§ 20-6-5 Credits or Refunds

Any licensee paying a penalty for late filing or failing to file a report for which there is an
acceptable explanation may petition the Commission for credit or refund. The petition shall be
filed within thirty (30) days after the petitioner knew or should have known that the payment was
excusable, but not more than six (6) months after payment in any case.

§ 20-6-6 Suspension and Revocation of Licenses

(a) If, after issuance of any license, the Commission receives reliable information
indicating that a Person does not meet the qualifications for a license, the
Commission shall temporarily suspend such license and shall notify the licensee
in writing of the suspension and the proposed revocation.

(b) Before a license can be permanently revoked, a hearing must be held.

(c) Notification of any revocation of a gaming license of a Primary Management
Official or Key Employee shall be provided to the National Indian Gaming
Commission.

(d) The same procedure for revocation shall be followed if such information

regarding ineligibility is received initially by the National Indian Gaming
Commission.

§ 20-6-7 Retention of Licensing Records

(a) Any reports obtained from fingerprint processing shall be incorporated into the
applicant’s license file.

(b) All license applications, applications for employment, background investigations,
if applicable, and any related matters shall be retained by the Commission for the
following periods of time:

qd) For records relative to Primary Management Officials, Key Employees,
and employees of the Gaming Establishments and Gaming Operation, no
less than three (3) years after the employment relationship with the
Gaming Establishment or Gaming Operation is terminated;

(2) For records relative to Gaming Establishments, no less than three (3) years
after the Gaming Establishment is no longer in operation; and

(3) For records relative to Gaming Vendors and Non-Gaming Vendors, no
less than three (3) years after the contractual relationship is terminated.

(c) All records for employees of Primary Management Officials and Key Employees

shall be available for inspection by the NIGC pursuant to lawful requests
submitted to the Commission.

CHAPTER 7
GAMING LICENSES

§ 20-7-1 Standard for Issuing a Gaming License

(a) General Requirements. The Commission may not issue a gaming license to any
Person who, based on reliable information, the Commission determines in its sole
discretion:



(b) The notice shall specify the purpose of the proposed regulation, the draft language
of the proposed regulation, and the factors the Commission has considered in its

determination to enact the proposed regulation, and the address at which the
Commission shall receive comments.

(c) During the notice period the Commission shall receive comments regarding the
proposed regulation at the designated mailing address.

(d) The comments received by the Commission shall be considered by the
Commission at a meeting open to all interested persons, and the Commission shall
make a final determination regarding the need for the proposed regulation on the
basis of all the information available to the Commission. Any final determination
of the Commission shall be recorded in writing.

20-3-5 Comity and Concurrent Jurisdiction

The Commission is empowered to seek comity and enforcement of the orders of the
Commission by the courts of any other jurisdiction whose assistance may be required to give
effect to the orders of the Commission. The Commission is also empowered to issue orders to
enforce the lawful orders of other gaming regulatory agencies and the courts of foreign
jurisdiction.

§ 20-3-6 Distribution of Revenues

The revenues of the Commission shall be allocated in the manner set forth in Tribal
Council Ordinance 07:009, as it may be amended from time to time; provided however, that at
such time as the Commission incur indebtedness, the distribution of free cash flow shall be
allocated as set forth in financing documents relating to such indebtedness; provided further
however, in the event such indebtedness is issued and the documents relating to such
indebtedness do not explicitly alter or amend the distribution of cash flow set forth in Tribal
Council Ordinance 07:009, then the distribution formula set forth therein shall continue to be
effective.

§ 20-3-7 Reports

(a) The Commission shall submit written quarterly reports to the Council within
thirty (30) days after the end of each quarter. Such reports shall contain the
following information:

(1) A summary of the number and types of licenses issued, denied, suspended,
or revoked during the previous quarter;

(2) A summary of any events of noncompliance, breach or violations of this
Gaming Ordinance or any other applicable laws or regulations; provided,
however, that these reports are not the subject of or relating to a pending
investigation being conducted by the Commission or a hearing before the
Commission;

(3) A summary of the number and types patron disputes investigated by the
Commission; and

(4) All other information which the Commission deems relevant in order to
keep the Council informed and current on all gaming regulatory matters.

(b) Nothing in this section shall authorize or permit the Commission to provide the

Tribal Council with any information pertaining to a pending investigation being
conducted by the Commission or hearing before the Commission. The Tribe shall

13



(©)

(d)

(ce)

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

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

(8) In conducting a background investigation, the Commission shall promise
to keep confidential the identity of each person interviewed in the course
of the investigation.

Investigative Report. The Commission’s staff shall create an investigative report
on each applicant containing the steps taken in conducting the background
investigation, the results obtained, the conclusions reached and the bases for those
conclusions. The investigative report shall also contain a recommendation to the
Commission’s Administrator as to whether the applicant meets the requirements
of §20-7-1 of this Gaming Ordinance. Based upon the investigative report, the
Commission’s Administrator may either grant a license to the applicant or deny
the license application.

Approvals.

dd) Key Employees and Primary Management Officials. If the applicant is a
Key Employee or a Primary Management Official and is approved for a
gaming license, a temporary gaming license may be issued.

(i) The Commission shall forward the investigative report described in
§20-7-6(c) to the NIGC within 60 days after a Key Employee or a
Primary Management Official begins work.

(ii) | The NIGC shall have thirty (30) days in which to evaluate the
application, request additional information, and notify the
Commission of any objections. If additional information is
requested, the thirty (30) day period shall be suspended until the
NIGC receives such additional information. At the conclusion of
the thirty (30) day period, the Commission:

(A) _ May grant a permanent license where no objection is raised
by the NIGC; or

(B) May reconsider the application taking into consideration
any objection of the NIGC.

(iii) | No Gaming Establishment or Gaming Operation shall employee a
Key Employee or a Primary Management Official who does not
have a license after 90 days.

(2) Other Employees. If the applicant is not a Key Employee or a Primary
Management Official and is approved for a gaming license, a gaming
license shall be issued.

Denials. If the applicant is denied a gaming license, both the applicant and the
NIGC shall be notified by the Commission that the application has been denied.
Notification to both parties shall take the form of a written letter summarizing the
basic steps taken and where appropriate, a statement as to the reasons(s) why the
application was denied. Any temporary license or provisional employment shall
be terminated.

License a Requirement of Employment. Unless written authorization is made by

the Commission, no Gaming Establishment or Gaming Operation shall employ a
person who does not have a permanent license after ninety (90) days of hire.

23



(bb)

(cc)

(dd)

(ee)

(i) To hire or fire Key Employees; or
(ii) To set up working policy for the Gaming Operation;

(3) The chief financial officer or other Person who has financial management
responsibility;

(4) The Gaming Board established to oversee the management and non-
regulatory aspects of a Gaming Establishment or Operation; and

(5) Any other Person designated by the Commission as a Primary
Management Official.

Secretarial Procedures means Class III Gaming procedures issued by the
Secretary of the Interior.

Subject Commission Property means the Commission Real Property, the
Commission Personal Property, and such additional assets as are transferred to or
acquired by the Commission.

Tribe means the Poarch Band of Creek Indians.

Tribal Council means the nine-member body of the Poarch Band of Creek Indians
elected by the General Council.

§20-1-4 Gaming Authorized

(a)

(b)

§ 20-1-5

Class II and Class III Gaming are hereby authorized to be conducted on the
Tribe’s Indian Lands; provided, however, that such gaming must be conducted in
accordance with the provisions of this Gaming Ordinance and any other
applicable laws or regulations.

No Person shall engage in, conduct or condone any Gaming Activities that are not
conducted in accordance with this Gaming Ordinance and any other applicable
laws or regulations. Any Person who engages in, conducts or aids with any act of
unauthorized gaming on the Tribe’s Indian Lands shall be guilty of a class B
misdemeanor and shall be prosecuted in any court of competent jurisdiction.

Location of Gaming

(a)

(b)

§ 20-1-6

The Commission shall ensure that all Gaming Activities are conducted on Indian
Lands.

The Commission shall ensure that all Gaming Activities conducted on Indian
Lands are authorized under tribal and federal law.

