OMAHA TRIBE OF NEBRASKA

P. 0. Box 368

Macy, Nebraska 68039

EXECUTIVE OFFICERS

Dr. Rudi L. Mitchell, Chairman

Mitchell Parker, Vice-Chairman

L. Arnie Hailan, Treasurer

Nate J. Parker, Sr., Secretary TRIBAL ADMINISTRATION

RESOLUTION No. 95- J 0 S

OF THE

OMAHA TRIBE OF NEBRASKA

PH (402) 837-5391

FAX (402) 837-5308

MEMBERS

Doran L. Moms, Sr.

Clyde Tyndall

Clifford A. Wolfe, Jr.

Re: Amended and Restated Gaming Code

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

the Omaha Tribe of Nebraska (the ~TribeH) is a federally recognized

Indian tribe organized pursuant to the Indian Reorganization Act of

June 18, 1934 (48 Stat. Sec. 984) (25 USC Sec. 476, et seq.) as amended;

and

pursuant to Article IV, Section 1 U) of the Constitution t)f the Tribe, the

Tribe has the power to regulate trade, commerce and all manner of

criminal and non-criminal conduct on its reservation; and

pursuant to the Indian Gaming Regulatory Act, P.L. 100-497, codified at

25 U.S.C. Sec. 2701, et seq., the Tribe may engage in Class HI Gaming

pursuant to a Compact with a State and so long as such gaming is

conducted in accordance with that Compact and a Gaming Code is duly

adopted by the Tribe; and

on December 30, 1991, the sovereign Indian Nation of the Omaha Tribe

of Nebraska and the sovereign State of Iowa entered into a Compact for

the conduct of Class HI Gaming on the Tribes lands in the State of Iowa;

and

pursuant to the terms of the Compact, the Tribe is required to enact and

enforce a Gaming Code which meets, or exceeds, the standards set forth

in the Compact; and

on April 13, 1992, the Tribe adopted the Omaha Tribe of Nebraska Class

III Iowa Gaming Code, Title XII (the Code); and

the National Indian Gaming Commission (the NTGC) has requested that

certain changes be made to the Code in order to bring the Code into

01/151063.1
compliance with regulatory requirements &nd bulletins promulgated by the

NTGC; and

WHEREAS, the Tribal Council has caused the Code to be amended to incorporate the

changes requested by the NTGC.

NOW, THEREFORE, BE iT RESOLVED THAT, the attached Omaha Tribe of

Nebraska Amended and Restated Class III Iowa Gaming Code, Title XII

should be, and is hereby, enacted into law and shall be effective the date

and time of passage of this Resolution.

CERTIFICATION

This is to certify that the foregoing Resolution was considered at a meeting of~i~ Tribal

Council of the Omaha Tribe of Nebraska, duly called and held on the /day of.J4N~

1995, at/c2~&Rm., and was adopted by a vote of 5 for C against, and c~

not voting or absent. A quorum of ~ was present with the Chairman noivoting.

Dated this /day of _________, 1995, at ______

____.m.

Dr. Rudi L. Mitchell, Chairman

ArrEST:

~4~$~Ib4 ~1

RECEIVED:

Superintendent

Bureau of Indian Affairs

01/151063.1
-

g ~qq~

OMAHA TRIBE OF NEBRASKA

AMENDED AND RESTATED

CLASS III IOWA GAMING CODE

TITLE XII

As Amended as of August 8, 1995

01/139289.4
TABLE OF CONTENTS ~ 9 ~

Page

CLASS ifi GAMING CODE

Section 1. Title; Effective Date; Repealer 1

Section 2. Findings 1

Section 3. Purposes 2

Section 4. Definitions 3

Section 5. Games Permitted 8

Section 6. Tribal Gaming Commission 9

Section 7. Gaming Commission Regulation Making Authority .

22

Section 8. Gaming Commission Meetings 24

Section 9. Chairman of the Gaming Commission 25

Section 10. Primary Management Official 26

Section 11. Occupational Licensing 27

Section 12. Approval of Licenses; Submission to Jurisdiction . . .

34

Section 13. Conflict of Interest 35

Section 14. Application/License Fee; Resident Agent 35

Section 15. Types of Licenses and Registrations; Issuance and

Other Fees 35

Section 16. Licensee Ownership Rights 38

Section 17. Notice 38

Section 18. Reimbursement to Commission for Investigations . .

39

Section 19. Minimum Standards for Inspection and Approval of

Gambling Devices 39

Section 20. Security and Surveillance 39

Section 21. Accounting and Cash Control 40

Section 22. Operational Procedures and Game Rules 40

Section 23. Audits Inspections and Facility and Records Access .

40

Section 24. Documents Provided by the Tribe to the State 41

Section 25. Location of Gaming 42

Section 26. Jurisdiction 43

Section 27. Posting of Rules 44

Section 28. Age Limit for Players 44

Section 29. Exemption from 15 U.S.C. Sec. 1171 44

Section 30. Exemption from 15 U.S.C. Sections 1171 to 1177 .

45

Section 31. Illegal Games and Activities 45

Section 32. Civil Penalties for Persons or Entities Which are not Licensees 48

Section 33. Use of Gaming Billets and Coins; Alteration of Normal Operation of

Gambling Devices 49

Section 34. Enforcement of Administrative Fines 49

Section 35. Criminal Violations 49

01/139289.4
Section 36. Procedures for Dispute Resolution .

50

Section 37. Exclusion or Ejection of Certain Persons From Gaming

Establishment 50

Section 38. Minimum Payback 51

Section 39. Records of Gaming Commission 51

Section 40. Communications Between Members of the Commission and its

Agents 51

Section 41. Application Forms 53

Section 42. Calculation of Tune 53

Section 43. Limitations on Use of Gaming Revenues 53

Section 44. Assessment for Commission Operations 53

Section 45. Penalties 54

GAMING REGULATIONS

Exhibit A: Gambling Device Testing and Specifications

Exhibit B: Security and Surveillance Requirements

Exhibit C: Accounting and Cash Control

Exhibit D: Game Rules

Exhibit E: Operating Requirements

Exhibit F: Employee Licensing Procedures

Exhibit G: Administrative Hearings

01/139289.4 1_i
CLASS ifi GAMING CODE

Section 1. Title; Effective Date; 1~epea1er. This shall be known as the Omaha Tribe of

Nebraska Class ifi Iowa Gaining Code (Code). This Code is promulgated pursuant to

Article IV, Sections 1(h), (j) and (g) of the Constitution, the Bylaws and the inherent powers of

the Omaha Tribe of Nebraska (hereinafter Tribe) as a sovereign Indian Nation and sets forth

the terms for Class ifi Gaming operations on Indian Land (as that term is defmed generally at

25 U.S.C. Sec. 2703(4) and more specifically defined herein and Section 1.10 of the Compact).

The previous laws of the Tribe governing Class ifi Gaming, to the extent they apply in the State

of Iowa and are inconsistent with this Code, are repealed hereby at the date and time of

enactment hereof. This Code shall be effective at the date and time of enactment.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 2. Findings. The Tribal Council of the Tribe finds as follows:

(a) The Tribe has exclusive primary jurisdiction and concurrent secondary

jurisdiction with the State of Iowa and the United States of America to regulate Class ifi

Gaming on Indian Lands, as more specifically delineated in Article 17 of the Compact,

which provides for a division of jurisdiction pursuant to 25 U.S.C.

Sec. 27 10(d) (3)(C) (ii)).

(b) The Tribe has the sole propriety interest in and responsibility for the

conduct of any gaming operation authorized by this Code (unless the Tribe elects to allow

individually owned gaming) and, by this Code, the Tribe has the authority to operate

Class ifi Gaming activities on Indian Lands. (Class ifi Gaming is more specifically

defined in 25 U.S.C. Sec. 2703(8) and at 25 C.F.R. §502.4.)

(c) The Indian gaming industry is vitally important to the economy of the

Tribe and the health and general welfare of its Citizens as well as the economy of the

area surrounding the Tribes reservation and the inhabitants of such surrounding areas.

(d) The continued growth and success of Indian gaming is dependent upon

public confidence and trust that Indian gaming is conducted honestly and competitively

and that Indian gaming is free from criminal and corrupt elements.

(e) Public confidence and trust can only be maintained by strict and fair

regulation of all persons, practices and activities related to the operation of Indian

gaming.

01/139289.4
(f) It is essential to the health, safety and general welfare of the Citizens of

the Tribe that standards and regulations to govern the conduct of Class ifi Gaming

activities be established and promulgated.

(g) Gaming is a socially acceptable method of recreation and a valid and

efficient means for enhancing governmental revenue, provided that it is properly, fairly

and fully regulated.

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

as the terms of any Management Contract referred to in Section 10 hereof or,

specifically, the Management Agreement between the Tribe and Larita, Inc. dated

August 22, 1991 (Management Agreement).

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 3. Purposes. This Code was promulgated in order to regulate the conduct of

Class ifi Gaming on Indian Lands located in the State of Iowa and to implement the following

purposes:

(a) To promote tribal economic development;

(b) To enhance employment opportunities for Tribal Citizens as well as

residents of the Tribes reservation and the surrounding area;

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

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

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

Tribal Citizens;

(e) To assure that the Tribe is the primary beneficiary of Class ifi Gaming and

that a minimum of 20% of the profits received by the Tribe from the operation of Class

ifi Gaming are used to promote economic development, education, governmental

services, health and the general welfare of the Tribe and its Citizens;

(I) To develop and implement an effective regulatory scheme for the conduct

of Class III Gaming on Indian Lands and to assure that such gaming adequately protects

the environment and is clean, well-run and provides safe and fair entertainment for its

customers;

(g) To provide a basis for the operation and regulation of Class ifi Gaming

by the Tribe as a means of promoting Tribal economic development, self-sufficiency and

full employment of Tribal Citizens and a strong Tribal government;

01/139289.4 2
(h) To assure that all Class ifi Gaming activities will be conducted under the

exclusive ownership, control and responsibility of the Tribe, subject to the rights of

Larita, Inc. under the Management Agreement;

(i) To assure that the Tribe will receive at least 60% of the net revenues of

all Class III Gaming activities conducted pursuant to this Code;

(j) To comply with the Indian Gaming Regulatory Act, Public Law 100-497,

102 Stat. 2425, codified at 24 U.S.C. Sec. 2701, et seq. (1988) (hereinafter referred to

as the Act), and the Compact and to set forth the procedure and requirements for

investigating, licensing and regulating Class ifi Gaming on Indian Lands.

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

(1) To assure that the profits derived from Class ifi Gaming are accurately

reported, are transferred to the rightful parties and are used for the pulposes intended;

(m) To assure honesty and financial integrity of all Class ifi Gaming conducted

pursuant to this Code and the Compact;

(n) To deter any criminality, or the potential for any criminality to occur, and

to shield any Class ifi Gaming from any involvement with organized crime or other

corrupting influences; and

(o) To protect, preserve and enhance the economic and general welfare of the

public and the Citizens of both the Tribe and the State of Iowa.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 4. Definitions.

Act means the Indian Gaming Regulatory Act, Sections 2-24, Pub. L. 100-497,

102 Stat. 2425 (codified at 25 U.S.C. Sections 2701-2721 and 18 U.S.C. Sections

1166-1168 (1991)).

Applicant means any person, partnership, coiporation or entity applying for a

License pursuant to this Code.

Chairman means the Chairman of the Omaha Tribal Gaming Commission.

Class III Gaining means all gaming which is not Class I gaming or Class II

gaming, as defined herein, in Sections 2703(6) and 2703(7) of the Act, and the

regulations promulgated pursuant to those sections of the Act.

01/139289.4 3
Class II! Gaining Equipment means all proprietary devices, machines, and parts

used in the manufacture or maintenance of equipment which are used in and are an

integral part of the conduct of any Class ifi Gaming activity authorized pursuant to this

Code.

Class III Gaming Supplies means all tickets, cards, boards, sheets or other

supplies which are used in and are an integral part of the conduct of any Class ifi

Gaming activity authorized or regulated under this Code.

Commission and Commissioner means the Omaha Tribal Gaming Commission

and all members thereof, including the Chainnan.

Compact means the Tribal-State Compact, including the Appendices to the

Compact, both as amended from time to time, between the Omaha Tribe and the State

of Iowa.

DCr means the Division of Criminal Investigation of the Iowa Department of

Public Safety or the divisions designee.

Director means the Director of the Iowa Department of Inspections and Appeals

or the Directors designee.

Gambling Device means Video Games of Chance, Progressive Slot Machines

and Slot Machines.

Gaining Code and Code mean the laws, rules and Regulations of the Omaha

Tribe, as amended from time to time, which authorize, among other things, Class ifi

Gaming on Indian Lands.

Indian Land or Indian Lands means all lands on the Tribes reservation in

Iowa and all lands within the State of Iowa held in trust by the United States for the

benefit of the Tribe or held by the Tribe or any individual subject to restriction by the

United States against alienation and over which the Tribe exercises governmental power

which existed on the date of enactment of the Act, and lands within the State of Iowa

which may be acquired by the Tribe in the future and which meet the requirements of

Section 20 of the Act, 25 U.S.C. Sec. 2719.

