EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.08 Report to the National Indian Gaming Commission

(a) The Tribal Gaming Commission shall prepare and forward a report on each
background investigation to the National indian Gaming Commission. An
investigative report shail include all of the following:

{1) Steps taken in conducting a background investigation;
(2) Results obtained;

(3) Conclusions reached; and

(4) The bases for those conclusions.

(b) The Commission shall forward the completed investigative report to the National
Indian Gaming Commission within sixty (60) days after an employee begins
work or within sixty (60) days of the approval of this ordinance by the Chairman
of the National indian Gaming Commission.

(c) The Commission shall submit, with the investigative report, a copy of the
éligibility determination, unless the NIGC shall have advised the Tribe that the
submission of the eligibility determination is not necessary. This determination
shail 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, criminai 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 Gaming Commission to make a finding concerning the eligibility for
licensing required for employment in a gaming operation; and a Statement
documenting the disposition of ail potential problem areas noted and
disqualifying information obtained.

(d) if a license is not issued to an applicant, the Gaming 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.

(e) With respect to all employees, and in particular key employees and primary
management officials, the Gaming Commission shall retain applications for
empioyment and reports (if any) of background investigations for inspection by
the Chairman of the NIGC or his or her designee for no less than three (3) years
from the date of termination of employment.

Section 2.09 Granting a Gaming License
{a} 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 na 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 Gaming Commission, acting for the Tribe, may issue
a license to such applicant.

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(b) The Gaming 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, piace of birth, citizenship, gender, ail languages (spoken or
written);

(2) Currently and for the previous 5 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;

(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 was an ongoing prosecution or a
conviction, the charge, the name and address of the court involved, and
the date and disposition if any;

(9) 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;

(10) For each criminal charge (excluding minor traffic charges), whether or not
there is a conviction, if such criminal charge 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 photograph taken within the last year;

(13) Fingerprints; and

(14) Any other information the Tribe deems relevant.

Section 2.05 Procedures for Conducting a Background Check on Applicants
(a) As part of its review procedure, the Commission or its agent shail conduct a
background investigation on each applicant sufficient to allow the Gaming
Commission to make an eligibility determination under section 2.06 below. The
Commission or its agent shall:
(1) Verify the applicant's identity through items such as a social security card,
drivers license, birth certificate, or passport;

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(11) Employees shall disclose any real or apparent financial or personal
conflicts. If there is a real conflict or the appearance of one, the member
shail not take part in any decision related to the conflict.

Section 1.10 Complimentary tems

(a) The use of complimentary items shall be governed by regulations established by
the Gaming Commission.

(b) No Member or employee of the Gaming Commission, shall be authorized to
receive complimentary items other than food and beverages and non-monetary
items, or, if at a public event held at the gaming facility, the free items offered to
the general public.

{c) Complimentary Items shall be included in the annual budget for the gaming
operation, with maximum limits specified, and shall be subject to approval by the
Business Committee.

Section 1.11 Audit

(a) The Gaming Commission shall cause an annual audit of all gaming operations
to be conducted by an independent certified public accountant, 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.

Section 1.12 Environment and Public Health and Safety
(a) Gaming facilities shall be constructed, maintained and operated in a manner
that adequately protects the environment and the public health and safety.
(b) The Business Committee shall adopt standards that assure adequate protection
of the environment and the public health and safety.

Section 1.13 Patron Dispute Resolution

{a) Patrons who have complaints against the gaming establishment shall have as
their sole remedy the right to file a petition for relief with the Gaming Commission.
Complaints shall be submitted in writing, and at the discretion of the Commission,
the petitioner may be allowed to present evidence.

(b) The Gaming Commission shall schedule a hearing within ten (10) days, and hold
the hearing no later than thirty (30) days of receipt of petitioner's complaint.
Petitioner may have counsel present at such hearing. The Commission shall
render a decision in a timely fashion and all such decisions will be final when
issued.

{c) Any patron's complaint must be submitted to the Commission no tater than one
hundred-eighty (180) days after the denial of the claim by the operation.

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(b)

EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(7) Adescription of any existing and previous business relationships with the
gaming industry generally, including ownership interests in those
businesses;

(8) 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;

(9) Names, addresses, and phone numbers of three business references with
whom the company had regularly done business for the last five years;

(10) 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;

(11) If the business has ever had a license revoked for any reason, the
circumstances involved;

(12) A list of lawsuits to which the business has been a defendant, including the
name and address of the court involved, and the date and disposition if
any;

(13) List the business’ funding sources and any liabilities of $50,000 or more.

(14) A list of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership in
the company; and

(15) Any further information the Tribe deems relevant.

The following notice shail be placed on the application form for a vendor and its

principals:

Inclusion of fatse or misleading information in the vendor
application may be grounds for denial or revocation of the
Tribe’s vendor license.

Section 3.04 Vendor Background investigation
The Gaming Commission shail employ or otherwise engage an agent to complete an
investigation of the gaming vendor. This investigation shall contain, at a minimum, the
following steps:

(a)
(b)
(c)

(d)
(e)

Verify of the business’ incorporation status and qualification to do business in
the State where the gaming operation is located;

Obtain a business credit report, if available, and conduct a Better Business
Bureau check on the vendor;

Conduct a check of the business’ credit history;

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

Conduct an investigation of the principals of the business, including a criminal
history check, a credit report, and interviews with the personal references listed.

Section 3.08 Vendor License Fee

The Gaming Commission will set and charge a licensing fee for investigating and
licensing of vendors of the gaming operation.

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2015 Page 19 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(11) Employees 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.

Section 1.10 Complimentary items

(a) The use of complimentary items shall be governed by regulations established by
the Gaming Commission.

(b) No Member or employee of the Gaming Commission, shall be authorized to
receive complimentary items other than food and beverages and non-monetary
items, or, if at a public event held at the gaming facility, the free items offered to
the generai public.

(c) Complimentary Items shail be included in the annual budget for the gaming
operation, with maximum limits specified, and shall be subject to approval by the
Business Committee.

Section 1.11 Audit

(a) The Gaming Commission shall cause an annual audit of ail gaming operations
to be conducted by an independent certified public accountant, 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.

Section 1.12 Environment and Public Health and Safety
{a) Gaming facilities shall be constructed, maintained and operated in a manner
that adequately protects the environment and the public health and safety.
(b) The Business Committee shall adopt standards that assure adequate protection
of the environment and the public health and safety.

Section 1.13 Patron Dispute Resolution
Patrons who have complaints against the gaming establishment shall have as their
sole remedy the right fo file a petition for relief with the Gaming Commission.
Complaints shall be submitted in writing, and at the discretion of the Commission, the
petitioner may be allowed to present evidence. The Gaming Commission shall hold a
hearing within ten (10) days of receipt of petitioner's complaint. Petitioner may have
counsel present at such hearing. The Commission shall render a decision in a timely
fashion and all such decisions will be final when issued. Any patron's complaint must
be submitted to the Commission within ten (10) days of the incident giving rise to the
complaint. All claims by patrons shall be limited to a maximum recovery of Two
Hundred Fifty Thousand ($250,000) for any one person and Two Million ($2,000,000)

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(q) Tribe/Indian Tribe means the Eastern Shawnee Tribe of Oklahoma, a federally
recognized Indian Tribe organized pursuant to the sovereign powers of the
Eastern Shawnee people.

Section 1.04 Gaming Authorized
Class II and Class III gaming are hereby authorized.

Section 1.05 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 1.06 Use of Gaming Revenue
(a) Net revenues from tribal gaming shall be used only for the following purposes:
(1) to fund tribal government operations and programs;
(2) to provide for the general welfare of the Tribe and its members;
(3) to promote tribal economic development;
(4) to donate to charitable organizations; or
(5) to help fund operations of local government agencies.

Section 1.07 Per Capita Payments
No per capita payments to Tribal members shall be made from Tribal gaming
revenues unless pursuant to 25 U.S.C. §2710(b)(3) and applicable Ordinance of
Federal Regulations provisions.

Section 1.08 Gaming Commission

(a) The Tribe hereby establishes the Eastern Shawnee Tribal Gaming Commission
whose duty it is to regulate tribal gaming operations. There shall be a Gaming
Commissioner and two Deputy Gaming Commissioners.

(1) The minimum requirements for appointment as a member of the
Commission shall be two of the following:
(i) | Bachelor’s Degree in Business Administration, Accounting, Marketing,
or an equivalent field;
(ii) | Minimum five (5) years experience in tribal gaming;
(iii) | Minimum five (5) years experience in casino management;
(iv) | Demonstrated knowledge of federal Indian law, the Indian Gaming
Regulatory Act, and related statutes and regulations.

(b) The purpose of the Commission is regulatory, not managerial. The Commission
will conduct oversight to ensure compliance with Tribal, Federal and State laws
and regulations. The Commission will serve as the licensing authority for
individuals employed in the gaming operation and will administer background
investigations as part of the licensing process. The Commission will also have a
role in monitoring compliance with the internal controls for the gaming operation

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(23) Promulgate such regulations and guidelines as it deems appropriate to
implement the provisions of this Ordinance.

(g) 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 shall 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.

(h) Terms of Office for the Gaming Commissioner and Deputy Gaming
Commissioner shall be four (4) years from the date of oath of office.

(1) A Commissioner or Deputy Commissioner whose term has expired shall
hold his/her seat until the office is filled according to the guidelines of this
Ordinance.

(2) Should a vacancy occur, the seat shall be filled according to the guidelines
of this Ordinance.

(i) | The following persons are not eligible to serve as Gaming Commissioner and/or
Deputy Gaming Commissioner: while serving as such; employees of the gaming
operation; gaming contractors (including any principal of management or other
contracting company); persons ineligible to be key employees or primary
management officials. The Business Committee shall require a criminal history
check with appropriate law enforcement agencies and shall review this criminal
history report and make an appropriate suitability determination.

(j) The independence of the Gaming Commission is essential to a well-regulated
gaming operation. For that reason, Commissioners may only be removed from
office by the Business Committee prior to the expiration of their respective terms
for neglect of duty, misconduct, or malfeasance that would render a
Commissioner unqualified for his/her position. Any allegations of neglect of
duty, misconduct, or malfeasance must be substantiated by a preponderance of
the evidence in writing, and must be given fourteen (14) days in advance of a
hearing. Commissioners shall have the option to legal counsel. Commissioners
will be given an opportunity to provide evidence rebutting the grounds for their
proposed removal before the removal. A unanimous vote of the Business
Committee on the validity of the removal shall be final and may be subject to
appeal in CFR. A wrongful removal shall entitle the affected Commissioner to
compensation for expenses incurred in an appeal and any pay withheld.

(k) The Commission may act in its official capacity even if there are vacancies on
the Commission.

(l) Gaming Commissioners and Deputy Gaming Commissioners shall be
compensated at a level determined by the Business Committee. The Chief of
the Eastern Shawnee Tribe shall provide oversight duties for the Gaming
Commission office.

(m) Commissioner compensation shall not be based on a percentage of gaming
revenue to ensure the Commission is not improperly influenced.

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

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 but not limited to suspension or revocation of an individual
gaming license when appropriate.

(c) The Tribe recognizes the importance of an independent Tribal Gaming
Commission in maintaining a well-regulated gaming operation. The
Commission shall be and act independently and autonomously from the
Business Committee in all matters within its purview. No prior of subsequent
review by the Business Committee of any actions of the Commission shall be
required or permitted except as otherwise explicitly provided in this Ordinance.
To avoid potential conflicts of interest between the operation and regulation of
the gaming facility, the Tribe hereby finds that, at a minimum:

(1) No member of the Business Committee or the Chief of the Tribe may serve
on the Gaming Commission;

(2) Ne-+member-Any individual who is directly related to or living with anya
Business Committee member or the Chief of the Tribe shall not be eligible
for nomination or confirmation to serve as a member of the Gaming
Commission may-serve-ern-or be considered for employment by the
Gaming Commission, unless they were serving as a member or employed
by the Gaming Commission prior to the election of the Business Committee
Member or Chief of the Tribe;

(3) Members and employees of the Gaming Commission are prohibited from
gambling in the facility; and

(4) Members and employees of the Gaming Commission are prohibited from
accepting complimentary items from the gaming operation, except food
and beverages-vatued-under-five-dollars.

(5) Being a member or employee of the Gaming Commission and directly

related to any Business Committee member shall be considered a Conflict
of Interest. For Conflicts of Interest, the Constitution of the Eastern
Shawnee Tribe of Oklahoma Article VII Section 8 shall apply.

(d) The Gaming Commissioner and Deputy Gaming Commissioner positions shall
be filled by nomination of the Chief and confirmation by the Business
Committee. After written nomination by the Chief, the Chairman-Secretary of
the Business Committee shall put the appointment upon the agenda of the next
regular or special called Business Committee meeting, whichever comes first,
and address the selection at such meeting. The Business Committee shall have
ten (10) days from written nomination to confirm the appointment. Should the
Business Committee fail to confirm the nomination by the Chief within the
prescribed time period, the nominee will be considered confirmed.

(e) Nominees for positions of the Gaming Commissioner and Deputy Gaming
Commissioner shall be subject to the same background requirements as key
employees and primary management officials. To be eligible to serve as
Gaming Commissioner or Deputy Gaming Commissioner, a person must be at
least twenty-five (25) years of age.

(f) The Commission shall:

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 1.16 Agent for Service of Process
The Tribe hereby designates the Chief of the Eastern Shawnee Tribe as agent for
service of process, who may be contacted at:
Chief of Eastern Shawnee Tribe
P.O-BOX-35012755 South 705 Road
Seneca MO-6486SWyandotte, OK 74370
with additional concurrent notice to:
Eastern Shawnee Tribal Gaming Commission
12751 S 705 RD
Wyandotte, OK 74370

Section 1.17 Compliance with Federal Law
The Tribe will comply with all applicable federal law, including the Bank Secrecy Act,
31 U.S.C. §5311 et seq.

Section 1.18 Repeal
To the extent that they are inconsistent with this Ordinance, all prior gaming
Ordinances are hereby repealed.

Section 1.19 Amendment
This Ordinance may be amended only by a unanimous vote of the Tribe’s Business
Committee.

Section 1.20 Licenses of Key Employees and Primary Management Officials
The Gaming Commission shall ensure that the policies and procedures set out in this
section are implemented with respect to key employees and primary management
officials employed at any gaming enterprise operated on Indian lands. The Gaming
Commission will issue licenses and perform background investigations according to
requirements at least as stringent as 25 C.F.R. Parts 556 and 558.

Section 2.01 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 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 granted a gaming license. The information
will be used by the Tribal Gaming Regulatory authorities and
the 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

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(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 2.08 Report to the National Indian Gaming Commission

(a) The Tribal Gaming Commission shall prepare and forward a report on each
background investigation to the National Indian Gaming Commission. 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 bases for those conclusions.

(b) The Commission shall forward the completed investigative report to the National
Indian Gaming Commission within sixty (60) days after an employee begins
work or within sixty (60) days of the approval of this ordinance by the Chairman
of the National Indian Gaming Commission.

(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 Gaming 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) Ifa license is not issued to an applicant, the Gaming 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.

(e) With respect to all employees, and in particular key employees and primary
management officials, the Gaming Commission shall retain applications for
employment and reports (if any) of background investigations for inspection by
the Chairman of the NIGC or his or her designee for no less than three (3) years
from the date of termination of employment.

Section 2.09 Granting a Gaming License
(a) 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

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(h) Complimentary shall have the meaning as set forth in 25 C.F.R. §542.2(a).
(i) Directly related to means a spouse, child, parent, grandparent, grandchild,
aunt or uncle.
(j) IGRA means the Indian Gaming Regulatory Act of 1988, 102 Stat. 2467,
codified at 25 U.S.C. §§2701 ef seq.
(k) Key Employee means:
(1) A person who performs one or more of the following functions:
(i) bingo caller;
(ii) | counting room supervisor;
(iii) security personnel;
(iv) custodian of gaming supplies or cash;
(v) floor manager;
(vi) pit boss;
(vii) dealer;
(viii) croupier;
(ix) approver of credit; or
(x) custodian of gambling devices, including persons with access to cash
and accounting records within such device;

(2) if not otherwise included, any other person whose total cash compensation
is in excess of Fifty Thousand Dollars ($50,000) per year; or

(3) if not otherwise included, the four most highly compensated person in a
Gaming Operation or Gaming Facility.

