WichIta ancL~ffiCiated~1rIbes

gary .~cJ4c~ims

~PresIcfent

Stra~fordTWILlianis

VIce-TresIcfent

aiura Wi&on

Secretary

çrace JieId~

~Freasurer

T~.O. 2~ox 729, .Ana42irko, OX 73005

T.eleyhone 405.247.2425 ~ax 405.247.2430

w-w-w.-wichita.n~smus

DonaC~13forsec1iwf

Committee Jvtember

Debra ~Wetse1Tine

Committee .~Member

Shirley DavilLi

Committee Jvlember

WT-02-23

RESOLUTION

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

WHEREAS,

the Wichita and Affiliated Tribes (Keechi, Tawakoni, Waco) possess

substantial inherent powers and has exercised those powers since time

immemorial, and

the Wichita and Affiliated Tribes (Keechi, Tawakoni, Waco) has a duly

established Tribal Government recognized by the Secretary of the Interior,

and

Article V of the Wichita Governing Resolution authorizes and empowers

the Executive Committee of the Wichita and Affiliated Tribes to act in all

matters of business on behalf of the Tribe, and

the Wichita and Affiliated Tribes adopt the Wichita and Affiliated Tribes

Gaming Ordinance to tribally regulate all gaming activities within the

Tribes jurisdiction and in accordance with federal law as provided in the

Indian Gaming Regulatory Act, 25 U.S.C. § 2701, et. seq, and

the Tribe shall have sole proprietary interest in and responsibility for the

conduct of any gaming operation authorized by this resolution, and

NOW THEREFORE BE IT RESOLVED, the Executive Committee of the Wichita and

Affiliated Tribes hereby approves the Wichita and Affiliated Tribes Class

II and Class III Gaming Ordinance and by the signature below certifies

that the attached copy of this ordinance serves as the official tribal

ordinance to regulate gaming within the Tribes jurisdiction. Furthermore,

the Executive Committee will submit the attached gaming ordinance for

approval to the National Indian Gaming Commission Chairman as

required under the Code of Federal Regulations at 25 C.F.R. § 522.2.
CERTIFICATION

The foregoing resolution was adopted by the Executive Committee of the Wichita and

Affiliated Tribes of Oklahoma on April 22, 2002 in Anadarko, Oklahoma, by a vote of~

for, ~ against, and ~ abstentions, a quorum being present.

Attest:

Sandra Wilson

Secretary
WICHITA AND AFFILIATED TRIBES

GAMING ORDINANCE

Section 1. Purpose

The Executive Committee of the Wichita and Affiliated Tribes (hereinafler Tribe),

empowered by Article V of the Wichita Governing Resolution to enact ordinances, hereby enacts

this ordinance in order to govern and set the terms for Class H and Class ifi gaming operations

on Indian lands, as defined in the Indian Gaming Regulatory Act (IGRA), 25 U.S.C.

§~ 2701, et. seq.

Section 2. Gaming Authorized

A. Class H gaming as defined in the IGRA, 25 U.S.C. § 2703(7)(A), by the

regulations promulgated by the National Indian Gaming Commission (NIGC) at

25 C.F.R. § 502.3 (as published in the Federal Register at 57 FR 12382-12393,

April 9, 1992), and by federal jurisprudence interpreting the IGRA and/or NTGC

regulations is hereby authorized.

B. Class HI gaming as defined in the IGRA and by the regulations promulgated by

the NIGC at 25 C.F.R. § 502.4 is hereby authorized. Any Class ifi gaming shall

be conducted in accordance with a compact or Secretarial procedures approved by

the Secretary of the Interior.

Section 3. Ownership of Gaming

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

any gaming operation authorized by this ordinance.

Section 4. Use of Gaming Revenue

A. Net revenues from Class II and Class Ill gaming shall be used only for the

following purposes:

1. to fund tribal government operations and programs;

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

3. to promote tribal economic development;

4. to donate to charitable organizations; or

5. to help fund operations of local government agencies.
B. If the Tribe elects to make per capita payments to tribal members, it shall

authorize such payments only in accordance with a plan submitted to and

approved by the Secretary of the Interior under 25 U.S.C. § 2710(b)(3).