Key Employee means a natural person who is employed in an executive capacity

or is empowered by the Operator to make discretionary decisions or exercise significant

influence over decisions which regulate casino operation and any other person designated

by the Regulations, including a person who performs one or more of the following

functions: bingo caller, counting room supervisor, chief of security, custodian of gaming

supplies or cash, floor manager, pit boss, dealer, croupier, approver of credit or

custodian of gambling devises including persons with access to cash and accounting

01/139289.4 4
records within such devises. This term shall also include any person whose total cash

compensation is in excess of $50,000 per year or the four most highly compensated

persons in the gaming operation.

License or Licensee means the authority to operate, regulate or manage Class

ifi Gaming on Tribal Land and the holder of such authority.

Lotteiy means a game for which tickets are sold, the winning ticket or tickets

being secretly predetermined or later selected in a chance drawing and in which the

holders of winning tickets receive money or something of value. The term chance

drawing includes the identification of winning numbers or symbols by an electronical,

mechanical or electromechanical device which makes the selection in a random manner.

The term Lottery includes keno and the types of games actually being conducted by

the Iowa Lottery unless the game is by definition a Video Game of Chance or Slot

Machine.

Management Contract means the complete agreement between the Tribe and a

Primary Management Official including all collateral agreements relating to gaming

activity.

Omaha Thbe or Tribe means the Omaha Tribe of Nebraska, tribal law

enforcement authorities and all governmental persons or entities acting under the

authority of the Omaha Tribe.

Pari-mutuel means a betting system in which all persons who bet share in an

established prize pool of similar bets.

Parlay Cards means a form of Sports Betting in which the player must correctly

select the winners in a specified minimum number of events in order to win.

Parties-in-interest or Party-in-interest shall include all trustees and

beneficiaries of a trust and spouses of such trustees or beneficiaries; parties of a

partnership and spouses of such partners, whether the partnership is a limited partnership

or a general partnership; the members of an association and spouses of such members

and; in the case of corporations, those individuals who are members of the board of

directors or officers of such corporation and spouses of officers of such corporation and

spouses of such members of the board or officers and each of its stockholders and

spouses of such stockholders who hold, directly or indirectly, applying the attribution

rules of Section 318 of the Internal Revenue Code (1986), 5% or more of its issued and

outstanding stock, or warrant or stock options entitling the holder to acquire 5 % or more

of its issued and outstanding stock at any time; and such other entities or natural persons

having a direct fmancial interest in, or management responsibility for, a Primary

Management Official or a Class ifi Gaming facility and; if any stockholder owning more

than 5 % of the stock of a corporate Primary Management Official is a corporation or

01/139289.4 5
partnership, every~ partner of such partnership and of such partners or stockholder and

spouses of such stockholders which own more than 5 % of the stock of such corporation

as well as corporate officers or members of the board of directors of such corporation

and spouses of such officers or members as well as those holding warrants or stock

options entitling them to acquire at any time 5 % or more of the stock; furthermore, such

corporation shall also be considered a Party-in-interest to the Primary Management

Official. In the event that a proposed Primary Management Official is a publicly held

corporation or partnership, whether general or limited, the term Parties-in-interest shall

mean all general partners and any limited partners holding greater than 30% of the issued

and outstanding partnership units of any class and; with respect to the publicly held

corporation, the officers and director plus any person holding greater than 30% of the

issued and outstanding stock of any class as well as the spouses of such officers;

members of the board of directors and partners, whether general or limited; as well as

those individuals holding options or warrants which would entitle them to acquire 30%

or more of the outstanding stock of such corporations or units of a partnership, applying

the attribution rules of Section 318 of the Internal Revenue Code (1986).

F~,ima~y Management Official means any individual, sole proprietorship,

partnership or corporation which manages and operates a Class ifi Gaming facility on

behalf of the Tribe pursuant to a Management Contract submitted for approval or

approved by the Bureau of Indian Affairs, the Chairman of the National Indian Gaming

Commission or such other federal agency or authority exercising the appropriate

jurisdiction under the Act. The Primary Management Official shall have authority to hire

and fire employees and set up working policies for the gaming operations, such person

may be the chief fmancial officer or any other person who has fmancial management

responsibility.

Progressive Slot Machine means a Slot Machine with a payoff which increases

as the Slot Machine is played.

Regulations means the Regulations promulgated by the Commission or the

Tribal Council pursuant to this Code.

Revoke shall mean to pennanently void and recall all rights and privileges to

hold or obtain a License.

Secretary means the Secretary of the United State Department of Interior.

Simulcasting means the closed-circuit television or radio transmission of a horse

or dog race at a racetrack to another facility at the same time the race is being

conducted.

Slot Machine means a mechanical or electronic Gambling Device into which a

player deposits coins or tokens and from which certain numbers or coins are paid out

01/139289.4 6
when a particular, random configuration of symbols appears on the reels or screen of the

device.

Sports Betting means the placing of bets or wagers on the outcome of any

athletic event, sporting event or similar contest, including, but not limited to, the playing

of Parlay Cards.

Sports Betting Pool means a game in which numbers are randomly selected for

the participants and winners are determined by whether the numbers selected correspond

to numbers relating to an athletic event in the manner prescribed by the rules of the

game.

State means the State of Iowa, including individuals, entities, political

subdivisions (including counties), agencies and all others using, claiming or in any

maimer asserting any right or power under the authority of the State of Iowa.

Suspend means to cause a temporary interruption of all rights and privileges of

a License.

Tribal Chairman means the duly elected Chairman of the Tribe.

Tribal Citizen or Citizen means a person who is an enrolled member of the

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

Tribal Court or Court means the judicial body of the Tribe.

Tribal Council or Council means the Omaha Tribal Council.

Tribal Gaining Commission, Gaming Commission and Commission means

the Omaha Tribal Gaming Commission established by the Tribe pursuant to this Code

as required by the Compact.

Tribe means the Omaha Tribe of Nebraska, a federally recognized Indian tribe

organized pursuant to Section 16 of the Act of June 18, 1934 (48 Stat. Sec. 984) (25

USC Sec. 476), as amended by the Act of June 15, 1935 (49 Stat. Sec. 378).

Video Game of Chance means a game of chance played on

microprocessor-controlled devices that simulate games commonly referred to as poker,

blackjack, craps, hi-b, keno, roulette, line-up symbols and numbers or other common

gambling forms which are activated by the insertion of a coin, token or currency and

which award coins, additional plays or a written or displayed statement of the amount of

a prize which is redeemable for cash.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

01/139289.4 7
Section 5. Games Permitted.

5.1. When Permissible. The Tribe may engage in Class ifi Gaming on Indian

Lands provided:

(a) Such gaming is conducted in accordance with the requirements of the Act;

(b) Iowa permits such gaming for any purpose by any person, organization or

entity; and

(c) Such gaming is conducted in conformance with the terms of the Compact,

the Regulations and this Code.

Any Class ifi Gaming activity conducted on Indian Land which does not meet these

requirements is illegal.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

5.2. Permissible Class III Gaining. The Tribe may conduct under the Act and

in compliance with the terms of this Code and the Compact the following Class ifi

Gaming activities:

(a) Dice games when played in accordance with this Code, the Compact and

the game rules described in the Regulations;

(b) Slot Machines, Progressive Slot Machines and Video Games of Chance

when played in accordance with this Code, the Compact and the game rules described

in the Regulations;

(c) Wheel games when played in accordance with this Code, the Compact and

the game rules described in the Regulations;

(d) Simulcasting when conducted in accordance with this Code, the Compact

and the game rules described in the Regulations;

(e) Card games when played in accordance with this Code, the Compact and

the game rules described in the Regulations;

(f) Sports Betting Pools and Sports Betting, including Parlay Cards, when

played in accordance with this Code, the Compact and the game rules described in the

Regulations;

(g) Lotteries, including keno, when played in accordance with this Code, the

Compact and the keno rules described in the Regulations; and

01/139289.4 8
(Ii) Parlor games when played in accordance with this Code, the Compact and

the game rules described in the Regulations.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

5.3. Additional Class III (James; Procedure for Approval. The Commission

shall have authority to approve by Regulation such additional Class ifi Gaming activities

as may be lawfully conducted pursuant to the Compact and Section 5.1 of this Code.

Prior to implementing any such newly approved Class ifi Gaming activity, the

Commission shall ask the Tribe to comply with Section 2.3 of the Compact and obtain

concurrence of the State in the conduct of such gaming. In connection with its request,

the Commission shall prepare a written application which shall be submitted to the Tribal

Chairman by the Commission. The application shall include any suggested amendments

to the Compact, or any appendices thereto, and shall specify the necessity (if any) of any

modifications to this Code or the Regulations which would be required by the conduct

of such games. Approval in accordance with the terms of the Compact must be received

prior to the implementation of such new Class fli Gaming activity.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 6. Tribal Gaming Commission. The Omaha Tribal Gaming Commission (the

Commission) is hereby established. The purpose of the Commission is to regulate the manner

in which Class ifi gaming is conducted. The Omaha Tribe depends on gaming revenues, in part,

to generate revenue to promote economic development, and to protect employment oppommities.

In order to help ensure that the gaming revenues continue, the Commission is authorized to

develop and implement regulations regarding Class ifi gaming, take necessary steps to ensure

that the gaming facilities comply with the Indian Gaming Regulatory Act, the Tribal Gaming

Ordinance and the Compact, and to take steps to deter any and all criminal activity.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.1. Establishment; Members; Terms; Appointments. There is established

hereby a Commission which will be appointed by the Tribal Council and called the

Omaha Tribal Gaming Commission. Commission membership shall be made up of 3

members, consisting of the Chairman, which is a full time position, and a Secretary and

a Treasurer which are each considered to be part time positions. In the event that the

Commission appoints an Executive Director, the Chairman wifi be compensated the same

as the Secretary and the Treasurer. The three Commissioners must be Tribal Citizens

who shall serve staggered three year terms under the direct authority of the Tribal

Council. Tribal government officials and employees of the Tribe shall not be eligible to

serve on the Commission. All openings on the Commission shall be publicly advertised.

Commissioners, as a prerequisite to appointment, shall be at least 25 years of age and

not have been an official of the Tribe within the two years preceding their appointment

to the Commission. Although not required, each Commissioner should have at a

01/139289.4 9
minimum a four year college degree, comparable work experience or a combination of

both. As a group, Commission members should have experience in business

management, law enforcement, criminal investigation, accounting and auditing.

6.2. Commissioners; Compensation. Both the Secretary and the Treasurer shall

receive $80 per day for each 8-hour day that the Commission is properly convened.

Compensation for meetings lasting less than 8 hours shall be on a pro-rata basis. The

Commission is required to meet at least one time in each fiscal quarter. The salary for

the Chairman shall be detennined by the Tribal Council.

6.3. Commissions; Business Expenses; Reimbursement. Members of the

Commission are hereby authorized to reimburse themselves from Commission funds for

all necessary and reasonable travel and other reasonably necessary expenses which may

be incurred by them from time to time, in accordance with tribal policies and procedures,

as may be in effect from time to time for the Tribe generally. Extraordinary expenses

must have the prior approval of the Tribal Council.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.4. Standards for Proposed Commissioners. A background check will be

performed to determine whether any Commission member (a) has been convicted of any

gaming related offense, (b) has any fmancial interest in, or management responsibility

for, any gaming activity, (c) is ineligible for a license under the Ordinance, and (d) has

any immediate family members who have a fmancial interest in the gaming specifically

regulated by the Commission other than the fmancial interest enjoyed equally by all

Indians. A positive finding of any of these shall result in that persons ineligibility for

Commission membership.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 3, 1992.

