3). Chief of security;

(4). Custodian of gaming supplies or cash;

(5). Floor manager;

2
RESOLUTION NO: 2003-45

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS II GAMING ON INDIAN LANDS

(6). Pit boss;

(7). Dealer;

(8). Croupier;

(9). Approver of credit;

(10). 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.

2. Primary management official means

(a) The person having management responsibility for a management contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

(2) To set up working policy for the gaming operation; or

(c) The chief financial officer or other person who has financial management

responsibility.

B. Application Forms.

1. The following notice shall be placed on the application form for a key employee or a

primary management official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the following information is

provided: Solicitation of the information on this form is authorized by 25

U.S.C. 2701 et seq. The purpose of the requested information is to

determine the eligibility of individuals to be employed in a gaming operation.

The information will be used by National Indian Gaming Commission

members and staff who have need for the information in the performance of

their official duties. The information may be disclosed to appropriate Federal,

Tribal, State, local, or foreign law enforcement and regulatory agencies when

relevant to civil, criminal or regulatory investigations or prosecutions or when

pursuant to a requirement by a tribe or the National Indian Gaming

Commission in connection with the hiring or firing of an employee, the

issuance är 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 tribes 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.

2. Existing key employees and primary management officials shall be notified in writing

that they shall either:

(a). Complete a new application form that contains a Privacy Act notice; or

(b). Sign a statement that contains the Privacy Act notice and consent to the

routine uses described in that notice.

3. The following notice shall be placed on the application form for a key employee or a

primary official before that form is filled out by an applicant:

A false statement on any part of your application may be grounds for not hiring you,

or for firing you after you begin work. Also, you may be punished by fine or

imprisonment. (U.S. Code, title 18, § 1001).

3
RESOLUTION NO: 2003-45

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS II GAMING ON INDIAN LANDS

4. The Tribe shall notify in writing existing key employees and primary management

officials that they shall either:

(a). Complete a new application form that contains a notice regarding false

statements; or

(b). Sign a statement that contains the notice regarding false statements.

C. Background Investigations

1. The Tribe shall request from each primary management official and from each key

employee all of the following information:

(a). Full name, other names used (oral and written), social security number(s),

birth date, place of birth, citizenship, gender, all languages (spoken or

written);

(b). Currently and for the previous 5 years: business and employment positions

held, ownership interests in those businesses, business and residence

addresses, and drivers license numbers;

(C). The names and current addresses of at least three personal references,

including one personal reference who was acquainted with the applicant

during each period of residence listed under paragraph (1)(b) of this

section;

(d). Current business and residence telephone numbers;

(e). A description of any existing and previous business relationships with

Indian tribes, including ownership interests in those businesses;

(f). A description of any existing and previous business relationships with the

gaming industry generally, including ownership interests in those

businesses;

(g). The name and address of any licensing or regulatory agency with which

the person has filed an application for a license or permit related to

gaming, whether or not such license or permit was granted;

(h). For each felony for which there is an on-going prosecution or a conviction,

the charge, the name, and address of the court involved, and the date and

disposition if any;

(i). For each misdemeanor conviction or on-going misdemeanor prosecution

(excluding minor traffic violations), within 10 years of the date of the

application, the name and address of the court involved and the date and

disposition;

(j). For each criminal charge (excluding minor traffic charges), whether or not

there is a conviction, if such criminal charge is within 10 years of the date of

the application and is not otherwise listed pursuant to paragraph (1 )(h) or

(1)(i) of this section, the criminal charge, the name and address of the court

involved and the date and disposition;

(k). 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;

(I). A current photograph;

(m). Any other information the Tribe deems relevant; and

(n). Fingerprints consistent with procedures adopted by the Tribe according to

25 C.F.R. § 522.2(h). Fingerprints shall be required for employees defined

as key employees and primary management officials only unless otherwise

requested by the Tribal Gaming Commission.

4
RESOLUTION NO: 2003-45

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS II GAMING ON INDIAN LANDS

2. The Tribe shall conduct an investigation sufficient to make a determination under

subsection~ D, below. In conducting a background investigation, the Tribe or its

agent shall promise to keep confidential the identity of each person interviewed in

the course of the investigation.

