CHAPTER I 

General Provisions 

Section 101 Authority

The Ponca Tribal Business Committee, empowered by the Tribe’s Constitution to enact 

ordinances, hereby enacts this ordinance in order to govern Class I, Class II, and Class III 

Gaming Operations on the Tribe’s Indian lands. 

Section 102 Definitions

Unless a different meaning is clearly indicated in this Ordinance, the terms used herein 

shall have the same meaning as defined in the Indian Gaming Regulatory Act (IGRA), 25 

U.S.C. § 2701 et seq., and its regulations, 25 C.F.R. § 500 et seq. Specifically: 

A. “Business Committee” means the regulatory body of the Ponca Tribe of Oklahoma 

consisting of elected Tribal members.

B. “Class I Gaming” shall have the same meaning as defined in the Indian Gaming 

Regulatory Act and any regulations promulgated there under. 

C. “Class II Gaming” shall have the same meaning as defined in the Indian Gaming 

Regulatory Act and any regulations promulgated there under. 

D. “Class III Gaming” shall have the same meaning as defined in the Indian Gaming 

Regulatory Act and any regulations promulgated there under, provided that any Class 

III Gaming Shall be operated pursuant to an approved Tribal-State compact as 

required by the Indian Gaming Regulatory Act. 

E. “Commission” means the Ponca Tribal Gaming Commission” established by this 

Ordinance to perform regulatory oversight and to monitor compliance with Tribal, 

Federal, and applicable State regulations. 

F. “Commissioner” means a Ponca Tribal Gaming Commissioner. 

G. “Compact” means the Tribal-State Compact concerning Class III gaming approved 

by the Secretary of the Interior and published in the Federal Register pursuant to 25 

U.S.C. § 2710. 

H. “Complimentary” means a service or item provided at no cost or at a reduced cost to 

an individual. 

I. “Directly related to” means a spouse, child, parent, grandparent, grandchild, aunt, 

uncle, or first cousin. 

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J. “Employee Manager” is a manager other than a “Management Contractor” employed 

by the Tribe to manage a tribal Gaming Establishment/Facility. 

K. “Gaming Establishment/Facility” means any location or structure, wherein gaming 

 is licensed, promoted, performed, conducted, or operated. 

L. “Gaming Operation” means any business enterprise owned by the Tribe, the 

revenues of which are primarily derived from gaming or from any Gaming 

Establishment/Facility. 

M. “Gaming Ordinance” means this Tribal Gaming Ordinance of the Ponca Tribe of 

Oklahoma, as amended from time to time, and any rules promulgated there under. 

N. “IGRA” means the Indian Gaming Regulatory Act, 25 U.S.C. § 2701 et.seq.

O. “Indian Tribe” means the Ponca Tribe of Oklahoma. 

P. “Key Employee” means: 

1. A person who performs one or more of the following functions: 

(a) Bingo caller; 

(b) Counting room supervisor; 

(c) Chief of Security; 

(d) Custodian of gaming supplies or cash; 

(e) Floor manager; 

(f) Pit boss; 

(g) Dealer; 

(h) Croupier; 

(i) Approver of credit; or 

(j) Custodian of gambling devices including persons with access to cash 

and accounting records within such devices; 

2. If not otherwise included, any other person whose total cash compensation is in 

excess of $50,000 per year; or 

3. If not otherwise included, the four most highly compensated persons in the 

gaming operation. 

4. The Gaming Commission may designate any other employee or class of 

employees as Key Employees for licensing or any other purpose. 

Q. “Net Revenues” means gross gaming revenues of an Indian gaming operation less: 

 

1. amounts paid out as, or paid for, prizes; 

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2. and total gaming-related operating expenses, excluding management fees. 

R. “Primary Management Official” means: 

1. The person (s) having management responsibility for a management contract; 

2. Any person who has authority; 

(a) to hire and fire employees; or 

(b) to set up working policy for the gaming operation; or 

(c) the chief financial officer or other person who has financial 

management responsibility. 

Section 103 Designated Agent for Service of Process

For any legal correspondence between the National Indian Gaming Commission and the 

Ponca Tribe of Oklahoma, the designated agent shall be the Chairman of the Ponca Tribal 

Business Committee, #20 White Eagle Drive, Ponca City, OK 74601. 

Section 104 Gaming Authorized

Class I, Class II, and Class III gaming are hereby authorized. 

Section 105 Ownership of Gaming

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

any gaming operation authorized by this ordinance. 

Section 105 Use of Gaming Revenue

Net revenues from Tribal gaming shall be used only for the following purposes: 

A. to fund Tribal government operations and programs; 

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

C. to promote Tribal economic development; 

D. to donate to charitable organizations; or 

E. to help fund operations of local government agencies. 

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Section 107 Audit

A. The Tribe shall cause an annual outside independent audit of Gaming 

Operations to be conducted, and shall submit the resulting audit reports to 

the NIGC. 

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. 

Section 108 Tribal Access to Financial Information

A copy of the Tribal Gaming Operation annual audit will be made available for review, 

upon request, to: 

A. the Tribe’s Business Committee, and 

B. the Tribe’s Gaming Commission 

Section 109 Environment and Public Health and Safety

A. Gaming Establishments/Facilities shall be constructed, maintained and operated 

in a manner that adequately protects the environment and the public health and 

safety. 

