THLOPTHOCCO BINGO TEL No.918-6230419 Nov 13,97 14:43 No.002 P.03

Thlopthlocco Tribal Town

Bingo OrdInance

Resolution 97-18

March 15, 1997

WHEREAS, Thlopthlocco Tribal Iown is a Federally recognzed Indian Tribe organized

pursuant to Act of June 26, 1936 with a Federal Charter, a Tribal Constitution, has Indian

Tribal Sovereignty, and

WHEREAS, the National Indian Gaming Commission declares that tribes engaged in

Class II gaming must adopt a tribal gaming ordinance and that ordinance must be

approved by the chairman of the National indian Gaming Commission, and

WHEREAS, Thlopthtocco tribal Town currently operates and manages its own Bingo

operations.

NOW THEREFORE BE 11 RESOLVED THAT, the Thlopthlocco Tribal Town

Business Committee adopts the attached gaming ordinance that complies with the

National Indian Gaining Commission as of this date.

CERTIFICATION

We the undersigned officers of the Thlopihiocco Tribal Town Business Committee, do

hereby ratify and certify that the foregoing Re lution 97-18 w~du1y adopted on the day

of March 15, 1997, by a vote of~ FOR, AGAINST, ~~ABSTAJN.

MOTION MADE BY: L~c\c ~ ~rr~c~ C-~ c

SECONDBY:~~~ ~

~/fAin~j2~4 ribal Town King

.~Jf~c/97

Date

Date

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TULOPTULOCCO TRIBAL TOWN

GAMTNG CODE

§1 Title

This enactment shall be known as the Thlopthlocco Tribal Town Gaming Code.

§2 ~

The Thlopthlocco Tribal Town Business Committee, empowered by the

Thlopthiocco Tribal Town Constitution to enact codes and ordinances, hereby cnacts this

code in order to set the terms for gaining operations within the Indian Country of

Thlopthlocco Tribal Town.

The purpose of this Code is:

A. To regulate the conduct of gaming owned and operated by the

Thlopthlocco Tribal Town or its officially licensed agents, on tribal lands of

the Thlopthlocco Tribal Town.

B To provide a basis under tribal law for the regulation of gaming by

the Thlopthlocco Tribal Town adequate to shield it from organized crime

and other corrupting influences; to insure that Thlopthlocco Tribal Town is

the sole beneficial owner of the gaining operation; to assure that gaming is

conducted fairly and honestly by the tribe. its agents, and the players~ and

to implement the Indian Gaming Regulatory Act, 25 U.S.C. §2701 et seq.

(IGRA), and the regulations of the National Indian Gaming Commission

(Nl(~C) at 25 C.F.R. Parts 500 et seq.

§3 ?th.~EnvinIImetkt and Public Health and$afety

All gaming facilities licensed by the Thlopthlocco Tribal Town shall be

constructed, maintained and operated in a manner that adequately protects the

environment and the public health and safety.

§4 Provuions ~ enm~ilAtiv~

The provisions of this~ Code shall be cumulative to existing Law.

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§5 Stverabillty

The provisions of this Code are severable and if any part of the provisions hereof

shall be held void, the decision of the Court so holding shall not affect or impair any of the

remaining parts or provisions of this Code.

§6 SovereIgn immunity

Notwithstanding any provisions herein, this Code shall not limit or restrict the

inherent sovereignty of Thlóptlilocco Tribal Town, and neither the Code nor any of its

provisions shall operate to wiive, in whole or in part, the sovereign immunity of

Thlopthlocco Tribal Town.

§7 !Tribal Tq~n Gaming Commission

The Thlopchlocco Tribal Town Gaming Commission is hereby established in order

to carry Out the Tribes responsibilities under IGRA and the NTGCs regulations at 25

CF.R. §501 et seq. and to implement the provisions of this Code. Provided, however, all

actions and regulations of the Thlopthlocco Tribal Town Gaming Commission shall be

consistent with the provisions of this Code, all other laws and resolutions of the

Thlopthlocco Tribal Town Business Committee, and the Constitution of Thlopthlocco

Tribal Town.