0. Eligibility Determination

The Tribe shall review a persons prior activities, criminal record, if any, and reputation, habits

and associations to make a finding concerning the eligibility of a key employee or primary

management official for employment in a gaming operation. If the Tribe determines that employment

of the person poses a threat to the public interest or to the effective regulation of gaming, or creates or

enhances dangers of unsuitable, unfair, or illegal practices and methods and activities in the conduct

of gaming, a tribal gaming operation shall not employ that person in a key employee or primary

management official position.

E. Procedures for Forwarding Applications and Reports for Key Employees and Primary

Management Officials to the National Indian Gaming Commission

1. When a key employee or primary management official begins work at a gaming

operation authorized by this ordinance, the Tribe 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.

2. The Tribe shall forward the report referred to in subsection F of this section to the

National Indian Gaming Commission within 60 days after an employee begins work

or within 60 days of the approval of this ordinance by the Chairman of the National

Indian Gaming Commission.

3. The gaming operation shall not employ as a key employee or primary management

official a person who does not have a license after 90 days.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in subsection E of this section, the Tribe shall

prepare and forward to the National Indian Gaming Commission an investigative

report on each background investigation. An investigative report shall include all of

the following:

(a). Steps taken in conducting a background investigation;

(b). Results obtained;

(C). Conclusions reached; and

(d). The bases for those conclusions.

2. The Tribe shall submit, with the report, a copy of the eligibility determination made

under subsection D of this section.

3. If a license is not issued to an applicant, the Tribe:

(a). Shall notify the National Indian Gaming Commission; and

(b). May forward copies of its eligibility determination and investigative report (if

any) to the National Indian Gaming Commission for inclusion in the Indian

Gaming Individuals Records System.

4. With respect to key employees and primary management officials, the Tribe shall

retain appliÆations for employment and reports (if any) of background investigations

for inspectiOn by the Chairman of the National Indian Gaming Commission or his or

her designee for no less than three (3) years from the date of termination of

employment.

G. Granting a Gaming License

1. 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

5
I

RESOLUTION NO: 2003-45

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS II GAMING ON INDIAN LANDS

provided an application and investigative report to the National Indian Gaming

Commission, the Tribe may issue a license to such applicant.

2. The Tribe 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 30-day period under paragraph G.1. of this section until the Chairman of the

National Indian Gaming Commission receives the additional information.

3. 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 to a primary management official for

whom the Tribe 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.

H. License Suspension

1. If, after the issuance of a gaming license, the Tribe receives from the National

Indian Gaming Commission reliable information indicating that a key employee or a

primary management official is not eligible for employment under subsection 0.

above, the Tribe shall suspend such license and shall notify in writing the licensee

of the suspension and the proposed revocation.

2. The Tribe shall notify the licensee of a time and a place for a hearing on the

proposed revocation of a license.

3. After a revocation hearing, the Tribe shall decide to revoke or to reinstate a gaming

license. The Tribe shall notify the National Indian Gaming Commission of its

decision.

VIII. License Locations

The Tribe shall issue a separate license to each place, facility, or location on Indian lands

where Class II gaming is conducted under this ordinance.

IX. Repeal

To the extent that they are inconsistent with this ordinance, all prior gaming ordinances are

hereby repealed.

X. Agent for Service

All notices and other legal service related to activities under this ordinance should be delivered

by certified mail to:

Kip Kubin

Bottaro, Morefield & Kubin, L.C.

4700 Belleview, Suite 404

Kansas City, MO 64112-1359

Xl. Procedures for Background Investigations of Key Employees and Primary Management

Officials

The Shawnee Tribe Gaming Commission (sometimes referred to as the STGC) is

responsible for conducting all background investigations and suitability determination. The members

of the STGC are appointed by the Chairman of the Shawnee Tribe. The STGC will:

A. Designate an agent to conduct the background investigations.

B. Review and approve all investigative work done by an agent of the Commission.

6
RESOLUTION NO: 2003-45

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS II GAMING ON INDIAN LANDS

C. Report the results of the background investigations to the National Indian Gaming

Commission.