Section 5. Tribal Gaming Commission

A. The Tribe hereby establishes a four member Tribal Gaming Commission whose

duty it is to regulate tribal gaming operations and conduct oversight of all tribal

gaming activities to ensure compliance with federal, tribal, and, if applicable,

state laws and regulations. The Tribal Gaming Commission functions as a

regulatory agency for the Tribe and does not serve in a managerial capacity to the

tribally licensed gaming operations. As an agency of the Tribe, the Tribal

Gaming Commission has the full protection of the Tribes sovereign immunity in

carrying out its lawful duties.

B. Positions on the Tribal Gaming Commission shall be filled by appointment by the

Tribal President with approval of the Tribal Executive Committee. The Tribal

Executive Committee will designate a Chairman of the Tribal Gaming

Commission from the four appointed Commissioners at the time of initial

appointment of the Tribal Gaming Commission. The Chairman of the Tribal

Gaming Commission will chair all Commission hearings, supervise

Commissioners, Commission staff, and only vote in the case of a tie during

Commission proceedings. Compensation, composition and terms of the members

of the Tribal Gaming Commission shall be determined by the Tribal Executive

Committee. Three Commissioners will constitute a quorum for all official

business of the Tribal Gaming Commission including meetings, rule-making, and

hearings.

C. Members of the Tribal Gaming Commission shall satisi~i the suitability standards

set forth in Section 8, Licenses for Gaming Employees, Key Employees and

Primary Management Officials for key employees and primary management

officials, which shall include a satisfactory background investigation performed

under the direction of the Tribal Executive Committee.

D. The Tribal Gaming Commission shall be and act independently and autonomously

from the Tribal Executive Committee in matters within its purview. Tribal

Gaming Commission staff shall be hired through a tribal personnel process with

such other conditions as the Commission may adopt, provided that the Tribes

laws governing tribal member and Indian preference shall at all times be

applicable.

E. The Tribal Gaming Commission shall serve as the licensing authority for

individuals employed in the gaming operation and will administer an effective

program for background investigations as part of the licensing process. In order

to carry out its duties, the Tribal Gaming Commission shall have unrestricted

access to all areas of the gaming operation and to all records. Duties of the Tribal

Gaming Commission shall include, but not be limited to:

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1. Conducting or causing background investigations to be performed on primary

management officials and key employees;

2. Reporting results of background investigations to the NTGC;

3. Obtaining and processing fingerprints, or designating a law enforcement

agency to obtain and process fingerprints;

4. Making license suitability determinations;

5. Issuing gaming licenses to management officials and employees of the gaming

operation, consistent with suitability determinations;

6. Taking enforcement actions, including suspension or revocation of an

individual gaming license, when appropriate;

7. Holding hearings on patron andlor employee complaints and disputes, in

compliance with procedures established in this ordinance and other tribal

gaming regulations;

8. Issuing procedures and regulations for compliance with the NTGCs Minimum

Internal Control Standards and monitor such compliance; and

9. Such other duties as necessary for the proper regulation of the tribal gaming

operation. The authority of the Tribal Gaming Commission shall not be

construed as divesting authority of the Tribal Executive Committee, should

there be a conflict.

F. The following persons shall not be eligible to serve on the Tribal Gaming

Commission:

1. Tribal Executive Committee members, while serving as such;

2. Employees of the gaming operation, while serving as such;

3. Gaming contractors; or

4. Persons convicted of a felony, embezzlement, fraud, or other money-related or

honesty-related crime.

G. Tribal Executive Committee members, Tribal Gaming Commissioners,

Commission stafl all gaming licensed staff, key employees, and primary

management officials are prohibited from gaming in the tribally licensed gaming

facilities whether on duty or off duty during the term of their employment or their

position.

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H. Members of the Tribal Gaming Commission are subject to removal by the Tribal

Executive Committee after a duly noticed hearing resulting from an appropriately

filed charge of any of the following: neglect of duty, misconduct, malfeasance, or

other acts that violate the standards necessary to regulate the tribal gaming

operations. If any of the enumerated charges are substantiated during the hearing

before the Tribal Executive Committee, the Gaming Commissioner will be

immediately removed. A position on the Tribal Gaming Commission that

becomes vacant as the result of removal hereunder shall be filled within ten (10)

working days of said removal in accordance with Section 5 (B) of this ordinance.

