DEC 1 1 2906 

Mr. Jason Greenwalt 

Gaming Commissioner-Executive Director 

Citizen Potawatomi Nation Gaming Commission 

1601 S. Gordon Cooper Dr. 

Shawnee, OK 74801 

Re: Amended Gaming Ordinance 

Dear Mr. Greenwalt: 

This letter is in response to your request for the National Indian Gaming Commission 

(NIGC) to review and approve the Citizen Potawatomi Nation's Amended Gaming 

Ordinance, Ordinance No. 07-01, enacted by the Nation's Business Committee on August 

3 1,2006. 

This letter constitutes approval of your submission under the Indian Gaming Regulatory 

Act (IGRA). It is important to note, however, that approval is granted for gaming only 

on Indian lands, as defined the in IGRA, over which the Nation has jurisdiction. 

the Amended Gaming Ordinance for review and approval. The 

to working with you and the Nation on future gaming 

Chairman 

CC/ John A. Barrett, Tribal Chairman 

NATIONAL HEADQUARTERS 1441 L St. NW, Suite 9100, Wash~ngton, DC 20005 Tel. 202 632.7003 Fax 202 632 7066 WWW.NIGC.GOV 

REGIONAL OFFICES Portland, OR; Sacravento. CA, Phoenix, AZ; St Paul, MN, Tulsa, OK 
Citizen Potawatorni Nation 

Ordinance #07-01 

BE IT ENACTED BY THE BUSINESS COMMITTEE OF THE CITIZEN 

POTAWATOMI NATION: 

The Citizen Potawatomi Nation Gaming Ordinance is amended to read as 

follows: 

SECTION 1 : CITATION 

This ordinance shall be known and may be cited as the "Citizen 

Potawatomi Nation Gaming Ordinance" and shall apply to all forms of gaming 

conducted within the jurisdiction of the Citizen Potawatomi Nation. 

SECTION 2: PURPOSES 

The pur oses of this ordinance are to promote the public order, peace, safety and we I' fare of all persons coming within the jurisdrction of the Citizen 

Potawatomi Nation, to provide a safe and wholesome means of recreational 

activity in a community setting, and to provide a source of revenue for the 

operation of the programs and departments of the Tribal government by ensuring that any gaming act~vity conducted whether Class I, Ill or Ill is fair, responsible, 

and consistent with applicable federal law including the regulations and 

uidelines established by Public Law 100-497, known as "The Indian Gaming 8 egulatory Act," and/or any Tribal-State Compact to which the tribe is a party. This ordinance shall be liberally construed to promote these purposes. 

SECTION 3: DEFINITIONS 

Unless the context clearly indicates a different meaning, the following words are defined as: 

a. "Tribe" (and any of its derivations) means the Citizen Potawatomi 

Nation. 

b. "Class I Gaming" means social games solely for prizes of minimal I$ 5 1 

value or tradit~onal forms of Indian gaming engaged in by 1; individuals as a part of or in connection with Tribal ceremonies or 

celebrations. ,I 

Fi 

lEf 
c. "Class II Gaming" means il 1p1 (1) "Bingo," which means a game of chance (whether or not 

electronic, computer, or other technologic aids are used in if, 

I? 1 

connection therewith) !CI I b~

1% L.. I (a) played for prizes, including monetary prizes, with /kl 

cards bearing numbers or other designations, (@I /g; 

/I I 

(b) in which two (2) or more players must be competing jt $1 

for a game to begin, 121 !!;I 

(c) in which the holder of the card covers such numbers 

or designations when objects similarly numbered or 

designated, are drawn or electronically determined, 

and 

(d) in which the game is won by the first person covering 

a previously designated arrangement of numbers or 

designations on such cards, including (if played in the 

same location) pull tabs, lotto, punch boards, lip jars, 

instant bingo, and other games similar to bingo, and 

(2) "Card Games" that: 

(a) are explicitly authorized by the laws of the State of 

Oklahoma, or 

(b) are not explicitly prohibited by the laws of the State of 

Oklahoma and are played at any location in the State 

of Oklahoma, but only if such card games are played 

in conformity with those laws and regulations (if any) 

of the State of Oklahoma regarding hours or periods of operation of such card games or limitations on 

wagers or pot sizes in such card games. 

ii.1 

1 Ij I 

1, ' 

i I 11 ; I! 3 i 

'1 ! 

/j I 

ii i .; 1; : 1: 1 ii 1 

Ii / if. ; 1; 1 I' I 1: I 

(3) The term "Class II Gaming" does not mean: i j 

I ' ii 1 (a) any house-banked card games, including baccarat, I i 

chemin de fer, or blackjack (21), or i: I 11 i

/i , % 

(b) electronic or electromechanical facsimile of any game 't I 

i of chance which can be played as a standalone slot ! 

machine IP , I 

d. "Class Ill Gaming" means all forms of gaming that are not Class I or 

Class II but are now or hereafter permitted by the State of 

Oklahoma. 

0813 112006 r 

CITIZ-EN PO-~AW&OMI NATION /[ .- -. - --- - . . . ~ 

g!;yFS> .";=: CT,l:i 5:.,-.z:>:r:1.1.77J :>, .'.,3< i)iB z;_2;y 7*,Y:Y 7;;1>f;-5c>555T';c.,T;y>FLL7 ,; : ^,i;> .. ;. ..... .x.::.:. ". -..,...n, .b.<.' I~.,: - .,.L ,.-r .. -4,L.::..z~-- $ -:.-,;,,.,. .,-?,-; .... +. < .. .. .,,> 2B.:~jj.~:,g..a'r,;.r:.. .-.-.. .>*-.-.. ..-..-..,.,. . ~ ' -.+..i: ,- .*-,-.-. .i:. . . .;:. . ;.. , - ...! ! . .~ ~ ~ . -.- ~-~ ~ .. -- . - . . -p 
$1 ! ,- 

? ,G 

$1 

,ks\ 

ts. @I , . 