D. Make arrangements with a local law enforcement agency approved to take fingerprints

and to forward these prints directly to the National Indian Gaming Commission for

processing through the Federal Bureau of Investigation. All resulting reports will be

sent to the STGC.

E. Make suitability determination of background characteristics based upon the results of

the background investigation.

F. Verify by written and/or documented oral communication the following items

concerning a prospective employee:

1. Prior activities.

2. Criminal record and reputation.

3. Interviews of a sufficient number of former employers, personal references, and

other applicable individuals in reference to the applicant.

4. Document the disposition of all potential problem areas noted and disqualifying

information obtained.

G. Prepare an investigative report setting forth the following:

1. Steps taken in conducting the background investigation.

2. Results obtained.

3. Conclusions reached and the bases for those conclusions.

H. The Tribe shall conduct an investigation sufficient to make.a determination under 25

C.F.R. § 558.2. In conducting the background investigation, the Tribe or its agents

shall promise to keep confidential the identity of each person interviewed in the course

of the investigation.

XII. Procedures for Dispute Resolution with the Gaming Public

The Shawnee Tribe Gaming Commission is responsible for the resolution of disputes between

the gaming public (the patrons) and the Tribe and/or the Tribes management contractor. The

following procedures shall apply to the various types of disputes:

A. Refusal to Pay Winners: Whenever the gaming enterprise refuses payment of alleged

winnings to patron, and the enterprise and the patron are unable to resolve the dispute to

the satisfaction of the patron and dispute involves:

1. At least five hundred dollars ($500), the enterprise shall immediately notify the

STGC for investigative action; or

2. Less than five hundred dollars ($500), the enterprise shall inform the patron of his or

her right to request that the STGC conduct an investigation. The STGC, through an

inspector, shall conduct whatever investigation it deems necessary and shall

determine whether payment should be made.

B. Notice to Patrons: The STGC inspector shall mail written notice by certified mail, return

receipt requested, to the enterprise and the patron of his or her decision resolving the

dispute within thirty (30) days after the date that the STGC first receives notification from

the enterprise or a request to conduct an investigation from the patron.

C. Inspector Decision: The decision of the inspector is effective on the date it is received by

the aggrieved party as reflected on the return receipt.

D. Review of Decision: Within thirty (30) days after the date of receipt of the written decision

of the inspector, the aggrieved party may file a petition with the STGC requesting a review

of the decision. The STGC may set a hearing on the matter or may make a decision

based solely upon the inspectors decision and other documentation provided to it by the

patron and the enterprise. The STGC shall then issue a written decision and mail it to the

parties pursuant to the procedures et forth in Section XlI.B. The decision of the STGC

shall be final and binding upon the patron and the enterprise and shall not be subject to

7
RESOLUTION NO: 2003-45

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS II GAMING ON INDIAN LANDS

judicial review or other legal action in the courts of the state where the enterprise is

located.

XIII. Inherent sovereignty of the Shawnee Tribe.

With the passage of this legislative act notwithstanding any other law or ordinance, this ordinance

does not limit the inherent sovereignty of the Shawnee Tribe.

CERTIFICATION

The foregoing resolution, number 2003-45, was duly adopted this date, May 5th, 2003,

by a vote of the Shawnee Tribe Business Committee, resulting in a vote of 7 for,

C against, c abstaining, and / absent, with an established quorum.

~~ar~1bman

Shawnee Tribe

Attest:

Shin ySta us, ecretary

Shawnee Tribe

The Shawnee Tribe Seal:

(embossed through all pages on original;

seal on first page in color on original)

Filed with

Bureau of Indian Affairs - Miami Field Office

Chairman, National Indian Gaming Commission

8
RESOLUTION NO. 2003-47

RESOLUTION TO ADOPT AN ORDINANCE FOR THE

SHAWNEE TRIBES REGULATION OF

CLASS III GAMING ON INDIAN LANDS

WHEREAS, the Shawnee Tribe is a federally recognized Indian Tribe, pursuant to an