Ownership of Gaming

The Tribe shall have the sole proprietary interest in and responsibility for the conduct of
any Gaming Operation and Gaming Activities authorized by this Gaming Ordinance.

§ 20-1-7 Use of Gaming Revenue

(a)

Net Revenues from any Tribal Gaming Activities shall be used only for the
following purposes:



(1)

(2)

(3)

(4)

Has provided materially false or misleading statements to the Commission
and/or the NIGC, or has omitted material information from his or her
application, or has refused to respond to all requests of the Commission
and/or the NIGC for information concerning the applicant’s background
and activities;

Has been convicted (either by plea or by verdict) or has entered a plea of
nolo contendere to any felony, any gaming offense, or any misdemeanor
involving theft or conversion of property, where such conviction or plea,
in the sole discretion of the Commission, jeopardizes the integrity of the
Tribe’s Gaming Activities;

Is a Person whose prior activities, criminal record, if any, and reputation,
habits and associations (both business and personal) pose a threat to the
public interest or to the effective regulation of gaming, or create or
enhance the dangers of unsuitable, unfair, or illegal practices, methods,
and activities in the conduct of Gaming Activities or the business and
financial arrangements incidental to the conduct of Gaming Operations
and Establishments; or

Has attempted to interfere or to influence, and/or has interfered and/or
influenced, unduly for gain or advantage, any decision or process of the
Commission or the Tribe relating to gaming. Undue influence means the
use of bribery, blackmail, intimidation, threats of violence, or other
improper means to influence governmental actions of the Tribe. Nothing
in this section shall be interpreted as preventing a Person from expressing
his or her opinions and consulting with members of the Tribe’s
government, or from responding to inquiries or requests from the
Commission or the Tribal Council.

(b) Primary Management Officials and Key Employees. The Commission may not

issue a gaming license to any Primary Management Official or Key Employee
who, based on reliable information, the Commission determines in its sole

discretion:

() Is not eligible to hold a license in accordance with subsection (a) above;

(2) Has a direct or indirect financial interest in any Gaming Establishment or
the Gaming Operation, other than his or her share of any per capita
payment or any employment compensation; or

(3) Has been convicted of a felony, embezzlement, theft, or any other money-
related or honesty-related crime (such as fraud).

§ 20-7-2 Application for Gaming License

All Primary Management Officials, Key Employees, and other employees of any Gaming
Establishment or Gaming Operation shall submit a completed application, which shall indicate
the type of Gaming Activity (Class II, Class III, or both) for which the license is sought, and the
application shall include, but not be limited to, the following:

(a) Full name, other names used (oral or written), date and place of birth, gender,
citizenship, social security number(s), all languages either spoken or written, and
current business and residence telephone numbers;

(b) Currently and for the previous five (5) years, business and employment positions
held, ownership interests in those businesses, business and residence addresses,
and drivers license numbers;

20



(b)

§ 20-9-3

(4)

6)

(6)

(7)

(8)

A description of any previous or existing business relationship with the

gaming industry in general, including ownership interests in those
businesses;

The name and address of any licensing or regulatory agency with which
the Gaming Vendor or Non-Gaming Vendor has filed an application for a
license or permit related to gaming, whether or not such license or permit
was granted;

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;

Agreement by the applicant to abide by all conditions of the license, this
Gaming Ordinance and any other applicable laws or regulations; and

Such other information and details as the Commission may require in
order to properly discharge its duties.

All applications shall be signed by:

(1)
(2)

3)

The applicant if the applicant is a natural person;

By a member or partner of the applicant if the applicant is an
unincorporated association or partnership; or

By an executive officer if the applicant is a corporation or by some other
individual specifically authorized by the corporation to sign the
application, in which case written evidence of authority to bind the
applicant shall be attached.

Tf any change is made in that authority, before or after a license is issued, the
Commission shall be immediately informed in writing. Until that information is
filed with the Commission, any action of or commitment made by the
representative shall be binding upon the applicant.

Withdrawal of Application by Vendor

An application may not be withdrawn without the permission of the Commission or by a
duly authorized person or agent of the Commission. A vendor may request to withdraw an
application by submitting to the Commission a written request for withdrawal. The Commission
retains the right, in its sole discretion, to grant or deny a request.

§ 20-9-4 Background Investigations

(a)

(b)

Background investigations may be conducted by the Commission staff on Gaming
Vendors, Non-gaming Vendors, and Principals and employees of Gaming
Vendors and Non-gaming Vendors.

Background investigations shall be conducted in a manner which takes all
reasonable steps to ensure the confidentiality of the information generated by the
investigation, including the identity of each person interviewed in the course of
the investigation, as well as the information submitted by the applicant.

26



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

§ 20-7-4 Withdrawal of Gaming License Application

An application may not be withdrawn without the permission of the Commission or by a
duly authorized person or agent of the Commission. An applicant may request to withdraw an
application by submitting to the Commission a written request for withdrawal. The Commission
retains the right, in its sole discretion, to grant or deny a request.

§ 20-7-5 Financial Disclosures

Each applicant who is a Primary Management Official or Key Employee shall be
required to provide a financial statement in the form adopted by the Commission, which shall
include the applicant’s income for the previous five (5) years and sources of that income, as well
as all assets and debts of the applicant at the time of the application. The financial statement, if
required, shall include copies of all federal income tax returns filed by the applicant during the
previous five (5) years.

§ 20-7-6 Licensing Procedure

Once the application described in §20-7-2 is submitted, the Commission shall proceed as
follows:

(a) Fingerprints.

(1) Pursuant to 25 C.F.R. § 522.2(h), the Commission shall forward an
applicant’s fingerprints to the NIGC to be processed by the Federal
Bureau of Investigation’s National Criminal Information Center for a
criminal history check.

(2) The Commission may submit an applicant’s fingerprints to any additional
Tribal, local or state criminal history check system or center as the
Commission deems necessary or appropriate.

(b) Background Investigations. The Commission’s staff shall conduct a background
investigation on each applicant sufficient to allow the Commission to make an
eligibility determination: under § 20-7-1 of this Gaming Ordinance. The
performance of background investigations and the issuance of gaming licenses
shall be in accordance with requirements at least as stringent as 25 C.F.R. Parts
556 and 558. As part of the Commission background investigation, designees of
the Commission shall, among other things:

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

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

(3) Conduct a civil history check;

(4) Conduct a criminal history check via the submission of the applicant’s
fingerprints to the NIGC, and further obtain information from the
appropriate court regarding past felony, misdemeanor convictions, and/or

criminal charges within the last ten years;

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

22



(4)

(5)

(6)

)

(8)

(9)

(10)

procedures that shall, at a minimum, permit the preparation of financial
statements in accordance with generally accepted accounting principles,

are susceptible to audit, and that permit proper calculation of fees and
expenses.

Reports. Any Management Contractor shall, at its own expense, be
required to provide a monthly verifiable financial report to the Tribal
Council, the Commission, and if required by IGRA, the Secretary of the
Interior and/or NIGC.

Access. Any Management Contractor shall be required to allow
immediate access to the Gaming Operation and Gaming Establishments,
including books and records, to individuals designated by Tribal Council
resolution, the Commission, the Secretary of the Interior, and/or NIGC, for
purposes of verifying the daily gross revenues and income from any
Gaming Activity and of verifying compliance with all applicable tribal,
federal and state law.

Guaranteed Minimum Payment. Any Management Contract shall provide
for a minimum guaranteed monthly payment to the Tribe in a sum certain
that has preference over the retirement of any development and
construction costs.

Disputes. Any Management Contract shall include a mechanism to
resolve disputes between the Tribe and the Management Contractor.

Assignments and Subcontracts. Any Management Contract shall indicate
that assignment of rights under a Management Contract and
subcontracting are not permitted unless approved by the Tribal Council,
the Commission, and the NIGC.

Ownership Interest. Any change in the ownership interest in the
Management Contractor shall require advance approval of the
Commission and the Tribal Council.

Prohibited Provisions. A Management Contract shall not transfer or in
any other manner convey any interest in the Tribe’s lands unless
authorized by federal law and unless clearly specified in writing in said
Management Contract.