B. The Ponca Tribal Gaming Commission shall adopt standards that assure adequate 

protection of the environment and the public health and safety. 

Section 110 Gaming Establishment/Facility Licenses

A. The Commission shall issue a separate license, annually, to each place, facility, or 

 location on Indian lands where Class II or Class III gaming is conducted under this 

 Ordinance. 

B. A current license for a gaming operation must be displayed at the facility. 

 

Section 111 Standards for Issuing Gaming Establishment/Facility Licenses

The Commission shall issue a facility license to a Gaming Establishment/Facility, if the 

Gaming Establishment/Facility: 

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A. Is a sound physical structure with adequate and safe plumbing, electrical, heating, 

cooling and ventilation systems in place and operational; 

B. Has been inspected and approved for safety by a building and fire inspector 

designated by the Commission; 

C. Is adequate in all respects to accommodate the gaming intended to be carried on 

within the structure; 

D. Is equipped with security and surveillance equipment meeting or exceeding 

provisions set forth in regulations established by the NIGC; 

E. Meets all requirements of applicable Federal, Tribal and State law; and 

F. Has paid all applicable license fees and costs. 

Section 112 Tribal Internal Control Standards (TICS)

A. The gaming commission shall comply with 25 CFR 542 by formally adopting and 

 making applicable to the Tribe’s gaming operation(s) internal control standards 

 that: 

 

 1. provide a level of control that equals or exceeds those set forth in 25 CFR part 

 542 as published or as revised by mutual agreement between the NIGC and the 

 Tribe; and 

 2. contain standards for currency transaction reporting that comply with 31 CFR 

 part 103; and 

 3. establish internal control standards for Class II and Class III games that are not 

 addressed in the MICS, if any. 

B. The gaming commission and the NIGC shall monitor and enforce compliance 

 with the internal control standards adopted pursuant to paragraph A, in the 

 manner provided for in 25 CFR 542.3(g). In addition, the NIGC shall, for the 

 purpose of enforcing compliance with the internal control standards, have the 

 power to: 

 1. Monitor all Class II gaming on a continuing basis; 

 2. Inspect and examine all premises on which Class II gaming is 

 conducted; 

3. Inspect, examine, photocopy, and audit all papers, books, and records 

respecting gross revenue of all Class II gaming on a continuing basis or any other 

matters necessary to ensure and enforce compliance with the MICS. 

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Section 113 Applicable Law

A. All controversies involving contracts relating to gaming entered into under the 

authority of the Tribal Business Committee, or violation(s) of any section of the 

Ordinance, shall be resolved, as appropriate in accordance with: 

1. the laws of the Tribe; 

2. the Indian Gaming Regulatory Act; 

3. NIGC Regulations; and 

4. the laws of the State of Oklahoma, which are incorporated herein by 

reference. 

B. To the extent that the provisions of any State-Tribal compact entered into by the 

Ponca Tribe of Oklahoma and the State of Oklahoma are inconsistent with any 

provisions of this Ordinance; the provisions of the Tribal-State Compact shall 

govern Class III gaming on Ponca Indian Lands. 

Section 114 Certification of Gaming Devices

All gaming devices operated under the authority and rights granted by and within the 

Tribal-State Compact must meet the technical standards pursuant to Part 4 Paragraph B 

of said compact. The Commission shall maintain a complete list of all gaming devices 

(whether or not such devices are in use) located at any Gaming Establishment/Facility. 

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CHAPTER II 

Organization 

Section 201 Gaming Commission Establishment

The Tribe hereby establishes a Tribal Gaming Commission whose duty it is to regulate 

Tribal Gaming Operations. The Ponca Tribal Gaming Commission shall consist of 

three (3) Commissioners, one of whom shall be designated by the Chairman of the 

Ponca Tribal Business Committee as the Chairperson. Gaming Commissioners shall 

be appointed by the Chairman of the Ponca Tribal Business Committee, with the advice, 

consent, and confirmation of the Ponca Tribal Business Committee. 

Section 202 Gaming Commission Composition

The Ponca Tribal Gaming Commission shall maintain an administrative office and staff 

Personnel. The Gaming Commission staff will consist of Compliance Officers, 

Background Investigators, Vendor License Investigators, Auditors, Information 

Technology Technicians, Fingerprint Technicians, Office support personnel and any 

other personnel to properly operate the Gaming Commission Office. Such office shall 

serve as the Commission’s main business office and shall be the site at which the 

Commission’s records and documents are maintained and stored on a permanent basis. 

Section 203 Gaming Commission Purposes

The purpose of the Commission is regulatory, not managerial. The Commission shall 

conduct oversight to ensure compliance with Tribal, Federal, and State laws and 

regulations. The Commission shall serve as the licensing authority for individuals 

employed in the Gaming Operation and shall administer background investigations as 

part of the licensing process. The Commission shall also have a role in monitoring 

compliance with the internal controls for the Gaming Operation and in tracking revenues. 

In order to carry out its regulatory duties, the Commission shall have unrestricted access 

to all areas of the Gaming Operation and to all records. The Commission shall have 

authority to take enforcement actions, including suspension or revocation of an individual 

gaming license when appropriate. 