Act of Congress known as Public Law 106-568, also known as the Shawnee Tribe Status Act

of 2000, also known as TITLE VII of the Omnibus Indian Advancement Act (114 Stat. 2868);

and

WHEREAS, the Shawnee Tribe is imbued with all inherent attributes of sovereignty,

having exclusive civil and governmental jurisdiction over its lands, and is organized pursuant to

a Constitution duly ratified by the members of the Shawnee Tribe on September 15, 2001; and

WHEREAS, the Shawnee Tribe Business Committee is empowered to prescribe rules

and regulations, to enact laws, and to transact all business on behalf of the Tribe, in

accordance with Articles IV, VI, and VII of the Constitution of the Shawnee Tribe; and

WHEREAS, in certain treaties entered into between the Shawnee Tribe and the United

States, the Shawnee Tribe retained all of its inherent right of self government and undertook to

provide protection to businesses that were located within its jurisdiction; and

WHEREAS, the Shawnee Tribe is desirous of providing a basis under tribal law to

authorize and regulate theconduct of gaming on Indian lands of the Shawnee Tribe, including

entering into tribal-state compacts with the states where Shawnee Indian lands are located and

entering into appropriate management contacts with management agents to provide for the

establishment and operation of Class II and Class II gaming operations, as defined by the

Indian Gaming Regulatory Act of 1988; and

WHEREAS, the Shawnee Tribe accordingly desires to approve the attached

SHAWNEE TRIBE CLASS Ill GAMING OPERATIONS ORDINANCE;

NOW THEREFORE BE IT RESOLVED, that the Shawnee Tribe Business

Committee herewith enacts the SHAWNEE TRIBE CLASS III GAMING OPERATIONS

ORDINANCE, the purpose of which is to authorize and regulate Class Ill gaming on the

Indian lands of the Shawnee Tribe as defined by the Indian Gaming Regulatory Act of 1988.

The SHAWNEE TRIBE CLASS III GAMING OPERATIONS ORDINANCE is attached and

made a part of this Resolution 2003-47.
RESOLUTION NO: 2003-47

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS III GAMING ON INDIAN LANDS

SHAWNEE TRIBE

CLASS III GAMING OPERATIONS ORDINANCE

I. Purpose

The Business Committee of the Shawnee Tribe (hereinafter referred to as the Tribe), which is

empowered by the Constitution of the Shawnee Tribe to prescribe rules and regulations, to enact laws,

and to transact all business on behalf of the Tribe, hereby enacts this ordinance in order to set the

terms for Class III gaming operations on tribal lands.

II. Gaming Authorized

Class Ill gaming as defined in the Indian Gaming Regulatory Act, P.L. 100-497, 25 U.S.C.

Section 2703(8) (IGRA) and by the regulations promulgated by the National Indian Gaming

Commission at 25 C.F.R. § 502.4 (as published in the Federal Register at 57 FR 12382-1 2393, April 9,

1992) is hereby authorized.

III. Ownership of Gaming

The Tribe shall have the sole propriety interest in and responsibility for the conduct of any

gaming operation authorized by this ordinance.

IV. Use of Gaming Revenue

A. Net revenues from Class Ill gaming shall be used only for the following purposes: to fund

tribal government operations and programs; provide for the general welfare of the Tribe and its

members; promote tribal economic development; donate to charitable organizations; or help fund

operations of local government agencies.

B. If the Tribe elects to make per capita payments to tribal members, it shall authorize such

payments only upon approval of a plan submitted to the Secretary of the Interior under 25 U.S.C. §

271 0(b)(3).

V. Audit

A. The Tribe shall cause to be conducted annually an independent audit of gaming operations

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.

VI. Protection of the Environment and Public Health and Safety

Class Ill gaming facilities shall be constructed, maintained and operated in a manner that

adequately protects the environment and the public health and safety.