CHAPTER 6

LICENSE REQUIREMENTS AND RESTRICTIONS

§ 20-6-1 Requirement of a License
(a) Mandatory. The following Persons shall have a license issued by the

Commission:

(1) All Primary Management Officials, Key Employees, and employees of
any Gaming Establishment or Gaming Operation shall obtain a gaming
license;

(2) Each Gaming Establishment shall obtain a facility license for each class of
gaming played within the Gaming Establishment;

(3) All Gaming Vendors shall obtain a vendor license;

(4) All Non-gaming Vendors shall obtain a vendor license unless otherwise

exempt by the Commission; and



Ordinance, no employment contract and no modifications or amendments to any
employment contract for the Administrator shall be binding upon the Commission
or Tribe unless and until it is approved by the Tribal Council.

(c) The Administrator must be licensed annually. The procedure used for licensing
of the Administrator shall be the same procedure used for the Commissioners and
outlined in §20-2-4, except that the Administrator’s eligibility for a gaming
license shall be determined using the eligibility standards for Key Employee and
Primary Management Official as set forth in §20-7-1.

§ 20-2-7 Gaming Commission Staff Qualifications

(a) No member of the Commission staff may be directly or indirectly employed by
any Gaming Establishment or the Gaming Operation.

(b) Commission staff must be licensed annually. The procedure used for licensing
Commission staff shall be the same procedure used for the Commissioners and
outlined in §20-2-4, except that the Commission staff's eligibility for a gaming
license shall be determined using the eligibility standards for Key Employee and
Primary Management Official as set forth in §20-7-1.

§ 20-2-8 Commissioners Prohibited from Participating in Tribal Gaming

Neither a Commissioner nor a member of the Commission staff shall be permitted to
participate in any Gaming Activities within any of the Tribe’s Gaming Establishments except for
any such participation engaged in solely for educational, instructional, or investigative purposes.

§ 20-2-9 Penalty for Divulging Certain Information

Any Commissioner or member of the Commission staff who divulges any fact or
information coming to his or her knowledge not generally known by the public respecting any
aspect of his or her duties as a Commissioner or member of the Commission staff, except insofar
as he or she may be authorized by the Commission or a court of competent jurisdiction or a judge
thereof, is guilty of a class C misdemeanor. Furthermore, the breach of confidentiality may
result in a penalty ranging from censure, suspension, recommendation to the Tribal Council for
removal from the Board of Commissioners for a Commissioner, and termination of employment
for a member of the Commission’s staff.

CHAPTER 3
GAMING COMMISSION’S
POWERS, DUTIES, AND LIMITATIONS

§ 20-3-1 Exclusive Power and Jurisdiction

The rights, powers, authority, jurisdiction, and duties conferred by this Gaming
Ordinance upon the Commission shall be exclusive and shall be exercised so far as they may be
exercised consistently with the Constitution of the Poarch Band of Creek Indians and all other
titles of the Tribal Code.

§ 20-3-2 Powers and Duties of the Commission

The Commission shall have the authority and responsibility to:
(a) Enforce and administer all provisions of this Gaming Ordinance;

(b) Ensure that any Person involved with the conduct of Gaming Activities on Indian
land is a Person of good character, honesty, and integrity and whose prior

9



APPROVAL

I, the Chairman of the Poarch Band of Creek Indians, hereby affix my signature to the ordinance
authorizing it to become official this 20th __ day of___May__, 2010.

° f— /
Lhred Zz Keli
Buford L- Rolin, Chairman
Poarch Band of Creek Indians

CERTIFICATION

I, the undersigned, certify that the foregoing is a true extract from the minutes of the Tribal
Council meeting of the Poarch Band of Creek Indians, comprised of nine members with9__ in
attendance on the 20th day of__ May __, 2010, and that the above is in conformity with
the provisions therein adopted by a vote of __9 in favor, and __0 against, 0)
abstentions.

ot
David W. Gehman, Secretary
Poarch Band of Creek Indians

30



Furthermore, any other prior gaming laws, rules, ordinances or regulations of the Tribe are
hereby repealed to the extent that they are inconsistent with this Gaming Ordinance.

Sa’ s Provision

; If any provision of this Gaming Ordinance or the application thereof to any Person or
circumstance is held invalid, the invalidity shall not effect other provisions or application of the
Gaming Ordinance that can be given effect without the invalid provision or application, and to
this end, the provisions of this Gaming Ordinance are severable.

CHAPTER 2
POARCH BAND OF CREEK INDIANS
TRIBAL GAMING COMMISSION’S
ORGANIZATION AND PERSONNEL

§ 20-2-1 Commission Established

The Tribal Council hereby establishes the Poarch Band of Creek Indians Tribal Gaming
Commission (“Commission”) in order to regulate the operation, conduct, and playing of Gaming
Activities on the Tribe’s Indian Lands. Furthermore, the Tribal Council hereby delegates the
authority to manage and oversee the Subject Commission Property to the Commission on behalf
of the Tribe and within the limitations set forth in the Tribal Constitution and this Gaming
Ordinance. The Commission shall assume control and custody over the Subject Commission
Property as it exists on the date that this Gaming Ordinance becomes effective.

§20-2-2 Independence

The Commission shall be and act independently and autonomously from the Tribal
Council in all matters within its purview.

§ 20-2-3 Board of Commissioners

(a) Eligibility of Commissioners

(1) A Commissioner shall be a natural person of at least eighteen (18) years of
age.

(2) A majority of the Commissioners shall be enrolled members of the Poarch
Band of Creek Indians.

(3) A Commissioner must be eligible to be licensed as a Key Employee and
Primary Management Official in accordance with §20-7-1.

(4) Commissioners must complete a background investigation which shall
confirm that the Commissioners are persons of good character, honesty,
and integrity, and persons whose prior and current activities, criminal
record, reputation, habits, and associations (both business and personal) do
not pose a threat to the public interest of the Tribe or to the effective
regulation and control of gaming, or create or enhance the dangers of
unsuitable, unfair, or illegal practices, methods, and activities in the
conduct of gaming or carrying on of the business and financial
arrangements incidental to the conduct of gaming.

(5) A Commissioner must annually obtain a gaming license in accordance
with the procedure in §20-2-4.

(6) No person shall serve on the Commission if such:



(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.
(b) If the Tribe elects to make per capita payments from the Net Revenues, the Tribe
shall authorize such payments only in accordance with the Tribe’s Revenue
Allocation Ordinance as approved by the Secretary of the Interior.
§ 20-1-8 Environment Public Health and Safety
The construction, maintenance and operation of any Gaming Establishment shall be in a
manner that adequately protects the environment, public health and safety, and shall comply with

all applicable laws relating to environmental protection and public health and safety including,
but not limited to, 25 C.F.R. § 580.

§ 20-1-9 Consent to Jurisdiction

Any Person who applies for a license under this Gaming Ordinance, applies for
employment in any Gaming Establishment or Gaming Operation, enters into any contract or
agreement related to gaming, or participates in any Gaming Activities on Indian Lands shall be
deemed to consent to the civil jurisdiction of the Tribe and the Commission. Nothing in this
section shall limit the jurisdiction of the Tribe or the Commission under any circumstances.

§ 20-1-10 Applicable Law

All controversies arising under this Gaming Ordinance or otherwise relating to gaming on
Indian Lands shall be resolved in accordance with the laws of the Tribe.

§ 20-1-11 Service of Process

The Attorney General of the Tribe shall be the designated agent for service of process for
the Poarch Band of Creek Indians and the Gaming Commission. The NIGC shall be informed of
any change in these designations within ten (10) days of such change.

§ 20-1-12 Amendment

Any amendment to this Gaming Ordinance shall be submitted to the NIGC for approval
within fifteen (15) days after adoption.

§ 20-1-13 Effective Date

This Gaming Ordinance and all subsequent amendments shall become effective on the
date such amendments are approved by the NIGC.

§ 20-1-14 Repeal

Once this Gaming Ordinance is effective, the previous §20 of the Tribal Code, which was
originally passed on July 26, 1993 by Tribal Ordinance 93:0021 is repealed in its entirety.