§8 Meiji~e.jship

A. The Thlopthlocco Tribal Town Gaming Commission shall consist of no less

than three (3) members of the Thlopthiocco Tribal Town to be appointed by the

Micco of the Thlopthlocco Tribal Town and approved by the Business Committee

of the Thlopthlocco~ Tribal Town.

B. To be eligible to serve as a commissioner, a person must:

I, be at least 25 years of age;

2. have at least a high school diploma., with a preference for those

with a bachcl~rs degree from a college or university or its equivalent;

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3. be of high moral character or integrity;

4. never have been convicted of a criminal offense other than

misdemeanor traffic oflŁnses, and

5 be physically able to carry out the duties of office.

C. The MAcco shall, at the time of making the initial appointment and also at

the time of making each appointment to fill a vacancy on the Commission as

provided herein, designate one member to serve as Chairman, one member to serve

as Vice Chairman, and one member to serve as Secretary.

D. The terms of office of the Thlopthlocco Tribal Town Gaming Commission

shall be three year~ provided, however, that in order to stagger the expiration of

terms of office, one of thc first group of Commission members appointed

hereunder shall be~, appointed for a term of one year, one for a term of two years,

and one for a term of three years.

E. Commisson members shall serve their terms of office free from political

influence from any department of the government of the Thlopthlocco Tribal Town

~nd may be removed only for cause, after a hearing by the tribal court under such

rules and procedures as prescribed by the Business Committee. A petition for

removal for cause may be brought by a vole of the majority of Business Committee

members. F~xcept as authorized under the Constitution of the Thlopthlocco Tribal

Town7 no member of the Thiopihiocco Tribal Town Gaming Commission shall,

directly or indirectly, solicit, receive, or in any manner be concerned in soliciting or

receiving any assessment, subscription, or contribution for any political

organization, candidacy, or other political purpose. No member of the

Thlopthlocco Tribal Town Gaming Commission shall be a member of a committee

of a partisan politi~al club, or a candidate for nomination or election to any paid

tribal office, or take part in the management or afFairs of any tribal political party

or in any political campaign, except to exercise his or her right as a citizen

privately to express his or her opinion and TO cast his or her vote.

F. In the event of a vacancy in the membership of the Thiopthlocco Tribal

Town Gaming Commission, the Micco shall, within twenty days of the

occurrence of the vacancy, fill such vacancy for the unexpired terrn subject to

confirmation by a majority vote of the Business Committee.

G. The Th]opthlocco Tribal To~wn Gaming Commission shall have the power

to generally ove~sec the licensing of all gaming operations and the conduct of such

operations in order~ to ensure compliance with this Code and any regulations

adopted and orders issued by the commission. The Thlopthiocco Tribal Town

Gaming commissio~ners shall each execute a conflict of interest ptovision disclosing

potential unethical situations.

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H. The Thlopthlocco Tribal Town (iaming Commission shall be charged with

the sole responsibilities of administering and enforcing the provisions of this Code.

I. it shall be the responsibility of the Thlopthlocco Tribal Town Gaming

Commission to promulgate regulations necessary to administer and implement the

provisions of this Code. The Thlopthlocco Tribal Town Gaining Commissions

regulations shall include but not be limited to:

1. procedures for conducting background investigations of key

employees, and primary management officials (as those terms are

hercinafte~ defined);

2. procedures for issuing licenses to such employees and officials,

3. procedures for resolving gaming disputes between the gaming

public and~a licensed gaming facility;

4. procedures ensuring compliance with NIOC regulations requiring

payment of annual fees to, and filing quarterly reports with, the NIGC, and

5. procedures ensuring that all gaming facilities are in compliance with

the federal! ?rivacy Act procedures as required by NIGC regulations.