6.5. Commissioners; Background Investigation; Failure To Qualify; Vacancies.

Prior to appointing a permanent Commissioner, the Tribe shall conduct or cause to be

conducted a background investigation on the proposed Commissioner, who shall be

required to satisfy the requirements for background investigations set forth in Section

11.4 of this Code. The Tribal Council shall approve the background investigations which

shall be conducted by the Tribal police or other designee of the Tribal Council. The

Tribal Council shall not appoint a pennanent Commissioner if the individual does not

meet the criteria in Sections 6.1 and 6.4 of this Code. The Tribe may appoint a

Commissioner pro tern pending the satisfactory completion of the background

investigations as determined by the Tribal Council. Should the background check on any

proposed appointee be determined negative by the Tribal Council, then that appointee

shall not be eligible to further serve on the Commission. The failure of a Commissioner

pro tern to qualify shall not affect any decision made by such person unless the Tribal

Council, following a hearing on the record and issuance of written fmdings of fact and

01/139289.4 10
conclusions of law, shall otherwise determine. Any such decisions by the Council shall

be appealable to the Tribal Court as a contested case under Exhibit G hereof. Such

contested case shall be based on the argument that there has been a clearly erroneous

standard on the record made before the Council. The failure of a Commissioner pro tern

to qualify as a permanent Commissioner or to maintain such qualification under this

Code, the Compact or other applicable law shall cause the Tribal Council to appoint a

successor within 10 business days after notice thereof and, in the event the Tribal

Council fails to make such appointment in such 10 day period, the General Counsel to

the Tribe shall act as Commissioner pro tern until the Council appoints a successor.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.6. Jurisdiction; Powers of Commission. The Commission shall have full,

complete and perfect jurisdiction over Class ifi Gaming and shall autonomous authority

to regulate and supervise all authorized and unauthorized Class ifi Gaming. However,

the Commission shall not have the power to interfere with a Primary Management

Officials decisions regarding expenses of operation which implement a budget approved

by the Tribe in accordance with a Management Contract. The Commission shall have

and perform duties and powers as prescribed by this Code which include the following

duties and powers which shall be exercised consistently with the Act, the Compact, this

Code and the Regulations:

(a) To draft, propose and promulgate Regulations with regard to engaging in,

licensing and regulating all aspects of Class ifi Gaming and which have the force of law

as may be necessary or desirable in the judgment of the Commission for the effective,

fair and efficient regulation of Class ifi Gaming. Such Regulations shall be consistent

with the purposes of this Code, the Act and the Compact under which all Class ifi

Gaming shall be conducted and all Class ifi Gaming facilities maintained;

(b) To specify by Regulation the wagering structure for Class ffi Gaming

consistent with the following:

(1) Regulations shall include a maximum wager and maximum loss on

all authorized gaming conducted by the Tribe except Pari-mutuel wagering on

Simulcasting, Lotteries, Sports Betting Pools and Sports Betting, including Parlay

Cards. Such maximum wager and loss shall be equal to or less than the

maximum wager and maximum loss specified by law for games regulated by

Iowas Excursion Boat Gambling Laws. The maximum wager and maximum loss

limits currently applicable to such games shall be in compliance with the

Compact;

(2) Pari-mutuel wagering on Simulcasting and Lotteries may be

conducted without a wagering or loss limitation;

01/139289.4 11
(3) Sports Betting Pools may be conducted without a loss limitation,

but the maximum wager shall not exceed the maximum wager specified in the

Regulations; and

(4) Sports Betting, including betting on Parlay Cards, shall be

conducted so that no participant wins or loses on Sports Betting more than a total

of $50 at any time during a period of 24 consecutive hours. A person wins the

total amount at stake in any game, wager or bet regardless of any amount that

person may have contributed to the amount at stake within the limitations

specified in the Regulations;

(c) To issue and serve subpoenas for the production of documents, things or

persons and to administer oaths or affirmations and to require testimony under oath or

affirmation before the Commission in the course of any investigation or hearing

conducted under this Code or the Regulations, for which process and notices shall be

served in the manner provided by the Tribal Code;

(d) To propound written interrogatories and to appoint hearing examiners to

whom may be delegated the power and authority to administer oaths or affirmations,

issue subpoenas, propound written interrogatories and require testimony under oath;

(e) To specify the payout from Class ifi Gaming consistent with the limitations

in this Code and the Compact;

(f) To inspect, monitor and examine all premises where gaming is conducted

and Gaming Devices, Equipment or Supplies are utilized, sold or distributed;

(g) To enter, inspect, observe or investigate at any time, with or without

warrants, notice or warnings, the offices, facilities or other places of business of a

Primary Management Official, wherever the same may be located, in order to detennine

compliance with the Compact, this Code, the Regulations and other applicable laws;

(h) To investigate alleged violations of the Compact, this Code, the

Regulations and other applicable laws and to take appropriate disciplinary action or

recommend institution of criminal proceedings against a Primary Management Official

or a Licensee and other persons for a violation of any of the foregoing or to institute

appropriate legal action for enforcement or any of the foregoing;

(i) To conduct investigative hearings concerning the conduct of Class ifi

Gaming and Gaining operations as well as the development and well-being of the

industries controlled by the Act, the Compact, this Code and the Regulations;

01/139289.4 12
(j) To determine, assess and collect civil and administrative fmes and Revoke

or Suspend Licenses for conduct violating the terms of the Compact, this Code, the

Regulations or other applicable laws;

(k) To investigate the activities of any person finn or other business entity

relating to the conduct of any Class ifi Gaming activity;

(1) To compel, by order of the Commission, the attendance of witnesses or

the production of any books, papers, correspondences, memoranda, documents,

agreements or other records which the Commission, in the exercise of its discretion,

deems relevant or material to any investigation;

(m) To provide by Regulations for the surveillance and videotaping of all

authorized Class ifi Gaming Activities;

(n) To provide by Regulations for requirements necessary for reasonably

adequate security at all facilities in which authorized gaming is conducted;

(o) To confiscate or shut down all Class ffi Gaming Equipment and Class ifi

Gaming Supplies failing to conform to the standards required under this Code, the

Regulations, the Compact or the Act;

(p) To seize, impound, inspect, examine and photocopy all papers, books and

records of Applicants and Licensees and require verification of income and expense of

Class ifi Gaming activities and all activities conducted under or in violation of this Code,

the Compact or the Regulations;

(q) To collect all license, investigation and registration fees imposed by this

Code and the Regulations; to conduct all hearings, pertaining to civil violations of this

Code, the Regulations, the Act or the Compact;

(r) To be present through its members and agents at all times during the

operation of any casino for the purpose of certifying the revenue thereof and conducting

such other investigations into the conduct of Class ifi Gaming and the maintenance of

Class 111 Gaming Equipment and Supplies as from time to time the Commission may

deem necessary and proper;

(s) To review and rule upon any complaint by a gaming Primary Management

Official regarding any investigative procedures of the Commission which are

unnecessarily disruptive of casino operations. The disruption of a Class ifi Gaming

operation shall be proved by preponderance of the evidence and establish that:

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

01/139289.4 13
(2) the procedures were so disruptive as to unreasonably inhibit

operations of a Class ifi Gaming facility;

(t) To make changes to and approve operational procedures prepared by

Primary Management Officials which govern the specific operation of Class ifi Gaming

facilities, including security, accounting, game rules, cash control, game procedures and

other matters, all of which, following approval, will have the force of law pursuant to

this Code;

(u) To develop licensing procedures and issue permanent, probationary and

temporary Licenses and to oversee, regulate and defme the conduct of all Licensees;

(v) To conduct or cause to be conducted background investigations and a

review of the prior activities, reputation, habits and associations, as prescribed by law,

of all Key Employees and Primary Management Officials, and such other persons as the

Commission shall detennine to be necessary in the exercise of its discretion, including,

but not limited to, Primary Management Officials, Parties-in-interest, Vendors, Class ifi

Gaming Equipment or Supply Vendors;

(w) To forward completed employment applications and completed background

reports for Key Employees and Primary Management Officials to the National Indian

Gaming Commission (hereinafter NIGC) prior to issuing a License, pursuant to the Act

and to notify the NTGC if, after completing the background investigations on the Key

Employee or Primary Management Official, the Tribe does not license the individual;

(x) To ensure that all licensed gaming Primary Management Officials are

properly accounting for all revenues and expenses (provided that the Commission shall

not interfere with a Primary Management Officials decisions respecting implementation

of a budget approved by the Tribe under a Management Contract) and that these revenues

and expenses are properly assigned and disbursed in a manner accorded by Tribal and

applicable federal law;

(y) To assist other law enforcement agencies in the investigation, enforcement

and prosecution of gaming violations of this Code, the Regulations and federal law;

(z) To adopt and approve an operating budget for the Commission;

(aa) To report to the Council and/or Tribal Citizens;

(bb) To appoint, supervise and terminate a staff as necessary and

(1) all costs arising out of such necessary staffing will be paid out of

Commission funds and may be paid out of the general revenues of the Tribe,

subject to approval of the Council; and

01/139289.4 14
(2) all costs for independent audits, investigations and other

independent consultants will be paid out of Commission funds and may be paid

out of the general revenues of the Tribe, subject to the approval of the Council

provided these services are competitively selected for in advance, and provided

that this competitive selection requirement shall not be applicable when the

Commission determines that an emergency exists.

(cc) (INTENTIONALLY LEFT BLANK)

(dd) To hear and decide promptly and in reasonable order all License

application requests and the issues affecting the granting, Suspension, Revocation or

renewal thereof;

(ee) To identify occupations within Class ifi Gaming operations which require

licensing and to adopt by Regulations additional standards for licensing such occupations;

(if) To deny any License application for cause and to Revoke, cancel or

Suspend for cause any License issued by it. Cause for denial of an application and

grounds to Revoke, cancel or Suspend any License issued by it shall include instances

in which the Licensee, Applicant, Party-in-interest or any person with a substantial

interest therein:

(1) Willfully or knowingly violated the provisions, requirements,

conditions, limitations or duties imposed by the Compact, this Code, the Act or

any Regulations;

(2) Willfully or knowingly caused, aided, abetted or conspired with

another to cause any person to violate any of the provisions of the Act, the

Compact, this Code or any Regulations;

(3) Has made a false statement of a material fact on the application or

in any other information given to the Commission;

(4) Has obtained a License by fraud, misrepresentation or concealment

of a material fact;

(5) Has been convicted of, forfeited bond upon or entered a plea of

guilty or no contest to a felony within the past 10 years, any gambling-related

offense or fraud or misrepresentation or any crime involving moral turpitude, or

has willfully failed to make required payments or reports to a governmental

agency at any level, whether punishable as a felony or a misdemeanor;

(6) Whose prior activities or criminal record, if any, or reputation,

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

01/139289.4 15
regulation of gaming or create or enhance the dangers of unsuitable, unfair or

illegal practices, methods and activities in the conduct of Class ifi Gaming;

(7) Has denied the Tribe, the Commission, the State or their authorized

representatives access to any place where activity required to be licensed under

this Code is being conducted or has failed to produce for inspection or audit any

book, record, document or other item;

(8) Has failed to prove by a preponderance of the evidence his, her or

its qualifications to be licensed in accordance with the Compact, this Code and

the Regulations;

(9) Has failed to pay any taxes and additions to taxes, including

penalty and interest lawfully required by Tribe;

(10) Has failed to pay an administrative fme imposed pursuant to this

Code or the Regulations;

(11) Has been found guilty of any violation or attempt or conspiracy to

violate any law, rule or regulation of gaming in any jurisdiction for which

suspension or termination of employment or License might be imposed in such

jurisdiction;

(12) Has been Suspended from operating a game of chance or a

gambling operation in another jurisdiction or had a License to conduct gaming

canceled, Revoked, Suspended or limited for any reason;

(13) Has previously been found unfit for licensing by Nevada,

New Jersey, Iowa, South Dakota or Nebraska;

(14) Is a person who is an employee or Key Employee of a gaming

establishment, if such person is also a member of the Tribal Council or a spouse

or relative of the first degree of such a member and residing in the same

household;

(15) Has failed to provide information, documentation or assurances

required or requested by the Tribe, the State or the Commission, or has failed to

reveal any material fact as to qualification, or the supplying of information which

is untrue or misleading as to any material fact pertaining to such qualification

criteria;

(16) Has failed to demonstrate fmancial responsibility sufficient to meet

his, her or its requirements (if any) under the License;

01/139289.4 16
(17) Has not disclosed the true ownership of the enterprise proposed;

(18) Has any demonstrated contacts, association or business enterprises

with individuals associated with or identified as organized crime;

(19) Has loaned money or other property of value to others for the

purpose of pennitting a wager on any game of chance unless permitted in that

jurisdiction; or

(20) Has any material investigation or prosecution pending in any

jurisdiction;

(gg) To issue and cause to be served upon the holder of a License issued by it

an order requiring the License holder to cease and desist from violations of the Compact,

this Code or any Regulation.

(1) The Order to cease and desist shall give reasonable notice of the

rights of the License holder to request an administrative hearing before the

Commission and shall state the reason for the entry of the order. Failure to cease

and desist upon service of such an order shall be grounds for disciplinary action

by the Commission;

(2) A hearing shall be held not later than 10 days after the request for

the hearing is received by the Commission and, within 20 days after the date of

the hearing, the Commission shall issue an order vacating the cease and desist

order or making it permanent, as the facts require. Licensees shall be entitled to

a single continuation of not more than five days upon good cause shown. All

hearings shall be held in accordance with the Regulations; and

(3) If the License holder to whom a cease and desist order is issued

fails to request a hearing within 30 days following the entry of such order or fails

to appear at the hearing after being duly notified, the License holder shall be

deemed in default and the proceeding may be determined against the License

holder upon consideration of the cease and desist order, the allegations of which

may be deemed to be true.

(hh) To impose or levy on a Licensee for cause an administrative fme of not

more than $50,000.00 per violation. For purposes of this subsection, cause shall

include instances in which the Licensee willfully or knowingly violated the provisions,

requirements, conditions, limitations or duties imposed by the Compact, this Code or any

Regulations.

(1) In detennining whether to levy an administrative fme and the

amount of the fme, if any such fme is levied, the Commission shall take into

0111392S9.4 -

17
consideration the seriousness of the violation and the extent to which the Licensee

derived financial gain as a result of the violation; and

(2) If an administrative fine is levied, such fine shall be remitted by

the Licensee to the Commission within 30 days from the date of the order issued

by the Commission imposing such fme. Any unpaid administrative fme shall

constitute a debt to the Commission, the amount and validity of which can only

be reviewed under Exhibit G hereof, which debt may be sued upon and recovered

in any proper form of action in the name of the Commission in either the Tribal

Court or the United States District Court and in the event such courts do not have

subject matter jurisdiction, in any court of competent jurisdiction.