Section 6. Audit

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

gaming operations and shall submit the resulting audit reports to the NIGC. The

Tribes fiscal year shall be January 1 ~

through December 31 ~

(or as otherwise

established by the Tribe).

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

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

legal and accounting services, shall be specifically included within the scope of

the audit that is described in Subsection A above.

Section 7. Protection of the Environment and Public Health and Safety

Gaming facilities shall be constructed, maintained and operated in a manner that

adequately protects the environment and the public health and safety.

Section 8. Licenses for Gaming Employees, Key Employees and Primary Management

Officials

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

implemented with respect to gaming employees, key employees, and primary management

officials employed at any gaming enterprise operated on Indians lands:

A. Definitions

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

1. employee means

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

(1) Bingo caller;

(2) Counting room supervisor;

(3) Chief of security;

(4) Custodian of gaming supplies or cash;

(5) Floor manager;

(6) Pit boss;

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(7) Dealer;

(8) Croupier;

(9) Approver of credit; or

(10) Custodian of gambling devices including persons with

access to cash and accounting records within such devices;

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

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

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

persons in the gaming operation.

2. management official means

(a) The person(s) having management responsibility for a

management contract;

(b) Any person who has authority;

(1) To hire and fire employees; or

(2) 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 for All Gaming Employees

The following notice shall be placed on the application form for a gaming

employee, a key employee or a primary management official before that

form is filled out by an applicant:

In compliance with the Privacy Act of 1974, the

following information is provided:

Solicitation of the information on this form is

authorized by 25 U.S.C. §~ 2701, etseq. 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 the Wichita and Affiliated

Tribes and the NIGC members and staff who have need for

the information in the performance of their official duties.

The information may be disclosed to appropriate federal,

tribal, state, local, or foreign law enforcement and

regulatory agencies when relevant to civil, criminal or

regulatory investigations or prosecutions or when necessary

pursuant to a requirement by the Tribe or the NIGC in

connection with the hiring or firing of an employee, the

issuance of revocation of a gaming license, or investigation

5
of activities while associated with a tribe or a gaming

operation. Failure to consent to the disclosures indicated in

this notice will result in the Tribe being unable to hire you

in a primaiy 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 applicatioit

2. The following notice shall be placed on the application form for a gaming

employee, a key employee or a primary official before that form is filled

out by an applicant:

A false statement on any part of your application may be

grounds for not hiring you, or for firing you after you begin

work. Also, you may be punished by fine or imprisonment.

(U.S. Code, Title 18, Section 1001.)

C. Background Investigations for All Gaming Employees

The Tribal Gaming Commission is responsible for conducting background investigations

and suitability determinations for all gaming employees.

The Tribal Gaming Commission shall request from each primary

management official, from each key employee, and from each applicant to

a gaming position in a tribally licensed gaming operation all of the

following information:

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

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

(spoken or written);

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

positions held, ownership interests in those businesses, business and

residence addresses, and driver license numbers;

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

including one personal reference who was acquainted with the

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

of this Section;

d. Current business and residence telephone numbers;

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

Indian tribes, including ownership interests in those businesses;

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

the gaming industiy generally, including ownership interests in those

businesses;

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

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

to gaining, whether or not such license or permit was granted;

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

conviction within 10 years of the date of the application, the charge,

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

disposition, if any;

i. For each misdemeanor conviction or ongoing misdemeanor

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

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

and the date and disposition, if any;

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

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

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

paragraphs (1) (h) or (1) (i) of this Section, the criminal charge, the

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

any;

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

which the person has filed an application for an occupational license or

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

1. A current photograph;

m. Any other information the Tribal Gaming Commission deems relevant;

and

n. Fingerprints consistent with procedures adopted by the Tribe

according to 25 C.F.R. § 522.2(h).

2. The Tribal Gaming Commission shall conduct an investigation sufficient

to make a determination under Subsection D below. This shall include

verification of information submitted by the applicant. The Tribe shall

document all potential problem areas noted and any disqua1i1~ing

information. In conducting a background investigation, the Tribe or its

agent shall promise to keep confidential the identity of each person

interviewed in the course of the investigation.