VII. Licenses for Key Employees and Primary Management Officials

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 Class II gaming

enterprise operated on Indian lands:

A. For the purposes of this section, the following definitions apply:

1. Key employee means

(a). A person who performs one or more of the following functions:

(1). Bingo caller;

(2). Counting room supervisor;

(3). Chief of security;

2
RESOLUTION NO: 2003-47

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS 1(1 GAMING ON INDIAN LANDS

(4). Custodian of gaming supplies or cash;

(5). Floor manager;

(6). Pit boss;

(7). Dealer;

(8). Croupier;

(9). Approver of credit;

(10). 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.

2. Primary management official means

(a) The person having management responsibility for a management contract;

(b) Any person who has authority:

(1) To hire and fire employees; or

(2) To set up working policy for the gaming operation; or

(c) The chief financial officer or other person who has financial management

responsibility.

B. Application Forms.

1. The following notice shall be placed on the application form for a key employee or a

primary management official before that form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the following information is

provided: Solicitation of the information on this form is authorized by 25

U.S.C. 2701 et seq. The purpose of the requested information is to

determine the eligibility of individuals to be employed in a gaming operation.

The information will be used by National Indian Gaming Commission

members and staff who have need for the information in the performance of

their official duties. The information may be disclosed to appropriate Federal,

Tribal, State, local, or foreign law enforcement and regulatory agencies when

relevant to civil, criminal or regulatory investigations or prosecutions or when

pursuant to a requirement by a tribe or the National Indian Gaming

Commission in connection with the hiring or firing of an employee, the

issuance or revocation of a gaming license, or investigations of activities while

associated with a tribe or a gaming operation. Failure to consent to the

disclosures indicated in this notice will result in a tribes 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.

2. Existing key employees and primary management officials shall be notified in writing

that they shall either:

(a). Complete a new application form that contains a Privacy Act notice; or

(b). Sign a statement that contains the Privacy Act notice and consent to the

routine uses described in that notice.

3. The following notice shall be placed on the application form for a key employee or a

primary official before that form is filled out by an applicant:

A false statement on any part of your application may be grounds for not hiring you,

or for firing you after you begin work. Also, you may be punished by fine or

imprisonment. (U.S. Code, title 18, § 1001).

3
RESOLUTION NO: 2003-47

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS III GAMING ON INDIAN LANDS

4. The Tribe shall notify in writing existing key employees and primary management

officials that they shall either:

(a). Complete a new application form that contains a notice regarding false

statements; or

(b). Sign a statement that contains the notice regarding false statements.

C. Background Investigations

1. The Tribe shall request from each primary management official and from each key

employee all of the following information:

(a). Full name, other names used (oral and written), social security number(s),

birth date, place of birth, citizenship, gender, all languages (spoken or

written);

(b). Currently and for the previous 5 years: business and employment positions

held, ownership interests in those businesses, business and residence

addresses, and drivers license numbers;

(c). The names and current addresses of at least three personal references,

including one personal reference who was acquainted with the applicant

during each period of residence listed under paragraph (1)(b) of this

section;

(d). Current business and residence telephone numbers;

(e). A description of any existing and previous business relationships with

Indian tribes, including ownership interests in those businesses;

(f). A description of any existing and previous business relationships with the

gaming industry generally, including ownership interests in those

businesses;

(g). The name and address of any licensing or regulatory agency with which

the person has filed an application for a license or permit related to

gaming, whether or not such license or permit was granted;

(h). For each felony for which there is an on-going prosecution or a conviction,

the charge, the name, and address of the court involved, and the date and

disposition if any;

(i). For each misdemeanor conviction or on-going misdemeanor prosecution

(excluding minor traffic violations), within 10 years of the date of the

application, the name and address of the court involved and the date and

disposition;

(j). For each criminal charge (excluding minor traffic charges), whether or not

there is a conviction, if such criminal charge is within 10 years of the date of

the application and is not otherwise listed pursuant to paragraph (1)(h) or

(1)(i) of this section, the criminal charge, the name and address of the court

involved and the date and disposition;

(k). 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;

(I). A current photograph;

(m). Any other information the Tribe deems relevant; and

(n). Fingerprints consistent with procedures adopted by the Tribe according to

25 C.F.R. § 522.2(h). Fingerprints shall be required for employees defined

as key employees and primary management officials only unless otherwise

requested by the Tribal Gaming Commission.

