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Quapaw Tribe of Oklahoma

P. 0. BOX 765 QUAPAW, OKLAHOMA 74363

918-542-1853

RESOLUTION NO: 97-

RESOLUTION TO ADOPT AN ACT RELATING TO

QUAPAW TRIBE

REGARDING TERMS OF CLASS II GAMING OPERATIONS ON TRIBAL LANDS

CLASS II GAMING ORDINANCE

WHEREAS, the Quapaw Tribe of Oklahoma is a federally recognized Indian Tribe,

organized and represented pursuant to a Governing Resolution adopted by the Quapaw Indian

Council on August 19, 1956, and approved by the United States Secretary of the Interior on

September 20, 1957, as amended by the people of the Quapaw Tribe, and

WHEREAS, the Quapaw Tribal Business Committee of the Quapaw Tribe of Oklahoma is

empowered to act on behalf of the Tribe under the Governing Resolution, and

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

States, the Quapaw Tribe undertook to provide protection to businesses which were located

within its jurisdiction and retained all of its inherent rights of self government, and

WHEREAS, the Quapaw Tribe of Oklahoma is desirous of defining and setting forth the

terms of Class II gaming operations on Quapaw Tribe Indian lands as defined by the Indian

Gaming Regulatory Act of 1988, and

WHEREAS, the Quapaw Tribe desires to approve the attached CLASS II GAMING

ORDINANCE in order to set the terms for Class II gaming on the Indian lands of the

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

WHEREAS, the Governing Resolution of the Quapaw Tribe provides that enactments are

to be passed by a majority of the Quapaw Tribal Business Committee members present, and

NOW THEREFORE BE IT ENACTED BY THE QUAPAW TRIBE OF OKLAHOMA:

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RESOLUTION NO: 97-_

QUAPAW TRIBE OF OKLAHOMA

CLASS II GAMING ORDINANCE

AN ACT RELATING TO QUAPAW TRIBE OF OKLAHOMA

REGARDING TERMS OF CLASS II GAMING OPERATIONS ON TRIBAL LANDS

I. Purpose

The Quapaw Tribal Business Committee of the Quapaw Tribe of Oklahoma (hereinafter

referred to as the Tribe), empowered by the Governing Resolution of the Quapaw Tribe of

Oklahoma to enact ordinances, hereby enacts this ordinance in order to set the terms for class

II gaming operations on tribal lands.

II. Gaming Authorized

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

U.S.C. Section 2703(7)(A) (IGRA) and by the regulations promulgated by the National

Indian Gaming Commission at 25 C.F.R. § 502.3 (as published in the Federal Register at 57

FR 12382-12393, April 9, 1992) is hereby authorized.

ifi. Ownership of Gaming

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

any gaming operation authorized by this ordinance.

The Tribe, at its option, may license individually owned gaming operations provided

that the requirements of 25 CFR § 522.10 are met. Specifically; the license must provide:

1. That the gaming operation be licensed and regulated under an ordinance or resolution

approved by the Chairman of the NIGC; and

2. That income to the Quapaw Tribe be used only for the purposes listed in 25 CFR §

522.4(b)(2); and

3. That not less than sixty (60%) of the net revenues be income to the Tribe; and

4. That the owner will pay an assessment to the Commission (NIGC) as provided under 25

CFR § 514.1; and

5. Licensing standards that are at least as restrictive as those established by State law

governing similar gaming within the jurisdiction of the surrounding State; and

6. Denial of a license for any person or entity that would not be eligible to receive a State

license to conduct the same activity within the jurisdiction of the surrounding State.

State law standards shall apply with respect to purpose, entity, pot limits, and hours of

operation.

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RESOLUTION NO: 97-_

QUAPAW TRIBE OF OKLAHOMA

CLASS II GAMING ORDINANCE

IV. Use of Gaming Revenue

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

to fund tribal government operations and programs; provide for the general welfare of the

Tribe and its members; promote tribal economic development; donate to charitable

organizations; or help fund operations of local government agencies.

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

such payments only upon approval of a plan submitted to the Secretary of the Interior Under

25 U.S.C. § 2710(b)(3).

V. Audit

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

operations and shall submit the resulting audit reports to the National Indian Gaming

Commission.

B. All gaming related contracts that result in the purchase of supplies, services, or

concessions in excess of $25,000.00 annually, except contracts for professional legal and

accounting services, shall be specifically included within the scope of the audit that is

described in subsection A. above.

VI. Protection of the Environment and Public Health and Safety

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

adequately protects the environment and the public health and safety.