(5) Any other Person that the Commission designates to have a license in

order to effectively regulate Gaming Activities on the Tribe’s Indian
Lands shall obtain a license.

(b) Permissive. A Principal or employee of a Gaming Vendor or Non-gaming
Vendor may be required by the Commission to obtain a license.

§ 20-6-2 Privilege; Conditions

(a) No applicant has an absolute right to a license. A license is a revocable privilege

and no holder thereof acquires any vested right (property or other) therein or
thereunder.

(b) Applicants and licensees shall have a continuing duty to provide any materials,
assistance or other information required by the Commission, and to fully
cooperate in any investigation conducted by or on behalf of the Commission. If
any information provided on the application changes or becomes inaccurate in
any way, the applicant or licensee shall promptly notify the Commission of such
changes or inaccuracies.

(c) Acceptance of a license by the licensee constitutes an agreement on the part of the
licensee to be bound by the provisions of this Gaming Ordinance, applicable laws,
and applicable rules and regulations as they are now, or as they may hereafter be
amended or restated, and to cooperate fully with the Commission.

(d) It is the responsibility of the licensee to remain informed of the contents of this

Ordinance and all other applicable laws, rules, regulations, amendments,
provisions, and conditions, and ignorance thereof will not excuse violations.

§ 20-6-3 Licenses not Assignable or Transferable

(a) A gaming license may not be assigned or transferred to another Person, except
that the Commission may approve a transfer of a gaming license so that a
licensee may transfer his or her employment to another Gaming Establishment or
a Gaming Operation or to another type of Gaming Activity (Class II, Class III, or
both) without reapplying for a gaming license.

(b) Facility licenses and Gaming and Non-gaming Vendor licenses may not be
assigned or transferred to another facility or vendor.

§ 20-6-4 License Fees

(a) Annual license fees shall be imposed in accordance with a fee schedule to be
established by the Commission.

(b) In addition to the license fees imposed pursuant to subsection (a), the Commission
may impose such fees on licensees as are reasonably related to costs of
enforcement, including investigations and proceedings before the Commission,
and which will in the aggregate be sufficient to enable the Tribe and the
Commission to recover its reasonable costs of enforcing this Gaming Ordinance.
Such costs may be estimated by the Commission and imposed prior to a final
Commission action regarding a particular licensee or applicant.

(c) The amount of these fees may, at any time, be increased by the Commission,
provided, however, that any such increase shall not be retroactive.

18



§ 20-2-4 Licensing of Commissioners

(a) Application. Once appointed by the Tribal Council to the Commission, an

individual must submit an application containing the same information as set forth
in §20-7-2 to the Police Chief.

(b) Background Investigation. Using the procedures for a background investigation
performed on Key Employees, as provided for in §20-7-6, the Public Safety
Department shall complete a background investigation on all individuals
appointed to the Commission.

(c) Recommendation to the Tribal Council. Upon completion of the background
investigation, the Police Chief, or his designee, shall review the background
investigation, determine whether the appointed individual meets the eligibility
requirements for Commissioners set forth in §20-2-3(a), and recommend that the
Tribal Council approve or deny the license. This recommendation shall be made
no later than 30 days from the date the application was submitted.

(d) Tribal Council Approval. If an appointed individual meets the eligibility
requirements for Commissioners set forth in §20-2-3(a), the Tribal Council shall
issue the individual a Commissioner’s license, and individual shall take his/her
position on the Commission.

§ 20-2-5 Removal of Commissioners

(a) Commissioners may be removed from office by the Tribal Council prior to the
expiration of their respective terms only for:

(1) Neglect of duty, misconduct, malfeasance, or other acts that would render
a Commissioner unqualified for his or her position;

(2) Failure at any time to meet the license requirements under this Gaming
Ordinance; or

(3) Violation of this Gaming Ordinance and any other applicable laws or
regulations.

(b) The Commissioner shall be afforded the opportunity to present written and oral
testimony and other evidence to the Tribal Council before it renders a decision on
the Commissioner’s removal.

(c) A Commissioner shall not be removed unless the Tribal Council determines that
there is clear and convincing evidence of the misconduct or violation.

(d) The Tribal Council shall make a final decision on removal within ten (10)
calendar days from the date of the hearing. The Tribal Council’s decision shall be
in writing and shall set forth specific findings on each alleged act of misconduct
or each alleged violation. The written decision shall be sent to the Commissioner
and to the National Indian Gaming Commission.

(e) A vote of the Tribal Council on the validity of the removal shall be final and not
subject to further appeal.

§ 20-2-6 Tribal Gaming Commission Administrator

(a) The day-to-day activities of the Commission shall be under the direction of the
Tribal Gaming Commission Administrator.

(b) The Board of Commissioners shall select and set the compensation for the
Commission’s Administrator. However, after the effective date of this Gaming



(g) NIGC Inquiry. If after the issuance of a gaming license the Commission receives
notice from the NIGC that it has reliable information indicating that a Key
Employee or a Primary Management Official is not eligible for employment, the
Commission shall suspend the relevant license. The Commission shall notify the
licensee in writing of the suspension and proposed revocation. This notice shall
also include the time and place for a hearing on the proposed license revocation.
After a revocation hearing, the Commission shall decide whether to revoke or
reinstate the license and shall notify the NIGC of its decision.

§ 20-7-7 Displaying Gaming License

All Primary Management Officials, Key Employees, and other employees of the Gaming
Establishment or Gaming Operation must wear his or her gaming license at all times while in a
Gaming Establishment or Gaming Operation so that it can be easily viewed by others.

CHAPTER 8
FACILITY LICENSES

§ 20-8-1 Standard for Issuing a Facility License

(a) The Commission shall issue a separate license for each type of Gaming Activity
(Class II or Class III) to each place, facility, or location on Indian lands where the
Tribe elects to allow Gaming Activities, and shall do so according to requirements
at least as stringent as those contained in 25 C.F.R. §559. The Commission shall
issue a facility license only if the place, facility, or location:

qd)

(2)

(3)

(4)

(5)
(6)

Is a sound physical structure with adequate and safe plumbing, electrical,
heating and cooling and ventilation systems in place and operational;

Has been inspected and approved for safety by a building and fire
inspector designated by the Commission;

Is adequate in all respects to accommodate the Gaming and non-Gaming
Activities intended to be carried on within the structure;

Is equipped with security and surveillance equipment meeting or
exceeding provisions set forth in regulations established by the
Commission;

Meets all requirements of applicable tribal and federal laws; and

Has paid all applicable license fees and costs.

(b) Violations of any provision of this Gaming Ordinance, applicable rules and
regulations, or relevant license provisions by a licensee deemed contrary to the
public health, safety, morals, good order and general welfare of the Tribe and its
members shall be deemed grounds for denying a facility license or suspension or
revocation of a license.

§20-8-2 Application for a Facility License

(a) All Gaming Establishments shall submit a completed application, which shall
indicate the type of Gaming Activity (Class II, Class III, or both) for which the
license is sought, and the application shall include, but not be limited to, the
following:

ie)

The name, physical address, and telephone number of the Gaming
Establishment;

24



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JUL 3.0 2010

Buford L. Rolin, Tribal Chairman
Poarch Band of Creek Indians
5811 Jack Springs Road

Atmore, Alabama 36052

Dear Chairman Rolin:

This letter is in response to your request for the National Indian Gaming Commission
(NIGC) to review and approve the Poarch Band of Creek Indians’ amended gaming
ordinance, TCO 2010-002, enacted by the Tribal Council on May 10, 2010.

The Ordinance is consistent with the requirements of the Indian Gaming Regulatory Act
(IGRA) and the NIGC’s implementing regulations and is therefore approved. Any Class
III gaming, however, must be conducted pursuant to a gaming compact entered into with
Alabama, or pursuant to Class III gaming procedures approved by the Secretary of the
Interior. It is also important to note that approval is granted for gaming only on Indian
lands, as defined in IGRA, over which the Tribe has jurisdiction.

Thank you for submitting the Amended Gaming Ordinance for review and approval. The
NIGC staff and I look forward to working with you and the Tribe on future gaming
issues.