Section 204 Gaming Commission Suitability Standards

Nominees for positions of Tribal Gaming Commissioner must satisfy the suitability 

standards set forth for Key Employees and Primary Management Officials, found in 

Section 503 of this Ordinance. Such background investigations shall be performed under 

the direction of the Tribal Business Committee or duly appointed agent. 

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Section 205 Gaming Commission Powers and Duties

The Ponca Tribal Gaming Commission shall: 

1. Administer, monitor and enforce all provisions of the Gaming Ordinance. 

2. Conduct or cause to be conducted background investigations, at a 

minimum, on primary management officials, key employees and any or all 

other employees as necessary; 

3. Review and approve all investigative work conducted; 

4. Report results of background investigations to the NIGC; 

5. Obtain and process fingerprints; 

6. Determine the eligibility of persons to be licensed, have licenses renewed, 

suspended, conditioned, revoked, or denied; 

7. Determine departmental budget; 

8. Assess and collect fees; 

9. Make licensing Suitability Determinations, which shall be signed by the 

Chairman of the Gaming Commission; 

10. Issue and review gaming licenses to management officials and employees 

of the operation, consistent with the Suitability Determination; 

11. Issue Gaming Establishment/Facility licenses to Tribal Gaming 

Operations; 

12. Inspect, examine and monitor all gaming activities, and have immediate 

access to review, inspect, examine, photocopy and audit all records of the 

Gaming Establishment/Facility; 

13. Ensure compliance with all Tribal, State, and Federal laws, rules, and 

regulations regarding Indian gaming; 

14. Investigate any suspicion of wrongdoing associated with any gaming 

activities; 

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15. Review Patron complaints, in compliance with procedures established in 

the Gaming Ordinance and other Tribal gaming regulations; 

16. Comply with any and all reporting requirements under the Indian Gaming 

Regulatory Act, Tribal-State Compact to which the Tribe is a party, and 

any other applicable law; 

17. Promulgate and issue regulations necessary to comply with applicable 

Tribal internal control standards and the MICS of the NIGC; 

18. Promulgate and issue regulations on the levying of fees and/or taxes 

associated with gaming license applications; 

19. Promulgate and issue regulations on the levying of fines and/or suspension 

or revocation of gaming licenses for violations of the Gaming Ordinance, 

or any other Federal, Tribal or State gaming regulations; 

20. Establish a list of persons not allowed to gamble in Tribal Gaming 

Establishments/Facilities in order to maintain the integrity of gaming; 

21. Establish a list of persons who have voluntarily asked to be excluded from 

Tribal Gaming Establishments/Facilities and create regulations for 

enforcing this exclusion; 

22. Provide referrals and information to the appropriate law enforcement 

officials when such information indicates a violation of Tribal, Federal, or 

State statues, Ordinances, or resolutions; and 

23. Perform such other duties the Commission deems appropriate to fully 

perform its duties for the proper regulation of the Tribal Gaming 

Operation. 

Section 206 Gaming Commission Records

A. The Commission shall ensure that all records and information obtained as a result 

of an employee background investigation shall remain confidential and shall not 

be disclosed to persons who are not directly involved in the licensing and 

employment processes. Information obtained during the course of an employee 

background investigation may only be disclosed to members of management, 

human resource personnel or others employed by the Tribal Gaming Operation on 

a need-to-know basis for actions taken in their official capacities. 

B. This Section does not apply to requests for such information or records from any 

Tribal, Federal or State law enforcement or regulatory agency, or for the use of 

such information or records by the Commission and staff in the performance of 

their official duties. 

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C. The Commission shall keep a written record of all its meetings. 

D. The Commission shall maintain an administrative office. No individual except a 

Commissioner or other authorized employee or agent of the Commission may 

possess a key to or may enter any Commission office without the permission of 

the Commission. No person may access such records except a Commissioner, a 

person duly authorized by the Commission or an attorney for the Commission. 

Section 207 Ethics

A. The Tribe recognizes that the duties of the Commission include making important 

decisions on highly sensitive issues. As such, the Tribe has determined that the 

Commission shall be held to extremely high ethical standards. Prior to taking 

their positions on the Commission (members and staff), the members and staff 

shall agree to be bound by the following principles: 

1. Members and staff shall not hold financial interests that conflict with the 

conscientious performance of their duties as managers and regulators. 

2. Members and staff shall not engage in financial transactions using 

nonpublic information or allow the improper use of such information by 

others on their behalf to further any private interest. 

3. Members and staff shall not solicit or accept any gift or other item of 

monetary value, including complimentary items or services from any 

person or entity seeking official action or inaction from, doing business 

with, or conducting activities regulated by the member’s organization, or 

whose interests may be substantially affected by the performance or 

nonperformance of the member’s duties. 

4. Members and staff shall make no unauthorized commitments or promises 

of any kind purporting to bind the Tribe. 

5. Members and staff shall not use their positions for private gain. 

6. Members and staff shall act impartially, in accordance with all relevant 

Tribal, Federal, and State laws, and shall not give preferential treatment to 

any private organization or individual, including any persons related to 

members and staff. 

7. Members and staff shall ensure that Tribal property and gaming assets 

shall be properly segregated and safeguarded, and that such property and 

assets shall not be used for unauthorized activities. 