(ii) To require periodic reports of Class ifi Gaming activity from any person,

firm or entity with whom the Tribe has a contractual relationship and any other person,

organizations or corporation, as the Commission deems necessary to carry out the

provisions of this Code;

(jj) To annually audit, examine or cause to have examined, by any agent or

representative designated by the Commission for such purpose, any bank accounts,

fmancial accounts, books, papers, records, bills, contracts for services and supplies

totaling over $25,000 in a year, timesheets, receipts, vouchers, documents, electronic

media, database, computer records or memoranda relating in any manner to the conduct

of any Class ifi Gaming activity. Such independent outside audits must be submitted to

the NIGC pursuant to the Act;

(kk) To compute, determine, assess and collect accurate amounts required to

be paid to the Commission as may be necessary to defray the costs of regulating Class ifi

Gaming incurred by the Commission;

(11) To prescribe all forms as are necessary to carry out the provisions of this

Code and the Regulations;

(mm) To appoint a trustee to operate a Gaming facility in the event the Primary

Management Officials License has been Revoked or Suspended pursuant to the terms of

the Compact, this Code or the Regulations;

(nn) To take any act which may be necessary or desirable to assure compliance

with the terms of any contract (other than that certain Management Agreement between

the Tribe and Larita, Inc. dated August 22, 1991) to which the Tribe or its enterprises

is a party which relates to any Gaming activity or to which the Tribe is not a party but

relates to Class ifi Gaming activities conducted under this Code or the Regulations; and

(oo) To possess such other powers and authority as may be necessary or

desirable to fulfill its obligations under this Code, the Regulations and the Compact.

01/139289.4 18
Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.7. Specific Prohibitions. (a) The Commission shall not become involved in,

nor shall any of its members have any input in, any official plans or discussions relative

to the disbursement of any Tribal funds derived from the regulated gaming activity.

(b) The Commission may not interfere with casino managements decisions with

respect to expenses of the gaming operation because those types of decisions are made

pursuant to a budget that has been approved by the Tribal Council.

(c) The Commission is not authorized to be or become involved in any personnel

problems or issues, other than those which may arise within the context of the licensing

procedure.

6.8. Causes for Removal of Commissioners. The following are causes for

removal from the Commission:

(a) Malfeasance in office;

(b) Neglect of duty;

(c) Excessive absence from regularly scheduled Commission meetings;

(d) Conviction of a felony or any gaming related offense (misdemeanor, felony

and other certain crimes);

(e) Noncompliance with this Code, the Regulations or the Compact; and

(f) Acceptance of bribes.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.9. Procedure for Removal. Any Commission member who during the term

for which he is selected is charged with committing any of the offenses listed in

Section 6.8 may be removed from office by order of the Tribal Court following a hearing

on the record.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.10. Removal of Commissioner. Action to initiate removal of Commission

members shall be initiated by the Council in the form of a resolution, approved by a

super-majority of not less than five, stating the charges against the accused, and attaching

thereto a copy of a petition to be filed in the Tribal Court seeking removal of the

Commissioner. The petition shall contain a short and plain statement of the facts which

01113fl89.4 19
S

constitute the grounds for removal under Section 6.8. The Tribal Council, in its official

capacity, shall be listed as the plaintiff in the petition and the accused Commissioner shall

be the defendant.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.11. Notification to the Commission. A copy of the resolution for removal and

the petition shall be provided to the Commission and its members in the manner specified

for service of process in civil matters generally.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.12. Trial and Decision.

(a) Trial. The Tribal Court shall hear the petition for removal on an

edited basis and trial shall commence no later than sixty (60) days following

service of the petition unless both parties agree to a longer period and the Court

approves. The Tribal Council shall bear the burden of proof on a preponderance

of the evidence standard. The accused shall enjoy the rights available to him as

a civil litigant under Tribal law.

(b) Written notification of decision. The Commissioner alleged to be

in violation must, following such hearing, be sent a written decision of the Tribal

Court, including fmdings of fact and conclusions of law. Such decision shall be

rendered by the Tribal Court within forty-five (45) days following submission of

the case.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.13. Vacancies. Should a vacancy in the Commission occur for any reason, the

Tribal Council shall appoint, by majority vote, a replacement from the citizenship of the

Tribe.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.14. Sovereign Immunity. The Commission is an entity of and created by the

sovereign powers of the Tribe and, as such, shares the sovereign immunity of the Tribe.

The Commissioners, except when being removed from office under Sections 6.8 through

6.12, shall also enjoy the sovereign immunity of the Tribe. No waiver of sovereign

immunity for acts of the Commission or its members is made or implied hereby in any

maimer. However, persons aggrieved by the decisions of the Commission may appeal

such decisions in contested cases to the Tribal Court, as provided in Exhibit G hereof,

and such appeal shall constitute the sole and exclusive method of review. No person,

firm, entity or government may institute any suit against the Commission or its members,

01/139289.4 20
S S

excepting appeals in contested cases under Exhibit G of this Code and actions for

removal of a Commissioner from office under Sections 6.8 through 6.12, without the

written unanimous waiver of sovereign immunity by the Commission and approval of the

Tribal Council.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.15. Interim Authority. Until the Commission is appointed and organized, all

powers vested in the Commission may be exercised by the Tribal Council, acting by

majority vote at a regular or special meeting.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.16. Testimonial Immunity. The Commission may order any person to answer

a question or questions or produce evidence of any kind or bestow immunity, as provided

in this section. If, in the course of any investigation or hearing conducted under this

Code or the Regulations, a person refuses to answer any question or produce evidence

on the grounds that he will be exposed to criminal prosecution thereby, then, in addition

to any other remedies or sanctions provided for by this Code, the Commission may, by

unanimous resolution and approval of the tribal prosecutor, issue an order to answer or

produce evidence with immunity. If, upon issuance of such an order, the person complies

therewith, he shall be immune from having such responsive answers given by him or

such responsive evidence produced by him, or evidence derived therefrom, used to

expose him to criminal prosecution by the Tribe, except that such person may

nevertheless be prosecuted for any perjury committed in such answer or in producing

such evidence, or for contempt for failing to give an answer or produce evidence in

accordance with the order of the Commission; provided, however, that no period of

incarceration for contempt pursuant to this section shall exceed one year in duration.

Any such answer given or evidence produced shall be admissible against him in any

investigation, proceeding or trial against him for perjury; in any investigation, proceeding

or trial against him for contempt; or in any manner consistent with tribal law and

constitutional provisions.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.17. Reports and Recommendations Concerning Gaining Regulation. The

Commission shall carry on a continuous study of gaming issues, including the operation

and administration of gaming laws which may be in effect in other jurisdictions, all the

literature on gaming which may from time to time become available, the federal laws

which may affect the operation of Class II and Class ifi Gaming and the reaction of

Licensees, Primary Management Officials and Tribal Citizens to existing and potential

features of Class 111 Gaming under this Code. The Commission shall be responsible for

ascertaining any defects in this Code or in the Regulations issued hereunder, for

formulating recommendations for changes in this Code to prevent abuses thereof, for

01/139289.4 21
S

guarding against the use of this Code and the Regulations as a cloak for the carrying on

of illegal gambling or other criminal activities, and for insuring that this Code and the

Regulations shall be in such form and be so administered as to serve the true purposes

of this Code. The Commission shall make annual report to the Tribal Council, on or

before February 1 of each year, of all revenues, expenses and disbursements, and shall

include therein such recommendations for changes in this Code as the Commission deems

necessary or desirable. The Commission shall report immediately to the Tribal Council

any matters which, in the Commissions judgment, require immediate changes in the law

of the Tribe in order to prevent abuses and evasions of the Compact, this Code or the

Regulations. The Commission shall also rectify undesirable conditions in connection

with the operation and regulation of Class ifi Gaming.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

6.18. Cooperation by Licensees or Applicants. Each Licensee or Applicant for

a License under this Code shall fully and completely cooperate with the Commission in

performance of its duties.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 7. Gaming Commission Regulation-Making Authority.

7.1. GeneralAuthority. The Commission shall draft and promulgate Regulations

for the orderly transaction and conduct of its business and such other substantive

Regulations as may be proper and that concern the following: the application for,

issuance of, Revocation and Suspension of gaming Licenses, the conduct of Licensees,

game rules and operation of the Class ifi Gaming activities, technical standards for

Gambling Devices and Slot Machines, Class ifi Gaming Equipment, Class ifi Gaming

Supplies, Video Games of Chance, Simulcasting, Sports Betting, Parlay Cards, Sports

Betting Pools, Progressive Slot Machines, reserves for prizes, Pari-Mutuel Wagering,

Lottery, additional games authorized pursuant to Section 5.3 hereof and the Compact,

security requirements, cash control standards and accounting procedures and any other

subject the Commission determines necessary or desirable to carry out the purposes of

this Code. The Commission shall also promulgate Regulations necessary to resolve

complaints which may be received from the public. Exhibits A through E of this Code

include such Regulations described herein.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

7.2. Regulations; Mandatory Subjects. The Commission may, without

limitation on the powers conferred in the preceding section, include within its Regulations

the following specific provisions in accordance with the provisions of this Code:

01/139289.4 22
(a) The methods and forms of application which any Applicant shall follow

and complete prior to consideration of his application by the Commission;

(b) The maimer and procedure of all hearings conducted by the Commission

or any hearing examiner, including special rules of evidence applicable thereto and

notices thereof;

(c) The manner and method of collection of administrative fmes, assessments,

fees and penalties;

(d) The rules of authorized games, the odds, and the devices permitted, and

the method of operation of such games and devices;

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

(f) The rules governing the manufacture, distribution, sale and servicing of

Class ifi Gaming Equipment and Supplies;

(g) The procedures for approving the forms and methods of management

controls, including employee and supervisory tables of organization and responsibility,

rotation schedules and minimum security standards, security personnel structure, alarm

and other electrical, auditory or visual security measures;

(h) The minimum procedures for the exercise of effective control over the

internal fiscal affairs of a Primary Management Official, including provisions for the

safeguarding of assets and revenues, the recording of cash and evidence of indebtedness,

and the maintenance of records and reports of transactions, operations and events,

including all such reports to the Commission;

(i) The procedures for approval of accounting methods, procedures, forms and

accounting classifications and such other operating procedures as may be necessary to

assure consistency, comparability and effective disclosure of all financial information,

including calculations of percentages of profit by games, tables and Gambling Devices;

and

(j) The required periodic fmancial reports and the form thereof, which shall

include a semi-annual audit prepared by a certified public accountant attesting to the

financial condition of a gaming enterprise and disclosing whether the accounts, records

and control procedures examined are maintained by the Licensee as required by the

Compact, this Code and the Regulations.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

01/139289.2 23
Section 8. Gaining Commission Meetings. The Commission may hold regular and

special meetings at such times and places as it may deem convenient, but at least one regular

meeting shall be held quarterly. Meetings may be held by telephonic conference call. A

majority of the appointed members constitutes a quorum of the Commission. A special meeting

may be called by any one Commissioner. Each part-time member of the Commission shall

receive a stipend of $80.00 plus expenses at regular or special meetings at which a quorum is

present. The stipend shall be paid from fees and assessments collected by the Commission.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

8.1. Open Meetings. All actions and proceedings of the Commission shall be

conducted during meetings open to the public except actions and proceedings which the

Commission, by a majority vote, at an open meeting, determines best conducted during

an executive session closed to the public for the reasons set forth in Section 8.1 hereof.

Any record or document maintained by the Commission shall not be subject to being

produced, copied or disclosed in any manner, whether by the discovery process or court

order of a court if the Commission determines that the disclosure of such information

would be hannful to the effective and fair regulation of gaming, would disclose trade

secrets or proprietary information or would impair ongoing investigations.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

8.2. Purposes for Executive or Closed Meetings. The Commission may hold

executive sessions or closed meetings for any of the following purposes:

(a) Considering applications for licensing when discussing the

background investigations, fmancial information or personal information of

Applicants;

(b) Meeting with the gaining officials of other Indian Tribes or other

jurisdictions, including Iowa, or meetings with tribal law enforcement officials,

the tribal prosecutor, the United States Attorney General, the Federal Bureau of

Investigation, the Office of the Inspector General, the United States Attorney and

other law enforcement officials relating to possible criminal violations;

(c) Consulting with the employees and agents of the Commission

concerning possible civil or criminal violations of this Code, the Regulations, the

Act or the Compact

(d) Deliberating to reach a decision after hearing evidence in a

contested case;

(e) Discussing business strategies, marketing or pricing strategies of

a Licensee or an Applicant for a License, if the Commission determines public

01/139289.2 24
I ,

discussion may be harmful to the competitive position of the Licensee or

Applicant for License or discussions with a Licensee or an Applicant for a

License for the purposes of overseeing gaming contracts; and

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

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 9. Chairman of the Gaming Commission. The Chairman is responsible on a

full-time basis for the conduct of the Commissions administrative matters. The Chairman and

his designees shall have the following powers:

(a) To issue temporary and probationary Licenses for all Licensees other than

Primary Management Official;

(b) To issue permanent Licenses for all employees of any Class ifi Gaming

facility other than Key Employees and Primary Management Officials;

(c) To oversee, regulate and defme the conduct of Licensees;

(d) To inspect, monitor and examine all premises where Class 111 Gaming is

conducted, and Class III Gaming Equipment and Supplies are utilized, sold, distributed

or serviced; or where any records of such activities are prepared or maintained;

(e) To inspect all Class ifi Gaming Equipment and Supplies in, about or upon

or around such premises;