() Net Revenues means gross gaming revenues of an gaming operation, less:

(1) Amounts paid out as, or paid for, prizes; and

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

(m) NIGC means National Indian Gaming Commission.
(n) Primary Management Official means:

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

(2) Any person who has authority:

{i) To hire and fire employees; or
(ii) | To set up working policy for the gaming operation; or
(iii) | The chief financial officer or other person who has financial
management responsibility.
(0) TICS means Tribal Internal Control Standards.
(p) Tribal lands means:

(1) Alllands within the limits of any Tribe’s reservation;

(2) Any lands title to which is either held in trust by the United States for the
benefit of the Tribe or individual or held by the Tribe or individual subject to
restriction by the United States against alienation and over which the
Indian Tribe exercises governmental power; and

(3) For all lands acquired into trust for the benefit of an Indian Tribe after
October 17, 1988, the lands meet the requirements set forth in 25 U.S.C.
§2719.

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 3.08 Licenses for Non-Gaming Vendors
For non-gaming vendors, the Gaming Commission may create a less stringent
vendor licensing process, including a due diligence check rather than a full
background investigation as laid out in Section 3.04 above. The Gaming
Commission may investigate such vendors and may conduct audits in addition to
monitoring Tribat purchases.

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(2) Contact each personal and business reference provided in the License
Application, when possible;

(3) Obtain a personal credit check;

(4) Conduct a civil history check;

(5) Conduct a criminai 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;

(6) Inquire into any previous or existing business relationships with the gaming
industry and Indian tribes by contacting the entities or tribes;

(7) Verify the applicant's history and status with any licensing agency by
contacting the agency; and

(8) Take other appropriate steps to verify the accuracy of the information,
focusing on problem areas noted.

{b) The Commission or its agent shall create an investigative report noting the steps
taken, information gained, potential problems areas, and disqualifying
information.

(c) The Gaming Commission and its agents 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 2.06 Eligibility Determination
The Gaming 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 granting of a gaming
license. If the Gaming Commission determines that licensing 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 the Gaming Commission shall not license that
person in a key employee or primary management official position.

Section 2.07 Procedures for Forwarding Applications and Reports for Key Employees
and Primary Management Officials to the National Indian Gaming
Commission

(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
the National Indian Gaming Commission a completed application for
employment and conduct the background investigation and make the
determination referred to in section 2.06 above.

(b) The gaming operation shall not employ as a key employee or primary
management official a person who does not have a ticense after 90 days.

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EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(h) Complimentary shall have the meaning as set forth in 25 C.F.R. §542.2(a).
(i) Directly related to means a spouse, child, parent, grandparent, grandchild,
aunt or uncle.
(j) IGRA means the Indian Gaming Regulatory Act of 1988, 102 Stat. 2467,
codified at 25 U.S.C. §§2701 et seq.
(k) Key Employee means:
(1) A person who performs one or more of the following functions:
(i) bingo caller;
(ii) counting room supervisor;
(iii) | security personnel;
(iv) custodian of gaming supplies or cash;
(v) floor manager;
(vi) pit boss;
(vii) dealer;
(viii) croupier;
(ix) | approver of credit; or
(x) custodian of gambling devices, including persons with access to cash
and accounting records within such device;

(2) if not otherwise included, any other person whose total cash compensation
is in excess of Fifty Thousand Dollars ($50,000) per year; or

(3) if not otherwise included, the four most highly compensated person in a
Gaming Operation or Gaming Facility.

() Net Revenues means gross gaming revenues of an gaming operation, less:

(1) Amounts paid out as, or paid for, prizes; and

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

(m) NIGC means National Indian Gaming Commission.
(n) Primary Management Official means:

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

(2) Any person who has authority:

(i) To hire and fire employees; or
(ii) | To set up working policy for the gaming operation; or
(iii) | The chief financial officer or other person who has financial
management responsibility.
(0) TICS means Tribal Internal Control Standards.
(p) Tribal lands means:

(1) Alllands within the limits of any Tribe’s reservation;

(2) Any lands title to which is either held in trust by the United States for the
benefit of the Tribe or individual or held by the Tribe or individual subject to
restriction by the United States against alienation and over which the
Indian Tribe exercises governmental power; and

(3) For all lands acquired into trust for the benefit of an Indian Tribe after
October 17, 1988, the lands meet the requirements set forth in 25 U.S.C.
§2719.

| 3December-204425 March 2015 Page 4 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

INDEX

Section 1.00 Title
Section 1.01 Purpose
Section 1.02 Liberal interpretation/Severability
Section 1.03 Definitions «0...
Section 1,04 Gaming Authorized...
Section 1.05 Ownership of Gaming
Section 1.06 Use of Gaming Revenue
Section 1.07 Per Capita Payments .....csssecsssssesorsseeessrercessnersensee
Section 1.08 Gaming Commission...........06
Section 1.09 Ethics.
Section 1.16 Complimentary Items .
Section 1.11 Audit
Section 1.12 Environment and Public Health and Safety
Section 1.13 Patron Dispute Resolution................
Section 1.14 Regulations 0.0...
Section 1.15 Facility Licenses...
Section 1.16 Agent for Service of Proce$s wuss

Section 1.17 Compliance with Federal L@W.....cscscsssesscsssesssccserssnssseveeenesseen
Section 1.18 Repeal
Section 1.19 AMONAMENL. ...esccseeccsseneeteeee
Section 1.20 Licenses of Key Employees and Primary Management Officials..cu..cssssssssseessseneeeed2
Section 2.01 License Application Forms
Section 2.02 License Fees .
Section 2.03 Fingerprints... sveenennnenveneny 13
Section 2.04 Background Investigations ..
Section 2.05 Procedures for Conducting a Background Check on Applicants
Section 2.06 Eligibility Determination.........

Section 2.07 Procedures for Forwarding Applications and Reports for Key Employees and
Primary Management Officials to the National Indian Gaming Commission =

Section 2.08 Report to the National Indian Gaming Commissio

3 December 2014 Page 1 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(1) Conduct or cause background investigations to be conducted on, at a
minimum, primary management officials and key employees;

(2) Review and approve all investigative work conducted;

(3) Reports results of background investigations to the NIGC;

(4) Obtain and process fingerprints, or designate a law enforcement agency to
obtain and process fingerprints;

(5) Make licensing suitability determinations, which shall be signed by the
Gaming Commissioner or Deputy Gaming Commissioner;

(6) Issue gaming licenses to management officials and employees of the
operation, consistent with the suitability determination;

(7) Establish standards for licensing Tribal gaming operations;

(8) Issue facility gaming licenses to Tribal gaming operations;

(9) Inspect, examine and monitor all gaming activities, and have immediate
access to review, inspect, examine, photocopy and audit all records of the
gaming establishment;

(10) Ensure compliance with all Tribal, State, and Federal laws, rules, and
regulations regarding Indian gaming;

(11) Investigate any suspicion of wrongdoing associated with any gaming
activities;

(12) Hold hearings on patron complaints, in compliance with procedures
established in the gaming Ordinance and other Tribal gaming regulations;

(13) Comply with any and all reporting requirements under the IGRA, Tribal-
State compact to which the Tribe is a party, and any other applicable law;

(14) Promulgate and issue regulations necessary to comply with applicable
internal control standards;

(15) Promulgate and issue regulation on the levying of fee and/or taxes
associated with gaming license applications.

(16) 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 Tribal, Federal, or State, if applicable, gaming regulations;

(17) Establish a list of persons not allowed to game in Tribal gaming facilities in
order to maintain the integrity of the gaming;

(18) Establish a list of persons who have voluntarily asked to be excluded from
the Tribal gaming facility and create regulations for enforcing this
exclusion;

(19) Provide referrals and information to the appropriate law enforcement
Officials when such information indicates a violation of Tribal, Federal, or
State statutes, ordinances, or resolutions;

(20) Create a list of regulatory authorities that conduct vendor background
investigations and licensing which the Commission recognizes as
trustworthy;

(21) Draft regulations exempting vendors from the licensing and/or background
investigation requirements if they have received a license from a
recognized regulatory authority;

(22) Perform such other duties the Commission deems appropriate for the
proper regulation of the Tribal gaming operation.

| 3-Decermber204425 March 2015 Page 7 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

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 but not limited to suspension or revocation of an individual
gaming license when appropriate.

(c) The Tribe recognizes the importance of an independent Tribal Gaming
Commission in maintaining a well-regulated gaming operation. The
Commission shall be and act independently and autonomously from the
Business Committee in all matters within its purview. No prior of subsequent
review by the Business Committee of any actions of the Commission shall be
required or permitted except as otherwise explicitly provided in this Ordinance.
To avoid potential conflicts of interest between the operation and regulation of
the gaming facility, the Tribe hereby finds that, at a minimum:

(1) No member of the Business Committee or the Chief of the Tribe may serve
on the Gaming Commission;

(2) Any individual who is directly related to or living with a Business Committee
member or the Chief of the Tribe shall not be eligible for nomination or
confirmation to serve as a member of the Gaming Commission or be
considered for employment by the Gaming Commission, unless they were
serving as a member or employed by the Gaming Commission prior to the
election of the Business Committee Member or Chief of the Tribe;

(3) Members and employees of the Gaming Commission are prohibited from
gambling in the facility; and

(4) Members and employees of the Gaming Commission are prohibited from
accepting complimentary items from the gaming operation, except food
and beverages.

(5) Being amember or employee of the Gaming Commission and directly
related to any Business Committee member shall be considered a Conflict
of Interest. For Conflicts of Interest, the Constitution of the Eastern
Shawnee Tribe of Oklahoma Article VIII Section 8 shall apply.

(d) The Gaming Commissioner and Deputy Gaming Commissioner positions shall
be filled by nomination of the Chief and confirmation by the Business
Committee. After written nomination by the Chief, the Secretary of the Business
Committee shall put the appointment upon the agenda of the next regular or
special called Business Committee meeting, whichever comes first, and address
the selection at such meeting. The Business Committee shall have ten (10)
days from written nomination to confirm.the appointment. Should the Business
Committee fail to confirm the nomination by the Chief within the prescribed time
period, the nominee will be considered confirmed.

(e) Nominees for positions of the Gaming Commissioner and Deputy Gaming
Commissioner shall be subject to the same background requirements as key
employees and primary management officials. To be eligible to serve as
Gaming Commissioner or Deputy Gaming Commissioner, a person must be at
least twenty-five (25) years of age.

(f) The Commission shall:

| 3December204425 March 2015 Page 6 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(n) The Tribal Gaming Commission’s annual budget shall be determined by the
Commission and approved by the Business Committee. The Gaming
Commission shall maintain an administrative office and staff personnel. The
Gaming Commission staff will consist of Compliance Agents, Licensing Agents,
Auditors, Inspectors, Office support and any other personnel to properly operate
the Gaming Commission office to fulfill its responsibilities under this Ordinance.
The Commission may retain legal counsel, consultants or other professional
services.

Section 1.09 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, employees of the

Commission, including the Gaming Commissioner and Deputy Gaming

Commissioners, shall agree to be bound by the following principles:

(1) Employees shall not hold financial interests that conflict with the
conscientious performance of their duties as managers and regulators.

(2) Employees 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) Employees shall not solicit or accept any gift or other item of monetary
value, including complimentary items or services (see Section 1.09, below),
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 Members’ duties.

(4) Employees shall make no unauthorized commitments or promises of any
kind purporting to bind the Tribe.

(5) Employees shall not use their positions for private gain.

(6) Employees shall act impartially, in accordance with all relevant Tribal,
Federal, and State laws (where applicable), and shall not give preferential
treatment to any private organization or individual, including to any persons
related to Members.

(7) Employees 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.

(8) Employees shall not engage in outside employment or activities, including
seeking or negotiating for future employment, which conflict with their
official duties and responsibilities.

(9) Employees shall disclose waste, fraud, abuse, and corruption to
appropriate authorities.

(10) Employees shall endeavor to avoid any actions creating the appearance
that they are violating the law or the ethical standards listed herein.

| 3December-204425 March 2015 Page 9 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(23) Promulgate such regulations and guidelines as it deems appropriate to
implement the provisions of this Ordinance.

(g) 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 shail be disclosed to members of
management, human fesource personnel or others employed by the tribai
gaming operation on a need-to-know basis for actions taken in their official
capacities.

(h) Terms of Office for the Gaming Commissioner and Deputy Gaming
Commissioner shall be four (4) years from the date of oath of office.

(1) A Commissioner or Deputy Commissioner whose term has expired shail
hold his/her seat until the office is filled according to the guidelines of this
Ordinance.

(2) Should a vacancy occur, the seat shall be filled according to the guidelines
of this Ordinance.

(i) The following persons are not eligible to serve as Gaming Commissioner and/or
Deputy Gaming Commissioner: while serving as such; employees of the gaming
operation; gaming contractors (including any principal of management or other
contracting company); persons ineligible to be key employees or primary
management officials. The Business Committee shall require a criminal history
check with appropriate law enforcement agencies and shall review this criminal
history report and make an appropriate suitability determination.

@) The independence of the Gaming Commission is essential to a well-regulated
gaming operation. For that reason, Commissioners may only be removed from
office by the Business Committee prior to the expiration of their respective terms
for neglect of duty, misconduct, or malfeasance that would render a
Commissioner unquatified for his/her position. Any allegations of neglect of
duty, misconduct, or malfeasance must be substantiated by a preponderance of
the evidence in writing, and must be given fourteen (14) days in advance of a
hearing. Commissioners shall have the option to legal counsel. Commissioners
will be given an opportunity to provide evidence rebutting the grounds for their
proposed removal before the removal. A unanimous vote of the Business
Committee on the validity of the removal shall be final and may be subject to
appeal in CFR. A wrongful removal shall entitle the affected Commissioner to
compensation for expenses incurred in an appeal and any pay withheld.

(k) The Commission may act in its official capacity even if there are vacancies on
the Commission.

() Gaming Commissioners and Deputy Gaming Commissioners shail be
compensated at a level determined by the Business Committee. The Chief of
the Eastern Shawnee Tribe shall provide oversight duties for the Gaming
Commission office.

(m) Commissioner compensation shall not be based on a percentage of gaming
revenue to ensure the Commission is not improperly influenced.

25 March 2015 Page 8 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(b) The Gaming Commission shall respond to a request for additional information
from the Chairman of the National indian Gaming Commission concerming a key
employee cr a primary management official who is the subject of a report. Such
a request shall suspend the thirty (0) day period under paragraph (a) of this
section until the Chairman of the National indian Gaming Commission receives
the additional information.

(c) 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 Gaming Commission 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 Gaming Commission shall make the final decision
whether to issue a license to such applicant.

Section 2.10 License Suspension

(a) ff, after the issuance of a gaming license, the Gaming Commission receives
from the National Indian Gaming Commission reliable information indicating that
a key employee or a primary management official is not eligible for employment,
the Gaming Commission shall suspend such license and shail notify in writing
the licensee of the suspension and the proposed revocation.

(b) The Gaming Commission shall notify the licensee of a time and a place for a
hearing on the proposed revocation of a license.

(c) After a revocation hearing, the Gaming Commission shall decide to revoke or to
reinstate a gaming license. The Commission shall notify the NIGC of its
decision. The revocation of a gaming license by the Gaming Commission is final
with no appeal.

Section 3.01 Licenses 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 Gaming Commission in order to
transact business with the Tribal gaming operation. Contracts for professional
legal and accounting services may be excluded from this section.

(b) Gaming vendors are vendors 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 Gaming Commission shali create a regulation detailing which
vendors fail into this category and shail maintain a register of the non-gaming
vendors that it licenses. The regulation may exempt from licensing requirements
non-gaming vendors who: 1) are Tribal, Local, State, or Federal government
agencies; 2) are regulated by the State of Okiahoma or the Tribe; or 3) will
provide goods of insubstantial or insignificant amounts or quantities if the

3 December 2014 Page 17 of 20


Gaming Ordinance

Eastern Shawnee Tribe of
Oklahoma


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(142) A list of lawsuits to which the business has been a defendant, including the
name and address of the court involved, and the date and disposition if
any;

(13) Tist the business’ funding sources and any liabilities of $50,000 or more.

(14) A list of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and Percentage of ownership in
the company; and

(15) 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
Tribe’s vendor license.

Section 3.04 Vendor Background Investigation

The Gaming Commission shail employ or otherwise engage an agent to complete an

investigation of the gaming vendor. This investigation shall contain, at a minimum, the

following steps:

(a) Verify of the business’ incorporation status and qualification to do business in
the State where the gaming operation is located;

(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) Cail each of the references listed in the vendor application; and

(e) Conduct an investigation of the principals of the business, including a criminal
history check, a credit report, and interviews with the personal references listed.

Section 3.05 Vendor License Fee

The Gaming Commission will set and charge a licensing fee for investigating and
licensing of vendors of the garning operation.

Section 3.06 Vendor Background Investigation Report

The agent shall 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 Gaming Commissioner and/or Deputy Gaming Commissioner.