Id' 

![l/ 

/; .I ,t,i 

!! 

;; i . I 

:: j 

i; / 

j 

I: r i! i 

ii I ij / !I ' 

ir i 

;i 1 I j 

li ; it. ; 11 I 

ii ' 

lL 11 ! ii / ,. , ,s , 

I i': 

; ! 1%) 

/I !

1) 1 

I 

I! I 

! 

I$, 

\I' ' ,i ' 

11 ; Idi , I' i 

!t I $5 ! 

".! in 1 i 

;!-I 

if1 

;f.' 

0813 112006 CITIZEN POTAW~OMI NATION -. - - .. ~. -- - - .- --.-; - - - --.T.---.-----.y--.-,-;7 .- -. -- 

r .._-;pi.-; -- .-.- - . ~- . : - ;>~.j>~~s-.z:;.::,~,;.- ,.p.:;,: ;:: ---::.-: .:,:.:.-; ,,-,,:, :-:.7; : 2 ..-,>:;;:, r,;,,, : :'.,: ..>:. . .,, .................................... 7 : *. - :->, , -L- . -. i.:'.<-..i . ---. ~ ~ ..~ ~.~ ~ .~. ... . . . 

SECTION 4: APPLICATION OF NET REVENUES 

In compliance with 25 U.S.C. 5 2710(b) (2) (B), net revenues from any gaming activity, are not to be used for purposes other than: 

a. to fund Tribal government operations or programs; 

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

c. to promote Tribal economic development 

d. to donate to charitable organizations; 

e. to help fund operations of local Government Agencies; or 

"Gross Revenue" means the total revenues from the operation of 

gaming including among other things, entry fees, special session 

fees, proceeds from the sale or rental of gaming cards or supplies, 

sale of food or drink and similar items. 

"Net Revenues" means gross revenues of a gaming activity less 

amounts paid out as, or paid for, prizes and total operating 

expenses including debt service but excluding management fees 

paid to a management contractor within the meaning of 25 U.S.C. 5 

271 1 (C). 

"Expenses" means all sums actually expended and reasonable and 

necessary for the gaming operation including, by example, 

supplies, equipment, non-cash prizes, facilities, securrty services, 

license fees, rent, employees and other personnel services. 

"Court" means the courts of the Citizen Potawatomi Nation. 

"NIGC" means the National Indian Gaming Commission. 

"Gaming Commissioner" means the person appointed by the 

Business Committee pursuant to Pott. Ord. No. 92-12 (Oct. 2, 

1991). 

"Gaming Commission" means the Gaming Commissioner's Staff. 

"GM" means General Manager of a Citizen Potawatomi Nation 

gaming facility. 
I f. any other purpose permitted under the Act. 

SECTION 5: GAMING PROHIBITED I@/ 

lk 

Except as provided herein no person shall conduct any form of gaming 

within Tribal Indian Country for which a charge is made or other consideration 

requested or required for participation, or to the winner of which any prize is 

awarded. 

SECTION 6: GAMING ALLOWED 181 

:II 

13; 

The only form of gaming allowed within Tribal jurisdiction is that duly 

licensed and authorized by the Tribe and subject to the regulations of the Tribe 

and the Indian Gaming Regulatory Act, or any Tribal-State compact for Class Ill 

Gaming approved by the Chairman and the Secretary of the Interior. 

'$8 

SECTION 7: GAMING OPERATIONS '.;I 

' %I 

1 i* 

The Tribe shall have sole proprietary interest in and be responsible for the lz!l 

conduct of all gaming operations. The Tribal Business Committee administers the i- I 

Tribal gaming operations consistent with this ordinance. The Tribal Administrator, I;" 

'i I ti I or in his absence, the Chairman of the Business Committee or his designee, 11 .I 

shall be the liaison between the Business Committee and the GM. The Gaming I: ;I 

I l Commission regulates and monitors compliance with this ordinance, any Tribal- ! , I! State compacts, and all applicable federal or tribal laws on behalf of the Tribe. I, '1 I 

SECTION 8: MANAGEMENT OF GAMING OPERATIONS 11 / 

i' 

, 'i I All gaming operations shall be administered by the GM who is employed i 

by and serves at the pleasure of the Business Committee. 1 

r 

! Y 

SECTION 9: LICENSE FOR LOCATION 

No Class II or Class Ill gaming shall be allowed at any location unless a 1 I 

separate license is issued by the Gaming Commission upon approval by the ! ; Business Committee for such site. I 

I i 

'1 1 i / c 

I! I 

SECTION 10: PUBLIC SAFETY STANDARDS i [ 1 I 

In compliance with 25 U.S.C. 5 2710 (b) (42) (E), the construction and ![ 1 

maintenance of any gaming facilities, and the operation of gaming activities, shall ' 

i 

I[! 

'h 1 I ti 
be conducted in a manner which adequately protects the environment and the 

public health and safety and for that purpose shall comply with the requirements 

of any applicable Tribal-State Compact and all other applicable health, safety and 

environmental standards enacted by the Tribe. 

SECTION 11 : QUALIFICATIONS OF GENERAL MANAGER 

The General Manager must: 

a. Never have been convicted of a felony, gaming offense, or crime 

involving dishonesty or moral turpitude. 

b. Not have been convicted of any offense except traffic violations 

within two years from the date of employment. 

c. Not be a member of the Business Committee or Grievance 

Committee or related to any member of the Business Committee or 

Grievance Committee by blood or marriage within the second 

degree. 

d. Not have had his surety bond forfeited or been criminally convicted 

of or found civilly liable for any breach of fiduciary duty to the tribe 

or have been impeached or removed from Tribal office. 

e. Be bondable in the necessary amounts. if 

i i 

li ' 

f. Meet any other applicable qualifications as prescribed in the Indian 

Gaming Regulatory Act. it I 

I I 

I 

I! , 

SECTION 12: _DUTIES OF GENERAL MANAGER I ( 

The duties of the General Manager are to: : 

I 

I: ; 

a. Manage and conduct all forms of gaming and concessions of the 1 i 

I Tribal gaming operation allowed under this ordinance. 