(f) To seize and remove from such premises and impound any Class ifi

Gaming Equipment or Supplies for the purposes of examination and inspection;

(g) To inspect, examine and audit all books, records and documents pertaining

to a Class ifi Gaming facility;

(h) To seize, impound or assume physical control of any book, record, ledger,

game, device, cash box and its contents, counting room or its equipment, or casino

operations;

(i) To inspect the person and personal effects, present in or on the premises

of a Class ifi Gaming facility licensed pursuant to this Code, of any Licensee while that

person is present in the Class ifi Gaming facility;

(j) To supervise and direct the actions of all employees of the Commission;

(k) To conduct or cause to be conducted background investigations;

01/139289.2 25
(1) To enforce the Act, this Code, the Compact and the Regulations;

(m) To verify that all licensed gaming Primary Management Officials are

properly accounting for all revenues and expenses and that these revenues and expenses

are properly assigned and distributed in a manner according to tribal and applicable

federal law;

(n) To assist other law enforcement agencies with the enforcement or

prosecution of violations of the Act, this Code, the Regulations and federal law;

(o) To supervise the day-to-day operations of the Commission;

(p) To report to the Commission concerning the operations thereof;

(q) To supervise audits and investigations; and

(r) To prepare reports and recommendations to the Commission concerning

Applicants and Licensees.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 10. Prima,y Management Official. Primary Management Officials may operate

the Tribes gaming authorized by this Code and the Compact provided that the Management

Contract, entered into between the Primary Management Official and the Tribe, does not contain

terms contradicting the terms of this Code, the Regulations, the Compact and other applicable

laws. The Management Contract must be approved by the Chairman of the National Indian

Gaming Commission (the NIGC) or the Bureau of Indian Affairs (the BIA) and the

Management Contract must prohibit the Primary Management Official from subcontracting,

assigning or transferring its rights and duties or any ownership interest under the contract. The

Primary Management Official must undergo a background investigation, as more specifically

described in Section 11 herein, to be conducted by the Commission, or its designee, and such

investigation must be approved by the Director in writing. The Primary Management Official

shall be licensed by the Commission, as more specifically described in Section 11 herein, prior

to conducting any authorized Class ifi Gaming activity. A Primaiy Management Official may

not operate the Class III Gaming authorized by this Code and the Compact if the Chairman of

the NTGC disapproved the licensing of the Primary Management Official or Parties-in-interest

thereto or if the Chairman of the NTGC has disapproved (without suggesting modifications) the

Management Contract.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

01/139289.2 26
Section 11. Occupational Licensing.

11.1. Licenses, Issuance, Qua!(fications. Every person participating in Class ifi

Gaming on Indian Land, especially Key Employees and Primary Management Officials,

shall have an occupational license issued by the Commission. All such licensing shall

be consistent with the procedures found at 25 C.F.R. §~ 556 and 558. The Commission

shall specify by promulgation of Regulations the licensing requirements for each position.

Such requirements shall include the following, together with such other requirements as

may be necessary for the effective regulation of gaming:

All Applicants must:

(a) Be at least eighteen (18);

(b) Not have been convicted, within the last ten (10) years, of a

gambling-related offense, an offense involving fraud, misrepresentation or

deception, a drug-related offense or any felony. If a conviction for any of these

offenses occurred more than ten (10) years prior to the date of the application,

the Commission may issue a License if the Commission determines that sufficient

evidence of rehabilitation exists. The Commission shall temporarily deny a

License and shall Suspend an existing License if charges are pending against an

Applicant which, if resulting in a conviction, would disqualify the Applicant from

receiving or holding a License;

(c) Not have been denied a gaming License by the State of Iowa, or

currently have a gaming License which has been Suspended by the State of Iowa

or have had a gaming License Revoked by the State of Iowa;

(d) Not be employed in any part-time or full-time employment with a

government or private employer in any capacity which would create a conflict of

interest between the Applicants employment and the interests and objectives of

the licensed employment;

(e) Be of good moral character;

(f) Be trainable or qualified (by experience or otherwise) to perform

the duties required;

(g) Agree to comply with the Regulations, this Code, the Compact and

with all other applicable laws and submit to the jurisdiction of the Commission

and the civil jurisdiction of the Tribal Court;

(h) Be eligible to hold a License under the standards set forth in

Section 6.6(ff); and

01/139289.2 27
(i) Agree that the License shall be nontransferable thus prohibiting the

Licensee from transferring any of its rights or duties relating to the License

either directly or indirectly.

11.2. Temporary or probationary licenses. Prior to issuing a permanent License

the Commission shall conduct or cause background investigations to be conducted on

Applicants to verify the truthfulness of the infonnation provided by the Applicant to the

Commission and to ensure that persons and entities licensed by the Commission are

eligible for licensure. However, upon payment of the appropriate fees and the

completion of such forms as the Commission deems appropriate, temporary Licenses for

all occupations may be issued pending completion of background investigations and

approval by the NIGC. During the first 180 days following the enactment of this Code,

a person or entity which holds a gaming License issued by the states of Iowa,

New Jersey, South Dakota or Nevada, upon showing proof of such License, shall be

deemed to have a temporary License under this Code.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

11.3. Revocation, Suspension or Cancellation ofLicense. The Commission shall

Revoke, Suspend or Cancel an existing License upon a violation of this Code, the

Compact, the Regulations or the happening of any event which would have made the

Licensee ineligible for a License if the event had occurred prior to the issuance of a

License.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

11.4. Licenses for Key Employees and P~imaiy Management Officials. The

Commission shall ensure that the policies and procedures set out in this section are

implemented with respect to Key Employees and Primary Management Officials

employed at any Class ifi Gaming enterprise operated on Indian Lands.

(a) 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

01/139289.2 28
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:

i. Complete a new application form that contains a Privacy

Act Notice; or

ii. Sign a statement that contains the Privacy Act Notice and

consent to the routine uses described in that Notice.

(3) The following notice shall be placed on the application form for a

Key Employee or a Primary Management Official before that form is filled out

by an Applicant:

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

hiring you, or for firing you after you begin work. Also, you may be

punished by fme or imprisomnent. (U.S. Code, title 18, section 1001.)

(4) The Commission shall notify in writing existing Key Employees and

Primary Management Officials that they shall either:

i. Complete a new application form that contains a notice

regarding false statements; or

ii. Sign a statement that contains the notice regarding false

statements.

01/139289.2 29
(b) Background Investigations.

(1) Background investigations for Primary Management Officials and

Key Employees performed for the Commission or required by any federal agency

must be completed prior to the issuance of a permanent license. Background

investigations performed for the Commission may be performed by Tribal law

enforcement authorities, provided that such authorities have access to the law

enforcement records of the Federal Bureau of Investigation and such authorities

are certified graduates of the federal law enforcement academy or the Nebraska

or Iowa law enforcement academy, the Federal Bureau of Investigation or another

entity mutually agreeable to the Tribe and the Director.

(2) The Commission shall request from each Primary Management

Official and from each Key Employee all of the following information:

i. Full name, other names used (oral or written), social

security number(s), birth date, place of birth, citizenship,

gender, all languages (spoken or written);

ü. 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;

iii. The names and current addresses of at least three personal

references, including one personal reference who was

acquainted with the Applicant during each period of

residence listed under paragraph (2)(ii) of this section;

iv. Current business and residence telephone numbers;

v. A description of any existing and previous business

relationships with Indian tribes, including ownership

interests in those businesses;

vi. A description of any existing and previous business

relationships with the gaming industry generally, including

ownership interests in those businesses;

vii. The name and address of any licensing or regulatory

agency with which the person has filed an application for

a license or permit related to gaming, whether or not such

license or permit was granted;

01/139289.2 30
viii. For each felony for which there is an ongoing prosecution

or a conviction, the charge, the name and address of the

court involved, and the date and disposition if any;

ix. For each misdemeanor conviction or ongoing misdemeanor

prosecution (excluding minor traffic violations), within 10

years of the date of the application, the name and address

of the court involved and the date and disposition;

x. For each criminal charge (excluding minor traffic charges),

whether or not there is a conviction, if such, criminal

charge is within 10 years of the date of the application and

is not otherwise listed pursuant to paragraph (2)(viii) or

(2)(ix) of this section, the criminal charge, the name and

address of the court involved and the date and disposition;

xi. The name and address of any licensing or regulatory

agency with which the person has filed an application for

an occupational license or permit, whether or not such

license or permit was granted;

xii. A current photograph;

xiii. Any other information the Commission deems relevant; and

xiv. Fingerprints consistent with procedures adopted by the

Commission according to 25 C.F.R. § 522.2(h).

(3) In conducting a background investigation, the Commission or its

agent will interview a sufficient number of knowledgeable people, such as

previous employers, personal references and any other person who may provide

the Commission with a knowledgeable basis for making its eligibility

determination. The Commission or its agent shall promise to keep confidential

the identity of each person interviewed in the course of the investigation.

(4) Upon completion of the background investigation and prior to

submitting its report to the NIGC, as provided in Subsections (d) and (e) of this

Section, the Commission shall review and approve all background investigations

performed by Tribal law enforcement authorities, the Federal Bureau of

Investigation, DCI and any other entity handling such background investigations.

(5) The results of all background investigations must be documented

in a written report that clearly documents all the problems found in the course of

the background investigation and the procedures for resolving such problems, if

01/139289.2 31
possible. Such written report will be retained by the Commission. This report

as well as the investigative report, which is to be submitted to the NIGC pursuant

to Subsections (d) and (e), will provide the Commission with a basis for making

its eligibility determination.

(6) The results of all background investigations must also be

documented in an investigative report to be submitted to the NIGC, pursuant to

Subsection (e) hereof. All problem areas must be clearly documented with

procedures for resolving such problems. The inability to resolve such problems

shall effect the Commissions eligibility determination as provided below.

(c) Eligibility Determination. The Commission shall review a persons prior

activities, criminal record, if any, and reputation, habits and associations to make a

fmding concerning the eligibility of a Key Employee or Primary Management Official

for employment in a gaming operation. If the Commission determines that employment

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

or creates or enhances dangers of unsuitable, unfair, or illegal practices and methods and

activities in the conduct of gaming, a tribal gaming operation shall not employ that

person in a Key Employee or Primary Management Official position.

(d) Procedures for Forwarding Applications and Reports for Key Employees

and Ftiinary Management Officials to the NIGC.

(1) When a Key Employee or Primary Management Official begins

work at a gaming operation authorized by this Code, the Commission shall

forward to the NIGC a completed application for employment and conduct the

background investigation and make the determination referred to in Subsections

(a), (b) and (c) of this Section.

(2) The Commission shall forward the report referred to in Subsection

(e) of this Section to the NIGC within 60 days after an employee begins work or

within 60 days of the approval of this Code by the Chairman of the NIGC.

(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.

(e) Report to the NIGC.

(1) Pursuant to the procedures set out in Subsection (d) of this Section,

the Commission shall prepare and forward to the NIGC an investigative report

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

following:

01/139289.2 32
i. Steps taken in conducting a background investigation;

ii. Results obtained;

iii. Conclusions reached; and

iv. The bases for those conclusions.

(2) The Commission shall submit, with the report, a copy of the

eligibility determination made under Subsection (c) of this Section.

(3) If a license is not issued to an Applicant, the Commission:

i. Shall notify the NIGC; and

ii. May forward copies of its eligibility determination and

investigative report, if any, to the NTGC for inclusion in

the Indian gaming individuals records system.

(4) With respect to Key Employees and Primary Management Officials,

the Commission shall retain applications for employment and reports (if any) of

background investigations for inspection by the Chairman of the NIGC or his or

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

employment.

(0 Granting a Gaming License.

(1) If, within a thirty (30) day period after the NIGC receives the

report, the NIGC notifies the Commission that it has no objection to the issuance

of a license pursuant to a license application filed by a Key Employee or a

Primary Management Official for whom the Commission has provided an

application and investigative report to the NIGC, the Commission may issue a

license to such Applicant.

(2) The Commission shall respond to a request for additional

information from the Chairman of the NIGC concerning a Key Employee or a

Primary Management Official who is the subject of a report. Such a request shall

suspend the 30-day period under paragraph (0(1) of this Section until the

Chairman of the NIGC receives the additional information.

(3) If, within the thirty (30) day period described above, the

NTGC provides the Commission with a statement itemizing objections to the

issuance of a license to a Key Employee or to a Primary Management Official for

whom the Commission has provided an application and investigative report to the

01/139289.2 33
NIGC, the Commission shall reconsider the application, taking into account the

objections itemized by the NIGC. The Commission shall make the final decision

whether to issue a license to such Applicant.

(g) Suspension or Revocation of LicenseGroundsReprimand or

Administrative Fine Possible. Any license granted pursuant to this Code may be

Suspended or Revoked for any cause which may have prevented its issuance, or for

violation by the licensee, or any officer, director, agent, member or employee of the

licensee of this Code, or for violation of any Regulations adopted by the Commission or

for conviction of a crime of moral turpitude or a felony. Such Suspension or Revocation

may occur only after notice to the licensee and an opportunity for a hearing and only

upon evidence determined adequate by the Commission. The Commission must notify

the NIGC of any Suspension or Revocation. In addition to Revocation or Suspension or

in lieu of Revocation or Suspension, the Commission may impose a reprimand or an

administrative fme not to exceed the greater of twice the amount of any grand prize

awarded or available to be awarded in a gaming activity which is directly associated with

the violation, or the following amounts:

(i) If a licensee is an Primary Management Official, the amount of

$50,000 for each violation;

(ii) If a licensee is a Key Employee, the amount of $5,000 for each

violation; and

(iii) If the licensee has any other license, the sum of $2,500 for each

violation.