Sincerely,

Tracie L. Stevens
Chairwoman

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Washington, DC 20005 Tel: 202.632.7003 Fax 202.632.7066 www.NIGc.Gov

REGIONAL OFFICES Portland, OR; Sacramento, CA; Phoenix, AZ; St. Paul, MN; Tulsa, OK



(r)

(t)
(u)

(vy)

(w)

(x)

(y)

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Investigate and resolve all patron disputes not governed by §29 of the Tribal Code
(Tort Claims Act) in accordance with the procedures adopted by the Commission;

Institute such legal proceedings in the name of the Tribe or the Commission in
Tribal Court or any other court as it deems necessary for the enforcement of this
Gaming Ordinance;

Conduct hearings as provided for within this Gaming Ordinance or tribal law;

Administer oaths and issue subpoenas to compel attendance of witnesses or to
produce any documents relevant to the matter before the Ethics Board;

Prescribe, promulgate, and enforce written rules and regulations not inconsistent
with this Gaming Ordinance;

Maintain the following records and information at the principal office for the
Commission:

qd) Applications, financial statements, fingerprints, contracts, licenses,
suspension and cancellation notices, and all correspondence related to all
applicants for licenses issued by the Commission;

(2) Meeting minutes from all Commission meetings;
(3) Compact or Secretarial Procedures;

(4) Reports and documentation relating to tort claims and other patron
disputes or other issues that affect the integrity of the Gaming
Establishments and Operations;

(5) Tribal Council communications and correspondences;

(6) A list of certified Gaming Devices located at any Gaming Establishment
whether or not such Gaming Devices are in operation; and

(7) Any other records or documents the Commission deems necessary or
appropriate=;

To waive sovereign immunity against suit, to sue and be sued, to complain and
defend in its name, to waive exhaustion of tribal remedies, to accept service of
process, to consent to jurisdiction of courts, to forego tribal court jurisdiction, and
to consent to arbitration or mediation, but in each case only on behalf of itself and
consistent with the limitations set forth in §20-3-3;

Adopt and amend bylaws, policies, and procedures as are reasonable and
necessary, but not inconsistent with this Gaming Ordinance and any other
applicable laws or regulations, to effectuate the purposes of this Gaming
Ordinance;

Cause the following to be achieved for the Commission:

(1) A written accounting system, approved by an independent certified public
accounting firm, shall be established;

(2) An inventory of property shall be taken as of the last day of business of
each fiscal year of the Commission;

(3) An annual financial statement of the operations of the Commission shall
be prepared and provided to the Tribal Council;

(4) Monthly financial statements shall be prepared and provided to the Tribal
Council;

11



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(d)
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(m)

(n)

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activities, criminal record, if any, and reputation, habits and associations (both
business and personal) do not pose a threat to the public interest or to the effective
regulation of gaming, or create or enhance the dangers of unsuitable, unfair, or
illegal practices, methods, and activities in the conduct of Gaming Activities or
the business and financial arrangements incidental to the conduct of any Gaming
Establishment or the Gaming Operation-;

Deny, issue, renew, revoke, restrict, suspend, or condition licenses and establish
the term for all licenses for all Key Employees, Primary Management Officials,
Gaming Establishments, Gaming Vendors, Non-gaming Vendors, and all
employees of any Gaming Establishment and Gaming Operation-;

Adopt or promulgate by rule a schedule of fees and charges for services licensing;

Fingerprint any applicants for licenses as required by this Gaming Ordinance,
except for the fingerprinting of the Commissioners;

Conduct or cause to be conducted any background investigation required by this
Gaming Ordinance;

Require the bonding of Management Contractors, Primary Management Officials,
Key Employees, or other employees as deemed necessary;

Investigate any suspicion of corruption, theft, or fund misappropriation or any
violation of this Gaming Ordinance or any other applicable laws or regulations;

Report any criminal activity discovered to the appropriate law enforcement
agency and coordinate investigations and prosecutions with that agency;

Assess, collect, and maintain a correct and full accounting of any fees, penalties,
expenses, or interest as provided for in this Gaming Ordinance and deposit the
same into an account to the credit of the Commission;

Review or cause to be reviewed all financial data, records, and accounts of any
Gaming Establishment and the Gaming Operation and inspect any Gaming
Establishment as the Commission deems necessary;

Audit or cause to be audited the expenditures, receipts and reports of any Gaming
Establishment and the Gaming Operation as the Commission deems necessary
and any gaming employee when reasonable suspicion of theft or corruption exists;

Require at its discretion any Gaming Establishment or Gaming Operation to allow
a Person of the Commission’s choosing in any room of any Gaming
Establishment or Gaming Operation who shall have a full opportunity to monitor
operations at all times the Gaming Establishment or Gaming Operation is in
operation;

Certify that all Gaming Devices purchased, leased or otherwise acquired by any
Gaming Establishment or Gaming Operation meet the technical equipment
standards set forth by the Commission or NIGC;

Provide or cause to be provided such information as may be required by this
Gaming Ordinance to the NIGC;

Enforce all provisions of and audit compliance with any document or agreement
entered into by the Tribe, any Gaming Establishment, or a Gaming Operation
relating to any Gaming Activities;

Administer and hear all claims made according the §29 of the Tribal Code (Tort
Claims Act);

10



(b)

(c)

(d)

(i) Person is an employee of the Commission, member of the Gaming

Board, a tribal judge or justice, or an employee of any Gaming
Establishment or the Gaming Operation;

(ii) Person is an Immediate Family Member of or living with any
Tribal Council member or Gaming Board member;

(iii) | Person has a direct or indirect financial interest in a Management
Contract, other than his or her share of any per capita payment that
the Tribe may make;

(iv) Person is a Gaming Vendor or Non-gaming Vendor or has a direct
or indirect financial interest in a Gaming Vendor’s or Non-gaming
Vendor’s contract with any Gaming Establishment or the Gaming
Operation;

(v) Person has a direct or indirect financial interest in any Gaming
Establishment or the Gaming Operation, other than his or her share
of any per capita payment or any stipend or compensation paid for
service to the Board of Commissioners; or

(vi) Person has been convicted of a felony, embezzlement, theft,
robbery, receiving stolen property, fraud, fraudulent use of a credit
card, forgery, possession of a forged instrument, bribery,
counterfeiting, or falsification or destruction of records.

Number, Tenure _and Nomination of the Commissioners. The number of
Commissioners which shall constitute the whole Board of Commissioners shall be
five (5). The Tribal Council shall designate annually one Tribal Council member
as its representative Commissioner on the Board of Commissioners; the
designated Tribal Council representative commissioner shall serve a term of one
(1) year. All other Commissioners shall be elected by the Tribal Council and
shall initially have staggered four (4) year terms. Commissioners may serve more
than one term and may serve consecutive terms. Each Commissioner shall hold
office until such Commissioner’s successor is selected and qualified.

Vacancies. Any vacancy occurring in the Board of Commissioners due to the
removal or resignation of a Commissioner shall be filled by the Tribal Council
following the advertisement of the position for at least thirty (30) days, and the
Commissioner shall hold office for the same term as the Commissioner that he or
she is replacing (unless removed earlier in accordance with this Gaming
Ordinance). If the vacancy is left by a Commissioner who was the designated
Tribal Council member, then such vacancy must be filled with a new Tribal
Council member.

Function of the Commission. The business and affairs of the Commission shall
be managed by its Board of Commissioners, subject to any limitations set forth in
the Tribal Constitution, this Gaming Ordinance, or the Commission bylaws. The
Board of Commissioners will determine the manner in which it will exercise
authority and responsibility for the management of the Commission and the extent
to which such powers will be delegated to committees of the Board of
Commissioners. The Board of Commissioners generally shall be responsible for
establishing overall policies and objectives for the oversight of the affairs and
assets of the Commission, for planning and delegating responsibility, and for
periodically reviewing and evaluating results.

Compensation. The Tribal Council shall set the amount and manner of
compensation for performance of the Commissioner’s duties in accordance with
the established policies and procedures of the Tribe.