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RESOLUTION NO: 2003-47

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS III GAMING ON INDIAN LANDS

2. The Tribe shall conduct an investigation sufficient to make a determination under

subsection D, below. In conducting a background investigation, the Tribe or its

agent shall promise to keep confidential the identity of each person interviewed in

the course of the investigation.

D. Eligibility Determination

The Tribe shall review a persons prior activities, criminal record, if any, and reputation, habits

and associations to make a finding concerning the eligibility of a key employee or primary

management official for employment in a gaming operation. If the Tribe determines that employment

of the person poses a threat to the public interest or to the effective regulation of gaming, or creates or

enhances dangers of unsuitable, unfair, or illegal practices and methods and activities in the conduct

of gaming, a tribal gaming operation shall not employ that person in a key employee or primary

management official position.

E. Procedures for Forwarding Applications and Reports for Key Employees and Primary

Management Officials to the National Indian Gaming Commission

1. When a key employee or primary management official begins work at a gaming

operation authorized by this ordinance, the Tribe 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.

2. The Tribe shall forward the report referred to in subsection F of this section to the

National Indian Gaming Commission within 60 days after an employee begins work

or within 60 days of the approval of this ordinance by the Chairman of the National

Indian Gaming Commission.

3. The gaming operation shall not employ as a key employee or primary management

official a person who does not have a license after 90 days.

F. Report to the National Indian Gaming Commission

1. Pursuant to the procedures set out in subsection E of this section, the Tribe shall

prepare and forward to the National Indian Gaming Commission an investigative

report on each background investigation. An investigative report shall include all of

the following:

(a). Steps taken in conducting a background investigation;

(b). Results obtained;

(c). Conclusions reached; and

(d). The bases for those conclusions.

2. The Tribe shall submit, with the report, a copy of the eligibility determination made

under subsection D of this section.

3. If a license is not issued to an applicant, the Tribe:

(a). Shall notify the National Indian Gaming Commission; and

(b). May forward copies of its eligibility determination and investigative report (if

any) to the National Indian Gaming Commission for inclusion in the Indian

Gaming Individuals Records System.

4. With respect to key employees and primary management officials, the Tribe shall

retain applications for employment and reports (if any) of background investigations

for inspection by the Chairman of the National Indian Gaming Commission or his or

her designee for no less than three (3) years from the date of termination of

employment.

G. Granting a Gaming License

1. 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

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RESOLUTION NO: 2003-47

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS III GAMING ON INDIAN LANDS

provided an application and investigative report to the National Indian Gaming

Commission, the Tribe may issue a license to such applicant.

2. The Tribe 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 30-day period under paragraph G.1. of this section until the Chairman of the

National Indian Gaming Commission receives the additional information.

3. 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 to a primary management official for

whom the Tribe 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.

H. License Suspension

1. If, after the issuance of a gaming license, the Tribe receives from the National

Indian Gaming Commission reliable information indicating that a key employee or a

primary management official is not eligible for employment under subsection D.

above, the Tribe shall suspend such license and shall notify in writing the licensee

of the suspension and the proposed revocation.

2. The Tribe shall notify the licensee of a time and a place for a hearing on the

proposed revocation of a license.

3. After a revocation hearing, the Tribe shall decide to revoke or to reinstate a gaming

license. The Tribe shall notify the National Indian Gaming Commission of its

decision.

VIII. License Locations

The Tribe shall issue a separate license to each place, facility, or location on Indian lands

where Class II gaming is conducted under this ordinance.

IX. Repeal

To the extent that they are inconsistent with this ordinance, all prior gaming ordinances are

hereby repealed.

X. Agent for Service

All notices and other legal service related to activities under this ordinance should be delivered

by certified mail to:

Kip Kubin

Bottaro, Morefield & Kubin, L.C.

4700 Belleview, Suite 404

Kansas City, MO 64112-1 359

Xl. Procedures for Background Investigations of Key Employees and Primary Management

Officials

The Shawnee Tribe Gaming Commission (sometimes referred to as the STGC) is

responsible for conducting all background investigations and suitability determination. The members

of the STGC are appointed by the Chairman of the Shawnee Tribe. The STGC will:

A. Designate an agent to conduct the background investigations.

B. Review and approve all investigative work done by an agent of the Commission.

C. Report the results of the background investigations to the National Indian Gaming

Commission.