Any administrative fme received by the Commission shall be deposited in

the Gaming Commission fund.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 12. Approval of Licenses; Submisswn to Jurisdiction. The Commission may

approve or disapprove any application for license, depending upon whether it deems the

Applicant a suitable person to hold the license under this Code and the Regulations and whether

it considers the proposed location suitable. All Applicants for licenses and all persons, firms,

or entities which have any contractual relationship with the Tribe or contractual relationship

relating to any gaming activities conducted pursuant to this Code shall be conclusively deemed

to have voluntarily submitted to the jurisdiction of the Tribe, the Commission and the civil

jurisdiction of the Tribal Court unless such contract is with the Tribe and contains provisions

expressly to the contrary.

Source: Regulation No. 92-59 of the Omaha Tribal Council, April 13, 1992.

01/139289.2 34
Section 13. Conflict ofInterest. No officer, agent or employee of the Commission may

hold a license under this Code if the duties of such office, agency or employment have to do

with the enforcement of the gaming laws and rules. This prohibition applies to the Commission,

all of its employees and all law enforcement officials and officers. No licensee may employ any

person in any capacity while that person is in the employment of a law enforcement agency or

the Commission except that certified police officers may be employed as security personnel.

Members of the Commission and its officers and agent, including its attorneys, and their

relatives who reside in the same household, may not have any interest, whether financial or

proprietary, direct or indirect, in any gaming activity conducted under this Code, except as a

member of the Tribe sharing in the benefits and revenues enjoyed equally by all Tribal Citizens.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 14. Application/License Fee; Resident Agent. The Commission may establish

an application fee which, at the option of the Commission, shall include the cost of the

background investigation. The fee may vary with the type of license for which application is

made and is nonrefundable. Any person who does not reside on the reservation or any

coiporation, finn, partnership or other entity that does not have an agent present on the

reservation shall appoint the Secretary of the Tribal Council as agent for the service of process

and other documents under this Code. The Commission shall maintain a list of all such

nonresidents and when serving documents upon the Secretary of the Tribal Council shall also

provide the Secretary with an envelope addressed to such nonresident, first-class postage

prepaid, and the Secretary shall mail the documents to the nonresident no later than the first

business day following receipt. Service upon the Secretary shall be made in the manner

specified for civil suits under Tribal law and shall be deemed complete upon such service,

regardless of whether the papers or documents are ultimately received by the licensee or

Applicant. It is the responsibility of licensees and Applicants to keep their addresses listed with

the Commission current.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 15. Types ofLicenses and Registrations; Issuance and Other Fees. Aside from

licenses for Primary Management Officials and Key Employees, the Commission, upon receipt

of the appropriate application fee, issuance fee and costs of any background investigations and

upon satisfaction of the applicable requirements, may issue eleven (11) other types of licenses

in a manner consistent with 25 C.F.R. §~ 556 and 558. Such licenses shall include as follows:

15.1. Slot Machine Operator. The initial issuance fee for such a license is

$2,000 and thereafter an annual fee of $2,000 renewable each February 1st. This fee

shall be levied per license regardless of the number of machines or locations operated.

The holder of such a license shall be entitled to operate Slot Machines and Progressive

Slot Machines on the Reservation at the licensed premises subject to the codes and the

laws and regulations of the Tribe and the Commission. This issuance fee is in addition

to the costs of any background investigation and application fee.

01/139289.2 35
Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.2. Card Game Operator. The initial issuance fee for such a license is $2,000

and thereafter an annual fee of $2,000 renewable each February 1st. This issuance fee

shall be levied per license regardless of the number of tables or locations. The holder

of such a license shall be entitled to operate card games on the Reservation at the

licensed premises subject to the codes and laws and regulations of the Tribe and the

Commission. This issuance fee is in addition to the costs of any background

investigation and application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.3 Video Game of Chance Operator. The initial issuance fee for such a

license is $2,000 and thereafter an annual fee of $2,000 renewable each February 1st.

This fee shall be levied per license regardless of the number of machines operated. The

holder of such a license shall be entitled to operate Video Games of Chance on the

Reservation at the licensed premises subject to the codes and the laws and regulations of

the Tribe and the Commission. This issuance fee is in addition to the cost of any

background investigation and application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.4. Simulcasting Operator. The initial issuance fee for such a license is

$2,000 and thereafter an annual fee of $2,000 renewable each February 1st. This

issuance fee shall be levied per license regardless of the number of locations where

simulcasting is conducted. The holder of such a license shall be entitled to conduct

simulcasting on the Reservation at the licensed premises subject to the codes and the laws

and regulations of the Tribe and the Commission. This issuance fee is in addition to

costs of any background investigation and application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.5. Sports Betting Operator. The initial issuance fee for such a license is

$2,000 and thereafter an annual fee of $2,000 renewable each February 1st. This

issuance fee shall be levied per license regardless of the number of locations where

Sports Betting is conducted. The holder of such license shall be entitled to conduct

Sports Betting on the Reservation at the licensed premises subject to the codes and the

laws and regulations of the Tribe and the Commission. This issuance fee is in addition

to the costs of any background investigation and application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.6. Sports Betting Pools Operator. The initial issuance fee for such a license

is $2,000 and thereafter an annual fee of $2,000 renewable each February 1st. This

01/139289.2 36
issuance fee shall be levied per license regardless of the number of locations where

Sports Betting Pools are operated. Such license shall be renewable each February 1st.

The holder of suØh a license shall be entitled to operate Sports Betting Pools on the

Reservation at the licensed premises subject to the codes and the laws and regulations of

the Tribe and the Commission. This issuance fee is in addition to the costs of any

background investigation and application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.7. Party-in-interest License. Any Party-in-interest must hold such a license.

The issuance fee is $300 and thereafter an annual fee of $300 renewable February 1st.

This issuance fee is in addition to the costs of any background investigation and

application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.8. Employee License. All persons employed to work directly with the gaming

portion of a gaming operation must hold an employee license. The issuance fee is $25

and thereafter an annual fee of $25 renewable February 1st. This issuance fee is in

addition to the costs of any background investigation and application fee.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.9. Class III Gaming Equipment Vendor. Vendors of Class ifi

Gaming Equipment must, as a condition precedent to any sale of property to any Primary

Management Official of a facility licensed pursuant to this Gaming Code, first obtain a

license from the Commission. The issuance fee for such a license is $1,000 and

thereafter an annual fee of $1,000 renewable each February 1st. This issuance fee is in

addition to the cost of any background investigation and application fee. Applicants for

such a license shall be entitled to the issuance of a temporary license if they have

completed the application, filed the application with the Commission and paid the

required fees and if the results of the preliminary background checks are acceptable to

the Commission and they hold a license for similar activity issued by the States of South

Dakota, Iowa, Nevada or New Jersey.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.10. Class III Gaming Supplies Vendor. Vendors of Class ifi Gaming Supplies

must, as a condition precedent to any sale of property to any Primary Management

Official of a facility licensed pursuant to this Code, first obtain a license from the

Commission. The issuance fee for such a license is $300 and thereafter an annual fee

of $300 renewable each February 1st. This issuance fee is in addition to the costs of any

background investigation and application fee. Upon the filing of an application required

by the Commission and payment of the required fees, the Commission may issue a

01/139289.2 37
temporary Class ifi Gaming Supplies license, provided that the Vendor holds a license

issued by the States of South Dakota, Iowa, New Jersey or Nevada.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

15.11. Vendors Registration. All persons or firms that sell any property to a

gaming operation licensed under this Code shall be registered with the Commission.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 16. Licensee Ownership Rights.

16.1. License as a Privilege, Nontransferability ofLicense. Any license that is

issued under this Code is a revocable privilege and no person holding a license acquires

any vested rights or other property rights in it. Any Applicant for a license has the

burden of proof of his, hers or its qualification as regards to his past conduct, as may be

required by the Commission. No license issued pursuant to this Code may be

transferred.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

16.2. Notification of Disciplinary Action to Licensees. A person holding a

license shall be notified that disciplinary action of his license is being considered by the

Commission. The license holder, may, upon such notice, request an informal hearing

before the Commission within 10 days following such notice. Any disciplinary action,

including the Suspension or Revocation of a gaming license, shall comply with the

appropriate provisions of the Regulations and this Code.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

16.3 Disciplinary actions; hearings; procedure. Hearings on Revocations or

Suspension of licenses together with appeals from any decision of the Commission shall

be conducted in accordance with Exhibit G of this Gaming Code.

Source: Resolution No. 92-59 of the Omaha TribaL Council, April 13, 1992.

Section 17. Notice. Notice, when required by this Code, shall be given by registered

or certified mail and shall be considered to be complete upon placing the properly addressed

notice in the U.S. mail, postage prepaid, regardless of whether such notice is actually received.

The burden shall be on licensees and Applicants to keep the Commission advised of their current

mailing address. In all contested cases, papers shall be served in the manner provided for in

civil matters under the Tribal Code.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

01/139289.2 38
Section 18. Reimbu,~ement to Commission for Investigations. Any Applicant for a

license under this Code shall reimburse the Commission for the costs of all investigations to

determine if he/she is a sUitable licensee under this Code which are over and above the initial

license fee charged at the time of application. By signing and filing an application, the

Applicant authorizes the Commission to obtain information from other states, Indian Tribes, the

United States, and all agencies and instrumentalities of the foregoing, regarding prior

professional or gaming licenses, license applications, conduct of the Applicant or such

information regarding any of the Applicants shareholders, partners, agents or employees.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 19. Minimum Standards for Inspection and Approval of Gambling Devices.

19.1. Devices, Testing, Standards. Prior to the installation and use of a

Gambling Device, the Commission shall inspect, test and consider the Gambling Device

for its approval. The Commission shall not approve a Gambling Device unless the tests

conducted indicate that such Gambling Device meets the minimum standards set forth in

Exhibit A of the Regulations, attached hereto, or unless an identical Gambling Device

is currently approved for use by the Iowa Racing and Gaming Commission. If an

identical Gambling Device is currently approved for use by the Iowa Racing and Gaming

Commission, the Commission may waive the inspection and testing requirements for such

Gambling Device. The Director and the Tribe shall agree upon the identity of the

gaming test laboratories which can be utilized under this Section 19.1.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

19.2. Use of Test Results From Other Jurisdictions; Manufacturers

Certifications. In the event a particular Gambling Device has not been approved by the

Iowa Racing and Gaming Commission but has been approved by a gaming regulatory

body of the States of Nevada, South Dakota or New Jersey, and the test results from

such jurisdictions show that the Gambling Device meets the standards set forth in

Exhibit A of the Regulations, then the Gambling Device may be authorized for use by

the Commission, provided that a copy of the test results indicating that the device

complies with Exhibit A of the Regulations is obtained and received by the

Commission and the manufacturer of the Gambling Device certifies to the Commission

and the Director that each Gambling Device to be shipped complies in all respects with

the standards in Exhibit A of the Regulations.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 20. Secuilfy and Surveillance. The Commission shall require Primary

Management Officials to provide and adhere to minimum security and surveillance standards,

at least as stringent as those described in Exhibit B of the Regulations, attached hereto, as

modified from time to time.

01/139289.2 39
Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 21. Accounting and Cash Control. The Commission shall require all Primary

Management Officials to adhere to accounting and cash control procedures as least as stringent

as those set forth in Exhibit C of the Regulations, attached hereto.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 22. Operational Procedures and Game Rules. All Class ifi Gaming shall be

conducted in conformance with the Compact, this Code and the Regulations, including the

operating restrictions set forth in Exhibit E of the Regulations and the game rules set forth in

Exhibit D of the Regulations, attached hereto.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 23. Audits Inspections and Facilily and Records Access.