Section 3.07 Exemption for Vendors Licensed by Recognized Regulatory Authorities

The Gaming Commission may adopt regulations naming specific licensing authorities
that it recognizes and may authorize exemptions to the vendor licensing process for
vendors which have received a license from one of the named reguiatory authorities.

3 December 2014 Page 19 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(n) The Tribal Gaming Commission's annual budget shall be determined by the
Commission and approved by the Business Committee. The Gaming
Commission shall maintain an administrative office and staff personnel. The
Gaming Commission staff will consist of Compliance Agents, Licensing Agents,
Auditors, Inspectors, Office support and any other personnel to properly operate
the Gaming Commission office to fulfill its responsibilities under this Ordinance.
The Commission may retain legal counsel, consultants or other professional!
services.

Section 1.09 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, employees of the

Commission, including the Gaming Commissioner and Deputy Gaming

Commissioners, shall agree to be bound by the following principles:

(1) Employees shall not hold financial interests that conflict with the
conscientious performance of their duties as managers and regulators.

(2) Employees shail 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) Employees shail not solicit or accept any gift or other item of monetary
value, including complimentary items or services (see Section 1.09, below),
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 Members’ duties.

(4) Employees shall make no unauthorized commitments or promises of any
kind purporting to bind the Tribe.

(5) Employees shall not use their positions for private gain.

(6) Employees shail act impartially, in accordance with all relevant Tribal,
Federal, and State laws (where applicable), and shail not give preferential
treatment to any private organization or individual, including to any persons
related to Members.

(7) Employees shail 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.

(8) Employees shali not engage in outside employment or activities, including
seeking or negotiating for future employment, which conflict with their
official duties and responsibilities.

(9) Employees shall disclose waste, fraud, abuse, and corruption to
appropriate authorities.

(10) Employees shall endeavor to avoid any actions creating the appearance
that they are violating the law or the ethical standards listed herein.

25 March 2015 , Page 9 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(1) Fullname, other names used (oral or written), social security number(s),
birth date, place of birth, citizenship, gender, all languages (spoken or
written);

(2) funerary and for the previous 5 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 acquainied with the applicant
during each period of residence listed under paragraph (b)(2) of this
section;

(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 was an ongoing prosecution or a
conviction, the charge, the name and address of the court involved, and
the date and disposition if any;

(9) 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;

(10) For each criminal charge (excluding minor traffic charges), whether or not
there is a conviction, if such criminal charge 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 photograph taken within the fast year;

(13) Fingerprints; and

(14) Any other information the Tribe deems relevant.

Section 2.05 Procedures for Conducting a Background Check on Applicants
(a) As part of its review procedure, the Commission or its agent shall conduct a

background investigation on each applicant sufficient to allow the Gaming

Commission to make an eligibility determination under section 2.06 below. The

Commission or its agent shall:

(1) Verify the applicant's identity through items such as a social security card,
drivers license, birth certificate, or passport;

(2) Contact each personal and business reference provided in the License
Application, when possible;

3 December 2014 Page 14 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(23) Promulgate such regulations and guidelines as it deems appropriate to
implement the provisions of this Ordinance.

(g) 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 shall 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.

(h) Terms of Office for the Gaming Commissioner and Deputy Gaming
Commissioner shall be four (4) years from the date of oath of office.

(1) A Commissioner or Deputy Commissioner whose term has expired shall
hold his/her seat until the office is filled according to the guidelines of this
Ordinance.

(2) Should a vacancy occur, the seat shall be filled according to the guidelines
of this Ordinance.

(i) | The following persons are not eligible to serve as Gaming Commissioner and/or
Deputy Gaming Commissioner: while serving as such; employees of the gaming
operation; gaming contractors (including any principal of management or other
contracting company); persons ineligible to be key employees or primary
management officials. The Business Committee shall require a criminal history
check with appropriate law enforcement agencies and shall review this criminal
history report and make an appropriate suitability determination.

(j) The independence of the Gaming Commission is essential to a well-regulated
gaming operation. For that reason, Commissioners may only be removed from
office by the Business Committee prior to the expiration of their respective terms
for neglect of duty, misconduct, or malfeasance that would render a
Commissioner unqualified for his/her position. Any allegations of neglect of
duty, misconduct, or malfeasance must be substantiated by a preponderance of
the evidence in writing, and must be given fourteen (14) days in advance of a
hearing. Commissioners shall have the option to legal counsel. Commissioners
will be given an opportunity to provide evidence rebutting the grounds for their
proposed removal before the removal. A unanimous vote of the Business
Committee on the validity of the removal shall be final and may be subject to
appeal in CFR. A wrongful removal shall entitle the affected Commissioner to
compensation for expenses incurred in an appeal and any pay withheld.

(k) The Commission may act in its official capacity even if there are vacancies on
the Commission.

(l) Gaming Commissioners and Deputy Gaming Commissioners shall be
compensated at a level determined by the Business Committee. The Chief of
the Eastern Shawnee Tribe shall provide oversight duties for the Gaming
Commission office.

(m) Commissioner compensation shall not be based on a percentage of gaming
revenue to ensure the Commission is not improperly influenced.

| 3-Decermber-204425 March 2015 Page 8 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.04 Background Investigations
(a) The Gaming Commission is responsible for conducting background
investigations and suitability determinations.
(b) The Gaming 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 5 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;

(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 was an ongoing prosecution or a
conviction, the charge, the name and address of the court involved, and
the date and disposition if any;

(9) 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;

(10) For each criminal charge (excluding minor traffic charges), whether or not
there is a conviction, if such criminal charge 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 photograph taken within the last year;

(13) Fingerprints; and

(14) Any other information the Tribe deems relevant.

Section 2.05 Procedures for Conducting a Background Check on Applicants.

(a) As part of its review procedure, the Commission or its agent shall conduct a
background investigation on each applicant sufficient to allow the Gaming

| 3-Apri-2042 3 December 2014 Page 14 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

and in tracking revenues. in order to carry out its regulatory duties, the

Commission shail have unrestricted access to all areas of the gaming operation

and to all records. The Commission shall have authority to take enforcement

actions, including but not limited to suspension or revocation of an individual
gaming license when appropriate.

(c) The Tribe recognizes the importance of an independent Tribal Gaming
Commission in maintaining a well-regulated gaming operation. The
Commission shall be and act independently and autonomously from the
Business Committee in all matters within its purview. No prior of subsequent
review by the Business Committee of any actions of the Commission shall be
required or permitted except as otherwise explicitly provided in this Ordinance.
To avoid potential conflicts of interest between the operation and regulation of
the gaming facility, the Tribe hereby finds that, at a minimum:

(1) No member of the Business Committee or the Chief of the Tribe may serve
on the Gaming Commission;

(2) Any individual who is directly related to or living with a Business Committee
member or the Chief of the Tribe shall not be eligible for nomination or
confirmation to serve as a member of the Gaming Commission or be
considered for employment by the Gaming Commission, unless they were
serving as a member or employed by the Gaming Commission prior to the
election of the Business Committee Member or Chief of the Tribe;

(3) Members and employees of the Gaming Commission are prohibited from
gambling in the facility; and

(4) Members and empioyees of the Gaming Commission are prohibited from
accepting complimentary items from the gaming operation, except food
and beverages.

(5) Being a member or employee of the Gaming Commission and directly
related to any Business Committee member shail be considered a Conflict
of Interest. For Conflicts of Interest, the Constitution of the Eastern
Shawnee Tribe of Oklahoma Article Vill Section 8 shall apply.

(d) The Gaming Commissioner and Deputy Gaming Commissioner positions shail
be filled by nomination of the Chief and confirmation by the Business
Committee. After written nomination by the Chief, the Secretary of the Business
Committee shail put the appointment upon the agenda of the next regular or
special called Business Committee meeting, whichever comes first, and address
the selection at such meeting. The Business Committee shall have ten (10)
days from written nomination to confirm the appointment. Should the Business
Committee fail to confirm the nomination by the Chief within the prescribed time
period, the nominee will be considered confirmed.

{e) Nominees for positions of the Gaming Commissioner and Deputy Gaming
Commissioner shall be subject to the same background requirements as key
employees and primary management officials. To be eligible to serve as
Gaming Commissioner or Deputy Gaming Commissioner, a person must be at
least twenty-five (25) years of age.

{f) The Commission shall:

3 December 2014 Page 6 of 20



EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

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 but not limited to suspension or revocation of an individual
gaming license when appropriate.

(c) The Tribe recognizes the importance of an independent Tribal Gaming
Commission in maintaining a well-regulated gaming operation. The
Commission shall be and act independently and autonomously from the
Business Committee in all matters within its purview. No prior of subsequent
review by the Business Committee of any actions of the Commission shall be
required or permitted except as otherwise explicitly provided in this Ordinance.
To avoid potential conflicts of interest between the operation and regulation of
the gaming facility, the Tribe hereby finds that, at a minimum:

(1) No member of the Business Committee or the Chief of the Tribe may serve
on the Gaming Commission;

(2) Any individual who is directly related to or living with a Business Committee
member or the Chief of the Tribe shall not be eligible for nomination or
confirmation to serve as a member of the Gaming Commission or be
considered for employment by the Gaming Commission, unless they were
serving as a member or employed by the Gaming Commission prior to the
election of the Business Committee Member or Chief of the Tribe;

(3) Members and employees of the Gaming Commission are prohibited from
gambling in the facility; and

(4) Members and employees of the Gaming Commission are prohibited from
accepting complimentary items from the gaming operation, except food
and beverages.

(5) Being a member or employee of the Gaming Commission and directly
related to any Business Committee member shall be considered a Conflict
of Interest. For Conflicts of interest, the Constitution of the Eastern
Shawnee Tribe of Oklahoma Article VIII Section 8 shall apply.

(d) The Gaming Commissioner and Deputy Gaming Commissioner positions shall
be filled by nomination of the Chief and confirmation by the Business
Committee. After written nomination by the Chief, the Secretary of the Business
Committee shall put the appointment upon the agenda of the next regular or
special called Business Committee meeting, whichever comes first, and address
the selection at such meeting. The Business Committee shall have ten (10)
days from written nomination to confirm the appointment. Should the Business
Committee fail to confirm the nomination by the Chief within the prescribed time
period, the nominee will be considered confirmed.

(e) Nominees for positions of the Gaming Commissioner and Deputy Gaming
Commissioner shall be subject to the same background requirements as key
employees and primary management officials. To be eligible to serve as
Gaming Commissioner or Deputy Gaming Commissioner, a person must be at
least twenty-five (25) years of age.

(f) The Commission shail:

25 March 2015 Page 6 of 20


Gaming Ordinance

Eastern Shawnee Tribe of
Oklahoma


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.09 Granting a Gaming License
Section 2.10 License Suspension

Section 3.01 Licenses for VENOrs........sescsseesesecsccsestesesstsssessessecesessenecsesarsneasesesseeseanessesussnesssasessecssenres LOLS
Section 3.02 Submission of a Vendor License Application
Section 3.03 Contents of the Vendor License Application..........cccssssssessessessssesesnesnesneenesecneeesenseatensense 18
Section 3.04 Vendor Background Investigation .......
Section 3.05 Vendor License Fee

Section 3.06 Vendor Background Investigation Report.........
Section 3.07 Exemption for Vendors Licensed by Recognized Regulatory Authorities........... 202919

Section 3.08 Licenses for Non-Gaming Vendors.

| 3-December-204425 March 2015 Page 2 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 1.00 Title
This ordinance shall be known and may be cited as the Eastern Shawnee Tribe of
Oklahoma Gaming Ordinance.

Section 1.01 Purpose
The Business Committee of the Eastern Shawnee Tribe of Oklahoma (Tribe),
empowered by the Tribe’s Constitution to enact ordinances, hereby enacts this
ordinance in order to govern Class II and Class III gaming operations on Tribal
lands.

Section 1.02 Liberal Interpretation/Severability
The provisions of this Ordinance, being necessary for the welfare of the Tribe and its
members, shall be construed liberally to affect the purpose and objective contained
herein. Section and subsection headings contained herein shall not be deemed to
govern, limit, modify, or in any manner affect the scope, meaning or intent of the
provisions, of any section or subsection of this Ordinance.

The provisions of the Ordinance are severable and if any part or provision hereof
shall be held void by appropriate judicial authority, the decision of the court so
holding shail not affect or impair any of the remaining parts or provisions of the
Ordinance.

Section 1.03 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 ef seq.

Specifically:

(a) Business Committee means the Tribal Business Committee as described in
the Constitution of the Eastern Shawnee Tribe of Oklahoma.

(b) Class II Gaming means that gaming defined in 25 U.S.C. §2703(7) and 25
C.F.R. §502.3.

(c) Class III Gaming means that gaming defined in 25 U.S.C. §2703(8) and 25
C.F.R. §502.4.

(d) Ordinance means the Eastern Shawnee Tribal Gaming Ordinance.

(e) Commission means the Eastern Shawnee Tribal Gaming Commission
established to perform regulatory oversight and to monitor compliance with
Tribal, Federal, and applicable State regulations.

(f) Commissioner means The Eastern Shawnee Tribal Gaming Commissioner or
Deputy Gaming Commissioner. Also known as member of the Eastern
Shawnee Tribal Gaming Commission.

(g) Compact means an agreement between the Tribe and the State of Oklahoma
concerning Class III gaming negotiated pursuant to 25 U.S.C. §2710(d).

| 3December204425 March 2015 Page 3 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 1,00 Title
This ordinance shall be known and may be cited as the Eastern Shawnee Tribe of

Oklahoma Gaming Ordinance.

Section 1.01 Purpose
The Business Committee of the Eastern Shawnee Tribe of Oklahoma (Tribe),
empowered by the Tribe’s Constitution to enact ordinances, hereby enacts this
ordinance in order to govern Class II and Class III gaming operations on Tribal
lands.

Section 1.02 Liberal Interpretation/Severability
The provisions of this Ordinance, being necessary for the welfare of the Tribe and its
members, shall be construed liberally to affect the purpose and objective contained
herein. Section and subsection headings contained herein shall not be deemed to
govern, limit, modify, or in any manner affect the scope, meaning or intent of the
provisions, of any section or subsection of this Ordinance.

The provisions of the Ordinance are severable and if any part or provision hereof
shall be held void by appropriate judicial authority, the decision of the court so
holding shall not affect or impair any of the remaining parts or provisions of the
Ordinance.

Saction 1.03 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 Tribal Business Committee as described in
the Constitution of the Eastern Shawnee Tribe of Oklahoma.

(b) Class II Gaming means that gaming defined in 25 U.S.C. §2703(7) and 25
C.F.R. §502.3.

(c) Class IIT Gaming means that gaming defined in 25 U.S.C. §2703(8) and 25
C.F.R. §502.4.

(d) Ordinance means the Eastern Shawnee Tribal Gaming Ordinance.

(e) Commission means the Eastern Shawnee Tribal Gaming Commission
established to perform regulatory oversight and to monitor compliance with
Tribal, Federal, and applicable State regulations.

(f) Commissioner means The Eastern Shawnee Tribal Gaming Commissioner or
Deputy Gaming Commissioner. Also known as member of the Eastern
Shawnee Tribal Gaming Commission.

(g) Compact means an agreement between the Tribe and the State of Oklahoma
conceming Class III gaming negotiated pursuant to 25 U.S.C. §2710(d).

25 March 2015 Page 3 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

National Indian Gaming Commission in connection with the
issuance, denial 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 being unable to
license you for 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 official:

A false statement on any part of your license application may
be grounds for denying a license or the suspension or
revocation of a license. Also, you may be punished by fine or
imprisonment. (U.S. OrdinanceCode, Title 18, section 1001).

(c) The Commission shall notify in writing existing key employees and primary
management officials who have not completed an application containing the
notices set forth above that they shall either:

(1) Complete a new application form that contains both the Privacy Act and
false statement notices; or

(2) Sign a statement that contains the Privacy Act and false statement notices
and consent to the routine uses described in that notice.

Section 2.02 License Fees
The Gaming Commission will set and charge a licensing fee for investigative
purposes and licensing of Key Employee and Primary Management Officials of the
gaming operation.

Section 2.03 Fingerprints
Each applicant for a Key Employee or Primary Management Official shall be required
to have fingerprints taken as part of the license application procedure. Fingerprints
shall be taken by Gaming Commission personnel and forwarded to the NIGC for
processing through the FBI and NCIC to determine the applicant’s criminal history, if
any. In the event that the Gaming Commission is temporarily unable to take the
applicant’s fingerprints, then the Gaming Commission may cause the fingerprints to
be taken by Tribal law enforcement or any other city, county, state or federal law
enforcement agency.

