Sac & Fox Nation of Missouri

RR 1 Box 60 Reserve, KS 66434

Phone: (785) 742-7471 FAX: (785) 742-3785

OCT ~ R I9~7

R-38-97

WHEREAS: the~ac & Fox Nation of Missouri is duly organized in accordance with the

Reorganization ~tCt of June 18, 1934 (48 Stat. 984) and hasa Constitution as approved by

the Secretar~ of the Interior on March 2, 1937, amended and approved November 22,

1982, wjth a new Tribal Constitution amended and approved by the Secretary of the

interioron July 20, 1990, pursuant to the above statue, and

WfIEREAS: the Sac & Fox Nation of Missouri Tribal Council has been given full authority

/by the Nation to act in all matters of business for the Nation, and

WHEREAS: the Sac & Fox Nation is striving for self-sufficiency and strong tribal

government by providing economic development to improve the economy, health,

education, and welfare of its Tribal members, and

WHEREAS: the United States Congress enacted Public Law 199-497, the Indian Gaming

Regulatory Act, and

WHEREAS: the Sac & Fox Nation desires to operate a gaming enterprise on Tribal lands,

and

WHEREAS: the Sac & Fox Nation and the Sate of Kansas have negotiated a Class III

Gaming Compact, approved by the Kansas Legislature, executed by the Governor and the

Chairman of the Nation, and approved and published by the Secretary of the Interior, and

WHEREAS: the Sac & Fox Nation is its own Developer and Manager of its Gaming

Casino, and

WHEREAS: the Sac & Fox Nation has an approved Gaming Ordinance and interim

Gaming Regulations, and

WHEREAS: given that the Sac & Fox Casino and Gaming Commission have been

operational throughout 1997, it is now appropriate to adopt permanent gaming regulations,

and

WHEREAS: permanent Regulations have been submitted by the Nations General Counsel,

after consultation with the Gaming Commission and Casino, to the Tribal Council, and
WFIEREAS: the Council has reviewed said permanent Regulations.

NOW, THEREFORE, BE IT RESOLVED: that, the permanent Gaming Regulation are

approved and adopted to take effect immediately and replace the Interim Regulations;

NOW, BE IT FURTHER RESOLVED: that the Sac and Fox Gaming Commission provide

a copy of said Regulations to the State Gaming Agency.

CERTIFICATION

The foregoing resolution was adopted subject to any technical modifications at a meeting of

the Sac & Fox Natiop Tribal Council held on this __________

day of J~X~

1997, at which ~ members of the Tribal Council were present, constituting a

quorum, by a vote of 3 for, against, / abstaining.

ii2 (

,

Diana

Secretary

Robidoux-Weeks

~ (

Corbin

Chairman

Shuckahosee

~

Sac & Fox Nation of Missouri Sac & Fox Nation of Missouri
GAMING REGULATIONS OF

THE SAC AND FOX NATION OF MISSOURI IN KANSAS AND NEBRASKA

I. PREAMBLE~

(A) Development of Regulations

(B) Role~of the Tribal Council

(C) Role~of the Tribal Gaming Commission.

DEFINITIONS

--(A)- Employee

(B) Game or Gaming Activity

(C) Gaming Employee

(D) Gaming Facility

(E) Gaming Operation

(F) Key Employee

(G) License

(H) Manufacturer-Distributor

(I) Management Contractor

(J) Management Interest

(~) National Indian Gaming Commissioii or NIGC

~L) Non-Gaming Employees

(M) Category III License

(N) Player

(0) Primary Management Official

(P) Principal

(Q) Standard Gaming Employee

(R) Tribe

CS) Tribal Council

(T) Tribal Gaming Commission

TRIBAL GAMING COMMISSION ADMINISTRATION

(A) Staff; Personnel Policies.

(B) Job Descriptions; Organization Chart

(C) Budgets

(D) Decision-making

(A) Tribal Gaming Commission Delegated Powers and Responsi

bilities 6

(B) Compact Requirements 7

(C) Security and Surveillance Policy-making

Responsibilities; Written Policies Required . . 8

(D) Provision of Security, Surveillance, and

Enforcement Services 8

Policy; Revocable Privilege

License Categories

License Application Procedures

Background Investigations

Applications Review

Standards for Issuance of License .

1

..1

II.

III.

3

..4

4

5

5

5

5

5

S

5

5

5

5

6

6

6

6

6

IV. REGULATORY ENFORCEMENT

V. LI CENSES

(A)

(B)

(C)

(D)

(E)

(F)

.8

.9

10

14

. .

16

. . . 16

Sac and Fox Gaming R.gu1at~ona, 9/30/97
(G) Denial 16

(H) Category III License Approval 19

(I) License Approvals 19

(J) Procedures for Forwarding Applications and Reports

for Key Employees and Primary Management Officials

to~ the National Indian Gaming Commission . 19

(K) Report to the National Indian Gaming Commission 20

(L) Granting a Key Employee or Primary Management

Official Gaming License 20

(M) License Limitations and Restrictions . . 21

(N) Hearings 22

(0) Appeals 22

(P) Waivers 22

(Q) Expirations 23

(R) Renewals 23

(S) Identification Badges 24

(T)_Emplpyment of Unlicensed Persons Prohibited . . . 25

(U) Facility License Requirements 25

Suspensions

Civil Penalties

Criminal Prosecution

Revocations

Hearings

Appeals

GAMING OPERATIONS

(A) Hours of Operation

(B) Wagers with Chips Only .

(C) House Rules

(D) Tournaments

(E) Electronic Gaming Equipment

(F) Gambling by Employees . .

(G) Credit Prohibited

(H) Employment Restriction .

VI. PENALTIES

(A)

(B)

(C)

(D)

(E)

(F)

VII

278

28

293012

Sac and Fox Gaming R.gulationa, 9/30/97 2
I. PREAMBLE

~CT 2 8 ~7

(A) Development of Regulations The following regulations are

issued pursuant to the powers vested in the Sac and Fox Tribal

Council by the Sac and Fox Tribal Constitution and Tribal Gaming

Ordinance. The Tribal Council may, from time to time, issue,

amend, and repeal these regulations consistent with the policy and

purposes of the Tribal Gaming Ordinance.

(B) Role of the Tribal Council The tribal gaming operation,

hereinafter also referred to as the Sac & Fox Casino, is wholly

owned by the Sac and Fox Nation. As the duly elected

representatives of the Sac and Fox Nation, the Tribal Council

serves as the Board of Directors for the Sac & Fox Casino and has

ultimate responsibility for the management, business decisionmaking, planning, day-to-day operations, personnel and human

resources of the gaming operation, which it may, in its judgment,

delegate in whole or in part to the management of the Sac & Fox

Casino. The Tribal Council also has responsibility for the

regulation of the Sac & Fox Casino except to the extent that it has

delegated such regulatory authority to the Tribal Gaming Commission

through the Tribal Gaming Ordinance and related regulations. It is

the intent of the Tribal Council, subject to the right to make

amendments to the Tribal Gaming Ordinance and related regulations,

that the Tribal Gaming Commission operate independently with

respect to the regulatory, licensing, background investigation and

other activities specifically described in the Tribal Gaming

Ordinance and related regulations.

(C) Role of the Tribal Gaming Commission

(1) General Role Pursuant to the Tribal Gaming Ordinance,

the Tribal Council has created the Tribal Gaming Commission and

delegated to it certain responsibilities for the regulation of the

Sac & Fox Casino. The Tribal Gaming Commission has no role in the

management, business decision-making, planning, day-to-day

operations, personnel and human resources of the Sac & Fox Casino.

The Tribal Gaming Commissions responsibilities are strictly

limited to regulation of the Sac & Fox Casino operation and any

powers delegated to the Tribal Gaming Commission by the Tribal

Council for regulatory purposes shall not be used for nonregulatory purposes. In carrying out its responsibilities under

the Tribal Gaming Ordinance and these gaming regulations, the

Tribal Gaming Commission is ultimately accountable to the Tribal

Council and the General Council of the Sac and Fox Nation. The

Tribal Gaming Commission is an agency of the Sac and Fox Nation and

is not an agency of the State of Kansas. In carrying out its

functions, it is bound by the laws and regulations of the Sac and

Fox Nation, the Tribal-State Compact, applicable Federal law, and

Kansas law to the extent adopted by the Sac and Fox Nation. Only

the Sac and Fox Nation, operating through its Tribal Council, has

Sac and Pox Gaming R.gulationa, 9/30/97 1
authority to raise and resolve disputes with the United States or

the State of Kansas. In the event of any such dispute, the Tribal

Gaming Commission is obligated and shall advocate and enforce the

position of the Sac and Fox Nation as declared by the Tribal

Council or the General Council.