23.1. Semi-Annual Audits, Procedures. The Commission, at the expense of the

licensed casino, shall cause an independent certified public accountant approved by the

Director to audit the books, records, gaming and cash procedures and equipment of all

authorized Class ifi Gaming activities at least twice in each fiscal year. The Tribe and

the Director shall mutually agree on the scope of the audits to be conducted by the

auditor. At a minimum, the audits shall include a review of all records necessary to

determine whether authorized gaming is being conducted in conformance with this Code,

the Compact, the Regulations and other applicable laws. Such audits shall also include

a review of Class ifi Gaining Equipment and Supplies and an audit of casino procedures

as necessary to ensure that equipment and casino personnel function as required by this

Code, the Compact and the Regulations. At least once each year, an audit shall be

conducted on all contracts for supplies, services or concessions for a contract amount in

excess of $25,000.00 annually (except for contracts for professional, legal or accounting

services) relating to Class ifi Gaming. All audits shall be conducted pursuant to the

American Institute of Certified Public Accountant (AICPA) standards for Audits of

Casinos when applicable and shall be submitted to the NIGC and kept on file with the

Commission. The Director may attend the entrance and exit conference between the

Commission and the auditors and shall be provided copies of the audits, including any

audit notes, within fifteen (15) days of receipt. In the event that the State has probable

cause to believe that there is a violation of this Code, the Compact, the Regulations or

other applicable laws, the Director may notify the Tribe and the Commission and may

request that the Tribe or the Commission obtain an audit of the books, records,

equipment and procedures of any authorized gaming operation, including the records of

any Primary Management Official to ensure compliance with the Compact, this Code,

the Regulations and other applicable laws. In the event the Tribe or Commission chooses

not to procure a requested audit, the State may conduct such an audit and the Tribe and

Commission shall cause the foregoing records to be made available to the State during

01/139289.2 40
ordinary business hours. The States audits may include equipment testing. The Tribe

and/or Commission shall, within seventy (70) days from receipt of an itemized statement

from the State, reimburse the State for the actual cost of such audit up to twenty-five

thousand dollars ($25,000.00) in any one fiscal year. The State shall provide copies of

such audits to the Tribe and Commission provided that disclosure of such audits would

not compromise any law enforcement activities.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

23.2. Conduct ofAudits and Inspections by the State. Authorities of the State

may enter upon the premises of an authorized gaming facility at any time during ordinary

business hours for purposes of conducting the audits specified in the Compact and this

Code or to conduct routine facility inspections. Routine inspections may include random

equipment testing on the premises and casino surveillance. Upon the reasonable request

of the State, the Tribe and the Commission shall provide the State with access to all areas

of Class ifi Gaming facilities and their records and shall ensure that all licensees make

their records and facilities available to State officials. The Tribe shall ensure that

information requested by State is provided by all persons possessing the requested

information, and Primary Management Officials shall assure that a suitable office is

provided in which the State may review records and other infonnation provided by the

Tribe. State officials may copy, remove from the premises and retain copies of materials

and documents related to Class ifi Gaming. A reasonable amount of equipment may be

removed from the premises for a reasonable time to facilitate examination and testing.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

23.3. Maintenance ofRecords; Time. All books and records relating to Class ifi

Gaming activities, including the records of any Primary Management Official, the Tribe

and the Commission must be maintained separately from each other in order to facilitate

auditing of these books and records to ensure compliance with this Code, the Regulations

and the Compact. All records shall be maintained for a period of twelve (12) years

pursuant to generally accepted accounting principles and shall be suitable for audit

pursuant to the standards of the AICPA.

Source: Resolution No. 92-59 with the Omaha Tribal Council, April 13, 1992.

Section 24. Documents Provided by the Tribe to the State. Within a reasonable time

following request, the Tribe shall provide the Director with a copy of any information

reasonably related to Class ifi Gaming on Indian Lands. In addition, the Commission shall

routinely provide the Director with a copy of this Code, the Regulations, all subsequent

amendments to this Code and the Regulations, a copy of all audit reports, including auditors

notes, a copy of Class ifi Gaming activities prepared by the Tribe or independent auditors hired

by the Tribe or the Commission, a copy of the results of all equipment or program tests, all

Management Contracts and all contracts or leases for gaming equipment or services. The

01/139289.2 41
Commission shall routinely provide the DCI with a copy of all background applications and the

results of all background investigations, with infonnation concerning any suspected or proven

violations of the terms of this Code, the Regulations, the Compact or other applicable laws and

with information describing the steps taken by the Tribe or the Commission to remedy such

violations. All copies shall be provided by the Tribe and the Commission as soon as is

reasonably practical but no later than ten (10) calendar days after the documents are received

by the Tribe or the Commission or the Tribe becomes aware of a suspected or proven violation

of this Code, the Regulations, the Compact or other applicable laws.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 25. Location of Gaming.

25.1. Gaming Conducted Solely on Indian Lands. Except as indicated in

Section 25.2, all authorized Class ifi Gaming shall be conducted solely on Indian Lands.

Pursuant to the Act, licenses are required for each place, facility or location on Indian

Land where Class ifi Gaming occurs. Authorized Class ifi Gaming is conducted solely

on Indian Lands only if all consideration wagered is placed by players physically located

on Indian Lands at the time the wager is made, all activities performed by the player to

participate in the game physically occur on Indian Lands, and all activities related to

determining and validating winners occur on Indian Lands. The activities prohibited by

this Section, include, without limitation, placing bets or playing games by telephone or

by mail unless calls both originate and terminate on Indian Lands and unless

correspondence is sent from an address on Indian Lands to an address on Indian Lands.

Winners may receive prize winnings outside the boundaries of Indian Lands without

violating this provision.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

25.2. Inter-reservation Gaming; When Permissible. Nothing in this Section 25

shall prevent the Tribe from conducting inter-reservation Class ifi Gaming by means of

telecommunications, satellite or technologic or computer enhancement, provided that the

inter-reservation gaming conforms with the requirements of federal law, including the

Act and the Compact, and conforms with the laws, rules and Regulations of all tribes

involved in the gaming and further conforms with any terms of an effective triballstate

compact which governs the gaming activities of each tribe participating in the gaming.

Inter-reservation gaming must, however, be conducted solely on Indian Lands (as that

term is defmed herein and in Section 4(4) of the Act, 25 U.S.C. Sec. 2703(4), and as

that term is limited by Section 20 of the Act, 25 U.S.C. Sec. 2719) which belongs to one

of the participating tribes.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

01/139289.2 42
Section 26. Jurisdiction.

26.1. Division of Criminal and Civil Jurisdiction. Except for the criminal

prosecution of persons who are not Tribal Citizens, the Tribe shall exercise complete,

full and perfect civil and criminal jurisdiction over players of authorized gaming,

licensees and all other persons or entities whose acts or omissions relate to any

authorized or unauthorized Class LU Gaming activities on Indian Lands and over all

property related to Class LU Gaming activities on Indian Land. The Tribe shall be

responsible for addressing and solving all law enforcement problems arising from its

Class LU Gaming activities.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

26.2. Violations; Investigation. Whenever the Tribe has reason to believe that

any person or entity has violated the Compact, the Regulations, this Code or other laws

applicable to a Class LU Gaming activity, the Tribe shall request that law enforcement

authorities of the Tribe and the United States investigate the violation. The Tribe shall

take all reasonable steps to ensure that all violations are detected and appropriately

prosecuted by the Tribe or the United States Attorney.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

26.3. Civil and Criminal Jurisdiction of the State. Except for the civil and

criminal prosecution of Tribal Citizens, the State shall exercise complete, full and perfect

civil and criminal jurisdiction over all players of authorized gaming, all licensees and all

other persons or entities whose acts or omissions relate to any authorized or unauthorized

Class LU Gaming activities on Indian Lands, and all property which is related to any

authorized or unauthorized Class LU Gaming activities on Indian Lands, for the purposes

of administering, monitoring, auditing, investigating, enforcing and prosecuting violations

of the Compact, the Regulations, this Code and other laws applicable to Class LU Gaming

activities. In furtherance of its jurisdiction, the State may take any action on Indian

Lands which would be lawful elsewhere in the State.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

26.4. Prosecution of Offenses by the State. The State shall have jurisdiction to

commence prosecutions for violation of any applicable civil or criminal law or regulatory

requirement not inconsistent with the Compact arising out of any investigation conducted

by the State or any governmental authority of any sovereign, provided that the subject

of such prosecution is not a Tribal Citizen.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

01/139289.2 43
26.5. Prosecution of Offenses by the Tribe. The Tribe shall have jurisdiction to

commence prosecutions for violation of any applicable civil or criminal law or regulatory

requirement not inconsistent with the Compact arising out of any investigation conducted

by the Tribe or any govermnental authority of any sovereign, provided that the subject

of such prosecution is a Tribal Citizen. If the subject is not a Tribal Citizen, the Tribe

shall request that the offender be prosecuted by the State or the United States, pursuant

to Section 26.4.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

26.6. Concurrent Jurisdiction. If exercised, the Tribes jurisdiction shall be

exercised concurrently with, but independently of, the civil and criminal jurisdiction over

such activities, property, persons and entities held by the State and the United States.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

26.7. Transfer to Appropriate Sovereign. Both the Tribe and the State and their

respective agencies and instrumentalities shall have the power to arrest on Indian Land

in State and to detain any person whatsoever for any suspected violation of the Compact,

this Code, or any law, rule or regulation of any governmental authority respecting

gaming on Indian Lands. Upon identification of the appropriate authority under the

Compact or this Code for the prosecution of such suspected offense, the arresting party

shall release such detained person to the custody of the appropriate authority.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 27. Posting of Rules. Specific rules for card games shall be approved by the

Commission and clearly posted within plain view of the card table or be available in a pamphlet

form.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 28. Age Limit for Players. Any participant in Class ifi Games of chance shall

be eighteen (18) years or older at the time of his/her participation. In the event a person who

has not attained the age of eighteen (18) participates in any game of chance and wins a prize,

the prize shall not be awarded, but instead shall be forfeited to the Tribe and the consideration

wagered shall be returned to the under-age participant.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 29. Exemption from 15 U.S.C. Sec. 1171. Pursuant to Section 2 of an Act of

Congress of the United States entitled An Act to Prohibit Transportation of Gambling Devices

in Interstate and Foreign Commerce, approved January 2, 1951, designated 15 U.S.C.

Sections 1171 to 1177, inclusive, the Tribe does hereby, and in accordance with and in

01/139289.2 44
compliance with the provisions of Section 2 of the Act of Congress, declare and proclaim that

it is exempt from the provisions of Section 2 of that Act of Congress of the United States as

above mentioned, as regards gaming devices operated and used within the Reservation. This

exemption shall be effective upon adoption of this Code.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 30. Exemption from 15 U.S.C. Sections 1171 to 1177. All shipments of

gaming devices, including Slot Machines, onto Indian Land, and the registering, recording, and

labeling by the manufacturer or dealer thereof (in accordance with Sections 3 and 4 of an Act

of Congress of the United States entitled An Act to Prohibit Transportation of Gambling

Devices in Interstate and Foreign Commerce and approved January 2, 1951 and designated as

15 U.S.C. Sections 1171 to 1177, inclusive) shall be deemed legal shipments, for use only

within the Indian Land. This section shall take effect upon adoption of this Code.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 31. illegal Games and ActivUies.

31.1. Unlawful activities. It is unlawful for any person playing or for any

licensee conducting any authorized game of chance to:

(a) Knowingly use bogus or counterfeit chips, gaming billets, tokens,

devices or coins, or knowingly to substitute and use cards or dice that have been

marked, loaded or tampered with;

(b) Employ or have on ones person any cheating device to facilitate

cheating in any game of chance;

(c) Use any fraudulent scheme or technique;

(d) Cheat or attempt to cheat at any game of chance;

(e) By any trick or slight of hand performance, or by fraud or

fraudulent scheme, or with cards, dice or device, for himself or for another, win

or attempt to win money or property or reduce a losing wager or attempts to

reduce a losing wager in connection with Class ifi Gaming;

(f) Knowingly possess or use while on the premises of any Class ifi

Gaming facility any key or device designed for the purpose of or suitable for

opening or entering into a Slot Machine, Gambling Device, or Video Game of

Chance, or similar Gambling Device or drop box, except that a duly authorized

employee of a Class ifi Gaming facility or employee of the Commission may

01/139289.2 45
possess and use any of the foregoing instruments only in furtherance of his/her

employment;

(g) Knowingly conduct, carry on, operate, deal or allow to be

conducted, carried on, operated or dealt any cheating or thieving game or device;

(h) Knowingly deal, conduct, carry on, operate or expose for play any

game or games played with cards, dice, a Gambling Device or other mechanical,

electronic or electromechanical device, or any combination of games or devices,

which have been in any manner marked or tampered with, or placed in a

condition, or operated in a manner, the result of which tends to deceive the public

or tends to alter the nonnal random selection characteristics or the nonnal chance

of the game which could determine or alter the result of the game;

(i) Knowingly use or possess any marked cards, loaded dice, plugged

or tampered with machines or devices;

(j) Operate or participate in gaming on Indian Lands in violation of

the provisions of this Code or in violation of the Regulations promulgated

pursuant to this Code;

(k) Knowingly make a false statement on an application for

employment with a gaming activity or enterprise, or on an application for a

license to operate, manage or be employed by, or sell any property to, a gaming

activity or enterprise on Indian Lands;

(1) Bribe or attempt to bribe, or unduly influence or attempt to unduly

influence, any person who licenses, regulates, operates, conducts, assists, or is

otherwise employed in a gaming activity or enterprise located on Indian Lands;

(m) Alter or misrepresent the outcome of a game or other event on

which wagers have been made after the outcome is made sure but before it is

revealed to the players;

(n) Place, increase or decrease a bet or determine the course of play

after acquiring knowledge, not available to all players, of the outcome of the

game or any event that affects the outcome of the game or which is the subject

of the bet or aid anyone in acquiring such knowledge for the purpose of placing,

increasing or decreasing a bet or detennining the course of play contingent upon

that event or outcome;

(o) Claim, collect or take, or attempt to claim, collect or take, money

or anything of value in or from a gambling game, with intent to defraud, without

01/139289.2 46
having made a wager contingent thereon, or to claim, collect or take an amount

greater than the amount won;

(p) Use, or possess with the intent to use, any device to assist:

(i) In projecting the outcome of the game;

(ii) In keeping track of the cards played;

(ii) In analyzing the probability of the occurrence of an event

relating to the game;

(iv) In analyzing the strategy for playing or betting to be used

in the game;

except as permitted by the Commission.