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8. Members and staff shall not engage in outside employment or activities, 

including seeking or negotiating for future employment, which conflict 

with their official duties and responsibilities. 

9. Members and staff shall disclose waste, fraud, abuse, and corruption to 

appropriate authorities. 

10. Members and staff shall endeavor to avoid any actions creating the 

appearance that they are violating the law or the ethical standards listed 

herein. 

11. Members and staff shall disclose any real or apparent financial or personal 

conflicts. If there is a real conflict or the appearance of one, the member 

shall not take part in any decision related to the conflict. 

12. Members and staff may not game in a facility operated by the Ponca Tribe. 

Section 208 Removal of Commissioners

Once confirmed, a Gaming Commissioner of the Ponca Tribe may be removed by a twothird (2/3) majority vote of the Business Committee and only upon the following listed 

grounds: 

 1. conviction or guilty plea entered to a felony involving theft, embezzlement, mis- 

 appropriations of funds, robbery, burglary or other violations based primarily on 

 the wrongful taking or withholding of the property of another. 

 2. conviction or guilty plea entered to a charge of destruction of property, assault or 

 battery upon another person, or 

3. conviction or guilty plea entered to a drug or alcohol related charge. 

 a. This provision shall not apply to any such person as may have been convicted 

 of any charge in this section 208 part 3 where said offense is so remote (over ten 

 years) from the date of their appointment and whereas such charge was not a 

 felony conviction. 

 4. Falsifying information on application for employment or licenses issued pursuant 

 to this ordinance. 

 5. Failure to properly perform the duties of the office of the Gaming Commission and 

 to enforce and uphold the Ponca Tribal Gaming Ordinance. 

 6. Any violation of Section 207 of this Ordinance. 

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CHAPTER III 

Prize and Tort Claims/Patron Disputes 

Section 301 Prize and Tort Claims/Patron Disputes

A. Any Patron who has any dispute, disagreement or other grievance with the 

Gaming Operation in connection with his or her play of any covered 

game, the amount of any prize which has been awarded in connection with 

any covered game, the failure to be awarded a prize in connection with 

any covered game, or the right to receive a refund or other compensation 

in connection with any covered game, hereinafter “prize claim”, must seek 

resolution of such dispute as identified and outlined within the Tribal-State 

Compact (ENR. S. B. No. 1252, Part 6 B and C “Prize Claim”). 

B. Patrons having a tort claim for personal injury or property damage against 

the Gaming Operation arising out of incidents occurring at a Gaming 

Establishment/Facility or Gaming Operation, hereinafter “tort claim”, 

shall be afforded due process in seeking and receiving just and reasonable 

compensation as outlined within the Tribal-State Compact (ENR. S.B. No. 

1252, Part 6 A “Tort Claims”). 

C. Any Patron who has any dispute, disagreement or other grievance with 

any area of the Gaming Establishment/Facility or Gaming Operation not 

related to Section 301 A and B (as stated above) may seek resolution of 

such dispute from the following persons and in the following order: 

1. a member of the staff in the relevant area of the Gaming 

Operation; 

2. the supervisor in the relevant area of the Gaming Operation in 

which the dispute arose; 

3. the manager of the relevant Gaming Operation; 

D. Resolutions of any dispute by the personnel of a Gaming Operation and 

the Patron shall always involve two or more staff members. 

E. All disputes, whether resolved or not, shall be reported in detail by the 

staff persons involved to their supervisor, or, in the case of the General 

Manager of the Gaming Operation, to the Ponca Tribal Gaming 

Commission. 

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F. Patron complaints must be filed within (10) ten days of the occurrence or 

event that has brought about the dispute. 

Section 302 Patron Rights Regarding Disputes

When a Patron brings a dispute for resolution to the Gaming Operation pursuant to 

Section 301 C, the complainant has the right to explain his/her side of the dispute, and 

to present witnesses in connection with any factual allegations. At each level, if the 

dispute remains unresolved, the complainant shall be informed of the right to take the 

dispute to the next higher level. For disputes that are unresolved upon the completion 

of steps 1, 2, and 3 of Section 301 C, the Gaming Operation shall forward all 

documentation indicating the efforts to resolve the dispute to the Ponca Tribal 

Gaming Commission. 

Section 303 Gaming Commission Action of Patron Disputes

All unresolved disputes which are submitted to the Ponca Tribal Gaming Commission 

shall be decided by the Gaming Commission based on documented information 

provided by both the Gaming Operation and the complainant. The decision of the 

Gaming Commission shall be in writing, shall be issued within thirty days (30) of 

submission of the matter to the Gaming Commission, and shall be provided to the 

General Manager of the Gaming Operation and to the complainant. All decisions of 

the Ponca Tribal Gaming Commission are final. 

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CHAPTER IV 

Violations 

Section 401 Violations

A. No Person shall operate or conduct any gaming activity in a Gaming Operation 

within the exterior boundaries of Tribal lands without a gaming license issued by 

the Ponca Tribal Gaming Commission as required by this Ordinance. 

B. No Person shall knowingly submit false or misleading information to the 

Commission or the Tribe. 

C. No Management Contractor shall fail to account fully for all monies received or 

collected in connection with gaming activities or to file any report required by the 

management contract. 