(2) Standard of Review Pursuant to these regulations, the

Tribal Gaming Commission is authorized to grant, deny, suspend or

revoke gaming licenses. This extraordinary power is to be used

judiciously, in the best interests of the Sac and Fox-Nation, and

with respect for the rights of the individuals or entities

involved, providing due process, including notice, a hearing, and

the right to be represented by legal counsel, in accordance with

the provisions of the Tribal Gaming Ordinance, these regulations

and the Tribal-State Compact. The Tribal Gaming Commission is only

required to deny a license if the applicant is unable to meet the

requirements of Section V(G) of these regulations or if the

applicant violates Section 21 of the Tribal-State Compact. The

Tribal Gaming Commission is only required to suspend or revoke a

license if the applicant violates Section V(D) of these gaming

regulations or Section 22 of the Tribal-State Compact which by

reference includes violations of the Tribal Gaming Ordinance. All

other violations, including violations of these gaming regulations

and violations of the Tribal-State Compact appendices do not

require denial, suspension or revocation of a license and the

Tribal Gaming Commission, without prejudice to its authority to

impose such a sanction, should investigate such violations to

determine whether a lesser punishment is more appropriate and just.

(3) Conflict of Interest In carrying out his or her duties,

a Tribal Gaming Commissioner shall not make or participate in

making decisions which involve balancing a substantial personal or

financial interest, other than interests held in common by all

members of the Sac and Fox Nation, against the best interest of the

Nation. It shall be deemed a conflict of interest for a Tribal

Gaming Commissioner to make or participate in making a decision

which involves an immediate family member or any person living

within the Tribal Gaming Commissionerss household. An immediate

family member is a spouse, father, mother, brother, sister, son,

daughter, or grandchild. In the event of a conflict of interest, as

defined in this section, or even the appearance of a conflict of

interest, the Tribal Gaming Commissioner shall recuse him or

herself from making or participating in making the affected

decision. Failure to recuse him or herself shall be grounds for

suspension or removal from the Tribal Gaming Commission by the

Tribal Council in accordance with Section IX.B of the Tribal Gaming

Ordinance.

Sac and Pox Gaming R.gulationa, 9/30/97 2
II. DEFINITIONS

To the extent not already defined herein, all definitions

contained in the Indian Gaming Regulatory Act (IGRA), Tribal Gaming

Ordinance, and the Tribal-State Compact are incorporated by

reference into these regulations.

(A) Employee has the same meaning as the term is used by the

United States Internal Revenue Service.

(B) Game or Gaming Activity means any activity, operation or

game of chance in which any valuable consideration may be wagered

upon the outcome determined by chance, skill, and in which any

valuable prize is awarded to the player so wagering, and any

activity in furtherance thereof, including owning, financing,

managing, participating in, conducting or assisting in any way in

any such activity which it is being conducted, directly or

indirectly, whether at the site in person or off tribal land, but

not including (1)~ social games played solely for prizes of minimal

value; or(b) traditional forms of Indian gaming when played by

individuals in connection with tribal ceremonies or celebrations.

(C) Gaming Employee means any natural person 18 years or older

employed in the operation or management of each gaming activity or

operation, whether employed by or contracted to the Tribe or by any

person or enterprise providing on or off-site services to the Tribe

within or without the gaming facility regarding any gaming activity

or operation, including, but not limited to, gaming operation

managers and assistant managers; accounting personnel; surveillance

personnel; cashier supervisors; dealers or croupiers; box men;

floor men; pit bosses; shift bosses; cage personnel; collection

personnel; gaming consultants, management companies and their

principals; and any other natural person whose employment duties

require or authorize access to restricted areas of each gaming

activity or operation not otherwise opened to the public.

(D) Gaming Facility means any building, room or rooms in which

Class II or Class III gaming is conducted.

(E) Gaming Operation means any enterprise owned by the Tribe on

its Indian lands located within the boundaries of Kansas for the

conduct of Class II or Class III gaming in a gaming facility.

(F) Key Employee shall have the same meaning as provided for in

the Tribal Gaming Ordinance and includes any employee who is

directly or indirectly engaged in the administration or supervision

of the gaming operations or physical security activities of such

gaming operations. The following classes of employees are presumed to be actively and directly engaged in the administration or

supervision of gaming:

Sac and Fox Gaming R.gulationa, 9/30/97 3
(1) All individuals who are compensated in any manner in

excess of $50,000 per annum;

(2) All individuals who have the authority to supervise or

direct a shift of any gaming or security activity, including

but not limited to supervision or direction of the pit area,

card rooms, keno or bingo games, mechanical or electronic

gaming devices, or any persons having authority to supervise

or direct such persons;

(3) All individuals who supervise or direct other employees

engaged in the control of gaming assets and revenues and

record keeping, including the recording of cash and evidences

of indebtedness, and the maintenance, review, or control of

the records, accounts, and reports of transactions;

(4) All individuals who have custodial responsibility for

cash or gaming supplies;

(5) All count room supervisors and personnel;

(6) All individuals who supervise or direct other employees

engaged in providing security or surveillance services to the

gaming establishment;

(7) All individuals who may approve or extend gaming credit

in any amount, or whose recommendations in this regard are

ordinarily sought or followed;

(8) Any other individual the Tribal Gaming Commission

specifically determines is important or necessary to the

operation of the gaming establishment.

(9) Any individual who serves as construction manager for

gaming facilities or the gaming operation.

The term key employee does not include any person licensed as a

primary management official.

(G) ItLicensehl means a written approval of the Tribal Gaming

Commission authorizing a specific individual to engage in certain

gaming or gaming-related activities.

(H) Manufacturer-Distributor means any individual, sole

proprietorship, partnership or corporation which assembles,

produces, makes, prints, or supplies Class II or Class III gaming

equipment or supplies for sale, lease, use or distribution to the

Tribe or a licensed gaming operation for a Class II or Class III

gaming activity.

(I) Management Contractor means any individual, sole

proprietorship, partnership, corporation or other entity which

Bac ~nd Pox Gaming R.gialationa, 9/30/97 4
manages any Class II or Class III gaming activity or operation on

behalf of the Tribe pursuant to a management contract approved by

the Chairman of the National Indian Gaming Commission._

(J) Management Interest means the ability to effect significant

policy for a gaming establishment. A primary management official

is deemed to possess a management interest.

(K) National Indian Gaming Commission or NIGC means the

federal gaming regulatory body created by the Indian Gaming~

Regulatory Act (Public Law 100-497, 25 U.S.C. §2701 et secT.

(L) Non-Gaming Employees means employees of the gaming facility

who are not gaming employees but who are employed in ancillary

facilities located within the same building as the gaming facility.

(M) Category III License means a written approval of the Tri-bal

Gaming Commission authorizing non-gaming employees to engage in

certain activities in ancillary facilities located within the same

building as the gaming facility.

(N) Player shall mean a person who participates in a game other

than as an employee or contractor of the gaming operation.

(0) Primary Management Official means (i) with respect to any

management contractor, the person having management responsibility

for a management contract; (ii) any person who has authority to

hire and fire employees or to set up working policy for the gaming

operation; or (iii) the chief financial officer or other person who

has financial management responsibility.

(P) Principal means with respect to any management contractor:

(i) each of its officers and directors; (ii) each of its principal

management employees, including any chief executive officer, chief

financial officer, chief operating officer, or general manager;

(iii) each of its owners or partners, if it is an unincorporated

business; (iv) each of its shareholders who owns more than five

percent of the shares of the corporation, if a corporation; and (v)

each person other than a banking institution who has provided

financing for the enterprise constituting more than ten percent of

the total financing of the enterprise.

(Q) Standard Gaming Employee means any natural person employed

in the operation or management of each gaming activity or operation as a gaming employee who is not a primary management official or

key employee.

(R) Tribe means the Sac and Fox Nation of Missouri.

(S) Tribal Council means the governing body of the Sac and Fox

Nation as established and defined by the Sac and Fox Nation of

Missouris Constitution.