(q) Manipulate, with the intent to cheat, any component of a Gambling

Device in a manner contrary to the design and normal operational purpose for the

component, including, but not limited to, varying the pull of the handle of a Slot

Machine with knowledge that such manipulation affects the outcome of the game

or with knowledge of any event that affects the outcome of the game.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

31.2. Violations;forfeiture. Any property used in the commission of a violation

of a provision of this Code or the Regulations may be seized and, following a hearing,

forfeited to the Tribe and disposed of by the Commission.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

31.3. Violations, exclusions. Any person who is not a Tribal Citizen and who

violates a provision of this Code or the Regulations, in addition to the imposition of an

administrative fme, may be excluded from the Reservation of the Tribe.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

31.4. Detaining and questioning of person suspected of violating Code,

limitations on liability; posting of notice.

(a) Any Primary Management Official, his/her officers, employees or

agents, may question any person in his/her establishment suspected of violating

any of the provisions of this Code. No Primary Management Official or any of

his/her officers, employees or agents will be held criminally or civilly liable:

01/139289.2 47
(i) As a result of any such questioning; or

(ii) For reporting to the Commission or law enforcement

authorities the person suspected of the violation.

(b) Any Primary Management Official or any of his/her officers,

employees or agents who have probable cause for believing that there has been

a violation of this Code or the Regulations in his/her establishment by any person

may take that person into custody and detain him in the establishment in a

reasonable manner and for a reasonable length of time. Such a taking into

custody and detention does not render the Primary Management Official or

his/her officers, employees or agents criminally or civilly liable unless it is

established by clear and convincing evidence that the taking into custody and

detention are unreasonable under all the circumstances;

(c) No Primary Management Official or his/her officers, employees

or agents are entitled to the immunity from liability provided for in Subsections

(a) and (b) hereof, unless there is displayed in a conspicuous place in his

establishment a notice in bold face type clearly legible and in substantially this

form:

Any gaming Primary Management Official or any of his/her

officers, employees or agents who has probable cause for believing

that any person has violated any provision of the Omaha Tribe of

Nebraska Gaming Code or the Regulations may detain that person

in the establishment.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 32. Civil Penalties for Persons or Entities that are not Licensees.

(a) Any person or entity, other than a licensee, who violates this Code, the

Regulations or the Compact, may be assessed an administrative fine by the Commission.

Such administrative fine may be assessed only after the person or entity has been given

notice and an opportunity to be heard before the Commission. Each day a violation

occurs or continues shall be treated separately and may be assessed as a separate

violation.

(b) The administrative fme assessed pursuant to Section 32(a) above shall not

exceed Fifty Thousand Dollars ($50,000.00) per violation, or twice the amount of any

grand prize awarded or available to win in a gaming activity which is directly associated

with the violation, whichever is greater.

01113fl89.2 48
(c) The civil penalties provided for in this Section may be imposed in addition

to possible criminal penalties provided for under applicable law.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 33. Use of Gaming Billets and Coins; Alteration of Normal Operation of

Gambling Devices. It is unlawful for any person playing or using a Gambling Device:

(a) To knowingly use other than a lawful coin or legal tender of the United

States of America, or to use a coin not of the same denomination as the coin intended

to be used in such Gambling Device, however, it shall be lawful for any person to use

gaming billets, tokens or similar objects when approved by the Commission;

(b) To use any cheating or thieving device, including, but not limited to, tools,

drills, wires, strings, coins or tokens attached to strings or wires, electronic or magnetic

devices, or electromechanical devices, or electromagnetic devices to facilitate the

alignment of any winning combination or to assist in the removal from any Gambling

Device any money or other contents thereof.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 34. Enforcement of Administrative Fines. If any person or entity fails or

refuses to pay an assessment levied pursuant to Sections 31.3 and 32 above, the Commission

may take all actions necessary to collect the assessment at any time following 30 days from the

date of the assessment by initiating a civil action against the person or entity in Tribal court or

in any other court of competent jurisdiction. In such civil action, the validity and amount of the

assessment shall not be subject to judicial review. The validity and amount of any administrative

fine levied pursuant to this Code is only subject to judicial review as a contested case under

Exhibit G hereof, which shall constitute the sole and exclusive means of judicial review.

Admission into evidence of a certified copy of the order of the Commission levying such

assessment shall establish a prima facia case of the Commissions right to judgment in its favor.

The Commission shall be entitled to all remedies in law or in equity.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 35. Criminal Violations. Any violation of this Code or the Regulations by a

Tribal Citizen shall constitute a criminal offense under the Tribes Law and Order Code and,

upon conviction, carries the penalties of imprisonment of up to one year in the Tribal jail; a fine

of up to One Thousand Dollars ($1,000.00), or both, in addition to any administrative fme levied

by the Commission. In addition to such penalties, any property utilized in violating this Code

or the Regulations, and any proceeds derived from a violation hereof, shall be subject to seizure

and forfeiture to the Tribe upon conviction. Any violation of this Code or the Regulations by

a person who is not a Tribal Citizen shall be subject to the Commissions civil and regulatory

powers, pursuant to Section 32.

01/139289.2 49
Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 36. Pivcedures for Dispute Resolution. In the event of an alleged personal

injury or property damage suffered within a gaming facility, or in the event of a dispute between

a patron and the gaming facility regarding the payment of a wager or distribution of winnings,

the patron may make a claim against the gaming facility as follows:

(a) Any person having a claim against a gaming facility must present that claim to

the Commission for appropriate relief. Claims against a gaming facility are to be presented

within ninety (90) days of the date that the loss occurred. In the event a claim is not presented

within ninety (90) days of the loss but is presented within one year of the date of the loss, any

judgement in a lawsuit that arises from such claim shall be reduced by ten (10) percent. A claim

against a gaming facility shall be forever barred unless notice thereof is presented within one

year after the loss occurs. Claims against a gaming facility must be in writing and filed with

the Commission. Notices explaining this procedure shall be posted in the gaming facility. Such

notices shall explain that this procedure is the exclusive method of making claim or registering

a patrons dispute. Such notices shall also explain that upon denial of a claim by the Commission

redress must be sought exclusively in Tribal Court.

(b) The written notice of all claims shall state the date, time, place and circumstances

of the claim, the identity of the effected licensees or employees, if known, the amount of

compensation or other relief demanded, the name, address and telephone number of the

claimant, and the name, address and telephone number of any agent authorized to settle the

claim.

(c) A claim is deemed denied if the Commission fails to approve the claim in its

entirety within ninety (90) days of receipt, unless the interested parties have reached a settlement

before the expiration of that period. A person may not initiate suit against a gaming facility

unless the claim has been denied in whole or in part. The claimant and the gaming facility may

continue attempts to settle a claim; however, settlement negotiations do not extend the date of

denial.

(d) No action for any cause arising from personal injury, property damage or gaming

disputes shall be maintained unless valid notice has been given and the action is commenced in

Tribal Court within 180 days after denial of the claim as set forth above. Neither the claimant

nor the gaming facility may extend the time to commence an action by continuing to attempt

settlement of the claim.

Section 37. Exclusion or Ejection of CeaWin Persons From Gaming Establishment.

37.1. Exclusion ofpersons required for effective regulation. The Tribe hereby

declares that the exclusion or ejection of certain persons from licensed gaming

establishments is necessary to carry out the policies of this Code and to maintain

effectively the strict regulation of licensed gaming.

01/139289.2 50
Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

37.2. Exclusion list, considerations. The Commission may provide each

establishment with a list of persons who are to be excluded or ejected from any licensed

gaming establishment, including any person whose presence in the establishment is

determined to pose a threat to the interest of the Tribe or to licensed gaming. In making

the determination for exclusion, the Commission may consider any of the following:

(a) A prior conviction of a felony, a misdemeanor involving moral

tuipitude or a violation of the gaming laws of any Indian tribe, state, the United

States, or any of its possessions, enclaves, or territories;

(b) A violation, attempt to violate or conspiracy to violate the

provisions of this Code, the Regulations, including: failure to make required

disclosures to the Commission or the intentional evasion of fees or taxes;

(c) A notorious or unsavory reputation that would adversely affect

public confidence and impact the trust that the public has regarding the gaming

industry as free from criminal or corruptive influences; and

(d) The opinion of the Commission, that the presence of a person in

a licensed gaming facility would be harmful to the interest of the Tribe, or Indian

gaming generally.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

37.3. Notice to Excluded Person. If the name and description of any person is

placed on the exclusion list, the Commission shall, within three (3) business days

thereafter, serve notice of that action upon the person by at least one of the following

means:

(a) By personal service;

(b) By certified or registered mail to the last known address of the

person; or

(c) By publication, at least twice, for two consecutive weeks in a

newspaper of general circulation on the Reservation.

A person placed upon the exclusion list may contest that action by filing a written

protest with the Commission and the protest shall be heard by the Commission within

thirty (30) days after filing, but all such exclusions shall become fmal and non-reviewable

if no protest is filed within forty-five (45) days after such name is placed on the

01/139289.2 51
exclusion list. Failure to provide notice to the excluded person in accordance with this

section shall render such exclusion void.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 38. Minimum Payback. The minimum payback value of one credit played on

a Slot Machine shall be at least eighty percent (80%) of the value of the credit.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 39. Records of Gaming Commission. Infonnation and records of the

Commission enumerated by this Section are confidential and may not be disclosed except

pursuant to the discretion of the Commission in proceedings before it, as required by the

Compact or this Code, or pursuant to a court order of the Tribal Court. No person may use a

subpoena, discovery methods or other applicable laws, rules or regulations to obtain such

information or records. Infonnation and records considered confidential include:

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

(b) Applications, credit, medical and security reports of Applicants for licenses

and other persons seeking or doing business with the Commission;

(c) Marketing, fmancial or sales data, the disclosure of which may be harmful

to the competitive position of Tribal gaming, licensees or persons seeking or doing

business with the Commission;

(d) Audit work papers, worksheets and auditing procedures used by the

Commission, its agents or employees; and

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

communications.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 40. Communications Between Members of tile Commission and its Agents.

Communications between members of the Commission and its agents or attorneys or any law

enforcement authority or regulatory body relating to licensing, disciplining of licensees, or

violations by licensees are privileged and confidential if made lawfully and in the course of and

in furtherance of the business of the Commission, unless such communications were made

pursuant to an order of the Tribal Court after an in-camera review. Any member of the

Commission or its agents may claim this privilege.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

01/139289.2 52
Section 41. Application Fonns. Until such time as the Commission exercises its power

to prescribe the forms for applications, the Commission shall utilize the forms of the State for

similar licenses, together with such other information required by this Code or the Regulations,

but not contained in the States application forms.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 42. Calculation of Time. In computing any period of time prescribed or

allowed by this Code or the Regulations of the Commission, the day of the act, event or default

from which the designated period of time begins to run shall not be included. The last day of

the period so computed shall be included, unless the last day is a Saturday, a Sunday or a legal

holiday under Tribal law or federal law. If the act to be done is the filing of or providing access

to any report or document, and the last day of the period falls on a day in which the weather or

other conditions have made the offices in which the report or document is to be filed

inaccessible, the designated period shall extend until the end of the next day on which the office

is accessible which is not a Saturday, Sunday or legal holiday. When the period of time

prescribed or allowed is less than eleven (11) days, intermediate Saturdays, Sundays and legal

holidays under Tribal law or federal law shall be excluded from the computation period.

Section 43. Limitations on Use of Gaming Revenues. The net revenues of any tribally

licensed Class ifi Gaming activity shall not be used for purposes other than:

(a) Funding Tribal government operations or programs;

(b) Providing for the general welfare of the Tribe and its Citizens;

(c) Promotion of Tribal economic development;

(d) Charitable organizations;

(e) The operation of local govenunent agencies; and

(f) Other eligible beneficiaries as determined by the Council.

Source. Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 44. Assessment for Commission Operations. There is hereby imposed upon

Primary Management Officials an assessment, to fund the Commission, of Ten Thousand Dollars

($10,000.00) per month together with annual increases over the previous years assessment of

seven percent (7%). Such assessment shall be paid monthly by the Primary Management

Official and shall commence the first month that a Primary Management Official is open to the

public for business and such assessment shall be due and payable to the Commission on or

before the 25th day of the month.

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Source. Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

Section 45. Penalties. Any person who knowingly makes a false statement on any

application for a license or in any statement attached to the application, or otherwise provides

false information to the Commission or fails to disclose facts which are necessary to make the

information supplied not misleading, or who fails to keep sufficient or accurate books and

records to substantiate the receipts, expenses or uses resulting from Class ifi Gaming conducted

under this Code, or who falsifies any books or records relating to any transaction connected with

the holding, operating, and conducting of any Class ifi Gaming activity, or who violates any of

the provisions of this Code, or any Regulations promulgated by the Commission, or procedures

prepared by Primary Management Officials and approved by the Commission, or any terms of

a license granted under this Code, shall be deemed in violation of this Code. The Tribe

recognizes that it may not subject offenders who are not Indians to the criminal jurisdiction of

its Tribal Court. This provision is not intended to subject individuals who are not Tribal

Citizens to criminal penalties. The penalties, as they relate to those who are not Tribal Citizens,

are intended to be administrative in nature.

Source: Resolution No. 92-59 of the Omaha Tribal Council, April 13, 1992.

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