Section 2.04 Background Investigations
(a) The Gaming Commission is responsible for conducting background
investigations and suitability determinations.

| 3December204425 March 2015 Page 13 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 1.00 Title ;
This ordinance shall be known and may be cited as the Easter Shawnee Tribe of

Oklahoma Gaming Ordinance.

Section 1.01 Purpose
The Business Committee of the Eastem Shawnee Tribe of Oklahoma (Tribe),
empowered by the Tribe’s Constitution to enact ordinances, hereby enacts this
ordinance in order to govern Class II and Class III gaming operations on Tribal
lands.

Section 1.02 Liberal interpretation/Severability
The provisions of this Ordinance, being necessary for the welfare of the Tribe and its
members, shail be construed liberally to affect the purpose and objective contained
herein. Section and subsection headings contained herein shall not be deemed to
gover, limit, modify, or in any manner affect the scope, meaning or intent of the
provisions, of any section or subsection of this Ordinance.

The provisions of the Ordinance are severable and if any part or provision hereof
shall be held void by appropriate judicial authority, the decision of the court so
holding shall not affect or impair any of the remaining parts or provisions of the
Ordinance.

Section 1.03 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 seg., and its regulations, 25 C.F.R. §500 et seq.

Specifically:

(a) Business Committee means the Tribal Business Committee as described in
the Constitution of the Eastern Shawnee Tribe of Oklahoma,

(b) Class II Gaming means that gaming defined in 25 U.S.C. §2703(7) and 25
C.F.R. §502.3.

(c) Class III Gaming means that gaming defined in 25 U.S.C. §2703(8) and 25
C.F.R. §502.4.

(d) Ordinance means the Eastern Shawnee Tribal Gaming Ordinance.

(e) Commission means the Eastern Shawnee Tribal Gaming Commission
established to perform regulatory oversight and to monitor compliance with
Tribal, Federal, and applicable State regulations.

(f} Commissioner means The Eastern Shawnee Tribal Gaming Commissioner or
Deputy Gaming Commissioner. Also known as member of the Eastern
Shawnee Tribal Gaming Commission.

({g) Compact means an agreement between the Tribe and the State of Oklahoma
concerning Class III gaming negotiated pursuant to 25 U.S.C. §2710(d).

3 December 2014 Page 3 of 20



EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.09 Granting a Gaming License

Section 2.10 License Suspension .......... 17
Section 3.01 Licenses for Vendors.

Section 3.02 Submission of a Vendor License Application .....cccccssossessssesesssesssonsssssssanessescnanseesecunnsnnene 18
Section 3.03 Contents of the Vendor License Application......cscccssssessssesscssocnsesesscseceseserequasessccnssnssaneaves 18

Section 3.04 Vendor Background Investigation
Section 3.05 Vendor License Fee oo...
Section 3.06 Vendor Background Investigation Report
Section 3.07 Exemption for Vendors Licensed by Recognized Regulatory Authorities
Section 3.08 Licenses for Non-Gaming Vendors....ccsessssessesscesesessecesssscascesatsnunsssnssucsaessesservessesenienectee 20

3 December 2014 Page 2 of 20



EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(3) Obtain a personal credit check;

(4) Conduct a civil history check;

(5) 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;

(6) Inquire into any previous or existing business relationships with the gaming
industry and Indian tribes by contacting the entities or tribes;

(7) Verify the applicant's history and status with any licensing agency by
contacting the agency; and

(8) Take other appropriate steps to verify the accuracy of the information,
focusing on problem areas noted.

(b) The Commission or its agent shail create an investigative report noting the steps
taken, information gained, potential problems areas, and disqualifying
information.

(c) The Gaming Commission and its agents shail 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 2.06 Eligibility Determination
The Gaming 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 granting of a gaming
license. If the Gaming Commission determines that licensing 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 the Gaming Commission shall not license that
person in a key employee or primary management official position.

Section 2.07 Procedures for Forwarding Applications and Reports for Key Employees
and Primary Management Officials to the National Indian Gaming
Commission

(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
the National Indian Gaming Commission a completed application for
employment and conduct the background investigation and make the
determination referred to in section 2.06 above.

(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.

3 December 2014 Page 15 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(q) Tribe/Indian Tribe means the Eastern Shawnee Tribe of Oklahoma, a federally
recognized Indian Tribe organized pursuant to the sovereign powers of the
Eastern Shawnee people.

Section 1.04 Gaming Authorized
Class II and Class III gaming are hereby authorized.

Section 1.05 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 1.06 Use of Gaming Revenue
(a) Net revenues from tribal gaming shail be used only for the following purposes:
(1) _ to fund tribal government operations and programs;
(2) to provide for the general welfare of the Tribe and its members;
(3) to promote tribal economic development;
(4) to donate to charitable organizations; or
(5) to help fund operations of locat government agencies.

Section 1.07 Per Capita Payments
No per capita payments to Tribal members shall be made from Tribal gaming
revenues unless pursuant to 25 U.S.C. §2710(b)(3) and applicable Ordinance of
Federal Regulations provisions,

Section 1.08 Gaming Commission

(a) The Tribe hereby establishes the Eastern Shawnee Tribal Gaming Commission
whose duty it is to regulate tribal gaming operations. There shall be a Gaming
Commissioner and two Deputy Gaming Commissioners.

(1) The rninimum requirements for appointment as a member of the
Commission shall be two of the following:
(i) Bachelor's Degree in Business Administration, Accounting, Marketing,
or an equivaient field;
(ii) Minimum five (5) years experience in tribal gaming;
(ii) Minimum five (5) years experience in casino management;
(iv) Demonstrated knowledge of federal Indian law, the indian Gaming
Regulatory Act, and related statutes and regulations.

{b) The purpose of the Commission is tegulatory, not managerial. The Commission
will conduct oversight to ensure compliance with Tribal, Federal and State laws
and regulations. The Commission will serve as the licensing authority for
individuals employed in the gaming operation and will administer background
investigations as part of the licensing process. The Commission will also have a
role in monitoring compliance with the internal controls for the gaming operation

3 December 2014 Page 5 of 20



EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(2) Contact each personal and business reference provided in the License
Application, when possible;

(3) Obtain a personal credit check;

(4) Conduct a civil history check;

(5) 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;

(6) Inquire into any previous or existing business relationships with the gaming
industry and Indian tribes by contacting the entities or tribes;

(7) Verify the applicant's history and status with any licensing agency by
contacting the agency; and

(8) Take other appropriate steps to verify the accuracy of the information,
focusing on problem areas noted.

(b) The Commission or its agent shall create an investigative report noting the steps
taken, information gained, potential problems areas, and disqualifying
information.

(c) The Gaming Commission and its agents 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 2.06 Eligibility Determination
The Gaming 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 granting of a gaming
license. If the Gaming Commission determines that licensing 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 the Gaming Commission shall not license that
person in a key employee or primary management official position.

Section 2.07 Procedures for Forwarding Applications and Reports for Key Employees
and Primary Management Officials to the National Indian Gaming
Commission

(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
the National Indian Gaming Commission a completed application for
employment and conduct the background investigation and make the
determination referred to in section 2.06 above.

(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.

| 3December 204425 March 2015 Page 15 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 3.01 Licenses 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 Gaming Commission in order to
transact business with the Tribal gaming operation. Contracts for professional
legal and accounting services may be excluded from this section.

(b) Gaming vendors are vendors 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 Gaming 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 regulation may exempt from licensing requirements
non-gaming vendors who: 1) are Tribal, Local, State, or Federal government
agencies; 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
Gaming Commission determines that licensing of the vendor is not necessary to
protect the public interest.

(d) Attorneys or Certified Public Accountants may be exempt from the licensing
requirements herein to the extent that they are providing services covered by
their professional licenses. Attorneys or Certified Public Accountants will be
registered with the Gaming Commission.

Section 3.02 Submission of a Vendor License Application
In order to obtain a gaming vendor license, the business must complete a vendor
application and submit to background checks of itself and its principals. Principals of
a business include its officers, directors, management, owners, partners, non-
institutional stockholders that either own 5% or more of the stock or are the 10 largest
stockholders, and the on-site supervisor and manager under the agreement with the
Tribe.

Section 3.03 Contents of the Vendor License Application
(a) Applications for gaming 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, 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, and the
qualification to do business in the State of Oklahoma if the gaming
operation is in a different State than 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;

| 3December204425 March 2015 Page 18 of 20


EASTERN SHAWNEE TRIBE
OF OKLAHOMA

12755 8. 705 Road, Wyandotte, OK 74370
Bluejacket Building (918) 666-2435, Fax: (918) 666-2186

RESOLUTION NUMBER 032515R- 0 (

Approving the 2015 Eastern Shawnee Tribe of Oklahoma Gaming Ordinance

WHEREAS, the Eastern Shawnee Tribe of Oklahoma is a federally recognized Indian
Tribe organized under the Oklahoma Indian Welfare Act of 1936, with a
Constitution approved by the Secretary of the Interior, April 4, 1994 and
Amended March 2, 1999; and

WHEREAS, the Constitution of the Eastern Shawnee Tribe of Oklahoma, Article IX,
Section 1, empowers the Business Committee to protect and preserve the
interests of the Tribe; and

WHEREAS, the Eastern Shawnee Tribe of Oklahoma is committed to protecting and
preserving the interests of the tribal membership; and

WHEREAS, the Eastern Shawnee Tribe of Oklahoma is committed to the concept of
Indian Tribes functioning as sovereign governments; and

THEREFORE, BE IT RESOLVED that the Business Committee of the Eastern Shawnee Tribe of
Oklahoma does hereby wish to approve the attached 2015 Eastern Shawnee Tribe of Oklahoma Gaming
Ordinance.


4\0 NAL 'No,

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NG co wan

June 9, 2015

Via U.S. Mail and Facsimile

Amber Graham, Deputy Gaming Commissioner
Eastern Shawnee Tribal Gaming Commission
12751 S 705 Rd
. Wyandotte, OK 74370

Re: | Amendments to Eastern Shawnee Tribe Gaming Ordinance

Dear Ms. Graham:

This letter responds to the request on behalf of the Eastern Shawnee Tribe for the
National Indian Gaming Commission to review and approve amendments to the gaming
ordinance, adopted March 25, 2015, through Resolution #032515R-01. The amendments

make several changes:
1, Adda second Deputy Gaming Commissioner position to the Tribal Gaming

Commission;

2. Extends certain provisions regarding the Tribal Gaming Commission to its
employees;

3. Imposes a notice and comment period for Tribal Gaming Commission
regulations;

4. Allows more time for adjudication of patron disputes; and
5. Updates background and licensing requirements, consistent with recent changes to
NIGC regulations.

Thank you for bringing the amendments to my attention and for providing a copy
of the conforming ordinance. The amendments are approved, as they are consistent with
the requirements of the Indian Gaming Regulatory Act and NIGC regulations. If you
have any questions, please feel free to contact Staff Attorney Jennifer Lawson at (202)

632-7003.

Sincerely,
J / | / v

Jonodev O. Chaudhuri
Chairman

NEW MAILING ADDRESS: NIGC/DEPARTMENT OF THE INTERIOR 1849 C Street NW, Mail Stop # 1621 Washington, DC 20240 Tel: 202.632.7003 Fax: 202.632.7066

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa OK; Oklahoma City, OK
WWW.NIGC.GOV


(b)

EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(6) Whether the applicant will be investing in or loaning money to the gaming
operation and, if so, how much;

(7) A description of any existing and previous business relationships with the
gaming industry generally, including ownership interests in those
businesses;

(8) 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;

(9) Names, addresses, and phone numbers of three business references with

___ whom the company had regularly done business for the last five years;

(10) 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;

(11) If the business has ever had a license revoked for any reason, the
circumstances involved;

(12) A list of lawsuits to which the business has been a defendant, including the
name and address of the court involved, and the date and disposition if
any;

(13) List the business’ funding sources and any liabilities of $50,000 or more.

(14) A list of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership in
the company; and

(15) Any further information the Tribe deems relevant.

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
Tribe’s vendor license.

Section 3.04 Vendor Background Investigation
The Gaming Commission shall employ or otherwise engage an agent to complete an
investigation of the gaming vendor. This investigation shall contain, at a minimum, the
following steps:

(a)
(b)
(c)

(d)
(e)

Verify of the business’ incorporation status and qualification to do business in
the State where the gaming operation is located;

Obtain a business credit report, if available, and conduct a Better Business
Bureau check on the vendor;

Conduct a check of the business’ credit history;

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

Conduct an investigation of the principals of the business, including a criminal
history check, a credit report, and interviews with the personal references listed.

| 3-Decermber-204425 March 2015 Page 19 of 20


Gaming Ordinance

Eastern Shawnee Tribe of
Oklahoma


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(23) Promulgate such regulations and guidelines as it deems appropriate to
impiement the provisions of this Ordinance.

(g) The Commission shail 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 shall 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.

(h) Terms of Office for the Gaming Commissioner and Deputy Gaming
Commissioner shail be four (4) years from the date of oath of office.

(1) A Commissioner or Deputy Commissioner whose term has expired shall
hold his/her seat until the office is filled according to the guidelines of this
Ordinance.

(2) Should a vacancy occur, the seat shall be filled according to the guidelines
of this Ordinance.

(i) The following persons are not eligible to serve as. Gaming Commissioner and/or
Deputy Gaming Commissioner: while serving as such; employees of the gaming
Operation, gaming contractors (including any principal of management or other
contracting company); persons ineligible to be key employees or primary
management officials. The Business Committee shall require a criminal history
check with appropriate law enforcement agencies and shail review this criminal
history report and make an appropriate suitability determination.

) The independence of the Gaming Commission is essential to a well-regulated
gaming operation. For that reason, Commissioners may only be removed from
office by the Business Committee prior to the expiration of their respective terms
for neglect of duty, misconduct, or malfeasance that would render a
Commissioner unqualified for his/her position. Any allegations of neglect of
duty, misconduct, or malfeasance must be substantiated by a preponderance of
the evidence in writing, and must be given fourteen (14) days in advance of a
hearing. Commissioners shall have the option to legal counsel. Commissioners
will be given an opportunity to provide evidence rebutting the grounds for their
Proposed semoval before the removal. A unanimous vote of the Business
Committee on the validity of the removal shall be final and may be subject to
appeal in CFR. A wrongful removal shall entitle the affected Commissioner to
compensation for expenses incurred in an appeal and any pay withheld.

(k) The Commission may act in its official capacity even if there are vacancies on
the Commission.

() Gaming Commissioners and Deputy Gaming Commissioners shall be
compensated at a level determined by the Business Committee. The Chief of
the Eastern Shawnee Tribe shail provide oversight duties for the Gaming
Commission office.

(m) Commissioner compensation shail not be based on a percentage of gaming
revenue to ensure the Commission is not improperly influenced.

3 December 2014 Page 8 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(1) Conduct or cause background investigations to be conducted on, at a
minimum, primary management officials and key employees;

(2) Review and approve ail investigative work conducted;

(3) Reports results of background investigations to the NIGC;

(4) Obtain and process fingerprints, or designate a law enforcement agency to
obtain and process fingerprints;

(5) Make licensing suitability determinations, which shall be signed by the
Gaming Commissioner or Deputy Gaming Commissioner;

(6) Issue gaming licenses to management officials and employees of the
operation, consistent with the suitability determination;

(7) Establish standards for licensing Tribal gaming operations;

(8) Issue facility gaming licenses to Tribal gaming operations;

(9) Inspect, examine and monitor all gaming activities, and have immediate
access to review, inspect, examine, photocopy and audit all records of the
gaming establishment;

(10) Ensure compliance with all Tribal, State, and Federal laws, rules, and
regulations regarding Indian gaming;

(11) Investigate any suspicion of wrongdoing associated with any gaming
activities;

(12) Hold hearings on patron complaints, in compliance with procedures
established in the gaming Ordinance and other Tribal gaming regulations;

(13) Comply with any and all reporting requirements under the IGRA, Tribal-
State compact to which the Tribe is a party, and any other applicable faw;

(14) Promuigate and issue regulations necessary to comply with applicable
internal control standards;

(15) Promuigate and issue regulation on the levying of fee and/or taxes
associated with gaming license applications.

(16) 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 ather Tribal, Federal, or State, if applicable, gaming regulations;

(17) Establish a list of persons not allowed to game in Tribal gaming facilities in
order to maintain the integrity of the gaming;

(18) Establish a list of persons who have voluntarily asked to be excluded from
the Tribal gaming facility and create regulations for enforcing this
exclusion;

(19) Provide referrals and information to the appropriate law enforcement
officiais when such information indicates a violation of Tribal, Federal, or
State statutes, ordinances, or resolutions;

(20) Create a list of regulatory authorities that conduct vendor background
investigations and licensing which the Commission recognizes as
trustworthy;

(21) Draft regulations exempting vendors from the licensing and/or background
investigation requirements if they have received a license from a
recognized regulatory authority;

(22) Perform such other duties the Commission deems appropriate for the
Proper regulation of the Tribal gaming operation,

3 December 2014 Page 7 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

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
issuance, denial 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 being unable to
license you for 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 official:

A false statement on any part of your license application may

be grounds for denying a license or the suspension or
revocation of a license. Also, you may be punished by fine or
imprisonment. (U.S. Ordinance, Title 18, section 1001).