Such regulations may require licensees to adopt gaming dispute~~resolution

procedures, subject to Commission approval, with a right of appeal to the

Thlopthlocco Tnb!aJ Town Gaming Commission. In resolving such gaming

disputes on appeal or otherwise the Th]opthlocco Tribal Town Gaming

Commission may jeceive written statements, affidavits, or other materials from the

parties to said dispute or their witnesses and in its discretion may order one or

more hearings to take oral statements or testimony Any decision of the

Thlopthlocco Tribal Town Gaming Commission in resolving such gaming disputes

shall be in writing and may be appealed by the parties to the tribal Court by tiling a

written notice of appeal and a statement of the grounds the.refor within 30 days of

the date of receipt! of the Commissions decision. All decisions on appeal by the

tribal court, and any decision by the Thiopihlocco Tribal Town Gaming

Commission for which a timely Notice of Appeal has not been filed, shall be final.

J. The duties! of the Thlopihiocco Tribal Town Gaming Commission shall

include., but not be limited to, the following.

I. Printing and making available application forms for initial and

renewal licenses, as well as, any other licenses or tax return forms.

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2. Supervising the collection of all fees and taxes prescribed by this

Code.

3. Processing all license applications arid tax returns which will be

submitted under oath.

4. 1ssuin~ of licenses.

5. Determining applicable license fees.

6. Auditing all returns and causing audits to be performed pursuant to

IGRA and NIGC regulations.

7. Revi~wing all records, documents, and anything else necessary and

pertinent to the financial accountability of licensees or enforcement of any

provision of this ordinance.

8. Reviewing for approval or denial any application or licensee, and

Limiting conditions to suspend or resmct any license.

9. Proposing fines as needed for violations of this Code and/or

regulations issued by the Thlopthlocco Tribal Town Gaming Commission.

§9 Opportunilics for h~*rng

The Thlopthlocco ljribal Town Gaming Commission shall afford an applicant for a

license an opportunity for hearing prior to any final action denying such applIcation and

shall afford a licensee or any other person subject to this ordinance the opportunity for a

hearing prior to taking any final action resulting in denying, terminating, revoking,

suspending, or limiting a license or any other adverse action the commission deems

appropriate; provided, the hlopthlocco Tnbal Town Gaining Commission may summarily

temporarily suspend or extend suspension of licenses for sicty (60) days in those cases

where such action is deemed appropriate by the Thlopthlocco Tribal Town Gaining

Commission. In cases where a license is suspended prior to hearing, an opportunity for a

hearing shall be provided promptly alter suspension at the request of the licensee. The

Thlopthlocco Tribal Town Gaming Commission is authorized to adopt rules and

regulations, consistent with this Code, governing the conduct of any and all hearing before

the Thlopthlocco Tribal TOwn Gaming Commission as well as the process of issuing,

modif~ing, conditioning, suspending, or revoking any license.

§10 Pr~limlniry deft~rirnnatlon

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Whenever, upon pr~eliminary factual finding, the Thlopthlocco Tribal Town

Gaining Commission determines that nay person has failed to comply with the provision of

this Code or any re~uIatioæs promulgated hereunder, the Thtopthlocco Tribal Town

Gaming Commission shall make a certification of~ndings with a copy thereof to the

subject or subjects of that determination. After five (5) days notice, and within thirty (30)

days thereof, the commtlee shall hold a hearing at which time the affected person or

licensee shall have an opportunity to be heard and present evidence The commission shall

have the authority to enjoin and restrain illegal activities,

At such hearing it shall be the obligation of the applicant or licensee to show cause

why the preliminary determination is incorrect, why the application in question should not

be denied, why the license or licenses in question shall not be revoked or suspended, why

the period of suspension should not be extended, or to show cause why special conditions

or limitations upon a license should not be imposed, to show cause why any other action

regarding any other person or persons subject to any action should not be taken.