Sac and Pox Gaming R.gulationa, 9/30/97 5
(T) Tribal Gaming Commission means the Tribal Gaming Commission

established by the Tribal Council in accordance with the Tribal

Gaming Ordinance. -

III. TRIBAL GAMING COI2ilSSION ADMINISTRATION

(A) Staff; Personnel Policies Subject to the approval of the

-Tribal Council and the appropriation of- funds therefore, the Tribal

Gaming Commission may hire, supervise, and discipline such

personnel, including Tribal Gaming Inspectors, as the Tribal Gaming

Commission may deem necessary to implement the Sac and Fox Gaming

Ordinance and related regulations in an efficient and effective

manner. The personnel policies of the Sac and Fox Nation of

Missouri shall apply to all Tribal Gaming Commission employees

unless alternative policies are adopted and approved by the Tribal

Council.

(B) Job Descriptions; Organization Chart A job description

including job title, position supervisor, responsibilities,

authorities, and minimum qualifications shall be provided for each

position. The Tribal Gaming Commission shall maintain an

organization chart that clearly shows the lines of control and

supervisory authority between all committees, supervisors and

employees of the Tribal Gaming Commission.

(C) Budgets The Tribal Gaming Commission shall each year prepare

and submit to the Tribal Council for its review and approval annual

operating and capital expenditure budgets.

(D) Decision-making Decisions of the Tribal Gaming Commission

shall be made by majority vote of the Commissioners at a duly

called meeting with a quorum of two Commissioners present.

IV. REGULATORY ENFORCEMENT

(A) Tribal Gaming Commission Delegated Powers and

Responsibilities The Tribal Gaming Commission is delegated

Tribal Council powers to: monitor compliance with the Tribal Gaming

Ordinance, Tribal-State Compact, and related regulations and to

investigate and act to prevent any violations thereof; conduct or

oversee necessary personal background and criminal history

investigations of license applicants; approve and deny

applications for gaming licenses; issue gaming licenses; restrict,

suspend, or revoke licenses or impose penalties or other sanctions

established by these regulations against the holder of a license;

conduct hearings to consider an applicants appeal of a Tribal

Gaming Commission decision to deny, restrict, suspend or revoke any

license, or application or to consider a license applicants

Sac and Fox Gaming R.gulationa. 9/30/97 6

-I
request for a waiver of license standards; impose any lawful

sanctions or penalties; and perform other Tribal Council duties as

the Tribal Council may decide. The Tribal Gaming Commission is not

delegated Tribal Council authority to contract with the State of

Kansas or any other third party, without the prior approval of the

Tribal Council, for the performance of background and criminal

history investigations.

(B) Compact Requirements Pursuant to the Tribal-State

Compact, the Tribal Gaming-Commission shall:

(1) advise the State of any intent to revise the standards set

forth in Appendix A of the Compact and the Gaming Rules set forth

in Appendix B of the Compact and shall request the concurrence of

the State Gaming Agency of such revisions;

(2) establish a_list of persons barred from the--gaming

facility and shall exclude persons engaging in disorderly conduct

or other conduct jeopardizing public safety in the gaming facility;

(3) receive consumer complaints within the gaming facility and

shall assist in seeking voluntary resolution of such complaints;

(4) require the audit of the gaming activities of the Tribe

not less than annually, by an independent certified public

accountant, in accordance with the auditing and accounting

standards for audits of casinos of the American Institute of

Certified Public Accountants, and the provisions of section 23 of

the Tribal-State Compact;

(5) employ tribal gaming inspectors who shall be required to

obtain a key employees gaming license;

(6) have at least one tribal gaming inspector in the gaming

facility during all hours of gaming operation, who shall have

unfettered access to any and all areas of each gaming activity or

operation for the purpose of ensuring compliance with the Tribal

Gaming Ordinance, the gaming regulations and the Compact. The

tribal gaming inspector shall report immediately all violations of

the Compact or applicable laws and regulations to the Tribal Gaming

Commission, which shall forward such report to the State Gaming

Agency within 72 hoi.~rs after such violation is discovered;

(7) investigate any reported violation of the Tribal Gaming

Ordinance, Tribal-State Compact and regulations promulgated thereto

and shall require that any such violation be corrected upon such

terms and conditions as the Tribal Gaming Commission determines to

be necessary. The Tribal Gaming Commission shall report any

suspected violation of the Compact and applicable law to the State

Gaming Agency. After the Tribal Gaming Commission has completed its

investigation and imposed any fine or other sanction for a

violation, the completed investigation report and such disposition

Sac ~nd Fox Gaming R.gulationa, 9/30/97 7
shall be forwarded to the State Gaming Agency immediately.

(C) Security and Surveillance Policy-making Responsibilities;

Written Policies Required The Tribal Gaming Commission shall

supervise and establish written policies and procedures for the

gaming operations security and surveillance force. When convened

to discuss security and surveillance policies and procedures, the

Tribal Gaming Commission membership shall also include the chief

executive officer of the gaming operation or his or her designee

serving ex officio. Under no circumstances shall the chief

executive officer, either directly or indirectly, participate in or

influence any decision of the Tribal Gaming Commission concerning

a gaming license.

(D) Provision of Security, Surveillance, and Enforcement

Services Physical security and surveillance services for gaming

facilities owned by the Sac and Fox Nation of Missouri shall be

developed and provided by the Sac & Fox Casino, subject to review

and approval by the Tribal Gaming Commission.

V. LICENSES

(A) Policy; Revocable Privilege

(1) It is declared policy of the Sac and Fox Nation of

Missouri that all gaming facilities, all persons having a financial

or management interest in such games, and all employees of such

gaming operations shall be licensed and regulated so as to better

protect the public health, safety, morals, good order, and welfare

of the community. Any gaming license which is issued by the Tribal

Gaming Commission shall be deemed to be a revocable privilege and

no person holding such a license is deemed to have acquired any

vested rights therein.

(2) The following entities shall require a valid gaming

license

(a) Gaming Facility;

(b) Management Contractor;

(c) Primary Management Official;

(d) Key Employee;

(e) Standard Gaming Employee;

(f) Non-Gaming Employees (Category III licenses only

required); and

(g) Manufacturer-Distributor (with contracts with the Tribe

in the amount of $10,000 or more during any one calendar

year).

(3) An application for a Sac and Fox tribal gaming license

is seeking the granting of a privilege, and the burden of proving

his/her qualification to receive any license is at all times on the

Sac and Pox Ganing R.gulationa. 9/30/97 8
applicant. An applicant must accept any risk of adverse public

notice, embarrassment, criticism, or other action or financial loss

which may result f~rom action with respect to an application and

expressly waive any claim for damages as a result thereof.

(4) An application for a license constitutes a request to the

Tribal Gaming Commission for a decision upon the applicants

general suitability, character, integrity, and ability to

participate or engage in, or be associated with, the gaming

industry in the manner or posit–on sought by the application.

(5) To protect the public good, the Tribal Gaming Commission

shall err on the side of caution when considering any license

application.

(6) The granting of a license by the Tribal Gaming Commission

does not constitute a commitment on behalf of the Tribal Gaming

Commission or any other party to hire or continue to employ the

licensee

(7) These regulations do not apply to (i) social games played

solely for prizes of minimal value; or (ii) traditional forms of

Indian gaming when played by individuals in connection with tribal

ceremonies or celebrations.

(B) License Categories

(1) Facility License No games may be played at any place,

facility, or location within the Sac and Fox Nation tribal lands

unless the Chief Executive Officer or manager of the gaming

operation first obtains and maintains in good standing a valid

facility license issued in accordance with these regulations.

(2) Management Contractor License No individual, sole

proprietorship, partnership, corporation, or other entity other

than the Sac and Fox Nation of Missouri may enter into a valid

management contract unless s/he first obtains and maintains in good

standing a valid management contractor license issued in accordance

with these regulations. Licensing and background investigations

shall be conducted on the management contractor, its primary

management officials, and it principals.

(3) Primary Management Official License No person shall be

employed by or serve as a primary management official in a gaming

operation unless such person first obtains and maintains in good

standing a valid primary management official license issued in

accordance with these regulations.

(4) Key Employee License No person shall be employed as a

key employee by a gaming operation or by the Tribal Gaming

Commission unless such person first obtains and maintains in good

standing a valid key employee license issued in accordance with

Sac and Pox Gaming R.gulationa, 9/30/97 9
these regulations. Tribal gaming inspectors are required to obtain

a key employee license.

(5) Standard Gaming Employee License No person shall be

employed as a standard gaming employee in a gaming operation unless

such person shall first obtain and maintain in good standing a

valid standard gaming employee license issued in accordance with

these regulations.

~t6) Non-gaming Employee Work License-s No person shall be

employed as a non-gaming employee unless such person shall first

obtain and maintain in good standing a valid Category III license

issued in accordance with these regulations.