(c) The Commission shall notify in writing existing key employees and primary
management officials who have not completed an application containing the
notices set forth above that they shall either:

(1) Complete a new application form that contains both the Privacy Act and
false statement notices; or

(2) Sign a statement that contains the Privacy Act and false statement notices
and consent to the routine uses described in that notice.

Section 2.02 License Fees
The Gaming Commission will set and charge a licensing fee for investigative
purposes and licensing of Key Employee and Primary Management Officials of the
gaming operation.

Section 2.03 Fingerprints
Each applicant for a Key Employee or Primary Management Official shall be required
to have fingerprints taken as part of the license application procedure. Fingerprints
shall be taken by Gaming Commission personnel and forwarded to the NIGC for
processing through the FBI and NCIC to determine the applicant’s criminal history, if
any. In the event that the Gaming Commission is temporarily unable to take the
applicant's fingerprints, then the Gaming Commission may cause the fingerprints to
be taken by Tribal law enforcement or any other city, county, state or federal law
enforcement agency.

| 3-April-2042 3 December 2014 Page 13 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.09 Granting a Gaming License

{a) 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 fo the National Indian
Gaming Commission, the Gaming Commission, acting for the Tribe, may issue
a license to such applicant.

(b) The Gaming Commission shall notify the NIGC of the issuance of a license to a
primary management official or key employee within 30 days of issuance.

(c) The 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 is the subject of a report. Such
a request shall suspend the thirty (30) day period under paragraph (a) of this
section until the Chairman of the National Indian Gaming Commission receives
the additional information.

(d) ff, 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 Gaming Commission has provided an application and investigative
report to the National Indian Gaming Commission, the Tribe shail reconsider the
application, taking into account the objections itemized by the National Indian
Gaming Commission. The Gaming Commission shall make the final decision
whether to issue a license to such applicant.

Section 2.10 License Suspension

(a) If, after the issuance of a gaming license, the Gaming Commission receives
from the National indian Gaming Commission reliable information indicating that
a key employee or a primary management official is not eligible for employment,
the Gaming Commission shall suspend such license and shall notify in writing
the licensee of the suspension and the proposed revocation.

(b) The Gaming Commission shall notify the licensee of a time and a place for a
hearing on the proposed revocation of a license.

(c)_ The right to a revocation hearing vests only when a license is granted under an
ordinance approved by the NIGC Chair.

(d) After a revocation hearing, the Gaming Commission shall decide to revoke or to
reinstate a gaming license. The Commission shall notify the NIGC of its decision
within 45 days of receiving notification from the NIGC that a primary
management official or key employee is not eligible for employment. The
revocation of a gaming license by the Gaming Commission is final with no
appeal.

Section 3.01 Licenses 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 Gaming Commission in order to

25 March 2015 Page 17 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.08 Report to the National Indian Gaming Commission

(a) The Tribal Gaming Commission shall prepare and forward a report on each
background investigation to the National Indian Gaming Commission. An
investigative report shall include all of the following:

(1) Stepstakenin-conducting-a-background-investigation:The applicant’s
name, date of birth, and sociai security number;
(2)_ The date on which the applicant began, or will begin, working as a primary
management official or key employee:
(3) Summary of information including:
(i) Licenses that have previously been denied;
(ii) Gaming licenses that have been revoked, even if subsequently
reinstated:
(iii) Every known criminal charge brought against the applicant within the
last 10 years of the date of the application; and
(iv) Every felony offense of which the applicant has been convicted or any
ongoing prosecution.
2)(4)Results obtained;
£3}(5)Conclusions reached; and
(4\(6)The bases-basis for those conclusions.

(b) The Commission shall forward the completed investigative report to the National
Indian Gaming Commission within sixty (60) days after an employee begins
work or within sixty (60) days of the approval of this ordinance by the Chairman
of the National Indian Gaming Commission.

(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 Gaming 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 Gaming Commission:

(1) Shall notify the NIGC; and
(2) Shall forward copies of its eligibility determination and investigative report
| 4any) to the NIGC for inclusion in the Indian Gaming Individuals Records
System.

(e) With respect to all employees, and in particular key employees and primary
management officials, the Gaming Commission shall retain applications for
employment,-and-reports (fany) of background investigations_and eligibility
determinations for inspection by the Chairman of the NIGC or his or her

| 3-Decerber-204425 March 2015 Page 16 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(q) Tribe/indian Tribe means the Eastern Shawnee Tribe of Oklahoma, a federally
recognized Indian Tribe organized pursuant to the sovereign powers of the
Eastern Shawnee people.

Section 1.64 Gaming Authorized
Class II and Class III gaming are hereby authorized.

Section 1.05 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 1.06 Use of Gaming Revenue
(a) Net revenues from tribal gaming shall be used only for the following purposes:
(1) to fund tribal government operations and programs;
(2) to provide for the general welfare of the Tribe and its members;
(3) to promote tribal economic development;
(4) to donate to charitable organizations; or
(5) to help fund operations of local government agencies.

Section 1.07 Per Capita Payments

No per capita payments to Tribal members shall be made from Tribal gaming
revenues unless pursuant to 25 U.S.C. §2710(b)(3) and applicable Ordinance of
Federal Regulations provisions.

Section 1.08 Gaming Commission

(a) The Tribe hereby establishes the Eastem Shawnee Tribal Gaming Commission
whose duty it is to regulate tribal gaming operations. There shall be a Garning
Commissioner and two Deputy Gaming Commissioners.

(1) The minimum requirements for appointment as a member of the
Commission shall be two of the following:
() Bachelor's Degree in Business Administration, Accounting, Marketing,
or an equivalent field;
(ii) Minimum five (5) years experience in tribal gaming;
(iii) Minimum five (5) years experience in casino management;
(iv) Demonstrated knowledge of federal Indian law, the Indian Gaming
Regulatory Act, and related statutes and regulations.

(b) The purpose of the Commission is regulatory, not managerial. The Commission
will conduct oversight to ensure compliance with Tribal, Federal and State laws
and regulations. The Commission will serve as the licensing authority for
individuals employed in the gaming operation and will administer background
investigations as part of the licensing process. The Commission will also have a
role in monitoring compliance with the internal controls for the gaming operation

25 March 2015 Page 5 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

INDEX

Section 1.00 Title ..
Section 1.01 Purpose

Section 1.02 Liberal Interpretation/Severability.
Section 1.03 Definitions .......ccssessseessseecsneesseesssneeesnecs
Section 1.04 Gaming Authorized ........sscssesssesssssesssnseesssnecsssssessssssssnsessaessnessneeanscssssneensnsseses

Section 1.05 Ownership of Gaming ......cccssessesssessssesnessssessessesssseeaeeaeesncenceneeagesseesneeeeneessee

Section 1.06 Use of Gaming Revenue
Section 1.07 Per Capita Payments

Section 1.08 Gaming Commission
Se|ction 1.09 Etrics vcccsrcccsssesverscnesaneanisaiaiswsssinesciaasssssstisccstsvesasvanbensskeetwcesbesaaeieanuaiea
Section 1.10 Complimentary Items ......csscsssesssssessssesessnseessssessssneesssnesssesaneenseessecssseessssaneees
Section 1.11 Audit.........
Section 1.12 Environment and Public Health and Safety .....ccccssesseesseseesees

Section 1.13 Patron Dispute ResolUution........ssecssesees

Section 1.14 Fribalnternal Control StandardsRequlations wi... 1130
Section 1.15 Facility Licenses...........ssccsssssesssseesssesssssesssssesessvesssstessesssseesseessenss 11
Section 1.16 Agent for Service Of Process .....ccecsessesesessessenseseneensateeseteneenenes 1244
Section 1.17 Compliance with Federal Law 1244
Section 1.18 Repeal .....sesssssssssneersseessesssescsneenseessssnecessesessnseesssssecsssecsvecssssessecsnsessnsensansensessssesensseesunnecsneesers 1244
Section 1.19 AMeNdMENt........sssscsseccsseesseserseees 1244
Section 1.20 Licenses of Key Employees and Primary Management Officials... 12
Section 2.01 License Application Forms ........0. gl2
Section 2.02 License Fees 13
Section 2.03 Fingerprints........ 13
Section 2.04 Background Investigations 1443
Section 2.05 Procedures for Conducting a Background Check on Applicants .....ccssssessssseessssseecseseens 14

Section 2.06 Eligibility Determination

Section 2.07 Procedures for Forwarding Applications and Reports for Key Employees and
Primary Management Officials to the National Indian Gaming Commission ......ccssssseeueeeeeeree LS.

| Section 2.08 Report to the National Indian Gaming Commission

| 3-April-2042 3 December 2014 Page 1 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(h) Complimentary shall have the meaning as set forth in 25 C.F.R. §542.2(a).
(i) Directly related to means a spouse, child, parent, grandparent, grandchild,
aunt or uncle.
(i) IGRA means the Indian Gaming Regulatory Act of 1988, 102 Stat. 2467,
codified at 25 U.S.C. §§2701 et seq.
(k) Key Employee means:
(1) A person who performs one or more of the following functions:
(i) bingo caller;
(ii) counting room supervisor;
(iii) security personnel;
(iv) custodian of gaming supplies or cash;
(v) floor manager;
(vi) pit boss;
(vii) dealer;
(viii) croupier;
(ix) approver of credit; or
(x) _ custodian of gambling devices, including persons with access to cash
and accounting records within such device;

(2) if not otherwise included, any other person whose total cash compensation
is in excess of Fifty Thousand Dollars ($50,000) per year; or

(3) _ if not otherwise included, the four most highly compensated person ina
Gaming Operation or Gaming Facility.

(I) Net Revenues means gross gaming revenues of an gaming operation, less:

(1) Amounts paid out as, or paid for, prizes; and

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

(m) NIGC means National Indian Gaming Commission.
(n) Primary Management Official means:

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

(2) Any person who has authority:

(i) To hire and fire employees; or
(ii) To set up working policy for the gaming operation; or
(ili) The chief financial officer or other person who has financial
management responsibility.
(0) TICS means Tribal Internal Control Standards.
(p) Tribal lands means:

(1) All lands within the limits of any Tribe’s reservation:

(2) Any lands title to which is either held in trust by the United States for the
benefit of the Tribe or individual or held by the Tribe or individual subject to
restriction by the United States against alienation and over which the
Indian Tribe exercises governmental power; and

(3) For all lands acquired into trust for the benefit of an Indian Tribe after
October 17, 1988, the lands meet the requirements set forth in 25 U.S.C.
§2719.

25 March 2015 Page 4 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 3.08 Licenses for Non-Gaming Vendors
For non-gaming vendors, the Gaming Commission may create a less stringent
vendor licensing process, including a due diligence check rather than a full
background investigation as laid out in Section 3.04 above. The Gaming
Commission may investigate such vendors and may conduct audits in addition to
monitoring Tribal purchases.

| 3-April-2042 3 December 2014 Page 20 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(h) Complimentary shail have the meaning as set forth in 25 C_F.R. §542.2(a).
(i) Directly retated to means a spouse, child, parent, grandparent, grandchild,
aunt or uncie.
() IGRA means the Indian Gaming Regulatory Act of 1988, 102 Stat. 2467,
codified at 25 U.S.C. §§2701 et seq.
(k) Key Employee means:
(1) A person who performs one or more of the following functions:
(i) bingo caller;
(ii) counting room supervisor;
(iii) security personnel;
(iv) custodian of gaming supplies or cash;
(v) _ fioor manager;
(vi) pit boss;
(vii) deater;
(viii) croupier;
{ix) approver of credit; or
(x) _ custodian of gambling devices, including persons with access to cash
and accounting records within such device;

(2) if not otherwise included, any other person whose total cash compensation
is in excess of Fifty Thousand Dollars ($50,000) per year; or

(3) if not otherwise included, the four most highly compensated person in a
Gaming Operation or Gaming Facility.

(l) Net Revenues means gross gaming revenues of an gaming operation, less:

(1) Amounts paid out as, or paid for, prizes; and

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

{m) NIGC means National Indian Gaming Commission.
(n) Primary Management Official means:

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

(2) Any person who has authority:

(i) To hire and fire employees; or
(ii) To set up working policy for the gaming operation; or _
(ili) The chief financial officer or other person who has financlat
management responsibility.
(0) TICS means Tribal Internal Control Standards.
(p) Tribal lands means:

{1) All lands within the limits of any Tribe's reservation;

(2) Any lands title to which is either held in trust by the United States for the
benefit of the Tribe or individual or held by the Tribe or individual subject to
restriction by the United States against alienation and over which the
Indian Tribe exercises governmental power; and

(3) For all lands acquired into trust for the benefit of an Indian Tribe after
October 17, 1988, the lands meet the requirements set forth in 25 U.S.C.
§2719.

3 December 2014 Page 4 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Gaming Commission determines that licensing of the vendor is not necessary to
protect the public interest.

(d) Attorneys or Certified Public Accountants may be exempt from the licensing
requirements herein to the extent that they are providing services covered by
their professional licenses. Attorneys or Certified Public Accountants will be
registered with the Gaming Commission.

Section 3.02 Submission of a Vendor License Application
In order to obtain a gaming vendor license, the business must complete a vendor
application and submit to background checks of itself and its principals. Principals of
a business include its officers, directors, management, owners, partners, non-
institutional stocxholders that either own 5% or more of the stock or are the 10 largest
stockholders, and the on-site supervisor and manager under the agreement with the

Tribe.

Section 3.03 Contents of the Vendor License Application
(a) Applications for gaming vendor licenses must include the following:

a)
(2)
(3)
(4)
(5)
(6)
(7)

(8)

(9)

Name of business, business address, business phone, federal tax ID
number (or SSN if 4 sole proprietorship), main office address if different
from business address, any other names the applicant has done business
under, type of service applicant will provide;

Whether the applicant is a partnership, corporation, limited liability
company, sole proprietorship, or other entity;

if the applicant is a corporation, the state of incorporation, and the
qualification to do business in the State of Oklahoma if the gaming
operation is in a different State than the State of incorporation.

Trade name, other names ever used, names of any wholly owned
subsidiaries or other businesses owned by the vendor or its principals;
General description of the business and its activities;

Whether the applicant will be investing in or loaning money to the gaming
operation and, if so, how much;

A description of any existing and previous business relationships with the
gaming industry generally, including ownership interests in those
businesses;

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;

Names, addresses, and phone numbers of three business references with
whom the company had regularly done business for the last five years;

(10) 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;

(11) If the business has ever had a license revoked for any reason, the

circumstances invoived;

3 December 2014 Page 18 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

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

Section 2.09 Granting a Gaming License

(a) 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 Gaming Commission, acting for the Tribe, may issue
a license to such applicant.

(b)__The Gaming Commission shall notify the NIGC of the issuance of a license to a
primary management official or key employee within 30 days of issuance.

{b\(c)_ The 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 is the subject of a report. Such
a request shall suspend the thirty (30) day period under paragraph (a) of this
section until the Chairman of the National Indian Gaming Commission receives
the additional information.

(e)(d)_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 Gaming Commission 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 Gaming Commission shall make the final decision
whether to issue a license to such applicant.

Section 2.10 License Suspension

(a) If, after the issuance of a gaming license, the Gaming Commission receives
from the National Indian Gaming Commission reliable information indicating that
a key employee or a primary management official is not eligible for employment,
the Gaming Commission shall suspend such license and shall notify in writing
the licensee of the suspension and the proposed revocation.

(b) The Gaming Commission shall notify the licensee of a time and a place fora
hearing on the proposed revocation of a license.

| (c)_ The right to a revocation hearing vests only when a license is granted under an

ordinance approved by the NIGC Chair.
4e)(d)_ After a revocation hearing, the Gaming Commission shall decide to revoke or

to reinstate a gaming license. The Commission shall notify the NIGC of its

| decision within 45 days of receiving notification from the NIGC that a primary
management official or key employee is not eligible for employment. The
revocation of a gaming license by the Gaming Commission is final with no
appeal.

| 3December204425 March 2015 Page 17 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

complaint. All claims by patrons shall be limited to a maximum recovery of Two
Hundred Fifty Thousand ($250,000) for any one person and Two Million ($2,000,000)
for any one occurrence for personal injury and One Million ($1,000,000) for any one
occurrence for property damage, except disputes relating to a patron's entitlement to
a game prize, which shall be limited to the amount of such prize. No claim shall be
paid, or be the subject of any award, in excess of the limit of liability. The
Commission's decision shall constitute the complainant's final remedy.