§12 Add onalpowerl of Thlopthlocco Tribal Town GamingCommission

The Th1opthIocco~Triba1 Town Gaming Commission shall be empowered with all

necessary powers of control over all such entities and pci-sons as would normally fail

within the purview of such Thloprhlocco Tribal Town Gaming Commission, or of those

entities over which specific control is granted to the Thloprhlocco Tribal Town Oaming

Commission by the Business Committee. Without limiting the generality otthe foregoing

statement, the Thlopthlocco Tribal Town Gaming Commission or any member thereof, in

the performance of its duties as defined by law, shall have the power to administer oaths,

to conduct hearings under this Code, and to compel the attendance of witnesses and the

production of the books, records, and papers of any person, form, association, or

corporation within the juasdiction of the Thiopthlocco Tribal Town for the purpose of the

enforcement, assessment, or collection of any tac.

§E3 Limitations - Re~ommend~tion3

The Thlopthlocco Tribal Town Gaining Commission shall exercise only that

authority granted herein, but may make additional recommendations to the 8usiness

Committee at any time it deems proper.

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§14 SaJari~i

The annual compensation, payabLe monthly, of the Chairman, Vice Chairman, and

Secretary of the Thlopthlocco Tribal Town (laming Commission shall be as determined in

accordance with the Annual~ Budget Appropriation

§15 Appt~h

A. The tribal court of Thlopthlocco Tribal Town shall have exclusive authority

to hear appeals from final decisIons of the Thlopthlocco Tribal Town (3aniing

Commission denying, modifying, conditioning, or revoking any license.

B. Any affected party may appeal any final decision of the Thlopthlocco Tribal

Town Gaming Commission within 30 days after such decision by i~Jing a notice of

appeal with the Thkpthlocco Tribal Town Gaming Commission and serving a

copy to the Business Committee. Thereafter the Thlopthlocco Tribal Town

Gaming Commission shall promptly file the full record of the proceeding, including

the notice of appeai, with the tribal court.

C. In all appeals, the tribal court shall give proper deference to the

administrative expert se of the Thlopthlocco Tribal Town Gaming Commission

The tribal court shall not set aside, modify, or remand any determination by the

Thiopthlocco Tribal Town Gaming Commission unless it finds that the

determination is arbitrary and capricious, unsupported by substantial evidence or

contrary to law. The tribal court shall issue a written decision on all appeals,

which decision shall be final.

0. The tribal court may, in its discretion, award costs and attorneys fces to

the Business Committee against any appellant whose appeal was frivolous,

malicious, or in bad faith. Such fees shall be assessed and collected as a tax

imposed under this Code.

§16 Fmilily of Comjni~ion or Ti-ibal Court Action

Any final finding or determination of the Thlopthlocco Tribal Town Gaming

Commission which is not~timeLy appealed, and any final determination of the tribal court in

proceedings conducted under the previous section, shall be final and binding in any other

proceeding against or by :t~ same person before the Th(opthiocco Tribal Town Gaming

Commission or the triba1~court.

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§17 ~nse reguired1ó~amipg facilities

All locations where public gaming opcratzons are conducted for the benefit of the

Thlopthlocco Tribal Town on Indian lands shall be required to have and display

prominently an appropnate,~valid, and current public gaming license issued pursuant to the

provision of this Code. Any tbrm of public gaming operations conducted within the

jurisdiction of the Thlopthlocco Tribal Town without a current, duly-issued license to

conduct gaming operations approved by the Thlopthlocco Tribal Town Gaming

Commission is prohibited. Furthermore, it shall be unlawful for any person to conduct

gaming activities within theboundaries of the Thlopthlocco Tribal Town which are not

under license by and for the: benefit of the Thlopthlocco Tribal Town or which mislead the

general public in believing the gaming operation i~ owned and under control and operated

by the Thtopthiocco Tribal Town. The Thiopthlocco Tribal Town Gaming Comrriission

shall have the authority to enjoin and retrain illegal activities.

§18 C1a~ce~ an&fr~

There shall be three different classes of gaxnin~, each characterized by its separate

requirements and fees. These classes are created in comphance with the Indian Gaining

Reguiatory Act, Public Law 100-497, October 17, 1988, and the rules and regulations

adopted pursuant to said A~ct.