3. The Bureau of Indian Affairs (BIN) law enforcement agency for the

Anadarko Area (or the Tribes law enforcement agency, upon assuming

such responsibilities from the BIA) shall take fingerprints of each primary

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management official, and each key employee, and each applicant to a

gaming position in a tribally licensed gaming operation. Fingerprints shall

be submitted to the Tribal Gaming Commission and for primary

management officials and key employees will then be forwarded to the

NIGC for processing through the Federal Bureau of Investigation and the

National Crime Information Center to determine the applicants criminal

history, if any.

D. Eligibility Determination

The Tribal Gaming Commission shall review a persons prior activities, criminal record,

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

gaming employee, a key employee or primary management official for employment in a gaming

operation. If the Tribal 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, methods, and activities in the conduct of

gaming, a tribal gaming operation shall not employ that person as a gaming employee, key

employee or primary management official.

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

Primary Management Officials to the NTGC

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

gaming operation authorized by this ordinance, the Tribal Gaming

Commission shall forward to the NTGC a completed application for

employment and conduct the background investigation and make the

determination referred to in Subsection D of this Section.

2. The Tribal Gaming Commission shall forward the report referred to in

Subsection F of this Section to the NIGC within sixty (60) days after an

employee begins work or within sixty (60) days of the approval of this

ordinance by the Chairman of the NTGC. No key employee or primary

management official shall be employed for longer than ninety (90) days

without a license.

F. Report to the NTGC

1. Pursuant to the procedures set out in Subsection E of this Section, the

Tribal 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 a background investigation;

b. Results obtained;

c. Conclusions reached; and

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d. The basis for those conclusions.

2. The Tribal Gaming Commission shall submit, with the report, a copy of

the eligibility determination made under Subsection D of this Section,

unless the NIGC shall have advised the Tribe or Tribal Gaming

Commission that the submission of the eligibility determination is not

necessary.

3. If a license is not issued to an applicant, the Tribal Gaming Commission:

a. Shall notif~ the NTGC; and

b. May forward copies of its eligibility determination and investigative

report, if any, to the NIGC for inclusion in the Indian Gaming

Individuals Records System.

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

Tribal Gaming Commission shall retain applications for employment and

reports, if any, of background investigations for inspection by the

Chairman of the NIGC or his or her designee for no less than three (3)

years from the date of termination of employment.

G. Granting an Employee Gaming License

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

NTGC notifies the Tribe that it has no objection to the issuance of a license

pursuant to a license application filed by a key employee or a primary

management official for whom the Tribe has provided an application and

investigative report to the NTGC, the Tribal Gaming Commission, acting

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

2. The Tribal Gaming Commission shall respond to a request for additional

information from the Chairman of the NTGC concerning a key employee

or a primary management official who is the subject of a report. Such a

request shall suspend the thirty (30) day period under paragraph G. 1 of

this Section until the Chairman of the NIGC receives the additional

information.

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

the Tribal 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 Tribal Gaming Commission has provided an

application and investigative report to the NIIGC, the Tribal Gaming

Commission shall reconsider the application, taking into account the

objections itemized by the NTGC. The Tribal Gaming Commission shall

make the final decision whether to issue a license to such applicant.

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H. Temporary Hire

1. Applicants to key employee or primary management official positions

may be temporarily hired following the eligibility determination of the

Tribal Gaming Commission set forth in Subsection D of this Section.

These types of employees will not be considered regular benefited

employees of the tribal gaming operation until the Tribal Gaming

Commission issues an employment gaming license following the required

NTGC approval process. If the employee license is denied by the Tribal

Gaming Commission, the temporarily hired key employee or primary

management official will be immediately terminated upon notice of the

denial.

2. Other tribal gaming employees may be temporarily hired until the

eligibility determination of the Tribal Gaming Commission results in

either the issuance of an employee gaming license or the denial of the

employee license upon which the temporarily hired employee will be

immediately terminated upon notice of the denial.