D. No Minor shall be employed by a Gaming Operation or shall otherwise be 

permitted entry into the Gaming Establishment/Facility or to participate in any 

gaming activities. Minors may be allowed entry into casino restaurants for dining 

purposes. If no alcoholic beverages are served or allowed in the Gaming 

Establishment/Facility, a minor is defined as anyone under the age of 18 years. 

Gaming Establishment/Facilities who serve alcoholic beverages must determine 

the definition of a minor based on applicable State Law. 

E. No Person shall engage in cheating in any gaming activity or engage in any 

fraudulent conduct affecting either the Tribe or a Patron or a Gaming Operation. 

F. No Person, other than an officer of the Ponca Tribal Law Enforcement, or CrossCommissioned Law Enforcement Agencies, or Ponca Security Personnel, may 

enter or remain in a Gaming Establishment/Facility licensed under this Ordinance 

while in the possession of a firearm or other weapon (s). 

G. Any Person who is In Privity With a person who violates this Ordinance shall be 

deemed to be in violation of the Ordinance to the same extent as the violator, and 

shall be treated accordingly. 

H. Where applicable, the Management Contractor is responsible for ensuring that all 

primary management officials and key employees assisting in the operation of any 

gaming activity on the Management Contractor’s behalf comply with this 

Ordinance. A violation by any such official(s) or employees, unless otherwise 

provided in a approved management contract, shall be deemed a violation by the 

Management Contractor and shall subject the contractor to civil enforcement 

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action. It shall not be a defense that the Management Contractor was unaware of 

the violation. 

I. No person, whether playing or conducting any gaming activity authorized under 

this Ordinance, shall: 

1. use bogus or counterfeit cards, or substitute or use any game cards that 

have been tampered with; 

2. employ or have on one’s Person any cheating device to facilitate cheating 

in any gaming activity; or 

3. knowingly cause, aid, abet, or conspire with another Person or cause any 

Person to violate any provision in the Ordinance or any rule adopted under 

this Ordinance. 

J. A Gaming Operation’s establishment shall be constructed, maintained, and 

operated in a manner that does not threaten the environment or the public health 

and safety. 

 

Section 402 Ejection of Patrons

A. The following improper conduct shall result in ejection of a Patron from any 

Gaming Establishment/Facility: 

1. Cheating; 

2. possession of weapons in the gaming establishment 

3. possession of alcohol that has been brought by a Patron in to the Gaming 

Establishment/Facility or onto Tribal property; 

4. possession of a controlled substance in the Gaming Establishment/Facility 

or on Tribal property; 

5. disorderly conduct, including the willful, or wanton disregard for the 

rights of others; i.e. theft of any type, fighting, disturbing the peace, 

indecent language or gestures; 

6. failure to comply with staff instructions or house rules or any other act 

which is disruptive to the Gaming Operation; or 

7. is visibly under the influence of liquor, a drug or other intoxicating 

substance. 

B. Failure by a Patron to provide legal proof of age (i.e. State or Governmental 

issued ID, driver’s license, etc.) when requested by Gaming Operation personnel 

shall result in ejection of the Patron from the premises. 

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C. Ejection of a Patron shall be accomplished by Security Personnel or the Ponca 

Tribal Law Enforcement or Cross-Commissioned Law Enforcement Agencies, 

upon committing violations(s) as identified within this Ordinance, or at the 

request of the Gaming Operation. 

D. Either the employee manager or Management Contractor of the Gaming 

Operation or an alternate designated by either shall be present at all times to 

resolve complaints by Patrons involving the operation of Class I, Class II, or 

Class III games at the establishment. 

Section 403 Right to Exclude or Remove

If the Commission deems it in the best interest of the Tribe, the Commission may exclude 

or remove any Persons from the premises of any Gaming Operation. The employee 

manager or Management Contractor of the Gaming Operation shall also have the 

authority to exclude or remove any Person from the Gaming Establishment/Facility, and 

all such actions shall be reported to the Commission within 24 hours of the taking of such 

action. 

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CHAPTER V 

Employee Licensing 

Section 501 Requirement of Gaming Licenses

A tribal gaming license is required of the following individuals: 

1. Primary Management Officials; 

2. Management Contractors: 

3. Key Employees; 

4. all other employees of any Gaming Operation; and 

5. all Commissioners and employees of the Gaming Commission. 

Section 502 Standards for Employee Licenses

A. Licenses issued hereunder to Primary Management Officials, Management 

Contractors, and Key Employees shall be issued according to requirements at 

least as stringent as those set forth in 25 CFR §§556 and 558, and any 

amendments thereto. 

B. Recognizing the need for an established procedure for the licensing/permitting 

of the Ponca Tribal gaming facility employees, the following is hereby declared to 

be a policy of the Ponca Tribal Gaming Commission. Pursuant to federal law 

(P.L. 100-497) regarding gaming on Indian lands, each gaming Tribe shall ensure 

that there exists a standard whereby any Person whose prior activities, criminal 

record, if any, or reputation, habits and associations 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 and methods and activities in the conduct 

of gaming shall not be eligible for employment. Therefore, the purpose of the 

Regulation shall be construed to protect the Ponca Tribal Gaming Operation from 

potentially detrimental influences. 