(c)

(d)

(e)

(6)

(g)

(h)

(i)

a)

(k)
()

(m)
(n)

(0)

(p)

§ 20-7-3

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 subsection (b) above;

A description of any previous or existing business relationship with any Indian
tribe, including ownership interests in those businesses;

A description of any previous or existing business relationship with the gaming
industry in general, including ownership interests in those businesses;

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;

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;

For each felony for which there is an ongoing prosecution or a conviction, the
charge, the name and address of the court involved, and the date and disposition if
any;

For each misdemeanor conviction or ongoing misdemeanor prosecution
(excluding Minor Traffic Violations) within ten (10) years of the date of
application, the charge, the name and address of the court involved, and the date
and disposition if any;

For each criminal charge (excluding Minor Traffic Violations), whether or not
there is a conviction, if such criminal charge is within ten (10) years of the date of
the application and is not otherwise listed pursuant to subsections (h) or (i), the
criminal charge, the name and address of the court involved, and the date and
disposition if any;

A photograph taken within the last year;

The name of the Gaming Establishment or Gaming Operation that where the
applicant will be employed;

Any other information the Commission deems relevant;

Fingerprints taken by the Commission that are consistent with 25 C.F.R.
§522.2(h);

The Privacy Act notice required by 25 C.F.R. §556.2(a) and the notices
concerning false statements required by 25 C.F.R. §556.3(a); and

An agreement by the applicant to abide by all conditions of the license; all

applicable requirements of IGRA, this Gaming Ordinance, and any Compact or
Secretarial Procedures; and any other applicable laws or regulations.

Previous Applications Submitted Without Notices

If the notices required in §20-7-2(0) do not appear on the most current application, the
Commission shall notify the Primary Management Official, Key Employee, or other employee in
writing that he or she shall either:

(a)

Complete a new application form that contains a Privacy Act notice and the notice
regarding false statements; or

21



§ 20-9-5 Displaying License

All Licenses issued to Principals and employees of Gaming and Non-gaming Vendors
must be worn by the licensee at all times while present in the Gaming Establishment or Gaming
Operation so that it is easily viewed.

CHAPTER 10
COMPACT OR SECRETARIAL PROCEDURES

§ 20-10-1 Compact with the State of Alabama or Secretarial Procedures

Notwithstanding any provision in this Gaming Ordinance or the rules and regulations
promulgated by the Commission, the Commission is hereby directed to comply with the
provisions of a Compact or Secretarial Procedures, including, but not limited to, any licensing,
approval, or monitoring requirements contained in a Compact or Secretarial Procedures.

§ 20-10-2 Assessments

Notwithstanding any provision in this Gaming Ordinance or the rules and regulations
promulgated by the Commission, the Commission is hereby fully empowered to comply with all
assessments authorized by the NIGC. Such assessments shall be payable solely from funds of
Gaming Operation revenue as an operating expense.

§ 20-10-3 Regulation of the Commission

Notwithstanding any provision in this Gaming Ordinance or the rules and regulations
promulgated by the Commission, the Commission is hereby fully empowered and required to
comply with all regulations promulgated by the NIGC, including, but not limited to, reporting
requirements relating to ordinances, contracts, license applications, background checks, and
other information.

CHAPTER 11
HEARINGS, APPEALS, AND ENFORCEMENT

§ 20-11-1 Civil Violations

All matters and occurrences contrary to this Gaming Ordinance or rules and regulations
promulgated by the Commission which are not covered under a criminal code shall be deemed to
be a civil violation.

§ 20-11-2 Civil Sanctions and Penalties

Based on the severity of the civil violation, the Commission shall determine what
sanctions and/or penalties it believes are warranted, including, but not limited to, the following:

(a) Suspend, restrict, or revoke any licenses issued by the Commission;

(b) Impose a civil penalty. If such violation is a continuing one, each day of such
violation may be deemed a separate offense;

(c) Require that the Gaming Establishment ban the Person;
(d) Request that the Person be permanent expelled from Indian Lands in accordance

with the provisions in tribal law; and/or

27



(q)

(r)

®

(uy)

(vy)
(w)

(x)

(y)

(2)

(aa)

Indian Lands means Indian lands as defined by IGRA and regulations of the
NIGC.

Key Employee means:

(1) A person who performs one or more of the following functions: bingo
caller, counting room supervisor, chief of security, custodian of gaming
supplies or cash, floor manager, pit boss, dealer, croupier, approver of
credit, or custodian of gambling devices including persons with access to
cash and accounting records within such devices;

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

(3) If not otherwise included, the four most highly compensated persons in the
Gaming Operation; or

(4) Any other person designated by the Commission or Gaming Board as a
key employee.

Management Contract means any contract, subcontract, or collateral agreement
between the Tribe and a contractor or between a contractor and a subcontractor if
such contract or agreement provides for the management of all or part of a
Gaming Operation.

Management Contractor means the Person designated by the Management
Contract as having management responsibility for the Gaming Operation, or a
portion thereof.

Minor Traffic Violation means any violation of law governing the operation of a

motor vehicle, if the violation does not result in a fine of more than $1,000.00,

property damage in excess of $1,000, or personal injury to any natural person

involved.

NIGC means the National Indian Gaming Commission.

Net Revenue means gross gaming revenues of the Gaming Operation less:

qd) Amounts paid out as, or paid for, prizes; and

(2) Total gaming-related operating expenses, including all those expenses of
the Gaming Operation commonly known as operating expenses and non-
operating expenses consistent with professional —_ accounting
pronouncements, excluding management fees.

Non-gaming Vendor means any Person providing any goods and/or services

(other than Gaming-Related Services) to the Gaming Operation, Management

Contractor or any Gaming Establishment, but excluding any professional legal or

accounting services.

Person means any natural person or entity, including but not limited to any
partnership, corporation, trust or other legal entity.

Principal means an officer, director, partner, or owner of 10% interest or more in
a Gaming Vendor or Non-gaming Vendor.

Primary Management Official means:

(1) The Person having management responsibility for a Management
Contract;

(2) Any Person who has authority:

3



§ 20-4-1

comply with any obligation in a Compact, Secretarial Procedures, or IGRA to
provide such reports to the NIGC.

CHAPTER 4
RULES AND REQUIREMENTS

Records and Reports for Gaming Establishments and Operations

(a)

(b)

(c)

(d)

(e)

§ 20-4-2

Cash Management and Internal Control System. All Gaming Establishments and
Gaming Operations shall have a written cash management and internal control
system adequate to safeguard all funds of the Gaming Establishment or Gaming
Operation. Such cash management and internal control system shall include
procedures relating to the handling of internal bankroll and cash receipts, deposits
to the bank accounts of the establishment, disbursements from such bank
accounts, and all other necessary accounting and auditing procedures relating
thereto. If the cash management and internal control system is established and
implemented by an Management Contractor, the Commission shall have the right
to approve such system and shall, at any time once implemented, have the right to
monitor this system whether directly or through an agent. This includes the right
to inspect and examine all accounting records and books of accounting pertaining
to the Gaming Establishment or Gaming Operation as well as all source
documentation for these records.

Record Storage. All financial data, records, and accounts are the property of the
Tribe and shall be kept on the premises of the Gaming Establishment or Gaming
Operation. If off-premises storage is necessary, the Commission shall approve
the location. The Commission shall have access, either directly or through an
agent to the daily operations of the Gaming Establishment, and shall have the
right to verify the daily gross revenues and income earned from all Gaming
Activities. The Commission shall also have access to any other gaming-related
information the Commission deems appropriate.

Copies. Upon request, the Commission shall be provided with copies of all
documents, reports, or other related paperwork produced in the operation of any
Gaming Establishment or Gaming Operation. Such items shall be furnished to the
Commission no later than one (1) week after the request is made or no later than
one (1) week after the items are produced. These items will include, but not be
limited to, verifiable financial reports showing the revenues and expenses of the
establishment, balance sheets, operation budgets and projections, tour/bus
attendance and compensation, tax reports, and all items completed for the NIGC
or any other governmental agency.

Operational Procedures. All financial and accounting aspects of each Gaming
Establishment and Gaming Operation shall be in compliance with the operational
procedures of the particular establishment.