VII. Licenses for Key Employees and Primary Mana2ement Officials

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

implemented with respect to key employees and primary management officials employed at any

class II gaming enterprise operated on Indian lands:

A. Definitions

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

1. Key employee means

(a) A person who performs one or more of the

following functions:

(1) Bingo caller;

(2) Counting room supervisor

(3) Chief of security;

(4) Custodian or gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

(7) Dealer;

(8) Croupier;

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RESOLUTION NO: 97-

QUAPAW TRIBE OF OKLAHOMA

CLASS II GAMING ORDINANCE

(9) Approver of credit; or

(10) Custodian of gambling devices including persons with access to

cash and accounting records within such devices;

(b) If not otherwise included, any other person whose total cash compensation

is in excess of $50,000 per year; or

(c) If not otherwise included, the four most highly compensated persons

in the gaming operation.

2. Primary management official means

(a) The person having management responsibility

for a management contract;

(b) Any person who has authority:

(i) To hire and fire employees; or

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

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

responsibility.

B. Application Forms

1. The following notice shall be placed on the application form for a key employee or a primary management official before that form is filled out by an applicant:

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

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

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

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

information will be used by National Indian Gaming Commission members and

staff who have need for the information in the performance of their official

duties. The information may be disclosed to appropriate Federal, Tribal, State,

local, or foreign law enforcement and regulatory agencies when relevant to

civil, criminal or regulatory investigations or prosecutions or when pursuant to a

requirement by a tribe or the National Indian Gaming Commission in connection

with the hiring or firing of an employee, the issuance or revocation of a gaming

license, or investigations of a gaming operation. Failure to consent to the

disclosures indicated in this notice will result in a tribes being unable to hire

you in a primary management official or key employee position.

The disclosure of your Social Security Number (SSN) is voluntary. However,

failure to supply a SSN may result in errors in processing your application.

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

writing that they shall either:

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

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RESOLUTION NO: 97-_

QUAPAW TRIBE OF OKLAHOMA

CLASS II GAMING ORDINANCE

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

routine uses described in that notice.

3. The following notice shall be placed on the application form for a key employee or a primary official before that form is filled out by an applicant.

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

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

or imprisonment.

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

management officials that they shall either:

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

statements; or

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

C. Background Investigations

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

key employee all of the following information:

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

number(s), birth date, place of birth, citizenship, gender, all languages

(spoken or written);

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

positions held, ownership interests in those businesses, business and

residence addresses, and drivers license numbers;

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

including one personal reference who was acquainted with the applicant

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

section;

d. Current business and residence telephone numbers;

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

Indian tribes, including ownership interests in those businesses;

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

gaming industry generally Indian tribes, including ownership interests in

those businesses;

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

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

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

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QUAPAW TRIBE OF OKLAHOMA

CLASS II GAMING ORDINANCE

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

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

the date and disposition if any;

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

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

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

disposition;

j. For each criminal charge (excluding minor traffic charges), whether or

not there is a conviction, if such criminal charge is within 10 years of the

date of the application and is not otherwise listed pursuant to paragraph

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

of the court involved and the date and disposition;

k. The name and address of any licensing or regulatory agency with which

the person has filed an application for an occupational license or permit,

whether or not such license or permit was granted;

1. A current photograph;

m. Any other information the Tribe deems relevant; and

n. Fingerprints consistent with procedures adopted by the Tribe according to 25 C.F.R. § 522.2(h).

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

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

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

investigation.

D. Eligibility Determination

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

reputation, habits and associations to make a finding concerning the eligibility of a key

employee or primary management official for employment in a gaming operation. If the Tribe

determines that employment of the person poses a threat to the public interest or to the

effective regulation of gaming, or creates or enhances dangers of unsuitable, unfair, or illegal

practices and methods and activities in the conduct of gaming, a tribal gaming operation shall

not employ that person in a key employee or primary management official position.

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

Primary Management Officials to the National Indian Gaming Commission

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

operation authorized by this ordinance, the Tribe shall forward to the National Indian Gaming

Commission a completed application for employment and conduct the background investigation

and make the determination referred to in subsection D of this section.

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CLASS II GAMING ORDINANCE

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

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

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

Gaming Commission.

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

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

F. Report to the National Indian Gaming Commission

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

prepare and forward to the National Indian Gaming Commission an investigative report on

each background investigation. An investigative report shall include all of the following:

a. Steps taken in conducting a background investigation;

b. Results obtained;

c. Conclusions reached; and

d. The bases for those conclusions.

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

made under subsection D of this section.

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

a. Shall notify the National Indian Gaming Commission; and

b. May forward copies of its eligibility determination and investigative

report (if any) to the National Indian Gaming Commission for inclusion

in the Indian Gaming Individuals Records System.

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

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

inspection by the Chairman of the National Indian Gaming Commission or his or her designee

for no less than three (3) years from the date of termination of employment.

G. Granting a Gaming License

1. If, within a thirty (30) day period after the National Indian Gaming Commission

receives a report, the National Indian Gaming Commission notifies the Tribe that it has no

objection to the issuance of a license pursuant to a license application filed by a key employee or a primary management official for whom the Tribe has provided an application and

investigative report to the National Indian Gaming Commission, the Tribe may issue a license

to such applicant.