Section 1.14 Fribalinternal Control StandardsRequiations

Commitioe., “Ai regllations: promulgated by ‘the Gaming Commissioner: shall
have full force and effect from the date of issuance, provided however: before

adopting, amending and repealing regulations, The Commissioner shall give a
14 day notice of any such proposed action to the Business Committee, the
gaming operation(s) and all other persons whom the Commission has a
reason to believe have a legitimate interest in the proposed actions. The
notice shall invite comments and describe the general nature of the proposed
action and the manner in which comments on the proposed action shall be
received by the Commission.

Section 1.15 Facility Licenses

(a) The Gaming Commission shall issue a separate license to each place, facility,
or location on Indian lands where class II and/or class III gaming is conducted
under this Ordinance.

(b) The Gaming Commission shall issue a separate license to each place, facility,
or location on Indian lands where Class II and/or Class III gaming is conducted
under this Ordinance every three (3) years. The Gaming Commission shall
specify the form, conditions and content for the application for such licenses,
which shall be submitted by the General Manager of the facility, and the initial
application shall include a legal description of the lands whereon the facility is
located, and a certification that said premises constitute “Indian lands” as
specified in the Indian Gaming Regulatory Act, and shall identify the
environmental, health, and public safety standards with which the facility must
comply, and a certification that the facility is in compliance therewith. Each
subsequent application for the renewal of such facility license shall identify any
changes or additions to said legal description and applicable environmental,
health and safety standards, and include current certifications of compliance
therewith. The Gaming Commission shall only issue such licenses if the
applications therefor include the required information and certifications and such
further conditions as the Gaming Commission shall have specified.

| 3-April-2042 3 December 2014 Page 11 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(b) The Gaming 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 5 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;

(4) Current business and residence telephone numbers;

(5) Adescription of any existing and previous business relationships with
Indian Tribes, including ownership interests in those businesses;

(6) Adescription 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 was an ongoing prosecution or a
conviction, the charge, the name and address of the court involved, and
the date and disposition if any;

(9) 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;

(10) For each criminal charge (excluding minor traffic charges), whether or not
there is a conviction, if such criminal charge 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 photograph taken within the last year;

(13) Fingerprints; and

(14) Any other information the Tribe deems relevant.

Section 2.05 Procedures for Conducting a Background Check on Applicants
(a) As part of its review procedure, the Commission or its agent shall conduct a
background investigation on each applicant sufficient to allow the Gaming
Commission to make an eligibility determination under section 2.06 below. The
Commission or its agent shall:
(1) Verify the applicant's identity through items such as a social security card,
drivers license, birth certificate, or passport;

| 3-December-204425 March 2015 Page 14 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 3.05 Vendor License Fee
The Gaming Commission will set and charge a licensing fee for investigating and
licensing of vendors of the gaming operation.

Section 3.06 Vendor Background Investigation Report
The agent shall 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 Gaming Commissioner and/or Deputy Gaming Commissioner.

Section 3.07 Exemption for Vendors Licensed by Recognized Regulatory Authorities
The Gaming Commission may adopt regulations naming specific licensing authorities
that it recognizes and may authorize exemptions to the vendor licensing process for
vendors which have received a license from one of the named regulatory authorities.

Section 3.08 Licenses for Non-Gaming Vendors
For non-gaming vendors, the Gaming Commission may create a less stringent
vendor licensing process, including a due diligence check rather than a full
background investigation as laid out in Section 3.04 above. The Gaming
Commission may investigate such vendors and may conduct audits in addition to
monitoring Tribal purchases.

| 3December204425 March 2015 Page 20 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

provide goods of insubstantial or insignificant amounts or quantities if the
Gaming Commission determines that licensing of the vendor is not necessary to
protect the public interest.

(d) Attorneys or Certified Public Accountants may be exempt from the licensing
requirements herein to the extent that they are providing services covered by
their professional licenses. Attorneys or Certified Public Accountants will be
registered with the Gaming Commission.

Section 3.02 Submission of a Vendor License Application
In order to obtain a gaming vendor license, the business must complete a vendor
application and submit to background checks of itself and its principals. Principals of
a business include its officers, directors, management, owners, partners, non-
institutional stockholders that either own 5% or more of the stock or are the 10 largest
stockholders, and the on-site supervisor and manager under the agreement with the

Tribe.

Section 3.03 Contents of the Vendor License Application
(a) Applications for gaming vendor licenses must include the following:

(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)

(9)

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, type of service applicant will provide;

Whether the applicant is a partnership, corporation, limited liability
company, sole proprietorship, or other entity;

If the applicant is a corporation, the state of incorporation, and the
qualification to do business in the State of Oklahoma if the gaming
operation is in a different State than the State of incorporation.

Trade name, other names ever used, names of any wholly owned
subsidiaries or other businesses owned by the vendor or its principals;
General description of the business and its activities;

Whether the applicant will be investing in or loaning money to the gaming
operation and, if so, how much;

A description of any existing and previous business relationships with the
gaming industry generally, including ownership interests in those
businesses;

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;

Names, addresses, and phone numbers of three business references with
whom the company had regularly done business for the last five years;

(10) 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;

(11) If the business has ever had a license revoked for any reason, the

circumstances involved;

| 3-April-2042 3 December 2014 Page 18 of 1920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

12755 South 705 Road
Wyandotte, OK 74370
with additional concurrent notice to:
Eastern Shawnee Tribal Gaming Commission
12751 S$ 705 RD
Wyandotte, OK 74370

Section 1.17 Compliance with Federal Law
The Tribe will comply with ail applicable federal law, including the Bank Secrecy Act,
31 U.S.C. §5311 et seq.

Section 1.18 Repeal
To the extent that they are inconsistent with this Ordinance, all prior gaming
Ordinances are hereby repealed.

Section 1.19 Amendment
This Ordinance may be amended only by a unanimous vote of the Tribe's Business
Committee.

Section 1.20 Licenses of Key Employees and Primary Management Officiais
The Gaming Commission shall ensure that the policies and procedures set out in this
section are implemented with respect to key employees and primary management
officials employed at any gaming enterprise operated on Indian lands. The Gaming
Commission will issue licenses and perform background investigations according to
requirements at least as stringent as 25 C.F.R. Parts 556 and 558.

Section 2.01 License Application Forms
(a) The following notice shall be placed on the application form for a key employee
or a primary management official:
|n 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 granted a gaming license. The information
will be used by the Tribal Gaming Regulatory authorities and
the 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
necessary pursuant to a requirement by a Tribe or the

25 March 2015 Page 12 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(11) Employees 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.

Section 1.10 Complimentary Items

(a) The use of complimentary items shall be governed by regulations established by
the Gaming Commission.

(b) No Member or employee of the Gaming Commission, shall be authorized to
receive complimentary items other than food and beverages and non-monetary
items, or, if at a public event held at the gaming facility, the free items offered to
the general public.

(c) Complimentary Items shall be included in the annual budget for the gaming
operation, with maximum limits specified, and shall be subject to approval by the
Business Committee.

Section 1.11 Audit

(a) The Gaming Commission shall cause an annual audit of all gaming operations
to be conducted by an independent certified public accountant, 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.

Section 1.12 Environment and Public Health and Safety
(a) Gaming facilities shall be constructed, maintained and operated in a manner
that adequately protects the environment and the public health and safety.
(b) The Business Committee shall adopt standards that assure adequate protection
of the environment and the public health and safety.

Section 1.13 Patron Dispute Resolution

(a) Patrons who have complaints against the gaming establishment shall have as
their sole remedy the right to file a petition for relief with the Gaming Commission.
Complaints shall be submitted in writing, and at the discretion of the Commission,
the petitioner may be allowed to present evidence.

(b) The Gaming Commission shall hold-schedule a hearing within ten (10) days, and
hold the hearing no later than thirty (30) days of receipt of petitioner's complaint.
Petitioner may have counsel present at such hearing. The Commission shall
render a decision in a timely fashion and all such decisions will be final when
issued.

| (c) Any patron’s complaint must be submitted to the Commission within-no later than

ten-one hundred-eighty (40180) days of the-incident giving-+rise tothe
complaintafter the denial of the claim by the operation.

| 3December-204425 March 2015 Page 10 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

National Indian Gaming Commission in connection with the
issuance, denial 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 being unable to
license you for 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 shail be placed on the application form for a key
employee or a primary official:

A false statement on any part of your license application may

be grounds for denying a license or the suspension or

revocation of a license. Also, you may be punished by fine or
imprisonment. (U.S. Code, Title 18, section 1001).

(c) The Commission shall notify in writing existing key employees and primary
management officials who have not completed an application containing the
notices set forth above that they shail either:

(1) Complete a new application form that contains both the Privacy Act and
false statement notices; or

(2) Sign a statement that contains the Privacy Act and false statement notices
and consent to the routine uses described in that notice.

Section 2.02 License Fees
The Gaming Commission will set and charge a licensing fee for investigative
purposes and licensing of Key Employee and Primary Management Officials of the
gaming operation.

Section 2.03 Fingerprints
Each applicant for a Key Employee or Primary Management Official shall be required
to have fingerprints taken as part of the license application procedure. Fingerprints
shall be taken by Gaming Commission personnel and forwarded to the NIGC for
processing through the FBI and NCIC to determine the applicant's criminal history, if
any. In the event that the Gaming Commission is temporarily unable to take the
applicant's fingerprints, then the Gaming Commission may cause the fingerprints to
be taken by Tribal law enforcement or any other city, county, state or federal law
enforcement agency.

Section 2.04 Background Investigations

(a) The Gaming Commission is responsible for conducting background
investigations and suitability determinations.

25 March 2015 Page 13 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(1) Conduct or cause background investigations to be conducted on, at a
minimum, primary management officials and key employees;

(2) Review and approve all investigative work conducted;

(3) Reports results of background investigations to the NIGC;

(4) Obtain and process fingerprints, or designate a law enforcement agency to
obtain and process fingerprints;

(5) Make licensing suitability determinations, which shall be signed by the
Gaming Commissioner or Deputy Gaming Commissioner;

(6) Issue gaming licenses to management officials and employees of the
operation, consistent with the suitability determination;

(7) Establish standards for licensing Tribal gaming operations;

(8) Issue facility gaming licenses to Tribal gaming operations;

(9) Inspect, examine and monitor all gaming activities, and have immediate
access to review, inspect, examine, photocopy and audit all records of the
gaming establishment;

(10) Ensure compliance with all Tribal, State, and Federal laws, rules, and
regulations regarding Indian gaming;

(11) Investigate any suspicion of wrongdoing associated with any gaming
activities;

(12) Hold hearings on patron complaints, in compliance with procedures
established in the gaming Ordinance and other Tribal gaming regulations;

(13) Comply with any and all reporting requirements under the IGRA, Tribal-
State compact to which the Tribe is a party, and any other applicable law;

(14) Promulgate and issue regulations necessary to comply with applicable
internal control standards;

(15) Promulgate and issue regulation on the levying of fee and/or taxes
associated with gaming license applications.

(16) 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 Tribal, Federal, or State, if applicable, gaming regulations;

(17) Establish a list of persons not allowed to game in Tribal gaming facilities in
order to maintain the integrity of the gaming;

(18) Establish a list of persons who have voluntarily asked to be excluded from
the Tribal gaming facility and create regulations for enforcing this
exclusion;

(19) Provide referrals and information to the appropriate law enforcement
officials when such information indicates a violation of Tribal, Federal, or
State statutes, ordinances, or resolutions;

(20) Create a list of regulatory authorities that conduct vendor background
investigations and licensing which the Commission recognizes as
trustworthy;

(21) Draft regulations exempting vendors from the licensing and/or background
investigation requirements if they have received a license from a
recognized regulatory authority;

(22) Perform such other duties the Commission deems appropriate for the
proper regulation of the Tribal gaming operation.

| 3-April-2042 3 December 2014 Page 7 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

INDEX
Section 1.00 Title .......20000 esas grrE EF 9 4 CFFSSAET FT

Section 1.01 Purpose.........
Section 1.02 Liberal Interpretation/Severability
Section 1.03 Definitions .

Section 1.04 Gaming Authorized ......csccssesseeens
Section 1.05 Ownership of Gaming...
Section 1.06 Use of Gaming Revenue ........-secesecsseees
Section 1.07 Per Capita Payments
Section 1.08 Gaming Commission
Section 1.09 Ethics.......
Section 1.10 Complimentary Items
Section 1.11 Audit... eens
Section 1.12 Environment and Public Health and Safety......
Section 1.13 Patron Dispute Resolution...........
Section 1.14 Regulations...
Section 1.15 Facility Licenses
Section 1.16 Agent for Service of Process..........

Section 1.17 Compliance with Federal Law...
Section 1.18 Repeal .
Section 1.19 Amendment.
Section 1.20 Licenses of Key Employees and Primary Management Officials

Section 2.01 License Application Forms......

Section 2.02 License Fees wu... eee

Section 2.03 Fingerprints

Section 2.04 Background Investigations...... we 3
Section 2.05 Procedures for Conducting a Background Check on Applicants ..... 14
Section 2.06 Eligibility Determination.............6... wo
Section 2.07 Procedures for Forwarding Applications and Reports for Key Employees and
Primary Management Officials to the National Indian Gaming Commission ..........00000 oe 015
Section 2.08 Report to the National Indian Gaming Commission 16

25 March 2015 Page 1 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(11) Employees 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.

Section 1.10 Complimentary Items
(a) The use of complimentary items shall be governed by regulations established by
the Gaming aellle = sale
(b)

Member or employee of the Gaming Commission, Orany porcn-diecthy lated
to-or-sharing-a-residence-with the-persons,-shall be authorized to receive

complimentary items other than food and beverages and non-monetary items
valued atunderfive-dollars, or, if ata public event held at the gaming facility, the
free food-and-beveragesitems offered to the general public.

(c) Complimentary Items shall be included in the annual budget for the gaming
operation, with maximum limits specified, and shall be subject to approval by the
Business Committee.

Section 1.11 Audit

(a) The Gaming Commission shall cause an annual audit of all gaming operations
to be conducted by an independent certified public accountant, 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.

Section 1.12 Environment and Public Health and Safety
(a) Gaming facilities shall be constructed, maintained and operated in a manner
that adequately protects the environment and the public health and safety.
(b) The Business Committee shall adopt standards that assure adequate protection
of the environment and the public health and safety.

Section 1.13 Patron Dispute Resolution
Patrons who have complaints against the gaming establishment shall have as their
sole remedy the right to file a petition for relief with the Gaming Commission.
Complaints shall be submitted in writing, and at the discretion of the Commission, the
petitioner may be allowed to present evidence. The Gaming Commission shall hold a
hearing within ten (10) days of receipt of petitioner's complaint. Petitioner may have
counsel present at such hearing. The Commission shail render a decision in a timely
fashion and all such decisions will be final when issued. Any patron’s complaint must
be submitted to the Commission within ten (10) days of the incident giving rise to the

3 December age 10 of 4920
i Di ber 2014 Page 10 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(12) A list of lawsuits to which the business has been a defendant, including the
name and address of the court involved, and the date and disposition if
any;

(13) List the business’ funding sources and any liabilities of $50,000 or more.

(14) A list of the principals of the business, their social security numbers,
addresses and telephone numbers, title, and percentage of ownership in
the company; and

(15) 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
Tribe’s vendor license.

Section 3.04 Vendor Background Investigation

The Gaming Commission shall employ or otherwise engage an agent to complete an

investigation of the gaming vendor. This investigation shall contain, at a minimum, the

following steps:

(a) Verify of the business’ incorporation status and qualification to do business in
the State where the gaming operation is located;

(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 of the business, including a criminal
history check, a credit report, and interviews with the personal references listed.

Section 3.05 Vendor License Fee

The Gaming Commission will set and charge a licensing fee for investigating and
licensing of vendors of the gaming operation.

Section 3.06 Vendor Background Investigation Report

The agent shall 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 Gaming Commissioner and/or Deputy Gaming Commissioner.

Section 3.07 Exemption for Vendors Licensed by Recognized Regulatory Authorities

The Gaming Commission may adopt regulations naming specific licensing authorities
that it recognizes and may authorize exemptions to the vendor licensing process for
vendors which have received a license from one of the named regulatory authorities.

| 3-Apri-2042 3 December 2014 Page 19 of 4920,


Gaming Ordinance

Eastern Shawnee Tribe of
Oklahoma


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 3.06 Vendor Background investigation Report
The agent shall 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 Gaming Commissioner and/or Deputy Gaming Commissioner.