IF ' 

/I 1 b. Timely submit all reports required by the Business Committee and 

any applicable law. I1 I 

I ,h 1 

c. Account for all monies and properties entrusted to him. 
SECTION 13: CONDUCT OF GAMING OPERATIONS 

The General Manager shall conduct the gaming operation consistent with 

the following: 

a. The rules of play and operation of the game as prescribed and 

approved by the Gaming Commission and the Business 

Committee. 

b. Each and every player has a fair and equal opportunity to win. 

c. The method of winning and the prize or prizes for each game 

should be clearly outlined before each game. 

d. The winner or winners of each game shall be verified in a manner 

that all present may witness. 

e. No person who is conducting or assisting in the gaming operation 

shall participate directly or indirectly in the play of that game. 

f. No person under eighteen (18) years of age shall be permitted to 

play for any reason. 

g. Helshe shall make determination as to the validity of a winner or 

winners at the conclusion of the game at which they were a winner. 

If the GM's decision is disputed, it will be forwarded to the Gaming 

Commission for the final resolution. 

h. No alcoholic beverages or drugs of any kind shall be permitted in 

the facility during the time that the facility is being used for the 

gaming operation, unless the Business Committee has issued an 

Alcoholic Beverage license for on-premises consumption. 

I. Persons excessively intoxicated, under the influence of drugs, or in il , 

any violation of Tribal law or ordinance shall be permitted neither to /I I i engage in any form of gaming nor to remain in the building when 

gaming is being conducted. 1 I 

Ii j It I 

1; 

SECTION 14: GAMING FACILITY EMPLOYEES if 

i 

I 

I[ i I / 

The following shall apply to employees of the gaming facilities: I 1 ,I ! 

a. All persons employed in the gaming operation shall be licensed by 

the Gaming Commissioner as prescribed by the Indian Gaming 

Regulatory Act or any Tribal-State compact. 
b. Each employee will wear his or her license in a visible manner 

when operating or assisting in the operation of a gaming facility. 

c. No person shall be employed whose prior activity, criminal record, if 

any, or reputation, habits and associations pose a threat to the 

public interest or the effective regulation of gaming, or create or 

enhance the dangers of unsuitable, unfair or illegal practices and 

methods and activities in the conduct of gaming. 

d. As necessary, the Business Committee may require the GM or any 

other "key" employee to be bonded in an amount not less than 

$50,000 payable to the tribe. 

e. Background investigations will be conducted on the primary 

management officials and key employees as prescribed in the 

Indian Gaming Regulatory Act, federal regulations, or any tribalstate compact and the results forwarded to the NlGC prior to the 

issuance of licenses. ,<.I .'s 

f. When licenses are issued, the Gaming Commission will promptly ,dl 

l a' notify the NlGC as described in the Indian Gaming Regulatory Act, I , j .& ., ( 

federal regulations, or any tribal-state compact for Class Ill gaming. $1-j 

I:/ 

g. The GM shall employ qualified tribal members in preference to other I, *I 

equally-qualified applicants for work, but shall not be required to I: 

I/ I employ or retain in employment unqualified tribal members. , 'i I 

li ' 

SECTION 15: GAMING FACILITY RECORDS 

j:j 

I,' ' 

it I 

,! 

The General Manager shall be responsible for storing and maintaining i' 

i / 

records concerning all gaming operations. These records shall be audited 'I I 

1, 

annually and the audit reports shall be open for inspection by any Tribal member 1 

1; I 

at the office of the Tribal Administrator. i: I! , ~ 

I; i 11 ! 

SECTION 16: ESTABLISHMENT OF GAMING COMMISSION 'i 

I! ; ii: ' 

The Citizen Potawatomi Nation Gaming Commission ("Gaming 

Commission") having been previously established under prior gaming ordinances 

shall continue to act as the regulatory body of the Tribe. The Gaming 

Commissioner may act as the Executive Director. The Gaming Commissioner 

shall establish a professional staff for purposes of investigations, licensing, 

auditing, and compliance as deemed necessary. The Gaming Commissioner 

shall report directly to the governing body of the Citizen Potawatomi Nation. 

0813 1/2006 CITIZEN PO-~AW~TOM I FJATION 
SECTION 17: GAMING COMMISSIONER QUALIFICATIONS 

Gaming Commissioner must: 

a. Never have been convicted of a felony, gaming offense or crime 

involving dishonesty or moral turpitude. 

b. Not have a direct or indirect financial interest in the gaming 

facilities. 

c. Not have been convicted of any offense except traffic violations 

within two years from the date of employment. 

d. Not be a member of the Business Committee or Grievance 

Committee or related to any member of the Business Committee or 

Grievance Committee by blood or marriage within the second 

degree. 

e. Not have had his surety bond forfeited or been criminally convicted 

of or found civilly liable for any breach of fiduciary duty to the tribe 

or have been impeached or removed from Tribal office. 

f. Be bondable in the necessary amounts. 

h. Meet any other applicable qualifications as prescribed in the Indian 

Gaming Regulatory Act. 

SECTION 18: COMPENSATION 

The Gaming Commissioner shall be compensated at a rate established by the 

Business Committee. 

SECTION 19: MEETINGS 

(Resewed) 

SECTION 20: QUORUM 

(Reserved) 
SECTION 21: GAMING COMMISSION FUNDING 

The Gaming Commission functioning as an independent, non-profit entity 

shall be funded as follows: 

a. The Gaming Commissioner shall determine licensing fees, to 

adequately operate and regulate, and propose a budget on an 

annual basis to the Business Committee for approval. 

b. The Gaming Commission shall collect any licensing fees required. 