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RESOLUTION NO: 2003-47

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS III GAMING ON INDIAN LANDS

D. Make arrangements with a local law enforcement agency approved to take fingerprints

and to forward these prints directly to the National Indian Gaming Commission for

processing through the Federal Bureau of Investigation. All resulting reports will be

sent to the STGC.

E. Make suitability determination of background characteristics based upon the results of

the background investigation.

F. Verify by written and/or documented oral communication the following items

concerning a prospective employee:

1. Prior activities.

2. Criminal record and reputation.

3. Interviews of a sufficient number of former employers, personal references, and

other applicable individuals in reference to the applicant.

4. Documentthe disposition of all potential problem areas noted and disqualifying

information obtained.

G. Prepare an investigative report setting forth the following:

1. Steps taken in conducting the background investigation.

2. Results obtained.

3. Conclusions reached and the bases for those conclusions.

H. The Tribe shall conduct an investigation sufficient to make a determination under 25

C.F.R. § 558.2. In conducting the background investigation, the Tribe or its agents

shall promise to keep confidential the identity of each person interviewed in the course

of the investigation.

XII. Procedures for Dispute Resolution with the Gaming Public

The Shawnee Tribe Gaming Commission is responsible for the resolution of disputes between

the gaming public (the patrons) and the Tribe and/or the Tribes management contractor. The

following procedures shall apply to the various types of disputes:

A. Refusal to Pay Winners: Whenever the gaming enterprise refuses payment of alleged

winnings to patron, and the enterprise and the patron are unable to resolve the dispute to

the satisfaction of the patron and dispute involves:

1. At least five hundred dollars ($500), the enterprise shall immediately notify the

STGC for investigative action; or

2. Less than five hundred dollars ($500), the enterprise shall inform the patron of his or

her right to request that the STGC conduct an investigation. The STGC, through an

inspector, shall conduct whatever investigation it deems necessary and shall

determine whether payment should be made.

B. Notice to Patrons: The STGC inspector shall mail written notice by certified mail, return

receipt requested, to the enterprise and the patron of his or her decision resolving the

dispute within thirty (30) days after the date that the STGC first receives notification from

the enterprise or a request to conduct an investigation from the patron.

C. Inspector Decision: The decision of the inspector is effective on the date it is received by

the aggrieved party as reflected on the return receipt.

D. Review of Decision: Within thirty (30) days after the date of receipt of the written decision

of the inspector, the aggrieved party may file a petition with the STGC requesting a review

of the decision. The STGC may set a hearing on the matter or may make a decision

based solely upon the inspector~s decision and other documentation provided to it by the

patron and the enterprise. The STGC shall then issue a written decision and mail it to the

parties pursuant to the procedures set forth in Section XIl.B. The decision of the STGC

shall be final and binding upon the patron and the enterprise and shall not be subject to

judicial review or other legal action in the courts of the state where the enterprise is

located.

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RESOLUTION NO: 2003-47

RESOLUTION TO ADOPT AN ORDINANCE FOR THE SHAWNEE TRIBES

REGULATION OF CLASS III GAMING ON INDIAN LANDS

XIII. Inherent sovereignty of the Shawnee Tribe.

With the passage of this legislative act notwithstanding any other law or ordinance, this ordinance

does not limit the inherent sovereignty of the Shawnee Tribe.

CERTIFICATION

The foregoing resolution, number 2003-47, was duty adopted this date, May 5th 2003,

by a vote of the Shawnee Tribe Business Committee, resulting in a vote of for,

p against, ~ abstaining, and / absent, with an established quorum.

R~~r~rman

Shawnee Tribe

Attest:

~

Shawnee Tribe

The Shawnee Tribe Seal:

(embossed through all pages on original;

seal on first page in color on original)

Filed with

Bureau of Indian Affairs - Miami Field Office

Chairman, National Indian Gaming Commission

8