§19 Class I gaming

No license requirement.

§21) fiass 11 gaming author zed Jwnriihip~Jicrnse

A. Class IT gaming as defined in the Indian Gaming Regulatory Act, P.L.

100-447, 25 u.S.C. §2703 (7) (A) and by the regulations promulgated by the

National Indian Gaming Commission at 25 C.F.R. 502.3 is hereby authorized.

B. Thlopthlocào Tribal Town shall have the sole property interest in and

responsibility for the conduct of any gaming operation authorized by this

ordinance.

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C. Only a tribal enterprise wholly owned by Thlopthlocco Tribal Town or a

duly-designated and approved agent or employee, acting on behalf of such tribal

enterprise, may appl9 for and receive a Class 11 Gaming license. Also, gaming

must be conducted in facilities of the Th.lopthlocco Tribal Town. A separate

license must be issued by the Thlopthlocco Tribal Town Gaming Commission for

each pace. facility, or location on tribal lands on which C!ass II gaming is

conducted.

§21 Cla~-~ 111 gimlng

At this time class iTT gaming is prohibited on Thlopthlocco Tribal Town tribal

lands.

§22 Use of g~mingrevenut~

Th.lopthlocco Tribal Town will have the sole proprietary interest in and

responsibility tbr the conduct of any gaming activTty under a class II license and all net

revenues (gross revenues less operating expenses) from any such gaming are to be used

for tribal purposes, including:

A. To fi~nd tribal government operations or programs,

8. Io provide for the general welfare of Thlopthlocco Tribal Town and its

tribal members.

C. To promote tribal economic development,

D. To donate to charitable organizations; or

E. To help fund operations of local government agencies.

§23 Recnrd.q. retunis. and iiidits

It shall be the responsibility of the Thlopthlocco Tribal Town Gaming Commission

to promulgate regulations and cause to be established proper accounting procedures and

methods of operations for all license of Class 11 gaming activities so that all monies or

things of value received and paid out may be properly monitored and accounted for All

licenses under this Code shall be required to keep an approved accounting system which

shalt comply with, but not limited to, all applicable provisions of this Code or regulations

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of the Thlopthiocco Tribal Town Gaming Commission. Said accounting system shall

reflect all business and financial transactions involved or connected in any manner with the

operation and conducting of activities authorized by this Code. The Thlopthlocco Tribal

Town Gaining Commission shall have the right to subpoena records or to secure a court

order to seize records for property not surrendered.

No applIcant, license, or employee thereof shall neglect or refuse to produce

records or evidence or to give information upon proper and lawful demand by the

Chairman of the Thlopthlocco Tribal Town Gaming Commission to produce such

information. The Thlopthlôcco Tribal Town Gaming Commission may conduct such

hearings as deemed neces~azy to insure compliance with the provisions of this Code and

accountability for all monies received and spent. Failure to comply with the provisions of

this Code shall constitute grounds for complaint with the National Indian Gaming

Commission and suminaiy suspensions or revocation of any license or management

contract.

Thlopthlocco Tribal Town shall cause annual independent audits of all gamins

operations conducted and shall submit the resulting annual audit report to the National

Indian Gaming Commissiàn in conformance with the 1~fIGCs regulations The

management and operation of any gaining facility shall be subject to afl applicable

provisions of the Indian G~ming Regulatory Act.

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

concessions in excess of 525,000 annually, except contracts for professional legal and

accounting services, shall be specifically included within the scope of the audit described in

the preceding paragraph.

§24 Rulec ofjhe~pme

it shall be the responsibility of the Thlopth]occo Tribal Town Gaming Commission

to promulgate regulations to establish the particular rules of all classes of gaming in order

that said gaming will be conducted with fairness and uniformity.

§25 Age limit f~r ~aiubig

No person who is under the age of 18 shall operate, engage, or participate in any

manner in the operation of any class gaining activity. It shalt be the responsibility of the

manager of all licensed gaming operations of Thlopthlocco Tribal Town to ensure

compliance with this age limit requirement.