Such fees shall become tribal revenues and will be specifically 

disbursed to the Gaming Commission budget as approved by the 

Business Committee. 

SECTION 22: FUNCTION OF THE GAMING COMMISSION 

The Gaming Commission shall have the following powers and duties: 

a. To ensure that all gaming within the Tribe's jurisdiction is operated 

in accordance with all applicable laws and regulations including the 

background checks and licensing of all employees of the gaming 

operation pursuant to 25 CFR 558.1 (b). 

b. The Gaming Commission shall be recognized as a law enforcement 

authority for the purposes of conducting background investigations 

and fingerprinting, enforcing regulations, and investigating incidents 

of possible cheating, fraud, theft, or collusion. 

c. Conduct background investigations on management officials, key 

tribal gaming employees, and vendors in accordance with IGRA, 

NlGC regulations, and/or Tribal-State Compact provisions and 

forward them for NlGC and/or State review. 

d. Issue, deny, review, rescind, put conditions on, suspend or revoke 

tribal gaming licenses for management officials, key tribal gaming 

employees, and vendors. 

g. Promulgate tribal gaming regulations in accordance with tribal and 

Federal law and Tribal-State compact requirements for gaming as 

needed. 

h. Establish or approve Tribal Minimum Internal Control Standards 

and policies and procedures for the operation of the gaming 

facilities, including but not limited to rules for cage and vault, credit, 
. ~~~-~~~,~J~.~~~~;~~~2~z~~:~~~x~:2.;.,-~.;~~?<~:,~ &~~~L::;~,~;.:~-~p: ~ ~ 

table games, gaming devices, and surveillance and security 

standards. 

Establish regulations and procedures for proceedings including but 

not limited to evidence, representation, and hearing officers for , -11 ,P! ig' patron dispute hearings as described in Section 30 (b) and $2 E' licensing hearings as described in Section 23 (h) of this ordinance. P/ i 

&li @I Continuously regulate and monitor gaming operations to ensure 1121 h3 1 

compliance with Tribal and Federal law and Tribal-State compact I@, 

iL1 

lfi, 

requirements. I..?/ 1 p 

! -1 3 \g, k. Oversee and/or conduct audits of the gaming facilities, including l;gj Irp, 

8 '7 audits of service and supply contracts. 4 ,.,.I !ha. 

!15! lk$i Conduct investigations of any alleged misconduct, take appropriate !GI 

enforcement action, and make appropriate referrals to Tribal, State, If.5, I-ii 

and Federal law enforcement agencies. li-;i ,b5~ 

,Y;I 

'F I 

It 

m. Conduct hearings, take testimony, take disciplinary actions, levy I! ' 

fines, issue closure orders and resolve patron disputes. I 

'I ' 

L 1 

n. Ban, bar, or exclude patrons from gaming facilities. I , i 

o. Perform licensing responsibilities and duties assigned in Sections I! 

23 and 24 of this ordinance. I. I 

p. Perform reporting responsibilities to the IRS as stated in Section 28 I! I 

of this ordinance and ensure proper reporting in accordance with ,: a Title 31 of the US Code. 7 

! 

q. Work cooperatively with all applicable Tribal, State, and Federal ! 

regulatory and law enforcement agencies. I II ;I I 

SECTION 23: EMPLOYEES LICENSED 

11 ' 

The Gaming Commissioner shall ensure that the policies and procedures I 

i set out in this section are implemented with respect to key employees and I : t 

primary management officials employed at any gaming facility operated on tribal i' 

Definitions. For the purposes of this section, the following 

definitions apply: 

(1) Key employee means those key employees as defined in 

any statute or regulation and at a minimum includes: 
(a) A person who performs one or more of the following 

functions: (1) Bingo caller; (2) Counting room supervisor; (3) Chief of Security; (4) Custodian of gaming 

supplies or cash; (5) Floor manager; (6) Pit boss; (7) 

Dealer; (8) Croupier; (9) Approver of credit; or (10) 

Custodian of gambling devices including persons with 

access to cash and accounting within such devices. 

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

total cash compensation is in excess of $50,000 per 

year; or 

(c) If not otherwise included, the four most highlycompensated persons in the gaming operation. 

(2) Primary management official means: 

(a) The person having management responsibility for a 

management contract; 

(b) Any person who has authority to hire and fire 

employees or to set up working policy for the gaming 

operation; or 

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

financial management responsibility. 

b. Application Forms 

(1) The following notice shall be placed on the application form 

for a key employee or a primary management official before 

that form is filled out by an applicant: 

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

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

U.S.C.A. 5 2701 et seq. The purpose of the requested information is to 

determine the eligibility of individuals to be employed in a gaming operation. The information will be used by National Indian Gaming Commission 

members and staff who have need for the information in the performance 

of their official duties. The information may be disclosed to appropriate 

Federal, State, local or foreign law enforcement and regulatory agencies 

when relevant to civil, criminal or regulatory investigations or prosecutions 

or when pursuant to a requirement by a tribe or the National Indian 

Gaming Commission in connection with the hiring or firing of an employee, 

the issuance or revocation of a gaming license, or investigations of 

activities while associated with a tribe or a gaming operation. Failure to 
consent to the disclosures indicated in this notice will result in a tribe's 

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

employee position. 

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

However, failure to supply a SSN may result in errors in processing your 

application." 

(2) Existing key employees and primary management officials 

shall be notified in writing that they shall either: 

(a) Complete a new application form that contains a 

Privacy Act notice; or 

$1 

(b) Sign a statement that contains the Privacy Act Notice 

and consent to the routine uses described in that /:$I 9 1 notice. , ilz] * 

'!I 

Iiij 

(3) The following notice shall be placed on the application form jf-1 for a key employee or a primary management official before ,I I 

that form is filled out by an applicant: li:, 

!if' 

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

hiring you, or for firing you after you begin work. Also, you may be 

punished by fine or imprisonment." (U.S. Code, Title 18 Section 1001). 