(7) Manufacturer-distributor License No manufacturerdistributor shall enter into any contract or other agreement with

--a gaming operation in the amount of $10,000 or more during any one

calendar year unless such manufacturer-distributor first obtains

and maintains in good standing a valid manufacturer-distributor

license issued in accordance with these regulations.

(8) Duplication Any person possessing a valid primary

management official license need not obtain a key employee,

manufacturer-distributor, or Category III license.

(C) License Application Procedures

(1) General RecTuirements Applicants for a gaming license

must complete the appropriate application form and submit the form,

all necessary additional documents, and the application fee, as may

be required, to the Tribal Gaming Commission. The application will

not be regarded as complete until the Tribal Gaming Commission

receives all requested information from the applicant and

application and additional investigation fees, if any.

(2) Application Forms; Contents; Amendments

(a) Every application or report must be filed on forms

furnished or approved by the Tribal Gaming Commission and must

contain and be accompanied by such documents and information

as may be specified or required.

(b) It is grounds for denial of an application, revocation of

license , termination of employment, or disciplinary action

for any person to make any untrue statement of material fact

in any application or report filed with the Tribal Gaming

Commission or to willfully omit any material fact in such

application or report.

(c) All information required to be included in an application must be true and complete as of the date of the Tribal Gaming

Sac and Pox Gaming R.gulatiena, 9/30/97 10

.1
Commission action sought by such application. An applicant

shall promptly supply any factual information occurring after

the original application. Failure by an applicant to promptly

update his or her application to include all material facts

shall be deemed by the Tribal Gaming Commission as a willful

omission of information.

(d) Every application for any gaming license , other than a

facility license, shall include, at a minimum, the following

information:

(1) Full name, other names used (oral or written),

social security number(s), birth date, place

of birth, citizenship, gender, and all

languages (spoken or written);

(ii) Currently and for the previous 5 years:

business and employment positions held,

ownership interests in those businesses,

business and residence addresses, and drivers

license numbers;

(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 subsection (2) 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 related to

gaming, whether or not such license was

granted;

(viii) For each felony for which there is ongoing

prosecution or a conviction, the charge, the

name and address of the court involved, and

the date and disposition if any;

Sac and Pox Ganing R.gulationa. 9/30/97 11
(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 (excJ.uding minor

traffic charges), whether or not there is a

conviction, if-such criminal charge was within

10 years of the date of the application and is

not otherwise listed pursuant to subsection

(8) or (9) 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 a business or

occupational license, whether or not such

license was granted;

(xii) Two (2) current photographs;

(xiii) The applicants commitment to provide and the

provision of any other information the Tribe,

Tribal Gaming Commission, National Indian

Gaming Commission or, whenever applicable, the

State, deems relevant;

(xiv) Fingerprints consistent with procedures

adopted by the Tribe according to 25 C.F.R. §

522.2 (h);

(xv) All requested financial information consistent

with IGRA requirements.

(e) Every application for a facility license shall

include, at minimum, the following information:

(i) The name, address, and telephone number of the

gaming operation;

(ii) The name, address, and telephone number of the

gaming operations chief executive officer or

senior manager;

(iii) The name, address, and telephone number of the

management company, if any, and the name,

address, social security number, birth date,

and percentage interest in the management

Sac and Fox Ganir~g R.gulationa, 9/30/97 12
company of each person possessing a financial

interest in the management company;

(iv) An operating plan detailing all information

required in section VI(K) of these

regulations, including the annual budget;

(v) A list of all primary management official and

key employee names, including the position and

annual salary of each individual listed;~

(vi) The complete current or proposed house rules

of the gaming operation; and

(vii) The current plan for the protection of public

safety as well as for the physical security of

- patrons at the gaming facility as-provided for

by Section 10(D) of the Compact.

(f) An application may be amended at the discretion of

the Tribal Gaming Commission at any time prior to the

Tribal Gaming Commissions final action on the

application.

(g) Any document filed under any of the provisions of

the Sac and Fox Tribal Gaming Ordinance may be

incorporated by reference in a subsequent application if

it is available in the files of the Tribal Gaming

Commission, to the extent that the document is currently accurate.

(h) Any person denied a license may not submit, and the

Tribal Gaming Commission may not accept, another

application from that person for at least six months

after the date the initial application was denied.

(3) Fingerprints An application for any license shall not

be complete until the applicant furnishes to the Tribal Gaming

Commission his or her fingerprints in duplicat& on fingerprint

impression cards, in accordance with procedures established by the

Tribal Gaming Commission.

(4) Photographs Each applicant for a license shall be

required to submit two identical photographs with their

application. The photographs must be satisfactory to the Tribal

Gaming Commission and must have been taken not more than 3 months

before the application is filed.

(5) Application and Investigation Fees

(a) Unless provided for otherwise by action of the

Tribal Council, each application for a license, or

Sac and Pox Gaming R.gulationa, 9/30/97 13

1
renewal thereof, must be accompanied by a non-refundable

application fee in amounts to be established by the

Tribal Gaming Commission, with the approval of the_Tribal

Council. To the extent that such fees are collected to

pay for the State background investigation, the Tribal

Gaming Commission shall forward those fees, along with

the completed application to the State Gaming Agency.

(b) In addition to any non-refundable application fees

paid, the Tribal Gaming Commission may require an

applicant to pay such supplementary investigative fees

and costs as may be determined necessary by the Tribal

Gaming Commission. The Tribal Gaming Commission may

estimate the supplementary investigative fees and costs

and require the applicant to pay the estimated fees and

costs in advance as a condition precedent to beginning or

continuing an investigation.

(c) The Tribal Gaming Commission may not act upon any

application unless all application and investigation fees

and costs, if any, have been paid in full. The Tribal

Gaming Commission shall deny an application if the

applicant has failed or refused to pay all application

and investigation fees and costs.

(d) The Tribe may enter into an agreement with the

Tribal Gaming Commission to guarantee an applicants

payment of all or any part of the required application

and investigation fees. The agreement must state that

the Tribe will pay on the applicants behalf any payments

not timely made by the applicant regardless of whether or

not the applicant continues to be employed by the gaming

operation. The Tribal Gaming Commission may take

preliminary or final action on an application before the

required application and investigation fees are received

only if payment of the fees is guaranteed by an agreement

with the Tribe.

CD) Background Investigations

(1) Within 14 calendar days after receipt of a complete

application and such supplemental information as the Tribal Gaming

Commission may require, except as provided for under the TribalState Compact and Section V(D) (4), below, the Tribal Gaming

Commission shall begin its investigation of the applicants

background to determine if the applicant meets the minimum license

standards. The Tribal Gaming Commission shall investigate the

criminal history of each applicant for a license and the personal

background and character of each applicant for a license. At its

own discretion the Tribal Gaming Commission may also investigate

the personal background and character of any applicant for a

Category III license. The Tribal Gaming Commission shall perform,

Sac and Fox Gam.thg R.gulationa, 9/30/97 14
at a minimum, a background investigation which meets the standards

set forth in Appendix C of the Tribal-State Compact.

(a) Applicant for Any Gaming License The criminal

background of an applicant for any gaming license shall be

investigated by submitting the applicants vital information,

including but not limited to: full name; any other names used,

date and place of birth; citizenship, drivers license numbers;

social security number; and physical description to State or

County law enforcementagency, or federal law enforcement or

federal gaming regulatory agency and requesting a criminal

history report.

(b) Applicant for Any Gaming License - Additional

Requirements In addition to other investigations, the Tribal

Gaming Commission shall submit the fingerprints of each

license applicant to a responsible. agency of the state or

federal government and request a Federal Bureau of

Investigation report of the applicants criminal history. If

the applicant lived outside the United States for more than

six months during the preceding ten years the Tribal Gaming

Commission shall also submit the applicants vital information

to INTERPOL and request an international criminal history

report for the applicant.

(2) The Tribal Gaming Commission is not limited to the above

investigations and shall make additional investigations and

inquiries as required by federal law or regulation or as needed to

determine with reasonable certainty that an applicant either does

or does not meet the minimum standards for issuance of a gaming

license.

(3) The Tribal Gaming Commission shall attempt to complete

its background investigation within 30 days following receipt of a

complete application. If the investigation cannot be completed

within 30 days the Tribal Gaming Commission shall notify the

applicant, in writing if possible, why the investigation is not

complete and when it expects to complete the investigation.