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XXVI. Licenses (Key Employees and Primary Managem~~nt O(fki~ls

Thlopthlocco Tribal Town by and through the Thlopthlocco Tribal Town Gaming

Commission shall ensure that the following policies and procedures as prescribed by the

ICIKA are implemented with respect to key employees and primary management officials

employed at any class II gaming facility operation on Thlopthlocco Tribal Town Indian

lands:

A. Dcfiniti~ns

For the purposes of this section, the following definitions apply

I. Key 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) Ci~stodian 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 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

(Ł) if not otherwise included, the four most highly compensated

~ersons in the gaming operation.

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2. Primary management official means

(a) The person having management responsibility for a

management contract;

(b) Any person who has authority to:

(1) I-lire and fire employees; or

(2) Set up working policy for the gaming operation; or

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

financial management responsibility.

§27 Application forni~

A. The foUowng notice shall be placed on the application form for a key

employee or a primary management official before tha 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 et seq. ThO 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 infonnaton in the performance of their official duties. The

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

law enforcement :a~~d regulatory agencies when relevant to civil, criminal and

regulatory agencies investigations or prosecutions or when pursuant to a

requirement by a~ tribe or the National Indian Gaining Commission in connection

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

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 Thlopthlocco Tribal Town gaining operation being unable to hire you in a

primary management official or key employee position.

S. Existing key employees and primary management officials shall be

notified in writing that they shall either:

1. Complete a new application from that contains a Privacy Act

notice; or

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2. Sign a statement that contains the Privacy Act notice and consent

to the routine uses described in that notice.

C. The following notice shall be placed on the applicanon form for a key

employee or a primary official betore 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 purnshed by

fine or imprisonment. (18 U.S.C. §1001.)

D. Thlopthlocco Tribal Town by and through the Thlopthlocco Tribal Town

Gaming Commissiän, shall notify in writing existing key employees and primary

management offici is that they shall either

1. Complete a new application form that contains a notice regarding

1~lsc statements, or

2. Sign a statement that contains the notice regarding false statements.

§28 Background rn~vtsttinns

A. Thlopthlocco Tribal Town by and though the Thlopthlocco Tribal Town

Gaming Commission shall be responsible for conducting background investigations

in accordance with this Code and shall request from each primary management

official and from each key employee all of the following information:

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

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

(spoken or written);

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

positions held, ownership interests in those businesses, business and

residence addresses, and drivers license numbers;

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

references, including one personal reference who was acquainted with the

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

this section;

4. Current business and residence telephone numbers;

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

with the gaming industry generally, including ownership interests in those

businesses;

6. A description of any existing and previous business relationships

with Indian tribes, including ownership interests in those businesses;

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

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

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

S Fbr each felony for which there is an ongoing prosecution or a

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

dale and disposition if any;

9. For each misdemeanor conviction or ongoing misdemeanor

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

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

and dsposition;

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

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

paragraph (1) (h) or (1) (i) of this section, the criminal charge, the name

arid address ~f the court involved and the date and disposition,

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

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

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

12. A current photograph;

13. Any other information Thlopthlocco Tribal Town Gaming

Commission deems relevant~ and

14. Fingerprints consistent with procedures adopted by Thiopihiocco

Tribal Town Gaming Commission in accordance with 25 C.F.R. 522.2 (h).

B. Thlopthlôcco Tribal Town by and through the Thlopthlocco Tribal Town

Gaming Commission shall conduct an investigation sufficient to make a

determination under section XXIX below. In conducting background

investigations, Thlopthlocco Tribal Town Gaming Commission and/or any agent

acting on its behalf shall promise to keep confidential the identity of each person

interviewed in ti~e course of investigation.