Section 503 Licensing for Key Employees and Primary Management Officials

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

implemented with respect to Key Employees and Primary Management Officials 

employed at any gaming enterprise operated on Indian lands. The Tribe will issue 

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licenses and perform background investigations according to requirements at least 

as stringent as 25 C.F.R. Parts 556 and 558, and part ten of the Tribal-State 

Compact. No Person shall be employed as a Primary Management Official, Key 

Employee or as an employee of any Gaming Operation within the jurisdiction of 

the Ponca Tribe of Oklahoma, unless such a Person has received and holds a valid 

license as required pursuant to this Ordinance. 

B. As a condition of receiving a Key Employee license or Primary Management 

Official license, the holder thereof must acknowledge in writing that they 

understand the terms, including but not limited to, all provisions of this Gaming 

Ordinance, and conditions or receiving said license and agree to abide by the 

terms and conditions. 

Section 504 License Application Forms

A. The following notice shall be placed on the application form for a Key Employee 

or a Primary Management Official: 

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

provided: Solicitation of the information of 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 granted a gaming license. The information will be 

used by the National Indian Gaming Commission members and staff who have a 

need for the information in the performance of their official duties. The 

information may be disclosed to appropriate Federal, Tribal, State, local, or 

foreign law enforcement and regulatory agencies when relevant to civil, criminal 

or regulatory investigations or prosecutions or when necessary pursuant to a 

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

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

license, or investigation of activities while associated with a tribe or a gaming 

operation. Failure to consent to the disclosures indicated in this notice will result 

in a tribe’s being unable to hire you in a primary management official or key 

employee position. 

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

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

B. The following additional notice shall be placed on the application form for a Key 

Employee or a Primary Management Official: 

A false statement on any part of your application may be grounds for denying a 

license or the suspension or revocation of a license. Also, you may be punished 

by fines or imprisonment. (U.S. Code, Title 18, section 1001) 

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Section 505 Non-transferability of License

A license may not be assigned or transferred and is valid only for use by the person in 

whose name it is issued and at the Gaming Establishment/Facility for which it is issued. 

Section 506 License Fees

The Tribe may charge a license fee, to be set by the Commission, to cover its expenses in 

investigating and licensing Key Employees and Primary Management Officials of the 

Gaming Operation. 

Section 507 Fingerprints

A. Each applicant for a Key Employee or Primary Management Official shall be 

required to have fingerprints taken as part of the license application procedure. 

B. Fingerprints shall be taken by the Ponca Tribal Gaming Commission. 

Fingerprints of Key Employee and Primary Management Official applicants will 

then be forwarded to the NIGC for processing through the FBI to determine the 

applicant’s criminal history, if any. 

Section 508 Background Investigation

A. The Commission is responsible for conducting background investigations and 

suitability determinations. 

B. The Commission shall request from each Primary Management Official and from 

each Key Employee all of the following information: 

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

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

(spoken or written): 

2. Currently and for the previous five years: business and employment 

positions held, ownership interests in those businesses, business and 

residence addresses, and driver’s license numbers; 

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

including one personal reference who was acquainted with the 

applicant during each period of residence listed under paragraph (B)(2) 

of this section: 

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4. Current business and residence telephone numbers; 

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

Indian Tribes, including ownership interests in those businesses; 

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

the gaming industry generally, including ownership interests in those 

businesses; 

7. 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; 

8. For each felony for which there is an ongoing prosecution or a 

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

and the date and disposition if any; 

9. For each conviction or ongoing misdemeanor prosecution (excluding 

minor traffic violations), within ten years of the date of the application, 

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

disposition; 

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

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

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

paragraph (B) (8) or (B) (9) of this section, the criminal charge, the 

name and address of the court involved and the date and disposition; 

11. 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; 

12. A recent photograph; 

13. Military service history; and 

14. Any other information the Commission deems relevant. 

Section 509 Procedures for Conducting a Background Check on Applicants

A. As part of its review procedure, the Commission or its agent shall employ or 

engage an investigator to conduct a background investigation on each applicant 

sufficient to allow the Commission to make an eligibility determination. The 

investigator shall: 

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1. Verify the applicant’s identity through items such as a social security card, 

driver’s license, birth certificate, or passport; 

2. Contact each personal and business reference provided in the license 

application, when possible; 

3. Obtain a personal credit check 

4. Conduct a criminal history check via the submission of the applicant’s 

fingerprints to the NIGC, and further obtain information from the 

appropriate court regarding past felony and/or misdemeanor convictions 

and criminal charges within the last ten years. 

5. Inquire into any previous or existing business relationships with the 

gaming industry and Indian tribes by contacting the entities or Tribes; 

6. Verify the applicant’s history and status with any licensing agency by 

contacting the agency; and 

7. Take other appropriate steps to verify the accuracy of the information, 

focusing on problem areas noted. 

B. The Investigator shall create an investigative report noting the steps taken, 

information gained, potential problem areas, and disqualifying information. 

C. The Commission shall promise to keep confidential the identity of each Person 

interviewed in the course of the investigation, other than disclosure as required 

under Federal, Tribal, or State law. 