(4) As provided for in the Tribal-State Compact, the Class

III background investigation for primary management officials, key

employees, standard gaming employees, management contractors and

manufacturers/distributors shall be performed by the State and

shall be presumed adequate for the purposes of these regulations

unless the Tribal Gaming Commission determines that further

investigation is warranted. The Tribal Gaming Commission is

responsible for the investigation of misconduct of non-gaming

employees and for the background investigations of Class II

manufacturers-distributors, primary management officials, key

employees, and standard gaming employees. Upon approval of the

Tribal Council, the Tribal Gaming Commission may contract with

Sac and Fox Caning Regulation.. 9/30/97 15
private, state, and/or federal investigation agencies to perform

the required background and/or criminal history investigations.

(5) The background investigation is not identical to a

criminal investigation. There is no assumption when undertaking a

background investigation that a criminal or illegal act may have

been committed by someone. Because the background investigation

will provide the Tribal Gaming Commission with confidential and

sensitive information about applicants, great care should be taken

~to protect that information from any-inappropriate use.

(E) Applications Review Within 14 calendar days following

completion of the background investigation the Tribal Gaming

Commission shall review each application and all background

investigation and criminal history reports to determine if the

applicant meets the standards for issuance of the requested

license.

(F) Standards for Issuance of License No license shall be

granted unless and until the applicant has satisfied the Tribal

Gaming Commission that the applicant:

(1) Is a person of good character, honesty, and integrity;

(2) Is a person whose background, reputation, and

associations will not result in adverse publicity for the Sac

and Fox Nation of Missouri;

(3) Meets the eligibility standard set forth in Section

VII.D. of the Tribal Gaming Ordinance; and

(4) Would not be denied a license for cause in accordance

with Section V.G, below, or Section 21 of the Tribal-State

Compact.

(G) Denial

(1) Mandatory Denials The Tribal Gaming Commission must deny

an application for any class of license if, in the Tribal Gaming

Commissions opinion, the applicant does not meet the standards

:~~required for issuance of the requested license. In addition, the

Tribal Gaming Commission shall deny a license to any applicant

whenever the applicant or any person with a five percent (5~) or

more ownership interest therein:

(a) Has withheld pertinent information or has made false

statements on the gaming license applications;

(b) Has attempted to bribe a Council member, Tribal Gaming

Commission member or any other person in an attempt to avoid

or circumvent tribal law or any other applicable law;

Sac and Pox Gaming R.gulationa, 9/30/97 16

.7
(c) Has offered something of value, or a loan, financing or

other thing of value to a Tribal Gaming Commission member, a

subordinate employee or any person participating in any gaming

activity;

(d) Has knowingly promoted, played or participated in any

gaming activity operated in violation of tribal law;

(e) Has been knowingly involved in the falsification of books

or records whichrelate to a transaction connected with the

operation of gaming activity;

(f) Has been convicted of, or has entered a plea of nob

contendere to, any crime involving gaming or embezzlement;

(g) Has been determined by the Tribal. Gaming Commission, the

National Indian Gaming Commission or the State~-Gaming Agency

to have present or prior activities, criminal record, if any,

or reputation, habits and associations which pose a threat to

the public interest or to the effective regulation of gaming, or create or enhance the dangers of unsuitable, unfair, or

illegal practices in the conduct of gaming, provided, that any

conviction more than five years before the commencement of

employment by the Tribe shall not be considered under this

Subsection.

(h) Has denied the Tribe or the State access to any place at

which gaming required to be licensed under the Tribal-State

Compact is being conducted or who has failed to produce for

inspection or audit any book, record, document, or other item

required by the Tribal Gaming Ordinance, Tribal-State Compact

or any regulations promulgated pursuant to either;

(i) Has failed to pay any tribal taxes and additions to

taxes, including penalties and interest;

(j) Has been found guilty of any violation or attempt or

conspiracy to violate any law, rule or regulation pertaining to gaming in any jurisdiction for which suspension or

termination of employment or a license might be imposed in

such jurisdiction; or

(k) Has been suspended from operating any gaming in another

jurisdiction or who has had a license to conduct such gaming

canceled, revoked, suspended or limited for any reason.

(2) Permissive Denials

(a) Without limiting the Tribal Gaming Commissions

discretion to deny any application, if, in the Tribal Gaming

Commissions judgment, such a denial is in the interests of

Sac and Fox Gaming R.gulationa, 9/30/97 17

1
the Sac and Fox Nation of Missouri or public, the Tribal

Gaming Commission may deny an application if the applicant:

(i) Committed, attempted, or conspired to commit any

crime of moral turpitude,larceny, any felony or a

gross misdemeanor involving theft, embezzlement,

fraud, or violence;

(ii) Was identified in the published reports of any

federal or state legislative or executive body as

being a member or associate of organized crime, or

as being of notorious and unsavory reputation; or

(iii) Had a gaming license revoked by this Tribal Gaming

Commission or the gaming commission or gaming

regulatory body of any federally recognized Indian

Tribe, State,.or foreign country;

(iv) Failed to exercise discretion and sound judgment to

prevent incidents which might reflect on the

reputation of the Sac and Fox Nation of Missouri;

(v) Permitted persons who are visibly intoxicated to

participate in gaming activity;

(vi) Catered to, assisted, employed, or associated with,

either socially or in business affairs, persons of

notorious or unsavory reputation or who have

extensive police records, or persons who have

defied investigative or other bodies acting on

behalf of the United States, or the Sac and Fox

Nation of Missouri, or employing either directly or

through a contract, or any other means, of any firm

or individual in any capacity where the reputation

of the Sac and Fox Nation of Missouri is liable to

be damaged because of the unsuitability or

unethical methods of the firm or individual;

(vii) Employed in any gaming operation any person whom

the Tribal Gaming Commission, any other gaming

regulatory agency, or any court has found guilty of

cheating or using any improper device in connection

with any game, whether as a licensee, or player,

except that the Tribal Gaming Commission may waive

this restriction where the violation occurred in

the context of a dispute between a tribe and a

state over the scope of permitted games;

(b) In addition to the foregoing, the Tribal Gaming

Commission, with the concurrence of the Tribal Council, may

deem any activity on the part of a licensee, his agents, or

employees that is in any way contrary to the public health,

Sac and Pox Gaing Regulationi, 9/30/97 18
safety, morals, good order, and general welfare of the Sac and

Fox Nation of Missouri, or that would reflect or tend to

reflect discredit on the Sac and Fox Nation of Missouri, as an

unsuitable method of operation and cause for denial of a

license

Cc) The Tribal Gaming Commission may deny an application at

any time during the application process, including after

granting preliminary approval to the application. To the

extent not prohibited by State or Tribal law, the -Tribal

Gaming Commission shall promptly notify an applicant that

his/her application was denied and shall specify the reasons

for the denial, including a list of criminal conviction(s),

date(s), and location(s), if any, that contributed to the

Tribal Gaming Commissions decision to deny the application.

If an application was denied as a result of information

contained in- the applicants FBI identification_record, the

applicant shall also be advised of the procedures to change,

correct, or update the record as set forth in Title 28 CFR,

Section 16.34.

(H) Category III License Approval If, in the Tribal Gaming

Commissions judgment, the applicant meets the standards for

issuance of a license and all application and investigation fees

are fully paid, the Tribal Gaming Commission may approve the

application and issue the license.

(I) License Approvals If, in the Tribal Gaming Commissions

judgment, the applicant meets the standards for issuance of a

license and all application and investigation fees, if any, are

fully paid, the Tribal Gaming Commission may grant its preliminary

approval of the application. At its discretion, the Tribal Gaming

Commission may also issue a temporary license. A temporary license

shall not be valid for more than 60 days. Upon completion of the

background investigation and the review process provided for in

these regulations, the Tribal Gaming Commission may issue a regular

license.

(J) Procedures for Forwarding Applications and Reports for Key

Employees and Primary Management Officials to the National Indian

Gaming Commission

(1) When a key employee or primary management official begins

work at a gaming operation authorized by the Tribal Gaming

Ordinance and these regulations, the Tribal Gaming Commission shall

forward to the National Indian Gaming Commission a completed

application for employment and conduct the background investigation

and make the determination referred to in accordance with these

regulations.

(2) The Tribal Gaming Commission shall forward the report

referred to in Section V (K) of these regulations to the National

Sac and Pox Gaming R.gulation., 9/30/97 19
Indian Gaming Commission within 60 days after an employee begins

work or within 60 days of the approval of this Title by the

Chairman of the National Indian Gaming Commission.