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C. The Thlopth.locco Tribal Town Gaming Commission shall also be

responsible for making surC fingerprints are obtained and processed. The

Cormnission shall utilize the Bureau of Indian Affairs law enforcement,

Thlopthiocco Tribal Town law enforcement, or such other law enforcement or

other agency to ascertain the relevant information of a background investigation,

such as taking fingerprints. As well, Thlopthlocco Tribal Town Gaming

Commission shall utilize the National Indian Gaming Commission fbi processing

f3ngerprint cards through the Federal Bureau of lnvesti~ation.

I) The Thlopthiocco Tribal Town Gaming Commission shall be responsible

for reviewing and approving any investigative work. Once that work is completed

the Chairman of the Thlopthlocco Tribal Town Gaming Commission shall be

responsible for reporting the results of the investigation to the National Indian

Gaming Commission, in accordance with section XXX.

E. The Thlopthlocco Tribal Town Gaming Commission shall verify the

information submitted by applicants for key employee and primary management

official positions. This verification shall be done by written and/or oral

communication between the Thlopthlocco Tribal Town Gaming Commission and

those who should be able to verify such information (i.e. past employers,

references, etc.).

F. The Thlopthlocco Tribal Town Gaming Commission shall utilize the

Bureau of Indian Affairs law enforcement, Thlopth.locco Tribal Town law

enforcement, or such other law enforcement or other agency to inquire into the

applicants prior activities and criminal record. The Chairman shall sec to it that a

sufficient number of people, knowledgeable as to the applicants habits, reputation,

and associations, such as former employers, personal references, and others to

whom referred are interviewed in order to provide a basis for the Thlopthlocco

Tribal Town Gaming Commission making a finding concerning the eligibility for

employment in a gaining operation.

0. During the background investigation, the Thlopthlocco Tribal Town

Gaming Commission shall document all potential problem areas and disqualifying

information and thake such information a permanent part of the file on the

applicant.

~29 F~1(git1iIit~~DetrnninaTion

A. Thlopthlocco Tribal Town shall review a persons 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 Thlopthlocco Tribal Town determines that

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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 rnbal

gaming operation shall not employ that person in a key employee or primary

management official position

B. After all background information is gathered, it shall be the

responsibility of the Thlopthlocco Tribal Town Gaining

CommissiOn to weigh such infbnnation against the criteria outhned

in subsectiàn A. above, and to make a determination as to eligibility.

§30 Procedures rorForwarding Applications and Reports for Key Employees and.

Primary Management Officials to the National Indian Gaming Commission

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

gaming operation authorized by this ordinance, Thlopthlocco Tribal Town by and

through the Thlopthlocco Tribal Town Gaming Commission shall forward to the

National Indian Gaming Commission a completed application for employment and

conduct the background investigation and malce the determination referred to in

section XXIX.

B. Thlopthlocco Tribal Town Gaming Commission shall forward the report

referred to in section XXXI to the National Indian Gaming Commission within 60

days after an employee begins work within 60 days of the approval of this code by

the Chairman of the National indian Gaming Commission.

C. 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.

§31 Report to the National Indian Gaming Commiq~n

A Pursuant to the procedures set out in section )CXX, Thlopthlocco Tribal

Town Gaming Commission shall prepare and forward to the National Indian

Gaming CommissiOn an investigative report on each background investigation.

Each member of the Thlopthlocco Tribal Town Gaming Commission shall

document each and every action taken with regard to the background investigation

from start to completion. This information shall be kept in a file on the applicant in

order to have sufficient information to prepare and defend the items necessary

(subsections 1 through 4 below) in the investigative report submitted to the

National Indian Gaming Commission. An investigative report shall include all of

the following:

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1 Steps taken in conducting a background investigation;

2. Results obtained;

3 Concluaions reached; and

4. The basis for those convlus~ons.

S. Thlopthlocco Tribal Town Gaming Commission shall submit, with the

report, a copy of the eligibility determination made under section XX.IX.

C. If a license is not issued to an applicant, Thlopthlocco Tribal Town:

1. Shall notify the National Indian Gaming Commission; and

2. May fbrward copies of its eligibility determination and

investigation report (if any) to the National Indian Gaming Commission for

inclusion in the Indian Gaming Individuals Records System.