(4) The Gaming Commission shall notify in writing existing key 

employees and primary management officials that they shall 

either: 

(a) Complete a new application form that contains a 

notice regarding false statements; or 

(b) Sign a statement that contains the notice regarding 

false statements 

c. Background Investigations: 

(1) The Gaming Commission shall request from each primary 

management official and from each key employee all of the 

following information: 

(a) Full name, any other names used (oral and/or 11 1 

written), social security number(s), birth date, place of Ii' I 

I/ i 

birth, citizenship, gender, all languages spoken or ,#-I! j 

written; 

C-ITIZEN POIAW~MI NATION I[, 
Currently and for the previous five years: business 

and employment positions held, ownership interests 

in those businesses, business and residence 

addresses, and driver's license numbers; 

The names and current addresses of at least threepersonal references, including one personal reference 

that was acquainted with the applicant during each 

period of residence listed under Paragraph (1) (b) of 

this section; 

Current business and residence telephone numbers; 

A description of any existing and previous business 

relationships with Indian tribes, including ownership 

interests in those businesses; 

A description of any existing and previous business 

relationships with the gaming industry generally, 

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; 

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 years of the date of the 

application, the name and, address of the court 

involved and the date and disposition; 

For each criminal charge (excluding minor traffic 

charges), whether or not there is a conviction, if such 

criminal charge is within ten years of the date of the 

application and is not otherwise listed pursuant to 

Paragraph (1) (h) or (1) (i) of this section, the criminal 

charge, the name and address of the court involved 

and the date and disposition; 
(k) The name and address of any licensing or regulatory 

agency with which the person has filed an application 

for an occupational license or permit, whether or not 

such license or permit was granted; 

(I) A current photograph; 

(m) Any other information the Gaming Commission 

deems relevant; and 

(n) Fingerprints consistent with procedures adopted by 

the Tribe according to 25 C.F.R. 5 522.2(h) which 

shall be submitted to check the criminal history 

records information maintained by the Federal Bureau 

of Investigation; 

(2) The Gaming Commission shall conduct an investigation 

sufficient to make a determination under Subsection d 

below. In conducting a background investigation, the 

Gaming Commission or its agent shall promise to keep 

confidential the identity of each person interviewed in the 

course of the investigation. 

d. Eligibility Determination. 

The Gaming Commission shall review all the information referred to 

in Subsection c of this Section including but not limited to a 

person's prior activities, criminal record, if any, and reputation, 

habits and associations to make a finding concerning the eligibility 

of a key employee or primary management official for employment 

in a gaming operation. If the Gaming Commission determines that 

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

the effective regulation of gaming, or creates or enhances dangers 

of unsuitable, unfair, or illegal practices and methods and activities 

in the conduct of gaming, a tribal gaming operation shall not employ 

that person. 

e. Procedures for Forwarding Applications and Reports for Key 

Employees and Primary Management officials to the Nation Indian 

Gaming Commission. 

(1) When a key employee or primary management official 

begins work at a gaming operation authorized by this 

ordinance, the Gaming Commission shall forward to the 

National Indian Gaming Commission a completed 

application for employment and conduct the background 

0813 112006 CITIZEN POTP\YA~OMI N,4TION 
investigation and make the determination referred to in 

Subsection d of this section. 

(2) The Gaming Commission shall forward the report referred to 

in this subsection to the NIGC within 60 days after an 

employee begins work or within 60 days of the approval of 

this ordinance by the Chairman of the NIGC. 

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

primary management official a person who does not have a 

license after 90 days. 

Report to the NIGC. 

(1) Pursuant to the procedures set out in Subsection e of this 

section, the Gaming Commission shall prepare and forward 

to the NIGC an investigative report on each background 

investigation. An investigative report shall include all of the 

following: 

(a) Steps taken in conducting the background 

investigation; 

(b) Results obtained; 

(c) Conclusions reached; and 

Ibi iki (d) The basis for those conclusions. 

(2) The Gaming Commission shall submit, with the report, a 

copy of the eligibility determination made under Subsection d 

of this section. 

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

Commission: 

(a) Shall notify the NIGC; and 

(b) May forward copies of its eligibility determination and 

investigative report (if any) to the NIGC for the 

inclusion in the Indian Gaming Individuals Records 

(4) With respect to key employees and primary management 

officials, the Gaming Commission shall retain applications for 

employment and reports (if any) of background 

0813 112006 
investigations for inspection by the Chairman of the NlGC or 

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

date of termination of employment. 

g. Granting a Gaming License. 

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

report, the NlGC notifies the Gaming Commission 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 Gaming Commission has 

provided an application and investigative report to the NIGC, 

the Gaming Commission may issue a license to such 

applicant. 

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

additional information from the NlGC concerning a key 

employee or a primary management official who is the 

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

period under Paragraph g (1) of this section until the 

Chairman of the NlGC receives the additional information. 

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

NlGC provides the Gaming Commission with a statement 

itemizing objections to the issuance of a license to a key 

employee or to a primary management official for whom the 

Gaming Commission has provided and application and 

investigative report to the NIGC, The Gaming Commission 

shall reconsider the application, taking into account the 

objections itemized by the NIGC. The Gaming Commission 

shall make the final decision whether to issue a license to 

such applicant. 

h. License Suspension. 

(1) If, after the issuance of a gaming license, the Gaming 

Commission receives from the NlGC reliable information 

indicating that a key employee or primary management 

official is not eligible for employment under Subsection d 

above, the Gaming Commission shall suspend such license 

and notify in writing the licensee of the suspension and the 

proposed revocation. 