License Suspension

1. If, after the issuance of a gaming license, the Tribal Gaming Commission

receives from the MGC reliable information indicating that a key

employee or a primary management official is not eligible for employment

under Subsection D of this Section, the Tribal Gaming Commission shall

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

suspension and the proposed revocation.

2. The Tribal Gaming Commission shall notify the licensee of a time and a

place for a hearing on the proposed revocation of a license.

3. After a revocation hearing, the Tribal Gaming Commission shall decide to

revoke or to reinstate a gaming license. The Tribal Gaming Commission

shall notify the NIGC of its decision.

Section 9. License Locations

The Tribal Gaming Commission shall issue a separate license to each place, facility, or

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

ordinance.

Section 10. Dispute Resolution

A. Hearing Procedures

For all hearings provided under this ordinance, the following procedures will apply:

10
I. Written notice of a scheduled hearing will be given to affected parties at

least five (5) working days prior to the hearing.

2. Parties will be required to be present in person at all scheduled hearings

and may petition the Tribal Gaming Commission for a continuance not to

exceed five (5) working days of the originally scheduled hearing. The

Tribal Gaming Commission may grant the continuance based upon a

reasonable justification for such continuance. Parties not present at a

scheduled hearing will be bound by any Tribal Gaming Commission

decision resulting from the hearing.

3. Parties may present evidence on their own behalf including affidavits,

voice recordings and any other relevant documentation. Parties may have

legal representation during Tribal Gaming Commission hearings.

4. The Tribal Gaming Commission will make its determination based upon a

clear preponderance of the evidence presented during the hearing.

5. Three Tribal Gaming Commission members will constitute a quorum for

Tribal Gaming Commission hearings.

6. The Tribal Gaming Commission will base its decision on an affirmative

majority vote of its members with the Tribal Gaming Commission

Chairman voting only in the case of a tie.

7. The written determination of the Tribal Gaming Commission will be

delivered to affected parties within five (5) working days of the hearing.

8. An appeal will be available from any determination of the Tribal Gaming

Commission to the Court of Indian Offenses for the Wichita and Affiliated

Tribes (until such time as the Tribe assumes such responsibilities from the

BIA through establishment of a Tribal Court). The Court may either

affirm or reverse a ruling of the Tribal Gaming Commission and will not

grant any monetary or equitable relief.

B. Patron Disputes

Disputes between the gaming public and the tribally licensed gaming facilities will

initially be addressed by the gaming manager or relevant department head on duty, and if not

satisfactorily addressed further recourse will be available to the General Manager of the

enterprise. If the decision of the General Manager does not resolve the dispute, then the dispute

may be reviewed by the Tribal Executive Committee, which would render a final decision with

respect to the matter.

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Section 11. Minimum Internal Control Standards

The Tribe shall adopt and implement Minimum Internal Control Standards for the

operation of its gaming operation that are no less stringent than those found in 25 C.F.R.

Part 542.

Section 12. Vendor Licensing

A non-management gaming contractor license may be issued by the Tribal Gaming

Commission to any person, organization, or entity for a license to sell, lease, market or otherwise

distribute gambling devices, equipment, games, implements, services (other than professional

legal or accounting), products or supplies to the Tribes gaming operations.

Section 13. Complimentary Items

Complimentary items are defined according to 25 C.F.R. § 542.17 as any cash or noncash gifts. For all such items in the amount of fifty dollars ($50.00) or more, the Tribal Gaming

Commission shall require a weekly report from authorized gaming employees as to the recipient

ofthe item, the date received, the actual cash value of the item, the type of complimentary item

or service (i.e., beverage, food, etc.) and the name of the authorized employee approving the

item.

A. No Tribal Gaming Commissioner, Commission staff member, key employee,

primary management official, Tribal Executive Committee member, or any

person directly related to such persons shall be authorized to receive

complimentary items.

B. Complimentary items shall be included in the annual budget for the gaming

operation, with maximum limits specified and shall be subject to approval by the

Tribal Executive Committee.

Section 14. Agent for Service of Process

The Tribe hereby designates the Tribal President as agent for service of process, who

may be contacted at:

Tribal President

Wichita & Affiliated Tribes

P.O. Box 729

Anadarko, OK 73005

Section 13. Repeal

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

are hereby repealed and replaced with the foregoing ordinance.

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