1). With respect to key employees and primary management officials,

Thlopthlocco Tribal Town Gaining Commission shall retain applications for

employment and reports (if any) of background investigations for wspevtion by the

Chairman of the National Indian Gaming Commission or his or her designee for no

less than three (3) years from the date of termination of employment.

§32 Granting~a Gamin&License

A. If, within a thirty (30) day period after the National Indian Gaining

Commission receives a report, the National Indian Gaming Commission notifies

the Thlopthlocco Tribal Town Gaining Commission that it has no objection to the

issuance of a license pursuant to a license application flied by a key employee or a

primary management omcial for whom Thlopthlocco Tribal Town Gaming

Commission has provided an application and investigative report to the National

Indian Gaming Commission, Thlopthlocco Tribal Town Gaming Commission may

issue a license to such applicant.

S. The Thlopthlocco Tribal Town Gaming Commission shall respond to a

request for additional information from the Chairman of the National Indian

Gaming Commission concerning a key employee or a primary management official

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

undes paragraph D. of this section until the Chairman of the National Indian

Gaming Commission receives the additional information.

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C. If, within the thirty (30) day period described above, the National Indian

Gaming Commission provides Thlopthlocco Tnbai Town 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 Thlopthlocco Tribal Town has

provided an application and investigauve report to the National Indian Gaming

Commission, Thlopthlocco Tribal Town Gaming Commission shall reconsider the

application, taking into account the objections itemized by the National redian

Gaming Commission.

1) Eithet after no objection by the NIGC or receiving an itemized statement

from the NIGC outlining its objections to the issuance of a license to a key

employee or primary management official, as in subsection F. above, the

Thlopthlocco Tril~al Town Gaming Commission shall weigh the information they

have received rega.rding the applicant and shall make the final decision whether to

issue a license or not to such applicant.

E. A license under this Code is a privilege which the Tribe may grant to an

applicant and is not a right to which any applicant is entitled.

§33 Lkense Susp~niiq~

A. If, after the issuance of a gaming license, Thlopthlocco Tribal Town

Gaming Commission receives from the National Indian Gaming Commission

reliable information indicating that a key employee or a primary management

official is not eli~ble for employment under section XXIX above, the

Thlopthlocco Tribal Town Gaming Commission shall suspend such license and

shall notil~ in writing the licensee of the suspension and the proposed revocation.

B. The Thlopthlocco Tribal Town Gaming Commission shall notify the

licensce of a time and a place for a hearing on the proposed revocation of a license.

C. After a rcyocation hearing, Thlopthlocco Tribal Town Gaming Commission

shall decide to revoke or to reinstate a gaming license. Thlopthlocco Tribal Town

Gaming Commission shall notify the National Indian Gaming Commission of its

decision.

I). After suspension or revocation of a license, the Commission shall have the

power to renew the same if in its discretion a proper showing therefor has been

made. I

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§34 License I~t~jnn~

The Thiopihtocco Tribal Town Gaming Commisskon shall issue a separate license

to each place, f~eility, or location on Indian lands where class U gaming is conducted

under this code.

§35 Re~o~yjnDispp1e~

In a dispute involving the gaming public and Thlopthlocco Tribal Town or their

gaming management contractor, the gaming public shall provide written notice of the

complaint to the Thlopth!occo Tribal Town Gaming Commission. The Thlopthlocco

Tribal Town Gaining Commission shall set a hearing date riot less than ten (10) days from

receipt of notice. The Thlopthlocco Tribal Town Gaining Commission shall enter a

written decision as to the complaint. If such decision is adverse to the complaintant, such

complaintant shall have ten(~0) to appeal such decision to the Tblopthlocco Tribal Town

tribal court.

§36 SvieepfFroi~ess Agent

The Thiopthiocco Tnbal Town Gaming Commission designates the Chairman as

its agent for service of process.

§37 Rtpeal

To the extent that thày are inconsistent with this Code,, all prior gaming ordinances

and codes are hereby repealed.

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