2. The Tribe shall respond to a request for additional information from the

Chairman of the National Indian Gaming Commission concerning a key employee or a primary

management official who is the subject of a report. Such a request shall suspend the 30-day

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QUAPAW TRIBE OF OKLAHOMA

CLASS II GAMING ORDINANCE

period under paragraph G. 1. of this section until the Chairman of the National Indian Gaming

Commission receives the additional information.

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

Gaming Commission provides the Tribe with a statement itemizing objections to the issuance

of a license to a key employee or to a primary management official for whom the Tribe has

provided an application and investigative report to the National Indian Gaming Commission,

the Tribe shall reconsider the application, taking into account the objections itemized by the

National Indian Gaming Commission. The Tribe shall make the final decision whether to issue

a license to such applicant.

H. License Suspension

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

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

management official is not eligible for employment under subsection D. above, the Tribe shall

suspend such license and shall notify in writing the licensee of the suspension and the proposed

revocation.

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

proposed revocation of a license.

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

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

decision.

VIII. License Locations

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

lands where class II gaming is conducted under this ordinance.

IX. Repeal

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

are hereby repealed.

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RESOLUTION NO: 97-_

QUAPAW TRIBE OF OKLAHOMA

CLASS II GAMING ORDINANCE

X. Agent for Service

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

delivered by certified mail to:

Chairman

Quapaw Tribe Gaming Commission

P.O. Box 765

Quapaw, Oklahoma 74363

and

PAYNE & JONES Chartered

Attn: Mr. Kip Kubin, Esq

11000 King

Overland Park, Kansas 66228

Telephone 913-469-4100

XI. Procedures for Background Investigations of Key Employees and Primary

Management Officials

The Quapaw Tribe Gaming Commission (sometimes referred to as the QTGC) is

responsible for conducting all background investigations and suitability determination. The

members of the QTGC are appointed by the Chairman of the Quapaw Tribal Business

Committee. The QTGC will:

A. Designate an agent to conduct the background investigations.

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

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

Gaming Commission.

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

fingerprints and to forward these prints directly to the National Indian Gaming

Commission for processing through the Federal Bureau of Investigation. All

resulting reports will sent to the QTGC.

E. Make suitability determination of background characteristics based upon the

results of the background investigation.

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

concerning a prospective employee:

1. Prior activities.

2. Criminal record and reputation.

3. Interviews of former employers, personal references and other applicable

individuals in reference to the applicant.

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

disqualifying information obtained.

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CLASS II GAMING ORDINANCE

G. Prepare an investigative report setting forth the following:

1. Steps taken in conducting the background investigation.

2. Results obtained.

3. Conclusions reached and the bases for those conclusions.

XII. Procedures for Dispute Resolution with the Gaming Public

The Quapaw Tribe Gaming Commission is responsible for the resolution of disputes

between the gaming public (the patrons) and the Tribe and/or the Tribes management

contractor. The following procedures shall apply to the various types of disputes:

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

alleged winnings to patron, and the enterprise and the patron are unable to

resolve the dispute to the satisfaction of the patron and dispute involves:

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

the QTGC for investigative action; or

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

of his or her right to request that the QTGC conduct an investigation.

The QTGC, through an inspector, shall conduct whatever investigation it

deems necessary and shall determine whether payment should be made.

B. Notice to Patrons The QTGC inspector shall mail written notice by certified

mail, return receipt requested, to the enterprise and the patron of his or her

decision resolving the dispute within thirty (30) days after the date that the

QTGC first receives notification from the enterprise or a request to conduct an

investigation from the patron.

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

received by the aggrieved party as reflected on the return receipt.

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

written decision of the inspector, the aggrieved party may file a petition with the

QTGC requesting a review of the decision. The QTGC may set a hearing on

the matter or may make a decision based solely upon the inspectors decision

and other documentation provided to it by the patron and the enterprise. The

QTGC shall then issue a written decision and mail it to the parties pursuant to

the procedures et forth in Section XII.B. The decision of the QTGC shall be

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

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

enterprise is located.

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RESOLUTION NO: 97-_

QUAPAW TRIBE OF OKLAHOMA

CLASS II GAMING ORDINANCE

XIII. Inherent sovereignty of the Ouapaw Tribe of Oklahoma

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

ordinance does not limit the inherent sovereignty of the Quapaw Tribe of Oklahoma.

CERTIFICATION

The foregoing resolution was passed by the Quapaw Tribal Business Committee on November

/j5~1997, with a vote ~for, 4 against, ~abstaining.

Attest:

~a~reasure4~

QUAPAW TRIBAL BUSINESS COMMITTEE

Its:

Filed With:

QUAPAW TRIBE GAMING COMMISSION

National Indian Gaming Commission

Bureau of Indian Affairs, Miami Agency

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