(3) The gaming operation shall not employ as a key employee

or primary management official a person who does not have a license

after 90 days.

(K) Report to the National Indian Gaming Commission

(1) The Tribal Gaming Commission shall prepare and forward to

the National Indian Gaming Commission an investigative report on

each background investigation of a primary management official and

key employee. An investigative report shall include all of the

following:

(a) Steps taken in conducting a ---background

investigation;

(b) Results obtained;

(c) Conclusions reached; and

(d) The bases for those conclusions.

(2) The Tribal Gaming Commission shall submit, with the

investigative report, a copy of the eligibility determination made

under Section VII.D. of the Tribal Gaming Ordinance and Section

V(F) of these regulations.

(3) If a license is not issued to an applicant, the Tribal

Gaming Commission:

(a) Shall notify the National Indian Gaming Commission;

and

(b) May forward copies of its eligibility determination

and investigative report (if

any) to the National Indian Gaming

Commission for inclusion in the Indian

Gaming Individuals Records System.

(4) With respect to key employees and primary management

officials, the Tribal Gaming Commission shall retain applications

for employment and reports (if any) of background investigations

for inspection by the Chairman of the National Indian Gaming

Commission or his or her designee for no less than three (3) years

from the date of termination of employment.

CL) Granting a Key Employee or Primary Management Official

Gaming License

(1) If, within a thirty (30) day period after the National

Indian Gaming Commission receives a report, the National Indian

Gaming Commission notifies the Tribal Gaming Commission that it has

no objection to the issuance of a license pursuant to a license

Sac and Pox Gaming R.gulatiou, 9/30/97 20

.1
application filed by a key employee or a primary management

official for whom the Tribal Gaming Commission has provided an

application and investigative report to the National Indian Gaming

Commission, the Tribal Gaming Commission may issue a license to

such applicant.

(2) The Tribal Gaming Commission shall respond to a request

for additional information from the Chairman of the National Indian

Gaming Commission concerning a key employee or a primary management

official who i-s the subject of a report. Such-arequest shall

suspend the 30-day period under subsection (a) of this section

until the Chairman of the National Indian Gaming Commission

receives the additional information.

(3) If, within the thirty (30) day period described above,

the National Indian Gaming Commission provides the Tribal Gaming

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 Tribal Gaming Commission has provided an application and

investigative report to the National Indian Gaming Commission, the

Tribal Gaming Commission shall reconsider the application, taking

into account the objections itemized by the National Indian Gaming

Commission. The Tribal Gaming Commission shall make the final

decision whether to issue a license to such applicant.

(4) The Tribal Gaming Commission may issue a license, subject to the provisions of the Tribal Gaming Ordinance, Tribal-State

Compact, and related regulations to all other eligible individuals

and entities without submission to the National Indian Gaming

Commission.

(5) If, after the issuance of a license, the National Indian

Gaming Commission receives reliable information indicating that a

key employee or a primary management official is not eligible for

employment under 25 CFR § 558.2, and the National Indian Gaming

Commission so notifies the Tribal Gaming Commission, the Tribal

Gaming Commission shall (1) suspend such license in accordance with

this Title, (2) notify in writing the licensee of the suspension

and the proposed revocation, and (3) commence liOense revocation

procedures. The Tribal Gaming Commission shall notify the National

Indian Gaming Commission of the Nations decision whether to revoke

or reinstate the license.

(6) If, after the issuance of a license, an event occurs that

would have made the licensee ineligible for a license if such event

had occurred prior to the issuance of the license, the Tribal

Gaming Commission shall (1) suspend the license in accordance with

this Title, (2) notify in writing the licensee of the suspension

and the proposed revocation, and (3) commence license revocation

procedures.

(M) License Limitations and Restrictions No license shall be

Bac and Pox Gaming R.gulationa, 9/30/97 23.
valid unless signed by the Chairperson or designate of the Tribal

Gaming Commission. The Tribal Gaming Commission may limit the term

of the license or place such conditions thereon_as it may deem

necessary to protect the Sac and Fox Nation of Missouri or public

interest.

(N) Hearings All persons denied a license shall be informed of

their right to a hearing before the Tribal Gaming Commission.

Hearings to consider the denial of a license shall be conducted in

accordance with the hearing provisions of section VI with~the

following additional requirements:

(1) The applicant must state in his/her written request for

a hearing the reasons s/he believes the application

should be approved.

(2) The appi-icant shall also include copies of alldocuments

supporting the applicants position, including police

records and reports, character references, and other

relevant information.

(3) Failure by the applicant to provide this information

shall be deemed just cause to deny the applicants

request for a hearing or, if the hearing is held ont he

premise that the required information was provided, the

Tribal Gaming Commission may deem the omitted information

as a willful attempt to deceive the Tribal Gaming

Commission and shall deny the application.

(0) Appeals Any applicant denied a license following a hearing

by the Tribal Gaming Commission may appeal the Tribal Gaming

Commissions decision. The appeal must be made in accordance with

the hearing and appeal provisions of Section VI of these

regulations.

(P) Waivers

(1) Any enrolled member of the Sac and Fox Nation of Missouri

or other Native American with established ties tothe Sac and Fox

tribal lands denied an application for a Category III license may

request a waiver of the Category III license standards. Waivers

may not be considered for any non-Native American resident of the

Sac and Fox tribal lands, community or any other person not

enrolled as a member of the Sac and Fox Nation of Missouri.

Waivers may not be considered when the application is for a

license. The eligible applicant must show that a waiver is in the

best interests of the Sac and Fox Nation of Missouri or the Tribal

Gaming Commission may not grant the requested waiver.

(2) The procedures for requesting and considering a waiver

are the same as those for hearings before the Tribal Gaming

Commission with the following additional requirements:

Sac and Fox Gaming R.gulationa. 9/30/97 22

1
(a) If the requested waiver involves any of the following

criminal offenses, the waiver applicant must provide

copies of all police and court records relating to

his/her conviction(s), probation officer reports,

character references, and any other information relevant

to proving the applicant is now of good character:

(i) Any felony conviction involving crimes of violence,

dishonesty, theft, or moral turpitude within the

last-five (5) years; or

(ii) Any other felony conviction within the last two (2)

years.

(3) The Tribal Gaming Commission may also require that any

applicant for a waiver provide the Tribal Gaming Commission with

copies of police, court, and other records related to any criminal

or civil charges made against the applicant. The--waiver applicant

will follow all other procedures for Tribal Gaming Commission

hearings and must appear in person before the Tribal Gaming

Commission to present his/her arguments that the issuance of a

license would be in the best interests of the Sac and Fox Nation of

Missouri.

(Q) ExiDirations

(1) Except for a facility license and a manufacturerdistributor license, the expiration date of each license shall be

determined by the licensees birth date. The license shall expire

on the licensees next birth date if this date occurs six months or

later from the date the license was issued. The license shall

expire one year from the licensees next birthday if the next

birthday occurs within six months of the license issue date.

(2) A manufacturer-distributor license shall expire not later

than one year from the date it was issued.

(3) A facility license shall expire not later than one year

from the date it was issued.

(4) The expiration schedules in this section describe the

maximum period for which a license may be granted. The Tribal

Gaming Commission may issue any license for a shorter period if the

Tribal Gaming Commission deems the shorter period is necessary to

adequately protect the interests of the Sac and Fox Nation of

Missouri or the public.

(R) Renewals Subject to the power of the Tribal Gaming

Commission to deny, revoke, suspend, or limit licenses, any gaming

license in force may be renewed for the next succeeding period upon

proper application for renewal and payment of applicable license

and investigation fees as required by law and the regulations of

the Tribe or the requirements of the Tribal Gaming Commission. The

Sac and Pox Gandng R.gulationa, 9/30/97 23
Tribal Gaming Commission shall encourage license holders to apply

for a license renewal at least 30 days prior to expiration of the

current license, but the Tribal Gaming Commission may not accept a

renewal application more than 120 days prior to expiration of the

current license

(S) Identification Badges

(1) The Tribal Gaming Commission shall issue an

identification badge to every person granted a license. Th-e

identification badge shall include the licensees photograph, name,

license, department and five digit identification number unique to

the individual, name of the gaming operation by which they are

employed or to which they provide services, expiration date of the

license, Sac and Fox Nation of Missouri or Casino or Commission

logo, and such other identifying marks deemed necessary by the

Tribal Gaming Commission to readily identify legitimate badges from

counterfeit badges. The Tribal Gaming Commission shall direct the

preparation and issuance of identification badges pursuant to

procedures established by the Tribal Gaming Commission. An

identification badge may not be issued until after the applicants

application is approved and the license signed by the chairman or

designee of the Tribal Gaming Commission. An identification badge

may be issued to the holder of an approved temporary license.