Record Falsification. No Person shall falsify or cause to be falsified any books or

records relating to any transaction connected with the conduct of Gaming
Activities, any Gaming Establishment, or the Gaming Operation.

Audit of Gaming Establishments and Gaming Operations

(a)

(b)

An independent audit, conducted by an outside independent accounting firm
approved by the Commission, shall be performed at least annually on each
Gaming Establishment and Gaming Operation.

All gaming related contracts that result in the purchase of supplies, services, or
concessions for more than $25,000 annually, except contracts for professional



(12)

(13)

(i) Use bogus, counterfeit or substitute cards, or use any game cards
that have been tampered with;

(ii) | Employ or have on one’s person any device to facilitate cheating in
any Gaming Activity;

(iii) Use any fraudulent scheme or technique, including when an
operator or player directly or indirectly solicits, provides, or
receives inside information of the status of a game for the benefit
of either person;

(iv) Cause, aid, abet, or conspire to violate any provision of this
Gaming Ordinance or any rule adopted under this Gaming
Ordinance;

(v) Participate, either directly or indirectly, in any activity that would
be considered cheating;

Alcoholic beverages shall not be possessed, sold, or offered for sale on the
premises of any Gaming Establishment unless otherwise authorized by the
Tribal Council; or

Except as permitted by the Commission, no Person shall possess, with the
intent to use in connection with gaming, either individually, or in privity
with others, any calculator, computer, or other electronic or mechanical
device to assist in projecting the outcome or odds of such gaming, to keep
track of or analyze cards, or to change probabilities of any game or the
playing strategies regularly utilized in such Gaming.

(b) The Commission shall have the authority to subject any Person committing an act
or omission as prohibited here or elsewhere within this Gaming Ordinance to a
penalty deemed appropriate by the Commission.

CHAPTER 5
MANAGEMENT CONTRACTS

20-5-1 Management Contracts Subject to NIGC Approval

(a) Application. This section shall only apply to Management Contracts that are
subject to NIGC approval under IGRA.

(b) Approval. No Management Contract, and no modifications, revision, or
amendment thereto, shall be binding upon the Tribe unless and until it is approved
by the Tribal Council and the NIGC.

(c) Required Provisions. Any Management Contract, including any modification,
revision, or amendment thereto, shall satisfy the requirements of IGRA and any
applicable NIGC regulations and shall also include the following:

ql)

(2)

(3)

Compliance with Applicable Law Required. Any management contract
shall provide that all Gaming Activities covered thereunder shall be

conducted in accordance with this Gaming Ordinance and all other
applicable laws, regulations, amendments, provisions, and conditions.

Identification of Duties and Responsibilities. Any management contract
shall identify the duties and responsibilities of each party for each-function
as set forth in IGRA and any NIGC regulations.

Accounting. Any Management Contract shall provide for the
establishment and maintenance of appropriate accounting systems and

16



(c)

(d)

(e)

()

(g)

(h)

@)

0)

(k)

Q)

(m)

(n)

(0)

(p)

Commission means the Poarch Band of Creek Indians Tribal Gaming
Commission, the entity established by the Tribal Council by this Gaming
Ordinance in order to regulate the operation, conduct and playing of all forms of
gaming on the Tribe’s Indian Lands.

Commission Personal Property means all the personal property, including without
limitation cash on hand, revenues, income, inventory, equipment, supplies,
accounts, contract rights, leases, allotment rights, and severed buildings, fixtures,
or improvements owned by or transferred to the possession, use and management
of the Commission.

Commission Real Property means any interest or rights in real property which
management control, but not ownership, has been transferred by the Tribe to the
Commission.

Commissioner means an individual member of the Poarch Band of Creek Indians
Tribal Gaming Commission.

Compact means any agreement between a tribe and a State of Alabama about
Class III gaming under 25 USC 2710(d).

Gaming Activities means any form of Class II or Class III gaming, whether
authorized or unauthorized.

Gaming Board means the PCI Gaming Authority Board of Directors and/or any
other board that may be established to oversee the management and non-
regulatory aspects of a Gaming Establishment or Operation.

Gaming Device means any mechanical, electromechanical, electronic, or video
machine or device, or component thereof, that, for consideration, assists or allows
a player to play a game of chance. The term shall be broadly construed to
promote the purposes of this Gaming Ordinance and shall include any such
machine or device whether the game played is a Class II or a Class III game.

Gaming Establishment means any building, room or structure in which any
Gaming Activity is conducted, including any fills and credits and any area where
any currency or coin related to or generated from any Gaming Activity is stored
or counted.

Gaming Operation means a business entity owned by the Tribe for the conduct of
any Gaming Activity in any Gaming Establishment on Indian Lands.

Gaming-Related Services means any goods, services or concessions provided or
used in connection with Gaming Activities, whether exclusively or otherwise,
including but not limited to, equipment, gaming devices and components thereof,
equipment ancillary to gaming devices, implements of gaming activities such as
playing cards and dice, furniture designed primarily for use with gaming
activities, surveillance or security equipment, and consulting services. “Gaming-
related services” does not include professional legal or accounting services.

Gaming Vendor means any Person providing Gaming-Related Services to the
Gaming Operation, management contractor, or a Gaming Establishment, as
determined by the Commission.

IGRA means the Indian Gaming Regulatory Act of October 17, 1988, Public Law
100-497, 102 Stat. 2467, codified in 25 U.S.C. § 2701 et seq.

Immediate Family Member means spouse (including common law relationship),
parent, child, sibling, grandparent, and/or grandchild. These relationships are
determined by consanguinity, affinity, adoption, foster care, or legal ward ship.



(2) A complete description of the premises at which gaming will be
conducted;

(3) An agreement by the Gaming Establishment to abide by all conditions of
the license, this Gaming Ordinance and any other applicable laws or
regulations; and

(4) Such other information and details as the Commission may require in
order to properly discharge its duties.

(b) All applications shall be signed by an authorized Gaming Board member if the
applicant is a Tribal Gaming Establishment.

§ 20-8-3 Notification of a New Facility

No later than 150 days before the opening of any new Gaming Establishment, notice shall
be submitted to the Commission. The notice shall contain:

(a) The name and address of the property where the Gaming Establishment will be
located;

(b) A legal description of the property where the Gaming Establishment will be
located; and

(c) A copy of the deed to the property where the Gaming Establishment will be

located.

§ 20-8-4 Displaying Facility License

Any facility license issued must be displayed by the licensee in a conspicuous public
place within the Gaming Establishment so that it may be viewed by patrons.

CHAPTER 9
VENDOR LICENSES

§ 20-9-1 Standard for Vendor Licensing

No gaming license shall be issued to any applicant under this section who is determined
by the Commission to be a Person whose prior activities, criminal record, if any, and reputation,
habits and associations (both business and personal) pose a threat to the public interest or to the
effective regulation of gaming, or create or enhance the dangers of unsuitable, unfair, or illegal
practices, methods, and activities in the conduct of Gaming Activities or the business and
financial arrangements incidental to the conduct of Gaming Operations and Establishments.

§ 20-9-2 Vendor Applications

(a) All Gaming Vendors and Non-Gaming Vendors shall submit a completed
application, which shall include, but not be limited to, the following:

qd) The name of the entity, the type of business organization (partnership,
corporation, limited liability company), the physical address and phone
number;

(2) The names of all Principals;

(3) A description of any previous or existing gaming or business relationship
with any Indian tribe, including ownership interests in those businesses;

25



Tribe Coumodl Codimance Ly

T€O 2010-002 Ps
<p
ORDINANCE AMENDING u
SECTION 20--GAMING

WHEREAS, the Poarch Band of Creek Indians is a federally recognized Tribe organized
pursuant to 25 C.F.R. 83;

WHEREAS, the Constitution of the Poarch Band of Creek Indians authorizes its Tribal Council
to enact, amend or repeal an ordinance;

WHEREAS, the Tribal Council enacted the current version of Section 20 of the Tribal Code,
which is known as the Gaming Ordinance, on July 26, 1993 by Tribal Council
Ordinance 93:001;

WHEREAS, the passage of time and the Tribe’s participation in Secretarial Procedures
requires that the Gaming Ordinance be substantially revised; and

WHEREAS, the Tribal Council desires to update the Gaming Ordinance.