Section 510 Eligibility Determination

The Commission shall review a Person’s 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 

Commission determines that employment of the Person poses a threat to the public 

interest or to the effective regulation of gaming, or creates or enhances dangers of 

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

gaming, a tribal gaming operation shall not employ that Person in Key Employee or 

Primary Management Official position. 

Section 511 Procedures for Forwarding Applications and Reports for Key 

Employees and Primary Management Officials to NIGC

A. When a Key Employee or Primary Management Official is employed to work at a 

Gaming Operation authorized by this Ordinance, the Commission shall forward to

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the NIGC a completed application for employment that contains the notices and 

information listed in 25 CFR 556.2, 556.3, 556.4 and 556.5. 

B. 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. 

Section 512 Report to NIGC

A. When a Key Employee or Primary Management Official is employed to work at a 

gaming operation authorized by this Ordinance, the Commission shall prepare and 

forward a report on each background investigation to the NIGC. An investigative 

report shall include all of the following: 

1. Steps taken in conducting a background investigation; 

2. Results obtained; 

3. Conclusions reached; and 

4. The basis for those conclusions. 

B. The Commission shall forward the completed investigative report to the NIGC 

within sixty days after an employee begins work. 

C. The Commission shall submit, with the investigative report, a copy of the 

Eligibility Determination, unless the NIGC shall have advised the Tribe that the 

submission of the Eligibility Determination is not necessary. This Determination 

shall include a statement describing how the information submitted by the 

applicant was verified; a statement of results following an inquiry into the 

applicant’s prior activities, criminal record, if any, and reputation, habits and 

associations; a statement showing the results of interviews of a sufficient number 

of knowledgeable people (such as former employers, personal references, and 

others referred to by the applicant) in order to provide a basis for the Commission 

to make a finding concerning the eligibility for licensing required for employment 

in a Gaming Operation; and a statement documenting the disposition of all 

potential problem areas noted and disqualifying information obtained. 

D. If a license is not issued to an applicant, the Commission: 

1. Shall notify the NIGC; and 

2. Shall forward copies of its Eligibility Determination and Investigative 

Report (if any) to the NIGC for inclusion in the Indian Gaming Individuals 

Records System. 

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E. With respect to all employees, and in particular Key Employees and Primary 

Management Officials, the Commission shall retain applications for employment 

and reports (if any) of background investigations for inspection by the Chairman 

of the NIGC or his or her designee for no less than three years from the date of 

termination of employment. 

Section 513 Granting a Gaming License

A. If, within a thirty (30) day period after the NIGC receives a report, the NIGC 

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 

NIGC, the Commission, acting for the Tribe, may issue a license to such 

applicant. 

B. Such license shall be valid for two years upon which the employee will re-apply 

for a renewal license. 

C. The Commission shall respond to a request for additional information from the 

Chairman of the NIGC concerning a Key Employee or a Primary Management 

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

period under paragraph (a) of this section until the Chairman of the NIGC 

receives the additional information. 

D. If, within the thirty (30) day period described above, the NIGC 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 Commission has 

provided an application and Investigative Report to the NIGC, the Tribe shall 

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

NIGC. The Tribe shall make the final decision whether to issue a license to such 

applicant. 

E. No applicant has an absolute right to a gaming license. A gaming license is a 

revocable privilege and no holder acquires any vested rights therein or there 

under. 

Section 514 License Suspension

A. If, after issuance of a gaming license, the Commission receives reliable 

information indicating that a Key Employee or a Primary Management Official is 

not eligible for employment, the Commission shall suspend such license and shall 

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

B. The Commission shall notify the licensee of a time and a place for a hearing on 

the proposed revocation of a license by written letter. The licensee shall have ten 

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days in which to reply to the notice of suspension and proposed revocation for a 

licensing hearing. The hearing shall convene within ten days of notification. 

C. After a revocation hearing, the Commission shall decide to revoke or to reinstate a 

gaming license. The Commission shall notify the NIGC of its decision. 

Section 515 Board of Review for Licensing Disputes

The Tribe has determined that, in order to adhere to this Ordinance and all gaming 

regulations, there shall be established a Tribal Gaming Board of Review (Board of 

Review). The Board of Review shall serve as the final review body for licensing 

disputes. The Board of Review shall consist of the three Commissioners. 

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CHAPTER VI 

Vendor Licensing 

Section 601 Licensing for Vendors

A. Vendors of gaming services or supplies with a value of $25,000 or more annually 

must have a Vendor License from the Commission in order to transact business 

with the Tribal gaming operation pursuant to the Tribal-State Gaming Compact. 

Contracts for professional legal and accounting services are excluded from this 

section. 

B. Gaming vendors are entities who provide gaming supplies and services, including 

cash-related services. 

C. Non-gaming vendors provide services that do not have the ability to impact the 

integrity of the Tribal Gaming Operations, such as media advertising, facility 

maintenance workers, linen and laundry services, and food and beverage 

suppliers. The Commission shall create a regulation detailing which vendors fall 

into this category and shall maintain a register of the non-gaming vendors that it 

licenses. The Commission may exempt from licensing requirements non-gaming 

vendors who: 

1. are a Tribal, Local, State, or Federal government agency; 

2. are regulated by the State of Oklahoma or the Tribe; or 

3. will provide goods of insubstantial or insignificant amounts or quantities if 

the Commission determines that licensing of the vendor is not necessary to 

protect the tribal and public interest. 