(2) The licensee shall be required to carry the

identification badge on his or her person or wear in plain view at

all times s/he is on duty, or in the case of a primary management

official of a management contractor, whenever s/he is at the gaming

establishment. A licensee is required to promptly show his/her

identification badge to any person requesting to inspect the

badge.

(3) Every gaming employee shall at all times while on duty wear a identification license badge issued by the Commission.

Undercover security personnel performing legitimate security or

monitoring functions are not required to wear said badge.

(4) The licensee shall be required to surrender his/her photo

identification badge when: the badge expires; when a new license

is issued; when the licensees association with the gaming

operation ends, whether or not the termination is voluntary; or

when the license is suspended or revoked.

(5) Any person who has lost, damaged or destroyed his/her

photo identification badge must report the loss to the Tribal

Gaming Commission as soon as possible, but in no case later than

within 24 hours after the loss or discovery of the loss.

Replacement of the first lost photo identification badge may be

made for a fee of $25. Subsequent lost photo identification badges

may be replaced for a fee of $50.

Sac and Fox Gaming Ragulation., 9/30/97 24
(6) Renewal of photo identification badges shall be made for

a fee of twenty-five dollars ($25.00)

(T) Employment of Unlicensed Persons P~ohibited A licensee shall

not employ any person or enter into any contract or agreement for

services with any person in a capacity for which that person is

required to obtain a license if that person does not possess the

proper and valid license as required by these regulations. The

gaming operation shall immediately discharge any employee and

cancel any con-tract or agreement upon notificationby the Tribal

Gaming Commission that the employees or contractors license has

been revoked by the Tribal Gaming Commission or that the employee

or contractor does not possess the required license.

(U) Facility License Requirements

(1) License Fee There shall be no fee for receiving a

facility license.

(2) Operating Plan

(a) Every facility licensee shall at all times maintain on

file with the Tribal Gaming Commission a current operating

plan, verified by the affidavit of the operations chief

executive officer, including, but not limited to: days and

hours of operation; the maximum number and type of gaming

tables or devices expected to be uncovered or in use at any

time during the year; the number of gaming tables or devices

expected to be in actual use during the first month of the

report year; and the duly approved operating budget. The

approved operating budget shall be submitted to the Tribal

Gaming Commission within one week of its approval by the

operations manager but not later than two weeks prior to the

beginning of the operations new fiscal year.

(b) Any significant changes to the operating plan shall be

reported to the Tribal Gaming Commission in writing no more

than two weeks following the end of the month in which the

change occurred. Significant changes include, but are not

limited to, a change of 15%- or more in the number of gaming

tables or devices uncovered or in use; a change of 15% or more

in the net profit forecast for the balance of the current

year; or a change in the operations fiscal year or accounting

policies.

(3) Primary Management Official/Key Employee Report

(a) Each facility licensee shall submit an annual primary

management official/key employee report to the Tribal Gaming

Commission on a form to be furnished by the Tribal Gaming

Commission.

Sac and Fox Gaing R.gulationa, 9/30/97 25

1
(b) The annual primary management official/key employee

report shall identify every primary management official and

key employee of the operation and their annual wage or salary_

compensation. The report shall also include an organization

chart for the operation and a description of each primary

management officials and key employees duties and

responsibilities, and the authority delegated to each

individual identified in the report.

Cc) Any changes, additions, or deletions to any information

contained within -the annual key employee report which occurs

subsequent to the filing of the report and prior to the filing

of the next years report shall be reported to the Tribal

Gaming Commission in writing no more than two weeks following

the month during which the change, addition, or deletion

occurred.

(4) Financial Reports

(a) Annual audited financial report. The operations chief

executive officer shall ensure an annual audit is commenced by

an independent CPA within 30 days following the end of the

operations fiscal year. Within two weeks following its

receipt by the operations chief executive officer and in no

case later than three months after the close of the

operations fiscal year, every facility licensee shall provide

the Tribal Gaming Commission with a complete and audited

financial statement of gaming operations for that fiscal year.

The financial statement and audit report shall be prepared by

an independent certified public accountant.

(b) Monthly financial reports. Before the 25th day of the

following month, every facility licensee shall provide the

Tribal Council with monthly and year-to-date reports of the

gaming operations financial performance. The reports shall

include, at a minimum, detailed income statements and balance

sheets.

Cc) The Tribal Council or the Tribal Gaming Commission may,

at its sole discretion, inspect or audit the financial

records, management procedures, or other aspects of a licensed

operations activities. The Tribal Council or the Tribal

Gaming Commission may employ independent auditors or

investigators to perform such inspections or audits as the

Tribal Council or Tribal Gaming Commission deems necessary.

(5) Posting of Facility License A facility license by the Tribal

Gaming Commission must be prominently displayed at all times upon

the licensed premises in such position as it may be observed by

persons participating in the gaming activities.

Sac and Fox Gaming R.gulatiena, 9/30/97 26

1
VI. PENALTIES

(A) Suspensions

(1) Emergency Suspensions The chief executive officer or

his/her subordinates may seize an individuals identification

badge only, not license, and exclude that individual from the

gaming establishment for up to 72 hours if, in the chief executive

officers judgment, the licensees actions or commissions pose a

threat to the integrity of the gaming operation, the safety of the

general public, patrons, or other employees, or the image and

reputation of the Sac and Fox Nation of Missouri. The chief

executive officer shall immediately notify the Tribal Gaming

Commission of the emergency suspension. At its discretion, the

Tribal Gaming Commission may take formal suspension action against

the individual. -

(2) Formal Suspensions

(a) The Tribal Gaming Commission may issue an order

suspending a license if the Tribal Gaming Commission has

reasonable cause to believe that:

(i) the suspension is necessary for the immediate

preservation of the public peace, health, safety,

morals, good order, or general welfare of the Sac

and Fox Nation of Missouri; or

(ii) the licensee may have violated any condition or

requirement imposed on the licensee by the Tribal

Gaming Commission or applicable laws or

regulations.

(b) The Tribal Gaming Commission shall suspend or revoke a

license if it violates Section 22 of the Tribal-State Compact.

(c) The suspension order becomes effective when it is signed

by the chairman of the Tribal Gaming Commission and served

upon the holder of the license

(d) The order suspending the license must state the reason

for the suspension.

(e) The suspension order shall state that the licensee shall

forfeit his/her right to a hearing and any appeal if s/he

fails properly to request a hearing before the Tribal Gaming

Commission within 30 days following the effective date of the

order.

(f) By the end of the next business day following the

effective suspension date of a license, the Tribal Gaming

Sac and Fox Gaping Ragulationa, 9/30/97 27

I
Commission shall notify the chief executive officer of the

gaming operation employing or contracting services of the

suspended licensee of the Tribal Gaming Commissions action.

The chief executive officer shall immediately suspend the

employee or contract and shall not pay the employee or

contractor any wages, benefits, or other compensation except

for legitimate services actually rendered prior to the

suspension. If the suspension involves the license of the

chief executive officer or the facility, the Tribal Gaming

Commission shall notify the Tribal Counc~il.

(g) The Tribal Gaming Commission may suspend a license for

any period of time up to one year in length.

(h) The Tribal Gaming Commission may reinstate a license

only after the licensee resolves to the Tribal Gaming

Commissions satisfaction t-he cause for making the

suspension.

(B) Civil Penalties The Tribal Gaming Commission may impose a

civil penalty or penalties against any licensee reasonably

determined by the Tribal Gaming Commission to have violated any of

these regulations, whether or not the Tribal Gaming Commission has

suspended the license. If the Tribal Gaming Commission deems a

penalty is appropriate, it shall notify the licensee and the State

Gaming Agency of the Tribal Gaming Commissions intent to impose

the penalty and set a time and date to hear the licensees rebuttal

of the Tribal Gaming Commissions determination. The licensee

shall be required to pay any penalty before the license may be

reinstated.

(C) Criminal Prosecution The Tribal Gaming Commission shall

promptly submit any knowledge or evidence of criminal wrongdoing

that it may discover to appropriate law enforcement officials for

prosecution.