(2) The Gaming Commission shall notify the licensee of a time 

and place for a hearing on the proposed revocation of a 

license. 
(3) After a revocation hearing, the Gaming Commission shall 

decide to revoke or to reinstate a gaming license. The 11 I' 

Gaming Commission shall notify the NlGC of its decision. f , 'k 

151 

SECTION 24: PROCEDURES FOR BACKGROUND INVESTIGATIONS 

The Gaming Commission is responsible for the conduct of the background 

investigations and suitability to determinations for licensing of key employees and 

primary management officials. 

a. Organizational Chart. 

(1) Gaming Commissioner. 

The Gaming Commissioner under the gaming ordinance 

shall be ultimately responsible for conducting andlor causing 

to be conducted the background investigations on key 

employees and primary management officials. The Gaming 

Commissioner may conduct the investigations personally or 

may, employ Gaming Commission Staff to conduct the 

background investigations on behalf of the Gaming 

Commissioner. The Gaming Commissioner may also 

designate a Licensing Agent responsible for reviewing and 

approving the investigative work performed. The Gaming 

Commissioner or designee shall make all determinations 

concerning the licensing of key employees and primary 

management officials. The results of the background 

investigation shall be submitted to the NIGC. 

(2) Licensing Agents and Background Investigators. 

Licensing Agents and Background Investigators may be 

employed by the Gaming Commissioner to assist in 

background investigations. Any investigators employed for 

background investigations will be under the supervision of 

the Gaming Commissioner or designee referred to in 

Subsection a (1) above. All reports of the investigators will 

be forwarded to the Gaming Commissioner or designee, who 

shall make the reports a part of the Gaming Commission's 

final investigative report submitted to the NIGC. 

(3) Selection of Responsible Individuals. 

Persons responsible for the background investigations are 

granted the authority under the Tribal Ordinance. 
--A- - - - ~~~~~w~~~~~&~~~~r,"~~~~~~~~~-~~~~~~~~

- . . . J;::;~ 

b. Investigative Procedures 

(1) Information Required. 

The Gaming Commission shall secure from each key $1 employee or primary management official applicant all 1 l"1 E; kt 

information required by the tribal gaming ordinance, federal !L 121 law, and regulation. t? I 1% 

(2) Check List. 

The Gaming Commission shall create a checklist which shall 

be used in the verification process. This list shall indicate 

that each item of information received from the primary 

management official or employee applicant has been verified 

through written or oral communication. 

(3) Personal Interviews. 

In inquiring into the applicant's character, the Gaming 

Commission shall interview a sufficient number of 

knowledgeable people such as former employers, personal 

references, and any other individuals which may have 

information as to the reputation, habits and associations of 

the applicant. The Gaming Commission shall interview as 

many individuals as is necessary (in no event shall the 

number of persons interviewed be less than five) sufficient to 

make a finding concerning the eligibility for employment in 

the gaming operation. 

c. Investigative Report I , , ! i 

(1) Content. 

The final investigative report shall identify all potential ;: I problem areas as discovered during the investigation and I) 

shall state the final resolution of each problem area. Further, i i li / the final report shall specifically identify the information IFs , 8 

which formed the basis for the rejection or disqualification of 'i I 

I? any applicant. 11 I 

!I ' 

(2) Procedure. $1 ' 

it"; 

The final investigative report submitted to the NlGC shall set !I I I !

forth in detail the procedure followed by the Gaming I : E I 

Commission in conducting the background investigation. 

0813 1 /2006 : ! 

CITIZEN POT~WA~OMI NATION :i --------.------I_-.--__----___-...__--_-_---_-_--..__-__._____I______ &-., _ -,/ , "'W- ":L. Ta.&r,a,&~u.". ,T-,~ ,q@,w:&\V -;!T ,>-. z-- *,- .-; ,%,. ..i-.-2 *",7 .,:. ..d...;l.<-. ;.+ .,*- < <.. :. .<~. <, , > .:. -: %>Z??. :rf;'r,,. "<~~~y~,:--;:~p'.-i..w&r.~~ .:--'-~..---Fi~~?.i~-r"--.-I,-i;.-.-ii, -..-?I.--., ;--, :-.:: -..: .-.i- .~..c-.r4. .fi?:4.6~4.~1~.~,!~..-=1 lrrrrd :. .;-.. . .. ... ., - . .c.. ...i I -----------..---..-----..------~p- ~ . . ~ ~ -- .p-....----- ~ ~.. ~ . , 
(3) Disclosure. 

The final report submitted to the National Indian Gaming 

Commission shall set forth in detail the results of the 

investigation, including the disclosure of all potential 

problems in the applicant's background and, in detail, the 

facts which demonstrate the existence of the problem. 

(4) Recommendation. 

The final investigative report shall state whether the 

applicant should or should not be granted a license and shall 

state, in detail, the facts that support the grant, or denial of 

said license. 

SECTION 25: ANNUAL AUDIT 

The Business Committee will annually provide the NlGC with a copy of 

that portion of the audit prepared by the Tribe's independent auditor that relates 

to the gaming. This audit will include, among other matters, all contracts for 

supplies, services (except legal or accounting) or concessions in excess of 

$25,000 annually that relate to the gaming operation. 

SECTION 26: GAMING ACCOUNT 

By resolution, the Tribe by Business Committee shall designate one 

banking account as the Tribal "Gaming Account." The account shall be 

maintained in a financial institution designated by the Business Committee. The 

Gaming Account shall be subject to the Annual Audit. Gross revenues derived 

from the conduct of Tribal gaming operations, excluding any cash payouts made 

during a Gaming session shall be deposited in the Tribal Gaming Account. No 

other monies shall be commingled with the Tribal Gaming Account. Except as 

specifically approved by the Business Committee, disbursement from the Tribal 

Gaming Account will only be made to pay reasonable and necessary expenses 

and will only be made on checks endorsed by Tribal Administration (two 

Executive Committee members). Net revenues are to be transferred monthly to 

the Tribe's General Fund account to be disbursed solely as authorized by 

Business Committee appropriation. 