Section 602 Submission of a Vendor License Application

In order to obtain a Vendor License, the business must complete a vendor application and 

submit to background checks of the business and its principals. Principals of a business 

include the officers, directors, management, owners, partners, non-institutional 

stockholders that either own at least 5% of the stock or are the ten largest stockholders, 

the on-sit supervisor or manager under the agreement with the Tribe, if applicable, and 

employees of the company conducting business on gaming property. 

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Section 603 Contents of the Vendor License Application

A. Applications for Vendor Licenses must include the following: 

1. Name of business, business address, business phone, federal tax ID 

number (or SSN if a sole proprietorship), main office address if different 

from business address, any other names the applicant has done business 

under, and the type of service applicant will provide; 

2. Whether the applicant is a partnership, corporation, limited liability 

company, sole proprietorship, or other entity; 

3. If the applicant is a corporation, the State of Incorporation; 

4. Trade name, other names ever used, names of any wholly owned 

subsidiaries or other businesses owned by the vendor or its principals; 

5. General description of the business and its activities; 

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

gaming industry generally, including ownership interests in those 

businesses; 

7. A list of Indian tribes with which the vendor has an existing or previous 

business relationship, including ownership, financial, or management 

interests in non-gaming activities; 

8. Names, addresses, and phone numbers of three business references (two 

businesses and one bank), with whom the company had regularly done 

business. 

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

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

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

10. If the business has ever had a license revoked for any reason, the 

circumstances involved; 

11. A list of lawsuits to which the business has been or is involved, including 

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

any; 

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12. List of the principals of the business, their social security numbers, 

addresses and telephone numbers, title, and percentage of ownership in the 

company; and 

13. Any further information the Tribe deems relevant. 

B. The following notice shall be placed on the application form for a vendor and its 

principals: 

Inclusion of false or misleading information in the vendor application may be grounds 

for denial or revocation of the Vendor License. 

C. The vendor shall be required to submit in writing any changes in the information 

since the original license application was filed and any information requested by the 

Tribe not contained in the original application. 

.Section 604 Vendor Background Investigation

To complete an investigation of the gaming vendor this investigation shall contain, at a 

minimum, the following steps: 

A. Verification of the business’ incorporation status. 

B. Obtain a business credit report, if available, and conduct a Better Business Bureau 

check on the vendor; 

C. Conduct a check of the business’ credit history 

D. Call each of the references listed in the vendor application; and 

E. Conduct an investigation of the principals and any other employees the Ponca 

Tribal Gaming Commission deems necessary of the business, including a criminal 

history check and a credit report. 

Section 605 Vendor License Fee

The Tribe may charge a license fee, to be set by the Commission, to cover its expenses in 

investigating and licensing vendors of the Gaming Operation. 

Section 606 Vendor Background Investigation Report

The Ponca Tribal Gaming Commission, or its agents, shall employ or engage an 

investigator to conduct vendor background investigations. The investigator(s) shall 

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complete an investigative report covering each of the steps taken in the background 

investigation of the gaming vendor and its principals and present it to the Commission. 

Section 607 Licenses for Non-Gaming Vendors

For non-gaming vendors, the Commission is authorized to create a less stringent vendor 

licensing process, including a due diligence check rather than a full background 

investigation as described in Section 604. The Commission may investigate such 

vendors when appropriate and may conduct audits in addition to monitoring Tribal 

purchases. 

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CHAPTER VII 

Miscellaneous Provisions 

Section 701 Sovereign Immunity

The Ponca Tribe of Oklahoma, acting through the Ponca Tribal Business Committee, 

confers on the Commission all of the Tribe’s rights, privileges, immunities and sovereign 

immunity from suit, to the same extent that the Tribe would have such rights, privileges, 

if it engaged in the activities undertaken by the Commission. 

Section 702 Compliance with Alcoholic Beverage Laws

The Tribe shall comply will all applicable Tribal, State, Local and Federal regulations 

pertaining to the sale of alcoholic beverages at Tribally owned or operated Gaming 

Establishments/Facilities. 

Section 703 Compliance with Federal Law

The Tribe shall comply with all applicable federal law, including the Bank Secrecy Act, 

31 U.S.C. § 5311 et seq. 

Section 704 Compliance with State-Tribal Gaming Act

The Tribe shall comply with all applicable standards as identified in the State-Tribal 

Gaming Act ENR. S. B. No. 1252. 

Section 705 Severability

The provisions of this gaming Ordinance are severable. If any provision of this Gaming 

Ordinance or any portion of any provision of this Gaming Ordinance is held invalid by a 

court of competent jurisdiction, the invalidity shall not effect any other provision of this 

Gaming Ordinance. The remainder of this Gaming Ordinance shall remain valid and in 

full effect. 

Section 706 Amendment

All provisions of this Gaming Ordinance are subject to amendment by the Business 

Committee of the Ponca Tribe of Oklahoma. Any such amendment to this Gaming 

Ordinance shall be submitted to the NIGC for approval within fifteen (15) days of 

adoption. 

Section 707 Effective Date

This Gaming Ordinance shall be effective on the date of approval by the NIGC 

Chairman. 

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