Section 3.07 Exemption for Vendors Licensed by Recognized Regulatory Authorities
The Gaming Commission may adopt regulations naming specific licensing authorities
that it recognizes and may authorize exemptions to the vendor licensing process for
vendors which have received a license from one of the named regulatory authorities.

Section 3.08 Licenses for Non-Gaming Vendors
For non-gaming vendors, the Gaming Commission may create a less stringent
vendor licensing process, including a due diligence check rather than a full
background investigation as laid out in Section 3.04 above. The Gaming
Commission may investigate such vendors and may conduct audits in addition to
monitoring Tribal purchases.

25 March 2015 Page 20 of 20



EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

transact business with the Tribal gaming operation. Contracts for professional
legal and accounting services may be excluded from this section.

(b) Gaming vendors are vendors 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 Gaming 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 regulation may exempt from licensing requirements
non-gaming vendors who: 1) are Tribal, Local, State, or Federal government
agencies; 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
Gaming Commission determines that licensing of the vendor is not necessary to
protect the public interest.

(d) Attorneys or Certified Public Accountants may be exempt from the licensing
requirements herein to the extent that they are providing services covered by
their professional licenses. Attorneys or Certified Public Accountants will be
registered with the Gaming Commission.

Section 3.02 Submission of a Vendor License Application
In order to obtain a gaming vendor license, the business must complete a vendor
application and submit to background checks of itself and its principals. Principals of
a business include its officers, directors, management, owners, partners, non-
institutional stockholders that either own 5% or more of the stock or are the 10 largest
stockholders, and the on-site supervisor and manager under the agreement with the
Tribe.

Section 3.03 Contents of the Vendor License Application
(a) Applications for gaming 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, type of service applicant will provide;

(2) Whether the applicant is a partnership, corporation, limited liability
company, sole proprietorship, or other entity;

(3) Ifthe applicant is a corporation, the state of incorporation, and the
qualification to do business in the State of Oktahoma if the gaming
operation is in a different State than 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) Whether the applicant will be investing in or loaning money to the gaming
operation and, if so, how much;

25 March 2015 Page 18 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

INDEX

Section 1.00 Title
Section 1.01 Purpose
Section 1.02 Liberal Interpretation/Severability ..

Section 1.03 Definitions ...............

Section 1.04 Gaming Authorized ......cccccccscesessesssessessessesessseassssesscescsseeseacsssssessessenssssesnseseesesasestsessaeeneeees
Section 1.05 Ownership of Gaming ....scccsssscsesssessessecsessesssssssseessseessesssecssesssssnessassutesnesnsersessaneesasesseessecssessans
Section 1.06 Use of Gaming Revenue ........cscccccssessesessesmessssessesssecssestssesscsesencsneseeanssesneeneenesueeseesssneensaessneenees 5
Section 1.07 Per Capita Payment .........:ccscssessessecssesseessecrnneenees
Section 1.08 Gaming Commission 00... cccscssceeseesesecnessssuessnessesseessesssesscssessesseaesnsssneseeseenesseeneeseeseeneeeess D
Section 1.09 Ethics... ccssecsseee
Section 1.10 Complimentary Items .........cececsecsesseseescesesecnecsssssessesssecaeeseeseesesnsenseesseesessessessesnsssesnseeesesseseestees LO.
Section 1.11 Audit... 10
Section 1.12 Environment and Public Health and Safety 10

Section 1.13 Patron Dispute Resolution........ccscssesesesessessesssessessesessesseeseeesesesacssessesesuesseseseesseeseeeere LO.
Section 1.14 Regulations ssiisiisssssissssssisscassicssswsssussssssasisasswssecsciansssbisiinavsasasstsctissiwsisssnscncivitssccteeweasce Ll
Section 1.15 Facility Licenses... ssssssssssessessscscssssvesessessesnesssessecsecsceseenssnssesaesseeneaneaneaneen
Section 1.16 Agent for Service of Process ....

Section 1.17 Compliance with Federal Law.......cccsssessessssssesssessesesserscsssessessessesneensaneen
Section 1.18 Repeal

Section 1.19 AMENAMENE....ccssecsceseercseerseeseen

Section 1.20 Licenses of Key Employees and Primary Management Officials...............

Section 2.01 License Application Forms .......sssesssseseeen
Section 2.02 License Fees
Section 2.03 Fingerprints.

Section 2.04 Background Investigations...
Section 2.05 Procedures for Conducting a Background Check on Applicants ......ccccssesssseeseneene 14
Section 2.06 Eligibility Determination

Section 2.07 Procedures for Forwarding Applications and Reports for Key Employees and
Primary Management Officials to the National Indian Gaming Commission ........cssssesesseeeee LD,

Section 2.08 Report to the National Indian Gaming Commission ........ccssssecsssseessessssneseseesssessseessesssesens 16

| 3December-204425 March 2015 Page 1 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

for any one occurrence for personal injury and One Million ($1,000,000) for any one
occurrence for property damage, except disputes relating to a patron's entitlement to
a game prize, which shall be limited to the amount of such prize. No claim shall be
paid, or be the subject of any award, in excess of the limit of liability. The
Commission's decision shall constitute the compiainant's final remedy.

Section 1.14 Regulations
Any regulations promuigated by the Gaming Commissioner shail have full force and
effect from the date of issuance, provided however: before adopting, amending and
repealing regulations, The Commissioner shall give a 14 day notice of any such
proposed action to the Business Committee, the gaming operation(s) and all other
persons whom the Commission has a reason to believe have a legitimate interest in
the proposed actions. The notice shall invite comments and describe the general
nature of the proposed action and the manner in which comments on the proposed
action shall be received by the Commission.

Section 1.15 Facility Licenses

(a) The Gaming Commission shail issue a separate license to each place, facility,
or location on Indian lands where class II and/or class II gaming is conducted
under this Ordinance.

(b) The Gaming Commission shall issue a separate license to each place, facility,
or location on Indian lands where Class II and/or Class II gaming is conducted
under this Ordinance every three (3) years. The Gaming Commission shall
specify the form, conditions and content for the application for such licenses,
which shail be submitted by the General Manager of the facility, and the initial
application shail include a legal description of the lands whereon the facility is
located, and a certification that said premises constitute “Indian lands” as
specified in the Indian Gaming Regulatory Act, and shall identify the
environmental, health, and public safety standards with which the facility must
comply, and a certification that the facility is in compliance therewith. Each
subsequent application for the renewal of such facility license shall identify any
changes or additions to said legal description and applicable environmental,
health and safety standards, and include current certifications of compliance
therewith. The Gaming Commission shall only issue such licenses if the
applications therefor include the required information and certifications and such
further conditions as the Gaming Commission shall have specified.

Section 1.16 Agent for Service of Process
The Tribe hereby designates the Chief of the Easter Shawnee Tribe as agent for
service of process, who may be contacted at:
Chief of Eastern Shawnee Tribe
12755 South 705 Road
Wyandotte, OK 74370
with additional concurrent notice to:

3 December 2014 Page 11 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(n) The Tribal Gaming Commission’s annual budget shall be determined by the
Commission and approved by the Business Committee. The Gaming
Commission shall maintain an administrative office and staff personnel. The
Gaming Commission staff will consist of Compliance Agents, Licensing Agents,
Auditors, Inspectors, Office support and any other personnel to properly operate
the Gaming Commission office to fulfill its responsibilities under this Ordinance.
The Commission may retain legal counsel, consultants or other professional
services.

Section 1.09 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, employees of the

Commission, including the Gaming Commissioner and Deputy Gaming

Commissioners, shall agree to be bound by the following principles:

(1) Employees shall not hold financial interests that conflict with the
conscientious performance of their duties as managers and regulators.

(2) Employees 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) Employees shali not solicit or accept any gift or other item of monetary
value, including complimentary items or services (see Section 1.09, below),
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 Members’ duties.

(4) Employees shall make no unauthorized commitments or promises of any
kind purporting to bind the Tribe.

(5) Employees shall not use their positions for private gain.

(6) Employees shall act impartially, in accordance with all relevant Tribal,
Federal, and State laws (where applicable), and shall not give preferential
treatment to any private organization or individual, including to any persons
related to Members.

(7) Employees 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.

(8) Employees shall not engage in outside employment or activities, including
seeking or negotiating for future employment, which conflict with their
official duties and responsibilities.

(9) Employees shall disclose waste, fraud, abuse, and corruption to
appropriate authorities.

(10) Employees shall endeavor to avoid any actions creating the appearance
that they are violating the law or the ethical standards listed herein.

ecember 2014 age 9 of 4920
i 3D ber 201 Page 9 of +920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Commission to make an eligibility determination under section 2.06 below. The

Commission or its agent shall:

(1) Verify the applicant's identity through items such as a social security card,
drivers 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 civil history check;

(5) 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;

(6) Inquire into any previous or existing business relationships with the gaming
industry and Indian tribes by contacting the entities or tribes;

(7) Verify the applicant's history and status with any licensing agency by
contacting the agency; and

(8) Take other appropriate steps to verify the accuracy of the information,
focusing on problem areas noted.

(b) The Commission or its agent shall create an investigative report noting the steps
taken, information gained, potential problems areas, and disqualifying
information.

(c) The Gaming Commission and its agents 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 2.06 Eligibility Determination
The Gaming 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 granting of a gaming
license. If the Gaming Commission determines that licensing 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 the Gaming Commission shall not license that
person in a key employee or primary management official position.

Section 2.07 Procedures for Forwarding Applications and Reports for Key Employees
and Primary Management Officials to the National Indian Gaming
Commission

(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
the National Indian Gaming Commission a completed application for
employment and conduct the background investigation and make the
determination referred to in section 2.06 above.

| 3-April-2042 3 December 2014 Page 15 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

gaming operation. Failure to consent to the disclosures
indicated in this notice will result in a Tribe being unable to
license you for 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 official:

A false statement on any part of your license application may

be grounds for denying a license or the suspension or

revocation of a license. Also, you may be punished by fine or
imprisonment. (U.S. Ordinance, Title 18, section 1001).

(c) The Commission shall notify in writing existing key employees and primary
management officials who have not completed an application containing the
notices set forth above that they shall either:

(4) Complete a new application form that contains both the Privacy Act and
false statement notices; or

(2) Sign a statement that contains the Privacy Act and false statement notices
and consent to the routine uses described in that notice.

Section 2.02 License Fees
The Gaming Commission will set and charge a licensing fee for investigative
purposes and licensing of Key Employee and Primary Management Officials of the
gaming operation.

Section 2.03 Fingerprints
Each applicant for a Key Employee or Primary Management Official shall be required
to have fingerprints taken as part of the license application procedure. Fingerprints
shall be taken by Gaming Commission personnel and forwarded to the NIGC for
processing through the FBI and NCIC to determine the applicant's criminal history, if
any. In the event that the Gaming Commission is temporarily unable to take the
applicant's fingerprints, then the Gaming Commission may cause the fingerprints to
be taken by Tribal law enforcement or any other city, county, state or federal law
enforcement agency.

Section 2.04 Background Investigations
(a) The Gaming Commission is responsible for conducting background
investigations and suitability determinations.
(b) The Gaming Commission shall request from each primary management official
and from each key employee all of the following information:

3 December 2014 Page 13 of 20


CERTIFICATION

The foregoing Resolution NUMBER 120314-R- ©{ was adopted at a duly called (regular and/or
special) meeting of the Business Committee of the Eastern Shawnee Tribe of Oklahoma conducted on
December 3, 2014. A quorum was present at said meeting with the vote reflecting;

5 FoR

0 AGAINST

D_ ABSTAINING
o_ ABSENT

3 VACANCY

Quay Boren 3 ne vy

Judy Browh, Date
Secretary
Se aed Rear [2-3-1
ie. Date
Second Chief
EXECUTIVE BRANCH
Vetoed: YES No_&

a lA-8§ - C4 WOE am
lenna J. Wallac¢, Chief Date Time
Eastern Shawnee Tribe of Oklahoma



EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(d) All claims by patrons shall be limited to a maximum recovery of Two Hundred Fifty
Thousand ($250,000) for any one person and Two Million ($2,000,000) for any
one occurrence for personal injury and One Million ($1,000,000) for any one
occurrence for property damage, except disputes relating to a patron's entitlement
to a game prize, which shail be limited to the amount of such prize. No claim shall
be paid, or be the subject of any award, in excess of the limit of liability. The
Commission's decision shall constitute the complainant's final remedy.

Section 1.14 Regulations
Any regulations promulgated by the Gaming Commissioner shall have full
force and effect from the date of issuance, provided however: before adopting,
amending and repealing regulations, The Commissioner shall give a 14 day
notice of any such proposed action to the Business Committee, the gaming
operation(s) and all other persons whom the Commission has a reason to
believe have a legitimate interest in the proposed actions. The notice shall
invite comments and describe the general nature of the proposed action and
the manner in which comments on the proposed action shall be received by
the Commission.

Section 1.15 Facility Licenses

(a) The Gaming Commission shall issue a separate license to each place, facility,
or location on Indian lands where class II and/or class IIT gaming is conducted
under this Ordinance.

(b) The Gaming Commissien shall issue a separate license to each place, facility,
or location on indian lands where Class II and/or Class III gaming is conducted
under this Ordinance every three (3) years. The Gaming Commission shall
specify the form, conditions and content for the application for such licenses,
which shall be submitted by the General Manager of the facility, and the initial
application shall include a legal description of the lands whereon the facility is
located, and a certification that said premises constitute “Indian lands” as
specified in the Indian Gaming Regulatory Act, and shail identify the
environmental, health, and public safety standards with which the facility must
comply, and a certification that the facility is in compliance therewith. Each
subsequent application for the renewal of such facility license shail identify any
changes or additions to said legal description and applicable environmental,
health and safety standards, and include current certifications of compliance
therewith. The Gaming Commission shall only issue such licenses if the
applications therefor include the required information and certifications and such
further conditions as the Gaming Commission shall have specified.

Section 1.16 Agent for Service of Process

The Tribe hereby designates the Chief of the Eastern Shawnee Tribe as agent for
service of process, who may be contacted at:
Chief of Eastern Shawnee Tribe

25 March 2015 Page 11 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(a) All claims by patrons shall be limited to a maximum recovery of Two Hundred Fifty
Thousand ($250,000) for any one person and Two Million ($2,000,000) for any
one occurrence for personal injury and One Million ($1,000,000) for any one
occurrence for property damage, except disputes relating to a patron's entitlement
to a game prize, which shall be limited to the amount of such prize. No claim shall
be paid, or be the subject of any award, in excess of the limit of liability. The
Commission's decision shall constitute the complainant's final remedy.

Section 1.14 Regulations
Any regulations promulgated by the Gaming Commissioner shall have full
force and effect from the date of issuance, provided however: before adopting,
amending and repealing regulations, The Commissioner shall give a 14 day
notice of any such proposed action to the Business Committee, the gaming
operation(s) and all other persons whom the Commission has a reason to
believe have a legitimate interest in the proposed actions. The notice shall
invite comments and describe the general nature of the proposed action and
the manner in which comments on the proposed action shall be received by
the Commission.

Section 1.15 Facility Licenses

(a) The Gaming Commission shall issue a separate license to each place, facility,
or location on Indian lands where class II and/or class III gaming is conducted
under this Ordinance.

(b) The Gaming Commission shall issue a separate license to each place, facility,
or location on Indian lands where Class II and/or Class III gaming is conducted
under this Ordinance every three (3) years. The Gaming Commission shall
specify the form, conditions and content for the application for such licenses,
which shall be submitted by the General Manager of the facility, and the initial
application shall include a legal description of the lands whereon the facility is
located, and a certification that said premises constitute “Indian lands” as
specified in the Indian Gaming Regulatory Act, and shall identify the
environmental, health, and public safety standards with which the facility must
comply, and a certification that the facility is in compliance therewith. Each
subsequent application for the renewal of such facility license shall identify any
changes or additions to said legal description and applicable environmental,
health and safety standards, and include current certifications of compliance
therewith. The Gaming Commission shall only issue such licenses if the
applications therefor include the required information and certifications and such
further conditions as the Gaming Commission shall have specified.