SECTION 27: SUPPLIES AND EQUIPMENT 

All reasonable and necessary expenses of the gaming operation must be 

approved by the Tribal Administration. Provided further that all contracts for 

purchases of supplies, concession or services (excluding contracts for 
- . $~t~~~~~:>~.$~~~'~.~:~~&~z~-~~g~~.~~.~T~~~~.~L~~>~~~~~:~:~-

-7;=?2ZZZ?Z::::, : 

- - . > -- .. --.---A- -. - - -. - -. - - - - - -- 

professional, legal or accounting services) must receive prior approval of Tribal 

Administration, which shall be obtained by the GM by submitting the proper 

requisition. All purchases of equipment, materials, concessions and food or any 

other item paid from the Gaming Account shall be the property of the Tribe. 

SECTION 28: LOCATION AND SCHEDULE OF GAMING 

All gaming sessions authorized herein shall be conducted at a place within Tribal 

jurisdiction and on such days and times as may be approved by the Business 

Committee. The location and time for conducting Class Ill Gaming shall be 

consistent with any Tribal-State compact. 

SECTION 29: DISCRIMINATION 

Notwithstanding any other provision of this section, The Business Committee or 

the GM, or the Gaming Commissioner may bar any person from admittance to 

any Tribal gaming facility for any or no reason whatsoever. However, no person 

shall be discriminated against because of his race, color, creed, sex, or natural 

SECTION 30: PATRON DISPUTE RESOLUTION 

In the event of (a) an alleged personal injury or property damage suffered 

by a patron of the gaming facility, or (b) a dispute between a patron and the 

gaming enterprise regarding the payment of bet or distribution of winnings, the 

patron may make a claim against the gaming enterprise as follows: 

a. Personal Injury or Property Damage. 

(1) Making Claim. 

Any patron having a claim against the gaming enterprise for 

personal injury or property damage shall present a claim to the 

gaming enterprise for any appropriate relief including the award of 

money damages. Claims against the gaming enterprise are to be 

presented within ninety (90) days of the date of the injury or loss 

occurs. In the event a claim is not presented following ninety (90) 

days after the injury or loss occurs, but within one (1) year, any 

judgment in a lawsuit arising from the act which is the subject of the 

claim shall be reduced by ten (10) percent. A claim against the 

gaming enterprise shall be forever barred unless notice thereof is 

presented within one (1) year after the injury or the loss occurs. A 

claim against the gaming enterprise shall be in writing and filed with 

the Tribal Gaming Commission at the address of the gaming 
facility. Notices explaining this procedure shall be posted in the 

gaming facility. Such notices shall explain that this procedure is the 

exclusive method of making a tort claim. Such notices shall explain 

that upon denial of a claim redress must be sought exclusively in 

Tribal Court. 

(2) Notice. 

The written notice of claims of the gaming enterprise shall state the 

following: 

(a) Date; 

(b) Time; 

(c) Place; 

(d) circumstances of the claim; '11 

Id, 

(e) the identities of tribal or gaming employees, and witnesses 

as applicable, 

(f) the amount of compensation or other relief demanded, I; I 1: i 

IL'I (g) the name, address and telephone number of the claimant; 11 , 1 

and 1; I 

1; ,I 

(h) the name, address and telephone number of any agent 1; i ;! ; authorized to settle the claim. /; 1 ,! I 

(3) Denial. 

A claim is deemed denied if the gaming enterprise fails to approve 

the claim in its entirety within ninety (90) days of receipt, unless the 

interested parties have reached a settlement before the expiration 

of that period. A person may not initiate suit against the gaming 

enterprise unless the claim has been denied in whole or in part. 

The claimant and the gaming enterprise may continue attempts to 

settle a claim; however, settlement negotiations do not extend the 

date of denial. 

/t / 

(4) Limitations. i ! 

No action for any cause arising from personal injury or property i[ l 

damage shall be maintained unless valid notice has been given and ;k ! the action is commenced in a tribal court within 180 days after 

/i i 

Cl 11 
denial of the claim as set forth herein. Neither the claimant nor the 

gaming enterprise may extend the time to commence an action by 

continuing to attempt settlement of the claim. 

b. Patron Dispute - Payment of Winnings. 

(1) Administrative Process. 

Any person who has any dispute, disagreement or other grievance 

with the gaming enterprise that involves currency, tokens, coins, or 

any other thing of value, may seek resolution of such dispute from 

the following persons and in the following order: 

(a) a member of the staff relevant of the gaming enterprise. 

(b) the supervisor in the area of the relevant gaming 

enterprise in which the dispute arose. 

(c) the General Manager of the gaming enterprise. 

(2) Patron Rights Regarding Disputes. 

When a patron brings a dispute for resolution through the 

administrative process, the complainant shall have the right to 

explain his or her side of the dispute, and to present witnesses in 

connection with any factual allegations. At each level, if the dispute 

remains unresolved, the complainant shall be informed of the right 

to take the dispute to the next higher level. Resolution of any 

dispute by the personnel of a gaming enterprise shall always 

involve two or more staff members. All disputes, whether resolved 

or not, shall be reported in detail by the staff persons involved to 

their supervisor, the General Manager of the property, and to the 

Gaming Commission. 

(3) Refusal to Pay Winnings. 

Whenever the gaming enterprise refuses payment of alleged 

winnings to a patron and the GM of that enterprise and the patron 

are unable to resolve the dispute to the satisfaction of the patron 

and the dispute involves: 

(a) At least five hundred Dollars ($500.00), the General 

Manager shall immediately notify the Gaming Commission. 