(D) Revocations In addition to any penalty the Tribal Gaming

Commission may elect to impose against a licensee, the Tribal

Gaming Commission may revoke a suspended gaming license if the

Tribal Gaming Commission determines that the licensee:

(a) Does not meet the minimum standards or requirements for

issuance of a license;

(b) Failed to disclose, misstated, or otherwise misled the

Tribal Gaming Commission about any fact contained within

any application for a license;

(c) Violated any of the terms or conditions under which the

Tribal Gaming Commission granted the license; or

(d) Failed to request a hearing before the Tribal Gaming

Commission to reinstate a suspended license.

Sac and Pox Gaming R.gulatiena, 9/30/97 28
The Tribal Gaming Commission shall suspend or revoke a license if

it violates Section 22 of the Tribal-State Compact. Any person or

other legal entity who has had a license revoked by the Tribal

Gaming Commission shall not be eligible to apply for a new license

for one year after the effective date of the revocation.

(E) Hearings

(1) Any party subject to an action by the Tribal Gaming

Commission imposing apenalty or denying, suspending or revoking a

license:

(a) Has a right to a hearing before the Tribal Gaming

Commission on the Tribal Gaming Commissions decision or

order;

(b) Must - make a written request to the Tribal Gaming

Commission for a hearing within 30 days following the

effective date of the Tribal Gaming Commissions decision

or order. Failure to properly request a hearing in a

timely manner waives the persons right to a hearing or

any other appeal of the Tribal Gaming Commissions

decision.

(2) After receipt of a written request for a hearing, the

Tribal Gaming Commission shall schedule a hearing for not later

than fourteen calendar days after the request was received.

Following the hearing the Tribal Gaming Commission shall make a

decision to uphold, modify, or reverse the order imposing the

denial, suspension, revocation, or penalty(s)

(3) Throughout the hearing and any appeals that may follow,

the appellant shall have the following rights:

(a) The right to appear personally before the Tribal Gaming

Commission;

(b) The right to face and question the appellants accuser;

and

(c) The right to representation by any party of the

appellant s choosing.

(4) The Tribal Gaming Commission must determine that the

offense or other cause for the denial, suspension, revocation, or

penalty more likely than not occurred, or the Tribal Gaming

Commission shall withdraw the order or penalty. The Tribal Gaming

Commission shall issue its decision in writing.

(5) The licensee may request and the chairman of the Tribal

Gaming Commission shall grant a time extension or extensions of any

reasonable period necessary for the licensee to prepare for the

hearing.

Sac and Pox Ganiug R.gulationa, 9/30/97 29
(6) The Tribal Gaming Commission may amend its order at any

time.

(F) Appeals

(1) Appeals to the Tribal Council

(a) The licensee against whom a penalty was imposed or whose

license was suspended or revoked or an applicant denied a license

and who, following a hearing before the Tribal Gaming Commission,

remains dissatisfied with the Tribal Gaming Commissions decision

may appeal that decision to the Tribal Council. The licensee must

file a notice of appeal to the Tribal Council in writing within 30

days after the Tribal Gaming Commission issued its final decision

or the right to this and further appeals shall be forfeited.

(b) At the Tribal Chairmans direction, the Tribal Council

shall meet within 30 days following receipt of the written appeal

and consider the appellants request.

(c) The Tribal Council shall review the Tribal Gaming

Commissions written decision and the Tribal Gaming Commissions

hearing records and exhibits. The Tribal Council may reverse or

modify the Tribal Gaming Commissions decision only if the Tribal

Council determines that the decision was arbitrary or capricious or

the Tribal Gaming Commission clearly erred in its interpretation or

application of these regulations. At its discretion, the Tribal

Council may or may not hold a hearing.

(d) The Tribal Council shall issue its determination in

writing within ten calendar days following the date of its

decision.

(e) The decision of the Tribal Council shall be final and not

otherwise reviewable.

VII. GAMING OPERATIONS

(A) Hours of Operation All games permitted by these regulations

and the Tribal Gaming Ordinance may be conducted 24 hours per day,

seven days per week throughout the year unless otherwise ordered by

the Tribal Gaming Commission or the Tribal Council.

(B) Wagers with Chips Only Except as may otherwise be permitted

by house rules approved by the Tribal Gaming Commission, a wager

may be accepted in any card game only when the wager is made with

chips issued by the Sac & Fox Casino within which the wager is

made.

Sac aM Pox Gaming Rsgulationa, 9/30/97 30
(C) House Rules

_(1) Filing The Chief Executive Officer (CEO) of the Sac &

Fox Casino shall develop and submit to the Tribal Gaming Commission

detailed house rules governing all games offered or played in the

facility. Any changes or amendments to the rules shall be

immediately forwarded to the Tribal Gaming Commission with a

written description of the effect of the change or amendment. All

rules are subject to approval by the Tribal Gaming Commission and,

to the extent re~tfired by the Compact, Section 7(B) (3)7 the State

Gaming Agency.

(2) Posting A summary of the house rules, including wager

limits, and a notice that the complete house rules are available

for review upon request, shall at all times be posted by the CEO of

the Sac & Fox Casino in a conspicuous and publicly accessible

location. -At least one copy shall be posted in-each room where

gaming occurs. Betting limits applicable to each gaming table

shall be displayed at such gaming table. Management shall take all

steps necessary to promptly comply with any persons request to

review the complete house rules.

(D) Tournaments Tournaments of poker or other card games

authorized by the Sac and Fox Gaming Ordinance are permitted. The

Sac & Fox Casino may charge and retain a buy-in fee from all

tournament participants. All other entry fees shall be returned to

the persons participating as players in the tournament. All

tournaments shall be conducted with tournament chips that have no

cash value.

(E) Electronic Gaming Equipment No electronic, computer or other

technologic aid to any Class II game, or any electronic gaming

device, may be used or possessed on Sac and Fox tribal lands unless

each said device has been authorized, inspected and approved by the

Tribal Gaming Commission or its designee, and any such use or

possession is further conditioned upon strict compliance with any

requirements imposed by the Tribal Gaming Commission concerning

verification and monitoring of the reliability, integrity and

security of each said device and each component thereof prior to

the introduction of any such equipment into service.

(F) Gambling by Employees

(1) No employee of the Sac & Fox Casino shall be permitted to

participate as a player in any game operated and by the Sac & Fox

Casino except as provided for herein.

(a) Casino Personnel required to have a Category 1 background

investigation in accordance with Appendix C of the Compact,

regardless of their license classification, shall not

participate in any gambling within the gaming facility.

B~c and Fox Ga~.thg Rsgulationa, 9/30/97 31

1
(b) Video gaming supervisors and technicians, Reconciliation

or Mechanical Information Systems staff may gamble through the

use of table games and other gaming equipment, except that

they may not gamble through the use of video gaming equipment.

(C) Video gaming attendants and change personnel may gamble

through the use of table games, video gaming devices and other

gaming equipment.

(d) Table game and security employees-may gamble through the

use of video gaming and other gaming equipment, except that

they may not gamble through the use of table games.

(e) All non-gaming employees may gamble through the use of

table games, video gaming equipment and other gaming

equipment.

(f) Notwithstanding the foregoing, an employee may only

participate as a player in a game not banked by the Sac & Fox

Casino as long as the employee is not assigned employment

responsibilities which would conflict, or appear to conflict,

with his/her participation as a player in that game.

(2) A person employed by the licensed establishment to start

poker games (props) may participate as a player while on duty as

long as such participation is under the direction of the Sac & Fox

Casinos management, and provided that neither the licensed

establishment nor any gaming management employee receives any

portion of said persons winnings or reimburses said person for any

losses.

(3) Under no circumstances may a Tribal Gaming Commissioner,

tribal gaming inspector, or any employee of the Tribal Gaming

Commission participate in any game.

(4) This section shall not be construed to allow minors or

persons otherwise ineligible to participate in the games as a

player from so participating.

(G) Credit Prohibited No credit shall be extended by a gaming

operation to any player. This prohibition shall not be construed,

however, to prevent players or customers from utilizing bank cards,

credit cards, and other forms of personal credit when the credit is

guaranteed by an independent financial institution.

(H) Employment Restriction No person who is either an immediate

family member or who resides in the household of a Tribal Gaming

Commissioner or Tribal Council member shall be eligible for

employment in the gaming operation. Upon the appointment of a

Tribal Gaming Commissioner or election or appointment of a Tribal

Council member, any person who is not eligible for employment

S~c and Fox Gaming R.gulationa, 9/30/97 32

-I
within the gaming operation because of this provision shall receive

30-days notice and then his or her employment shall be terminated.

and Fox Gaming R.gulationa, 9/30/97 33