Section 1.16 Agent for Service of Process
The Tribe hereby designates the Chief of the Eastern Shawnee Tribe as agent for
service of process, who may be contacted at:
Chief of Eastern Shawnee Tribe

| 3-Decerber204425 March 2015 Page 11 of 20


CERTIFICATION

The foregoing Resolution NUMBER 032515-R- O/ was adopted at a duly called (regular and/or
special) meeting of the Business Committee of the Eastern Shawnee Tribe of Oklahoma conducted on
March 25, 2015. A quorum was present at said meeting with the vote reflecting;

S”_ FOR
AGAINST
ABSTAINING
ABSENT
VACANCY
Pra 29 Wa Jars”
Judy Brown, Date
Secretary
yy Ok <A oe ae
“ee sy pa seg Pi arch BS, BAS
Sheryl Bars Date
Treasurer
EXECUTIVE BRANCH
Vetoed: YES NO_

Deune pf Sable 3-30-18 _ WIR gsm.
Glenna J. Wallace, Chief Date Time
Eastern Shawnee Tribe of Oklahoma



}

EASTERN SHAWNEE TRIBE
OF OKLAHOMA

12755 S. 705 Road, Wyandotte, OK 74370
Bluejacket Building (918) 666-2435, Fax: (918) 666-2186

RESOLUTION NUMBER 120314R- O/

Approving the 2014 Eastern Shawnee Tribe of Oklahoma Gaming Ordinance

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

the Eastern Shawnee Tribe of Oklahoma is a federally recognized Indian
Tribe organized under the Oklahoma Indian Welfare Act of 1936, with a
Constitution approved by the Secretary of the Interior, April 4, 1994 and
Amended March 2, 1999; and

the Constitution of the Eastern Shawnee Tribe of Oklahoma, Article IX,
Section 1, empowers the Business Committee to protect and preserve the
interests of the Tribe; and

the Eastern Shawnee Tribe of Oklahoma is committed to protecting and
preserving the interests of the tribal membership; and

the Eastern Shawnee Tribe of Oklahoma is committed to the concept of
Indian Tribes functioning as sovereign governments; and

THEREFORE, BE IT RESOLVED that the Business Committee of the Eastern Shawnee Tribe of

Oklahoma does hereby wish to approve the attached 2014 Eastern Shawnee Tribe of Oklahoma Gaming
Ordinance.


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.09 Granting a Gaming LICENSE ......ececsessesessesseeseesesenesnestscsssssensssseessescessneesessssnsseesseetseneeseese LO
Section 2.10 License Suspension ........sssessvssessneesssessesseseseeessecsesssanecnsveganeenneccnanesssneseqsensesenaseenseeenneceseeene 1746

Section 3.01 Licenses for VENdoOFs.......sssseee

Section 3.02 Submission of a Vendor License Application
Section 3.03 Contents of the Vendor License Application.
Section 3.04 Vendor Background Investigation

Section 3.05 Vendor License Fee.............

Section 3.06 Vendor Background Investigation Report
Section 3.07 Exemption for Vendors Licensed by Recognized Regulatory Authorities ..............19

Section 3.08 Licenses for Non-Gaming Vendors.

| 3-April-2042 3 December 2014 Page 2 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(1) Conduct or cause background investigations to be conducted on, at a
minimum, primary management officials and key employees;

(2) Review and approve all investigative work conducted;

(3) Reports results of background investigations to the NIGC;

{4) Obtain and process fingerprints, or designate a law enforcement agency to
obtain and process fingerprints;

(5) Make licensing suitability determinations, which shall be signed by the
Gaming Commissioner or Deputy Gaming Commissioner;

(6) Issue gaming licenses to management officials and employees of the
operation, consistent with the suitability determination;

(7) Establish standards for licensing Tribal gaming operations;

(8) Issue facility gaming licenses to Tribal gaming operations;

(9) inspect, examine and monitor all gaming activities, and have immediate
access to review, inspect, examine, photocopy and audit all records of the
gaming establishment;

(10) Ensure compliance with all Tribal, State, and Federal laws, rules, and
regulations regarding Indian gaming;

(11) Investigate any suspicion of wrongdoing associated with any gaming
activities;

(12) Hold hearings on patron complaints, in compliance with procedures
established in the gaming Ordinance and other Tribal gaming regulations;

(13) Comply with any and all reporting requirements under the IGRA, Tribal-
State compact to which the Tribe is a party, and any other applicable law;

(14) Promulgate and issue regulations necessary to comply with applicable
internal contro! standards;

(15) Promulgate and issue regulation on the levying of fee and/or taxes
associated with gaming license applications.

(16) 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 Tribal, Federal, or State, if applicable, gaming regulations;

(17) Establish a list of persons not allowed to game in Tribal gaming facilities in
order to maintain the integrity of the gaming;

(18) Establish a list of persons who have voluntarily asked to be excluded from
the Tribal gaming facility and create regulations for enforcing this
exclusion;

(19) Provide referrals and information to the appropriate law enforcement
officials when such information indicates a violation of Tribal, Federal, or
State statutes, ordinances, or resolutions;

(20) Create a list of regulatory authorities that conduct vendor background
investigations and licensing which the Commission recognizes as
trustworthy;

(21) Draft regulations exempting vendors from the licensing and/or background
investigation requirements if they have received a license from a
recognized regulatory authority;

(22) Perform such other duties the Commission deems appropriate for the
proper regulation of the Tribal gaming operation.

25 March 2015 Page 7 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.08 Report to the National indian Gaming Commission

(a) The Tribal Gaming Commission shall prepare and forward a report on each
background investigation to the National indian Gaming Commission. An
investigative report shall include all of the following:

(1) The applicant's name, date of birth, and social security number;
(2) The date on which the applicant began, or will begin, working as a primary
management official or key employee;
(3) Summary of information including:
(i) Licenses that have previously been denied;
(ii) Gaming licenses that have been revoked, even if subsequently
reinstated;
(ili) Every known criminal charge brought against the applicant within the
last 10 years of the date of the application; and
(iv) Every felony offense of which the applicant has been convicted or any
ongoing prosecution.
(4) Results obtained;
(5) Conclusions reached; and
(6) The basis for those conclusions.

{b) The Commission shall forward the completed investigative report to the National
Indian Gaming Commission within sixty (60) days after an employee begins
work or within sixty (60) days of the approval of this ordinance by the Chairman
of the National Indian Gaming Commission.

(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 Gaming Commission to make a finding concerning the eligibility for
licensing required for employment in a gaming operation; and a Statement
documenting the disposition of ail potential problem areas noted and
disqualifying information obtained.

(a) Ifa license is not issued to an applicant, the Gaming Commission:

(1) Shall notify the NiGC; and
(2) Shall forward copies of its eligibility determination and investigative report
to the NIGC for inclusion in the Indian Gaming Individuals Records System.

(e) With respect to all employees, and in particular key employees and primary
management officials, the Gaming Commission shall retain applications for
employment reports of background investigations and eligibility determinations
for inspection by the Chairman of the NIGC or his or her designee for no less
than three (3) years from the date of termination of employment.

25 March 2015 Page 16 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 2.09 Granting a Gaming License

Section 2.10 License Suspension.......
Section 3.01 Licenses for Vendors.

Section 3.02 Submission of a Vendor License Application.........

Section 3.03 Contents of the Vendor License Application...........

Section 3.04 Vendor Background Investigation..........

Section 3.05 Vendor License Fee.....

Section 3.06 Vendor Background Investigation Report sete eeeeteeee
Section 3.07 Exemption for Vendors Licensed by Recognized Regulatory Authorities 0.0.0.0... 20
Section 3.08 Licenses for Non-Gaming Vendors.

25 March 2015 Page 2 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(nm) The Tribal Gaming Commission's annual budget shall be determined by the
Commission and approved by the Business Committee. The Gaming
Commission shall maintain an administrative office and staff personnel. The
Gaming Commission staff will consist of Compliance Agents, Licensing Agents,
Auditors, Inspectors, Office support and any other personnel to properly operate
the Gaming Commission office to fulfill its responsibilities under this Ordinance.
The Commission may retain legal counsel, consultants or other professional
services.

Section 1.09 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, employees of the

Commission, including the Gaming Commissioner and Deputy Gaming

Commissioners, shall agree to be bound by the following principles:

(1) Employees shail not hold financial interests that conflict with the
conscientious performance of their duties as managers and regulators.

(2) Employees 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) Employees shall not solicit or accept any gift or other item of monetary
value, including complimentary items or services {see Section 1.09, below),
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 Members’ duties.

(4) Empioyees shall make no unauthorized commitments or promises of any
kind purporting to bind the Tribe.

(5) Employees shall not use their positions for private gain.

(6) Employees shall act impartially, in accordance with all relevant Tribal,
Federal, and State laws (where applicable), and shall not give preferential
treatment to any private organization or individual, including to any persons
related to Members.

(7) Employees shail 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.

(8) Employees shail not engage in outside employment or activities, including
seeking or negotiating for future employment, which conflict with their
Official duties and responsibilities.

(9) Emptoyees shall disclose waste, fraud, abuse, and corruption to
appropriate authorities.

(10) Emptoyees shall endeavor to avoid any actions creating the appearance
that they are violating the law or the ethical standards listed herein.

3 December 2014 Page 9 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

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

(b) The 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 is the subject of a report. Such
a request shall suspend the thirty (30) day period under paragraph (a) of this
section until the Chairman of the National Indian Gaming Commission receives
the additional information.

(c) _ 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 Gaming Commission 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 Gaming Commission shall make the final decision
whether to issue a license to such applicant.

Section 2.10 License Suspension

(a) If, after the issuance of a gaming license, the Gaming Commission receives
from the National Indian Gaming Commission reliable information indicating that
a key employee or a primary management official is not eligible for employment,
the Gaming Commission shall suspend such license and shall notify in writing
the licensee of the suspension and the proposed revocation.

(b) The Gaming Commission shall notify the licensee of a time and a place for a
hearing on the proposed revocation of a license.

(c) After a revocation hearing, the Gaming Commission shall decide to revoke or to
reinstate a gaming license. The Commission shall notify the NIGC of its
decision. The revocation of a gaming license by the Gaming Commission is final
with no appeal.

Section 3.01 Licenses 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 Gaming Commission in order to
transact business with the Tribal gaming operation. Contracts for professional
legal and accounting services may be excluded from this section.

(b) Gaming vendors are vendors 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 Gaming 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 regulation may exempt from licensing requirements
non-gaming vendors who: 1) are Tribal, Local, State, or Federal government
agencies; 2) are regulated by the State of Oklahoma or the Tribe; or 3) will

| 3-Aprit-2042 3 December 2014 Page 17 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

12755 South 705 Road
Wyandotte, OK 74370
with additional concurrent notice to:
Eastern Shawnee Tribal Gaming Commission
12751 S 705 RD
Wyandotte, OK 74370

Section 1.17 Compliance with Federal Law
The Tribe will comply with all applicable federal law, including the Bank Secrecy Act,
31 U.S.C. §5311 et seq.

Section 1.18 Repeal
To the extent that they are inconsistent with this Ordinance, all prior gaming
Ordinances are hereby repealed.

Section 1.19 Amendment
This Ordinance may be amended only by a unanimous vote of the Tribe’s Business
Committee.

Section 1.20 Licenses of Key Employees and Primary Management Officials
The Gaming Commission shall ensure that the policies and procedures set out in this
section are implemented with respect to key employees and primary management
officials employed at any gaming enterprise operated on Indian lands. The Gaming
Commission will issue licenses and perform background investigations according to
requirements at least as stringent as 25 C.F.R. Parts 556 and 558.

Section 2.01 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 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 granted a gaming license. The information
will be used by the Tribal Gaming Regulatory authorities and
the 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
necessary pursuant to a requirement by a Tribe or the

| 3Decermber204425 March 2015 Page 12 of 20


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Section 1.00 Title
This ordinance shall be known and may be cited as the Eastern Shawnee Tribe of
Oklahoma Gaming Ordinance.

Section 1.01 Purpose
The Business Committee of the Eastern Shawnee Tribe of Oklahoma (Tribe),
empowered by the Tribe’s Constitution to enact ordinances, hereby enacts this
ordinance in order to govern Class II and Class III gaming operations on Tribal
lands.

Section 1.02 Liberal Interpretation/Severability
The provisions of this Ordinance, being necessary for the welfare of the Tribe and its
members, shall be construed liberally to affect the purpose and objective contained
herein. Section and subsection headings contained herein shall not be deemed to
govern, limit, modify, or in any manner affect the scope, meaning or intent of the
provisions, of any section or subsection of this Ordinance.

The provisions of the Ordinance are severable and if any part or provision hereof
shall be held void by appropriate judicial authority, the decision of the court so
holding shall not affect or impair any of the remaining parts or provisions of the
Ordinance.

Section 1.03 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 ef seq., and its regulations, 25 C.F.R. §500 et seq.

Specifically:

(a) Business Committee means the Tribal Business Committee as described in
the Constitution of the Eastern Shawnee Tribe of Oklahoma.

(b) Class II Gaming means that gaming defined in 25 U.S.C. §2703(7) and 25
C.F.R. §502.3.

(c) Class III Gaming means that gaming defined in 25 U.S.C. §2703(8) and 25
C.F.R. §502.4.

(d) Ordinance means the Eastern Shawnee Tribal Gaming Ordinance.

(e) Commission means the Eastern Shawnee Tribal Gaming Commission
established to perform regulatory oversight and to monitor compliance with
Tribal, Federal, and applicable State regulations.

(f) Commissioner means aThe Eastern Shawnee Tribal Gaming Commissioner
or Deputy Gaming Commissioner. Also known as member of the Eastern
Shawnee Tribal Gaming Commission.

(g) Compact means an agreement between the Tribe and the State of Oklahoma
concerning Class III gaming negotiated pursuant to 25 U.S.C. §2710(d).

| 3Apri-2042 3 December 2014 Page 3 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

(q) Tribe/Indian Tribe means the Eastern Shawnee Tribe of Oklahoma, a federally
recognized Indian Tribe organized pursuant to the sovereign powers of the
Eastern Shawnee people.

Section 1.04 Gaming Authorized
Class II and Class III gaming are hereby authorized.

Section 1.05 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 1.06 Use of Gaming Revenue
(a) Net revenues from tribal gaming shall be used only for the following purposes:
(1) to fund tribal government operations and programs;
(2) to provide for the general welfare of the Tribe and its members;
(3) to promote tribal economic development;
(4) to donate to charitable organizations; or
(5) to help fund operations of local government agencies.

Section 1.07 Per Capita Payments

No per capita payments to Tribal members shall be made from Tribal gaming
revenues unless pursuant to 25 U.S.C. §2710(b)(3) and applicable Ordinance of
Federal Regulations provisions.

Section 1.08 Gaming Commission

(a) The Tribe hereby establishes the Eastern Shawnee Tribal Gaming Commission
whose duty it is to regulate tribal gaming operations. There shall be a Gaming
Commissioner and atwo Deputy Gaming Commissioners.

(1) The minimum requirements for appointment as a member of the
Commission shall be two of the following:
(i) | Bachelor’s Degree in Business Administration, Accounting, Marketing,
or an equivalent field;
(ii) | Minimum five (5) years experience in tribal gaming;
(iii) | Minimum five (5) years experience in casino management;
(iv) Demonstrated knowledge of federal Indian law, the Indian Gaming
Regulatory Act, and related statutes and regulations.

(b) The purpose of the Commission is regulatory, not managerial. The Commission
will conduct oversight to ensure compliance with Tribal, Federal and State laws
and regulations. The Commission will serve as the licensing authority for
individuals employed in the gaming operation and will administer background
investigations as part of the licensing process. The Commission will also have a
role in monitoring compliance with the internal controls for the gaming operation

| 3-April-2042 3 December 2014 Page 5 of 4920


EASTERN SHAWNEE TRIBE OF OKLAHOMA GAMING ORDINANCE

Eastern Shawnee Tribal Gaming Commission
12751 S 705 RD
Wyandotte, OK 74370

Section 1.17 Compliance with Federal Law
The Tribe will comply with all applicable federal law, including the Bank Secrecy Act,
31 U.S.C. §5311 et seq.

Section 1.18 Repeal
To the extent that they are inconsistent with this Ordinance, all prior gaming
Ordinances are hereby repealed.

Section 1.19 Amendment
This Ordinance may be amended only by a unanimous vote of the Tribe’s Business
Committee.

Section 1.20 Licenses of Key Employees and Primary Management Officials
The Gaming Commission shall ensure that the policies and procedures set out in this
section are impiemented with respect to key employees and primary management
officials employed at any gaming enterprise operated on Indian lands. The Gaming
Commission will issue licenses and perform background investigations according to
requirements at least as stringent as 25 C.F.R. Parts 556 and 558.

Section 2.01 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 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 granted a gaming license. The information
will be used by the Tribal Gaming Regulatory authorities and
the 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 regutatory investigations or prosecutions or when
necessary pursuant to a requirement by a Tribe or the
National Indian Gaming Commission in connection with the
issuance, denial or revocation of a gaming license, or
investigation of activities while associated with a Tribe or a

3 December 2014 Page 12 of 20