The Gaming Commission shall conduct whatever 

investigation it deems necessary and shall determine 

whether payment should be made; or 

0813 112006 CITIZEN POTACY~~OMI NA7-ION 11'; -- - -- - - - -- - - - -- -- -. -- - -- - . . - - - - . . . . . - - - -- . - -.. - -. -. - - - . .. . -. . - - -. . - - - - -. . -. - -- . . .- -. . . . . . . . ..- - --. - 
(b) Less than five hundred dollars ($500.00), the General 

Manager shall inform the patron of his or her right to 

request that the Gaming Commission conduct an 

investigation. Upon request of the patron, the Gaming 

Commission shall conduct whatever investigation it deems 

necessary and shall determine whether payment should be 

made. 

(4) Limitation of Liability. 

The liability of the gaming enterprise in any proceeding under these 

regulations shall be limited to the amount of the alleged winnings 

and a patron shall not be entitled to an award of special or punitive 

damages, or damages for mental distress. In addition, disputes 

relating to a patron's entitlement to a game prize shall be limited to 

the amount of such prize. The Gaming Commission's decision shall 

constitute the complainant's final remedy. 

(5) Petition to the Gaming Commission I&, 

11 ? 

hi IF: 

Patrons who have complaints against the gaming enterprise shall 

have as their final remedy the right to file a petition for relief with the 

Gaming Commission. Any patron complaint must be submitted in 

writing to the Gaming Commission within thirty (30) days of the 

incident giving rise to the complaint. The Gaming Commission shall 

then grant a hearing. 

. I 

(6) Hearing Procedures - Patron Disputes. lI I I[,i 

11 I 

The Gaming Commission shall establish hearing procedures as I 

stated in Section 19 (i) that shall be used to hear and decide any 

! / if ' 

petition for relief. The Gaming Commission shall then issue a 11 I ig j written decision that shall be sent via certified mail to the patron I; I 

and the GM of the enterprise. I/_ 

1:- 1 ' t 

(7) Petition for Reconsideration. 11 I / i 

iQi 

Within thirty (30) days after the date of receipt of the written if! decision, the aggrieved party may file a petition with the Gaming 11 

Commission requesting a review of the decision. The Gaming 1 I 

Commission may, at its discretion, set a hearing on the matter or IC[ I 

may make a decision based solely upon the prior decision and GI 

other documentation provided to it by the patron and the gaming ill 

enterprise. The decision of the Gaming Commission shall be final 

and binding upon the patron and the gaming enterprise and shall 'li ti 

[Il I"' 

iPI 

IYI 

08/31/2006 If - -. - -. - - -- - - -- - -- - - - - - - - - - - - - - - - - - - - : L'>VL<JZ-~;LT-E"F c ' +$ : : , ;--: - 23.Za" c:*,-:L; -x % . -- b. - --- _ - - - - 

- - - r 

- 

,. ' i. -5 7. 

_==_ - 

CITIZ~ _ is 

. 

<- C! - ,_ PCJT~YY~~?~ , -. M I _~~rro~ ---\+- .<-+ 8 -. - '/ .- - 
not be subject to any further dispute resolution, judicial review, or 

any other legal action. 

SECTION 31: REPORT OF WINNERS 

No prize shall be awarded unless the winner has fairly won without any 

collusion with the GM or any of his employees or agents. A receipt 

acknowledging acceptance and receipt of the prize awarded must be signed by 

any winner if it exceeds the amount designated by the GM. The GM has the 

authority to hold the payment of any winnings indefinitely until the final 

verification of authentic winning has been determined whether by inquiry or 

electronic means of validation upon the approval of the Gaming Commissioner or 

Business Committee. 

The Gaming Commissioner or designee shall ensure accurate and timely 

reports are sent to the Internal Revenue Service of any winners at any gaming 

facility whose prize winnings exceed the minimum limits set by the Internal 

Revenue Service. In which case, acceptable proof of winners' name, address, 

and social security number must be presented to the GM or his designee in order 

to be paid prizes. 

SECTION 32: CRIMINAL PENALTIES 

Any person or firm violating the provisions of this chapter shall be guilty of 

an offense and shall, upon conviction thereof, be punished as provided by law. If 

a person is convicted in Tribal court, he may be punished by confinement in the 

Tribal jail for a period of not less than. ten (10) days and no more than six (6) 

months or by a fine of not less than $500 and no more than $5,000 or by both 

such fine and imprisonment per occurrence. 

Such remedy shall not be exclusive or preclude any civil or other judicial 

remedy available to the Tribe. 

1% 1 

SECTION 33: SERVICE OF PROCESS I: 

All notices or process made pursuant to this ordinance may be made by 1 i 

i directing said notice to: /i 1 

6 ' 

Gaming Commissioner 

Citizen Potawatomi Nation 

1601 S. Gordon Cooper Drive 

Shawnee, OK 74801 

0813 ID006 CITIZEN POTAW/VOMI NATION 

----- -- - - ..-- -- - -- . - -- .. - - -__ _ . .__ . ... .. __ . . . . _ . _-- .- . 
-- -- PA 7 - ;~~~A--6&Y-T~~~"~-~~~~~~~-T~"A~~~~&T.~~&%~~*&~~B~~W~~

-- - - - - - 

cc: Tribal Administrator 

Citizen Potawatomi Nation 

1601 S. Gordon Cooper Drive 

Shawnee, OK 74801 

SECTION 34: REPEALER 

'$1 

Any prior gaming ordinances and all other ordinances inconsistent herewith are c. kt hereby repealed. Is/ $1 

11,: 

SECTION 35: EFFECTIVE DATE 

This Ordinance shall become effective on the date of approval. 

CERTIFICATION 

In their respective capacities as officers of the Citizen Potawatomi Nation, the 

undersigned do hereby certify that the above and foregoing ordinance is a true 

and correct copy of Ordinance # 07-01, as approved on the 31 st day of August, 

2006, with 5 voting for, 0 opposed, and 0 absent. 

D. Wayne Trousdale 

Chairman SecretaryRreasurer I" 

!I I 

16 I