NOW THEREFORE BE IT ORDAINED that the Tribal Council amends and replaces the
Section 20 of the Tribal Code as follows:

§20
GAMING

CHAPTER 1
GENERAL PROVISIONS

§ 20-1-1 Title

This Section of the Poarch Band of Creek Indians Tribal Code shall be known as the
“Gaming Ordinance.”

§20-1-2__ Purpose

The purpose of this Gaming Ordinance is to govern and regulate the operation, conduct,
and playing of all forms of gaming on the Tribe’s Indian lands.

§ 20-1-3 Definitions

Unless a different meaning is clearly indicated in this Gaming 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 regulations of the National Indian Gaming Commission (“NIGC”),
25 C.F.R. § 500 et seq.:

(a) Class II Gaming means class II gaming as defined by IGRA and regulations of the
NIGC.

(b) Class III Gaming means class III gaming as defined by IGRA and regulations of
the NIGC.



(e)

20-11-3

(a)

(b)

(©)

(d)

§ 20-11-4

Any other sanction and/or penalty the Commission deems necessary to carry out
the purposes of this Gaming Ordinance; however, the sanction and/or penalty may
not violate any applicable laws.

Hearings and Appeals

Any action or decision taken without a hearing by the Commission may be
appealed by any Person aggrieved by a decision made or action taken by filing a
petition no later than thirty (30) days after the petitioner knew or should have
known of the decision or action. The Commission shall grant a prompt hearing
upon receiving such a petition and shall reconsider its decision or action in light
of evidence and argument presented at a hearing.

All license hearings and enforcement hearings shall be conducted by rules and
regulations established by the Commission. Furthermore, the Commission shall
comply with any hearing procedures and/or requirements set forth in a Class III
Compact or Secretarial Procedures.

In all cases, the licensee or respondent shall, at a minimum, be provided with
notice of the proceeding, an opportunity to be present, and an opportunity to
present evidence to the Commission and confront and cross-examine witnesses.

Any dispute resulting from a decision of the Commission may be appealed to the
Tribal Court within fourteen (14) days after notification of the Commission’s
decision is received. The decision of the Commission shall be upheld unless it is
arbitrary and capricious, an abuse of discretion, not supported by substantial
evidence or unauthorized by law; provided that there shall be de novo review on
all questions of law.

Enforcement Actions in Tribal Court

(a)

(b)

§ 20-11-5

The Commission may bring an action in the Tribal Court to enforce a civil
sanction and/or penalty issued by requesting an order:

qd) To seize any Gaming Devices, proceeds or other property of a licensee
connected with the Gaming Activities engaged in by the licensee;

(2) To garnish any wages or payments from the Tribe to collect any unpaid
fees, interest, or penalties;

(3) To execute on any nonexempt property of a Person located within the
boundaries of Indian Lands; and/or

(4) For any other action deemed necessary or appropriate.
The Tribal Court shall have jurisdiction over any action brought by the
Commission to the fullest extent permitted by law and shall have the authority to

enforce any and all penalties and/or sanctions provided for within this Gaming
Ordinance and elsewhere.

Ex Parte Communications

(a)

Neither the licensee nor any witnesses shall have any oral or written
communication regarding any matter before the Commission with the
Commissioners. Any such communication shall be reported in writing to the
Commission staff who, in turn, will report the communication to the other
members of the Commission, so that necessary and appropriate measures may be
taken, including, but not limited to, disqualification from participation in the
proceedings.

28



(aa)

(bb)

(cc)

(dd)

(ee)

(ff)
(gg)
(hh)

(ii)

(5) A proposed budget, which shall constitute a plan of operation, shall be
prepared prior to the beginning of each fiscal year and shall be submitted
to the Tribal Council for approval; and

(6) General policies, which shall include, among other appropriate matters, a
statement of purpose, a statement of policy, a statement of administrative
policies, and a statement of personnel policies, shall be adopted;

Enter into agreements, contracts, or similar documents with any governmental

agency or with any Person within the limitations established by this Gaming
Ordinance;

Purchase, receive, lease, or otherwise acquire, and own, hold, improve, use, and
otherwise deal with Commission Personal Property, or any legal or equitable
interest in this property, wherever located;

Sell, convey, mortgage, pledge, lease, exchange and otherwise dispose of all or
any part of the Subject Commission Property; provided, however, that, with
respect to Commission Real Property, the Commission shall obtain the prior
written approval of the Tribal Council;

Incur liabilities, borrow money and issue temporary or long-term evidence of
indebtedness, secured by the Commission Personal Property; provided, however,
that with respect to indebtedness in an aggregate principal amount in excess of
$500,000.00, the Commission shall obtain the prior written approval of the Tribal
Council;

Lend money, invest and reinvest its funds, and receive and hold real and personal
property as security for repayment;

Hire employees and agents, and define their compensation;

Establish committees as deemed necessary;

Transact any lawful business that will aid the Commission and perform any other
act not inconsistent with the law that furthers the business and affairs of the
Commission; and

Take such other actions and issue such orders as the Commission may deem

necessary and proper to fully perform its duties and responsibilities under this
Gaming Ordinance.

§ 20-3-3 Sovereign Immunity

Except as expressly provided herein, nothing in this Gaming Ordinance shall constitute or
be interpreted as a waiver by the Tribe of sovereign immunity from unconsented lawsuits, nor as
consent by the Tribe to the bringing of any action against the Tribe, its officers, agents,
employees, departments, or business entities. By enacting this Gaming Ordinance, however, the
Tribe hereby authorizes the Commission to grant, by specific written agreement with any party, a
limited waiver of the Commission’s sovereign immunity, but only with respect to itself and only
with respect to a contract, claim, or obligation entered into or assumed by the Commission and
only up to the contract amount.

§ 20-3-4 Rules and Regulations

(a)

Any rules or regulations the Commission deems necessary to administer this
Gaming Ordinance shall be promulgated only upon thirty (30) days notice of the
proposed rulemaking action, which shall be provided to the Tribal Council and
posted at the tribal offices.

12



legal or accounting services, shall be specifically included within the scope of the
audit described in subsection (a).

(c) The results of the audit described in subsection (a) shall be submitted to the

NIGC.

§ 20-4-3 Reporting Criminal Activity

All matters and occurrences which indicate that a criminal act may have occurred in or
around any Gaming Establishment shall be reported to the appropriate law enforcement agency

and the Commission.

§20-4-4 Gaming Machine Fee

A gaming machine fee in an amount established by the Tribal Council shall be paid to the
Tribe. This fee shall be guaranteed and shall have priority over all expenses and other cash
disbursements including the retirement of development and construction costs.

§ 20-4-5 Prohibited Actions Enumerated

(a) In addition to those actions or omissions prohibited elsewhere within this Gaming
Ordinance, the following actions or omissions are hereby prohibited:

a)

(2)

Q)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

qa)

No Person shall provide, operate, or conduct any gaming activity in a
Gaming Establishment within the exterior boundaries of Indian Land
without a gaming license issued by the Tribal Gaming Commission as
prescribed by this Gaming Ordinance.

No Person shall provide false information in connection with any
document or proceeding under this Gaming Ordinance.

No Person shall fail to account fully for all monies received, collected, or
paid in connection with Gaming Activities.

No person under the age of eighteen (18) years shall be permitted to
participate in Gaming Activities.

No person under the age of eighteen (18) years shall be permitted to work
in any Gaming Establishment.

No Person shall engage in cheating in any Gaming Activity or in any
Gaming Establishment.

No Person, other than a law enforcement officer or security personnel,
may enter or remain in a Gaming Establishment licensed under this
Gaming Ordinance while in the possession of a firearm.

No Person shall violate any provision of this Gaming Ordinance or any
order of the Tribal Gaming Commission.

Any Person who is in privity with a violator shall be deemed to be in
violation of this Gaming Ordinance to the same extent as the violator, and
shall be treated accordingly.

Any Primary Management Official is responsible to ensure that all Key
Employees assisting in the operation of any Gaming Activity comply with
this Gaming Ordinance.

No Person shall: