August 22,20 13 

By First Class Mail 

Venus Prince, Esq. 

Attorney General 

Poarch Band of Creek Indians 

581 1 Jack Springs Road 

Atmore, AL 36502 

Re: Poarch Band of Creek Indians 

Tribal Council Ordinance Amending Title 20 (Gaming), TCO 2013-07 

Dear Ms. Prince: 

This letter responds to your request on behalf of the Poarch Band of Creek Indians 

(Tribe) for the National Indian Gaming Commission (NIGC) Chairwoman to review and 

approve the Tribe's amendments to the Tribe's gaming ordinance. 

The amendments were passed on July 18,2013 by the Tribal Council and signed 

into law by Chairman Buford Rolin. The amendments revise the ordinance to amend 

Section 20-4-5(a)(5) to allow persons under the age of 18 to work in the Wind Creek 

Entertainment Center and in other non-gaming positions at the Tribe's casinos with prior 

approval of the gaming commission. The ordinance was also amended to be consistent 

with the Tribe's Tort Claims Act and to comply with NIGC regulations, including 

updates to 25 C.F.R. Parts 556 and 558. 

Thank you for bringing the amendments to our attention and for providing us with 

a copy. The amendments are approved as they are consistent with the requirements of the 

Indian Gaming Regulatory Act and the NIGC's regulations. If you have any questions, 

please feel free to contact Staff Attorney Sarah Walters at 202-632-7003. 

Sincerely, 

Tracie L. Stevens 

Chairwoman 

NATIONAL HEADQUARTERS 1441 L St. NW, SuRe 9100, Warhington. DC2M05 Tel: 202.632.7003 Fax: 202.632.7066 www.~lcc.cov 

REGIONAL OFFICES Ponland. OR: Sacramento. CA: Phoenix, AZ St. Paul. MN:Tulsa, OK 
.... ..... 

... .... ORDINANCE TO AMEND TlTLE 20 (GAMING) .~. ~~ 

~. ~ 

. ~ ~~ 

~~~ ~ ~ 

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

.... WHEREAS, .~. ~ . the Constitution of the Poarch Band of Creek Indians authorizes its Tribal Council ~ ... ~. ~ ~, 

to enact, amend or repeal an ordinance; ~ .. 

....... .... 

WEEREAS, on July 26. 1993, TCO 93:M)l enacted, Title 20 (Gaming) and later it was 

amended by TCO 201(20M on May 20,2010 in its entirety; ~ . ~~ 

~~~. .~~ . 

WHEREAS, the Tribal Council wishes to revise theTitle to amend Section 20-4-5(a)(5). which ,~ . . .... .... 

~~. prohibits individuals under the age of eighteen (18) years from working in any 

Gaming Establishment; 

WHEREAS, the Tribal Council desires to allow persons under eighteen years of age to work in 

the new Wind Creek Entertainment Ccnter and in other non-gaming positions at 

the Tribe's Casinos with prior approval of the Gaming Commission; ... 

.... ... 

WHEREAS, applicable sections of the Gaming Title also need to be revised to be consistent 

. . with the Tort Claims Act, which was amended by TCO 2012-023 on February 2, ..... 

... 2012, and dlowed claims to be filed in Tribal Court; 

WHEREAS, further amendments to the Title were to comply with the National Indian Gaming 

..... Commission's mles and regulations; and . . ... ... WHEREAS, in aceordance with 9 2-3-l(b) of Title 2 (Legislative), this ordinaoce was ..... 

~~. ~

. 

. .~~ . introduced by Tribal Council motion at the regularly scheduled official meeting 

.~. June 20,2013. . ~ 

... 

: . NOW THEREFORE BE IT ORDAlNELi that the Tribal Council amends ~itle 20 (Gaming) of 

the Tribal Code to add Sections 20-1-13 though 20-1-15: 20-26; 20-10-2; and 20-10=1; delete ....... 

.... 

Sections 20-1-14; 2@3-1 thmngh u)-34.2066: and 20-74(g); revise U)-7-6(d) including the ... 

.... new formatting and renumbering of Title 20 to incorporate changes in revised form shown ...... . ' below: 

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. . .. ~ Page 1 of34 . . 
TlTLEM 

GAMING 

TABLE OF CONTIWTS 

GENERAL PROVISIONS 

Section 

20-1-1 Title 

Purpose 

Definitions 

Gamine Authorized 

~ocati0n of ~aming 

Ownership of Gaming 

Use of Gaming Revenue 

Environment Public Health and Safety 

Consent to Jurisdiction 

Applicable Law 

Service of Pmccss 

Amendment 

Sovemign Immunity 

Severabii 

Prior Jnwnslstent Law 

Savings Revision 

Effective Date 

ORGANIZATION AND PERSONNEL 

Section 

20-2- 1 

20-2-2 

20-2-3 

20-2-4 

20-275 

Commission Established 

Indenendence 

B~&I of Commissioners 

Licensing of commissionm 

Removal of Commissionm 

Powers and Duties of the Commission 

Rules and Regulations 

Tribal Gaming Commission Administrator 

Gaming Commission Staff Qualifications 

Commissioners Prohibited from Participating in Tribal Gaming 

Penalty for Divulging Certain Information 

RCPO~ 

RULES AND REQUIREMENTS 

section 

20-3-1 

20-3-2 

20-3-3 

20-3-4 

20-3-5 

Red and Repa for Gaming Establishments and Operations 

Audit of Ganung Establishments and Gaming Ope~ations 

Reporting Criminal Activity 

Gaming Machine Fee 

Prohibited Actions Enumemted 

MANAGEMENT CONTRACTS 

Section 

20-4-1 Management Contracts Subject to NIGC Approval 

GENERAL LICENSE REQ-MENTS AND 

RESTRICTIONS . . . . . . . . . . . . . . . . . . . . . . .. . .. 

Section 

20-5-1 

20-5-2 

20-5-3 

Requirement of a License 

Privilege; Conditions 

Licenses not Assignable or Transferable 

License Fees 

Credits or Refunds 

Retention of Licensing Rds 

GAMING LICENSES FOR EMPLOYEES 

Page 2 of 34 
Section 

20-6-1 Standard for Jssuing a Gaming License 

20-6-2 Application for Gaming License 

20-6-3 Previous Applications Submitted Widxmt Notices 

20-6-4 Withdrawal of Gaming License Application 

20-6-5 Financial Discloslues 

20-6-6 Licensing Rocedure 

20-6-7 Displaying Gaming License 

CEAPl'ER W FACILITY LICENSES 

Section 

20-7-1 Standard for Issuing a Facility License 

20-7-2 Application for a Facility License 

20-7-3 Notification of a New Facility 

20-7-4 Usplaying Facility License 

CEAlTER Mn VENDOR LICENSES 

Section 

20-8-1 Standard for Vendor Licensing 

20-8-2 Vendor Applications 

20-8-3 Withdrawal of Application by Vend01 

20-8-4 Backgound Investigations 

20-8-5 Displaying License 

CHAFl'ER M COMPACT OR SECRETARIAL PROCEDURES 

Section page 

20-9-1 Compact with the State of Alabama a Seal Pmudm 37 

20-9-2 Assessments 37 

20-9-3 Regulation of the Commission 37 

CIIAITER X ENFORCEMENT 

Section 

20-10-1 Civil Violations 

20-10-2 Cid Sanctions and Penalties 

20-10-3 Hearings and Appeals 

20-10-4 Enforcement Actions in Tribal Corn 

20-10-5 Ex Parte Communications 

20-104 Comity and Concurrent Jurisdiction 

rnE 20 

GAMING CODE 

CEAPTER I 

GENERAL PROVISIONS 

g 20-1-1 Title 

This Section of the Poareh Baod of Creek Indians Tribal Code shall be known as the "Gaming 

Title!' 

820-1-2 Purpose 

The purpose of this Title is to govern and regulate the operation, conduct, and playlng of all 

forms of gaming on the Tribe's Indian lands. 

Unless ~ ~ a different meanin. is clearlv indicated in this Cbmb Title. the terms used herein shall 

have Ule same meaning as-riched in the Indian Gaming ~e~tor~ Act ("lGRAs')), 25 U.S.C. g 

2701 el scq., and regulations of the National Wan Gaming Commission ("NIGC'), 25 C.F.R. 5 

5GU et seq.: 

Page 3 of 34 
"Class U Gaming" means class U gaming as defined by IGRA and regulations of 

the NIGC. 

"Class El Gaming" means class El gaming as defined by IGRA and regulatiw 

of the NIGC. 

"Commission" means the Pomh Band of Creek Indians Tribal Gaming 

Commission, the entity established by the Tribal Council by this Title in order to 

regulate the operation, conduct and playing of all forins of gaming on the Tribe's 

Indian Lands. 

"Commission Personal Roperty" means all the personal property, mcluwithout limitation cash w hand, revenues, income, inventay, equip-t, 

sopplies, accounts, contract rights, leases, allotment rights, and severed buildings, 

fixtures, a improvements owned by or transfeired to the possession. use aod 

management of the Commission. 

"Commission Real Roprrry" meana any interest or lights in real prqpcrty which 

management contml, but not ownership, has been transferred by the Tribe to the 

Commission. 

"Commissioner" means an individual member of the Poawb Band of Cmk 

Indians Tribal Gaming Commission, 

'%ompact" means any agreement between a tribe and a State of Alabama about 

Class III gaming under 25 USC 271qd). 

"Gaming Activities" means any fom of Class II or Class III gaming, whetber 

authorized or unauthorized. 

"Gaming Board" means the P(JI AIIthority Board of DkCto18 a0dlM any 

other bod that may be established to oversee the management and nonregulatory aspects of a Gaming Establishment or operation. 

"Gammg Dence" means any mcehanical electmmechanical, electmnic, or video 

machine or device, or component themf, that, fa consideration, assists or allows 

a player to play a game of chance. The turn shall be broadly construed to 

promote the purposes of this Title and shall include any such machine or device 

whnher the game played 1s a Class U M a Class III gam. 

"Gaming J!.stablishment7' means any building, mom or structwe in which any 

Gaming Activity is conducted, including any tills and credits and any area where 

any currency or win related to or generated Prom any Gaming Activity is stom3 

or counted. 

"Gaming Operatiod' means a business entity owned by the Tribe for the conduct 

of any Gaming Activity in any Gaming Establishment on Indian Lands. 

"Garmng-Related Services" means any goods, sewices or cancessions provided or 

used in connection with Gaming Activities, whetba exclusively or otherwise, 

including but not hted to, equipment, gaming devices and components thereof, 

equipment ancillary to gaming devices, implements of gammg activihes snch as 

playing cads and dice, fumiturc designed primarily for use with gaming 

activities, surveillance or wmity equipment, and consulting services. 'Uamingrelated senices" does not mclude professional legal or accounting services. 

'Gaming Vendor" means any Person providing Gaming-Related Services to the 

Gaming Operation, maoagement contractor, or a Gaming Establishment as 

determined by the Commission. 

"IGRA" means the Indian Gaming Reptatmy Act of October 17, 1988, Public 

Law 1001197, 1M Stat. 2467, ccdified in 25 U.S.C. g 2701 et seq. 
(p) "Immediate Family Member'' means spouse (including common law 

relationship), parent, child, sibling, grandpamnf andlor grandchild. These 

relationships are detemined by consanguinity, affinity, adoption, foster case, or 

legal ward ship. 

(q) "Indian Lands" means Indian lands as defined by IGRA and regulations of the 

NIGC. 

(I) "Key Employee." means: 

(1) A person wbo performs one or More of the following functions: bingo 

caller, counting room supervisor, chief of security, custodian of gaming 

supplies or cash, flwr manager, pit boss, dealer, mupier, approver of 

credit, or custodian of gambling devices including persons with access to 

cash and accounting records within such devices; 

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

is in excess of $50,000 per year: 

(3) If not othemise included, the four most bighly compensated persons in the 

Gaming Opention; or 

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

key employee. 

(8) "Management Contraas means any contract, subcontract. or collateral agreement 

between the Tribe and a contractor or between a contractor and a subcontractor if 

such contract or agreement provides for the management of all or part of a 

Gaming Operation. 

(t) 'Management Contractor*' means the Person designated by the Management 

Contract as having management responsibility For the Gaming Operation, or a 

portion thereof. 

(u) "Minor TrafGc Violation" means any violation of law governing dre operation of 

a motor vehicle, if the violation does not result in a fine of more than 51,000.M). 

propeny damage in excess of 51,000, or personal injury to any nalural person 

involved. 

(v) ''NIGC" means the National Indian Gaming Commission. 

(w) "Net Revenue" means gross gaming revenues of the Gaming Operation less: 

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

(2) Total gaming-related operating expenses, including all those expenses of 

the Gaming Operation commonly known as operating expenses and nonoperating expenses consistent witb pmfessional accounting 

pronouncements, excluding management fees. 

(x) "Non-gaming Vendor" means any Person providing any goods andlor sea'vices 

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

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

accounting services. 

(y) "Person" means any nahlral person or entity, in~luding but not limited to any 

partnership, corporation, mst or other legal entity. 

(2) "Principal" means an officer, director, partner, or owner of 10% interest or more 

in a Gaming Vendor or Non-gaming Vendor. 

Page 5 of 34 
'Ri~rlmary Management Official" means: 

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

(2) Any Person who has authority: 

(i) To hire or 6re Key Employees; 01 

(ii) To set up working policy for the Gaming Operation; 

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

responsibility; 

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

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

"Sezrearial Rocedures" means Class IU Gaming pmeedures issued by the 

Secretary of the Interior. 

"Subject Commission PmpmQ" means the Commission Real Roperty, the 

Commission Personal Pmpty, and such additional assets as are asfed to or 

acquired by the Commission. 

'Tribe" means the Pomh Band of Creek Indians. 

'Tribal Council" means the nine-member body of the Poarch Band of Creek 

Indians elected by the General Council. 

Class U and Class IU Gaming are herrby authorized to be conducted on the 

Tribe's Indian Lauds; provided, however, that such gaming must be conducted in 

accordance with the provisions of this Title and any other applicable laws or 

regulatio~~s. 

No Person shall engage in, wnduct or wndone any Gaming Activities that are not 

wnductcd in accordance with this Title and any other applicable laws or 

regulations. Any Person who engages in. condncts or aids with any act bf 

unauthorized gaming on the Tribe's Indian Lands shall be guilty of a class B 

misdemeanor and shall be prosecuted in any court of wmpetent jrnisdiction. 

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

Lands. 

The Commission shall ensure that all Gaming Activities conducted on Indian 

Lands are authmizsd under tribal and federal law. 

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

Gaming Operation and Gaming Activities antho- by this Title. 

0 20-1-7 Use ofGlming Revenue 

(a) Net Revenues from any Tribal Gaming Activities shall be used only for the 

following pqoses: 

Page 6 of 34 
(1) To fund tribal government operations and programs; 

(2) To provide for the general welfareof theTribe 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. 

@) If the Tribe elects to make per capita payments from the Net Revenoes, the Tribe 

shall authh such p&yments only in aewldance with the Tribe's Revenue 

Allocation Ordinance as approved by the Secretmy of the Interior. . ... . . ..... . ... . . 1 5 20-1-8 Environment Pablic Eesltha~~dSafety 

The construction, maintenance and operation of any Gaming Establishment shall be in a manner . . . . . that adequately protects the envimnmea, public healfh and safety, and shall comply with all . ... . : : 1 :' : applicable laws relating to environmental protection and public health and safety including, but 

- - not limited to, 25 C.F.R. 5 580. 

... . . . . ... . .. 

. . ~~. 'i . Any Person who applies for a license under this Title. applies for employment in any Gaming 

- EstaMishment or Gaming Operation, enters into any wn&t or agreenkt related to gaming, or . D-* in anv Gamine Ackivities on Indian Lands shall be deemed to consent to the civil 

:.. . .. ~urisdi&on of the~ribe and the Commission. Nothing in this section shall limit the jurisdiction ... ~ . . - of the Tribe or the Commission under any circumstances. 

g al-10 Applicable Law 

. .. ... . . . ....: . . . All controversies arising under this Title or othenuise relating to gaming on Indian Lands shall . . - be resolved in accordance with the laws oftbe Tribe. 

0 243.1-11 Service of Process . . ... . . .. 

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

~. . . ~ 

. . . . . ~~ 

: g243.1-12 Amendment . ~. 

Any amendment to this Title shall be submitted to the NIGC for approval within fifteen (15) 

.. . days alier adoption. . .. . . .... 

O 20-1-13 Sovereign Immunity 

Nothing contained in this Code is intended to nor does it in any way limit, alter, restrict, or waive ... .. .~. . . . . the Tribe's sovedgn immunity. . ~.. . . 

~ ~~ 

... .. If any clause, sentence, paragmph, section, or part of this Code shall, for any reason be . .... ~ .~. . . .. adjudicated by any cow of competent jurisdiction, to be invalid or unconstitutional, such 

. . 

: . judgment shall not affect, impair, or invalidate the remainder thereof, but shall be confined in its 

operation to the clause, sentence, paragraph section, or part thereof directly involved in the 

~. . ... . coatmversy in which the juwt shall have baenmndeted. . .... . ... .. .. . . ~ O 23-1-15 Prior Inmnsisleat Law 

Page 7 of 34 
I Upon the effective date of this Code, any pria, inarnsistent resolutions, policies, ordinances 

andlor procedures of the tribal government and tribal eoterpdses arc hereby superseded andlor 

amended to camply with this Ccde 

0 20-1-16 Savings ProvMon 

1 If any provision of this Title or tbe application thereof to any Person or circ- is held 

invalid, the invalidity shall not effect other provisions or application of the Title that can be 

given effect without the invalid provision or application, and to this end, the pmvisions of this 

Title ate severable. 

I 0 20-1-17 Effective Date 

This Title and all subsequent amendments shall become effective on the date such amendments 

aze approved by the NIGC. 

CHAPrER 11 

ORGANIZATION AND PERSONNEL 

The Tribal Council hereby establishes the Poarch Band of Creek Indians Tribal Gaming 

Commission ("Commission") in oordcr to regulate the operation, conduct, and playing of Gaming 

Activities on the Ttibe's Indian Lands. Punhennore, the Tribal Council hereby delegates the 

authority to manage and oversee the Subject Commission Property to the cornmiision in behalf 

of the -. Tribe and within the limitations set fo& in the Tribal Constitution and this Title. Ihe 

Commission shall assume control and custody over the Subject Commission Propetty as it eusts 

on the date that this Tltle becomes effective. 

Tbe Commission shall be and act independently and autonomously from the Tribal Council in all 

matters witbin its purview. 

(a) ELieibilitv of Comrnissiomq 

(1) A Commissiwer shall be. a natural person of at lea eighteen (18) years of 

age. 

(2) A majority of the Commissioners shall be enrolled members of the Poarch 

Band of Cxek Mans. 

(3) A Commissioner must be eligible to be licensed as a Key Employee and 

Primary Management Official in accndance with 020-6-1. 

(4) Commissioners must complete a backgmund invesh&auon which shall 

confm that the Commiss~oners ate pcrsons of gwd character, honesty, 

and integrity, and persons whose prior and cutrent activities, cdminal 

record, reputation, habits, and associations @nh business and pemal) do 

not pose a threat to the public interest of the Tribe or to the effective 

regulation and wntrol of gaming, or create or mhance the dangers of 

unslutable, unfau, M ilkgal practices, methods, and activities in the 

conduct of gaming or carrying on of the business and financial 

arrangements incidental to the conduct of gaming. 

. . . . . . . , ~ 

(5) A Commissioner must annually obtain a gaming license in accohnce 

with the procedure in 920-2-4. 

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

Page 8 of 34 
(i) Person is an employee of the Commission, member of the Gaming 

Board, a tribal judge or justice, or an employee of any Gaming 

Establishment or the Gaming Operation; 

(ii) Person is an Immediate Family Member of or living with any 

Tribal Council member or Gaming Board member; 

(ii) Person has a direct or indirect financial interest in a Management 

Contract, other than his or her share of any per capita payment that 

the Tribe may make; 

(iv) Person is a Gaming Vendor or Non-gaming Vendor a has a direct 

or indirect fmancial interest in a Gaming Vendor's or Non-gaming 

Vendor's contract with any Gaming htablishment or the Gaming 

Operation; 

(v) Persm has a direct or indirect tinancia1 interest in any Gaming 

Establishment or the Gaming Operation, other than his or her share 

of any per capita payment or any stipend or compensation paid for 

senrice to the Board of Commissioners; or 

(vi) Person has been wnvicted of a felony, embezzlement, theft, 

robbery, receiving stolen property, Fraud, fraudulent use of a credit 

card, forgery, possession of a forged instrument, bribery. 

counterfei&ng. orfalsification or dcsmcuon of words. 

@) Number, Tenwe and Nomination of the Commissioners 

The number of Commissioners which shall constitute the whole Board of 

Commissioners shall be five (5). The Tribal Council shall designate annually one 

Tribal Council member as its repmarive Commissioner on the Bcmd of 

Commissioners; the designated Tribal Council representative commissioner shall 

sem a term of one (1) year. AU otbe~ Commissioners shall be elected by the 

Tribal Council and shall initially have staggered four (4) year terms. 

Commissioners may serve more than one term and may serve consecutive terms. 

Each Commissioner shall hold office until such Commissioner's successor is 

selected and qualified. 

(c) Vacancies 

Any vacancy occuning in the Board of Commissioners due to the removal or 

resignation of a Commissioner shall be filled by the Tribal Council folloGng the 

advettiscmcnt of the position for at lean thirty (30) days, and the Commissioner 

shall hold of6ce for tbc same term as Ik Commissioner that he or she is mlacina 

(unless removed earlier in awordaoce with this Title). If the v-cy is left by a 

Commissioner who was the designated Tribal Council member, then such 

vacancy must be filled with a new Tdbal Council member. 

(d) Function ofthe Commission 

The business and affairs of the Commission shall be managed by its Board of 

Commissioners, subject to any limitations set forth in the Tribal Constitution, this 

Title, or the Commission bylaws. The Board of Commissioners will determine the 

manner in which it will exercise authority and responsibility for the management 

of the Commission and the extent to which such powers will be delegated to 

committees of the Bod of Commissioners. The Board of Commissioners 

generally shall be responsible fa establishing overall policies and objectives for 

the oversight of the affairs and assets of the Commission, for planning and 

delegating responsibility, and for periodically reviewing and evaluating nsults. 

Page 9 of 34 

Once appointed by the Tribal Council to the Commission. an individual must 

submit an application containing the same infodon as set forth io 520-6-2 to 

the Police Cbief. 

Using the procedures for a background investigation performed on Key 

Employees, as provided for in 520-6-6, the Public Safety Department shall 

complete a backgmund investigation on all individuals appointed to the 

Commission. 

&ecommendation to the Tribal Council 

Upon completion of the background investigatiw. the Police Chief, or his 

designee, shall review the backgmund investigation, determine whether the 

appointed individual meets the eligibility requirements for Commissioners set 

foab in $20-2-3(a), and recommend that the Tnbal Council approve or deny the 

license. This mumendation shall be. made no later than 30 days from the date 

the application was submilted. 

Tribal Council Amval 

If an appointed individual meets the eligibility requirements for Commissioners 

set fonh in 520-2-3(a), the Tribal Council shall issue the individual a 

Commissioner's license, and individual shall tak hidher position on the 

Commission. 

Removd of Commissioners 

Commissioners may be removed from office by the Tribal Council prior to the 

expiration of their respective terms only for: 

(1) Neglect of duty, misconduct, malfeasance, or other acts that would render 

a Commissioner unqualiiied for his or her position; 

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

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

The Commissions shall be afforded the opporlunity to present written and d 

testimony and other evidence to the Tribal Council before it renders a decision on 

the Commissioner's removal. 

A Commissioner M not be removed unless the Tribal Council detmnines that 

there is clear and convincing evidence of the misconduct or violation. 

(d) The Tribal Council shall make a final decision on removal within ten (10) 

calmdar days from the date of the hearing. The Tribal Council's decision shall be 

in writing and shall set forth specific findings on each alleged act of misconduct 

or each alleged violation. The written decision shall be sent to the Commissioner 

and to the National Indian Gaming Commission. 

(e) A vote of the Tribal Council on the validity of the removal shall be final and not 

subject to further appeal. 

0 20-2-6 Powers and Dutirs of the Commission 

The Commissiou shall have the authority and responsibility to: 
. . ... .... ..... (a) Enforce and administer all proviaions of this Title; ...... .... ....... 

...... 

. . ~~, ..~. 

. . ........ : :: Ensure that any Pmon involved with tbe conduct of Gaming Activities on Indian ..... . . . ........ . land is a Prison of good chamter, honesty. and integrity and whose pria ...... .... .;,. .,.t.. cn acti?rities, criminal wx$ if any, and reputation, @bits and mociations @otb 

business an4 personal) do-n0t:pos a tbmt to the public inkt or to the effective 

regulation of gaming, or create a enhance the dangm of muitable, unfair, Or '' 

. . illegal practices, methods, and activities in the mndua of Gaming Activities a 

... the business and financial ts incidental to .the conduct of any Gaming .... 

............ E.m5lishment or the Gamin-n; . . ....... -~; ~ - ~~ ~.~~ , .-~~~ ...... 

:. , ,';lj-i;(cf Deny, issue, mncw,.woke, restrict, suspm&or condition liws aid establish , , . the term for all fice~ for all Key Employees, Rimary Management Officials, . ,,.. <.. - Gerning Establishments, Gaming Vendors. Non-&g Vendors, and all 

employeesof any Gaming Esublishment and Gaming Operation; ... ..... ... ..... 

...... 

. . : .:Xd)- Adopt or prodgate bide a schedule off& and charges for aemices liecnsing; . . .... ........ . : 1. ~ ' -:;. . :,I .. ....... 

.- .+g, -.:.;: (e) Fmgqrint any applicants for kenses as required by this Title, except for the ........ . . fingerprinting of the Commissioners; % ' .... ... ~ ~ 

... , , & ". .+: ~ .~~ ~ ~. 

... ...;... ... ...... : c~duct a cause to bc oonducted any background inyestigation 9- by this ..... .... ...... ....... Title: .... ....... . . ....... 

...... ....... . . 

(g) Requin the bo&g of Managcmmt Contractom, Rirmny Management Offcials. 

Key Employees, or other employees as deemed necessary; ..... ... ... 

. . ..... . . 2, . . ....... 

....... 

....... 

. . ........ @) Investigate any suspicion of corruption, theft, or fund misappmpriation or any ... 

... ... ..,,:a ....... violation of this Title or any other ~pplica& laws a regulations; .... ... 

.... 

..... ..... ..... ..... i Report any criminal activity diswvered to the appmpriate law enforcement ....... 

....... agency and coordinate investigatiop and pmgecutiws.yith that agency; 

. ~ 

. ~. 

.. . . : .: . : .,. Assess, collect, apd maintain a correct &d firll .accounting of any fees, penalties. 

,.~. . ~ 

... ..... expenses, or inteiustas paavidcd for in this Title and *sit the same into an ..... ....... 

....... account to the cdit of the Commission; ....... ... . , . :7 

.... 1 Review a cause be reviewed all financial data. IWX& and accounts of any .... Gaming Establishment and the Gamin& Operation and inspect any Gaming ... ... ..... ..... :.., ....... 

....... ... , .-..i,6 

. . 

, EstsbUshment . . as the Commission dccms v; ~. ..... , ,, , Audit or cans tobe audited the expenditures, .mipts and repm of any Gaming ....... ... ..... 

. . Establishment and the Gaming Operation as the Commission deems necessary ..~. ........ ....... .. +IIF (.. . .: 1F and any gamin.$ employee when leasonable suspicion:~f theft or EoMption exists; . . ... ... .~ ... . . c. . . (m) Require. at its Man any Gaming EstabJishment or Gaming Operation to allow . . . ~. . . , .a P~ISOII of tbe Commission's cho&ig&- in any mom of any Gaming . . .... .... ..... 'Establistgt~t or Gaming Oprrationwho.shall hw a full opportunity to monitor ..... 

...... 

....... ...... , op&& at all tioles the Gaming Establishment or Gaming Operation is in 

. operation; . :.'.. ,:2::i ,. 2' ~ . ~~~ .~ . . ~~~ ~~ 

.... . . . 0. -1, : : .~ . ~. . ~ ~ .. ... 

.~.. : !i) .CkMy that all CBnhg Devices purcW, leased or otherwise quid by any ..... .... 

... .. ... . Gq@g Patablisbmeni or (hrming Opedon meat tbe technical equipment ....... 

....... standards seI forthby the Codssiomor NIGC, . : ' . . . 

........ 

;o) Provide or cause tobe pnavided such.infonnatim,as may be required by this Title .,.% , Ib ;~. ... to tbe NIW: , ..... ..... ....... 

....... 

....... 

. . ........ ': @) Enforce all provisions of and audit compliance with aky document or agreewt ..... 

...... 

........ ent& into by the Tnk, any Gaming Establis,hment, or a Gaming Operation ..... 

. . ........ ..... . .~. . ....... ....... ~ ~.~ . ....... 

....... ....... ....... ....... ....... ..... . . ........ ........ 

. . ........ ..... .~. ~~ 

. . ...... ........ ~2, c+ %A%! :::: ....... .... . . ....... Page 12 of 34 

. . . . -~ ........ ........ ...... ..... ..... ..... ..... ..... ..... 

....... ....... ...... ........ ....... . .~. ....... ....... ....... ....... ....... 

....... ....... ....... ....... ..... . . . . ........ ....... ~. ......... ..... . . ......... .., . . 
Investigate and resolve all pmn disputes not govemcd by 029 of the Tribal Code 

(Ton Claims Act) in accordance with the pPocedures adopted by the Commission; 

institute such legal proecedigs in the name of the Tribe or the Commission in 

Tribal Court M any other court a$ it deems necessary for the enforcement of this 

Title; 

Conduct hearings as provided for within this Title or tribal law; 

Administer oaths and issue subpoenas to compel attendance of wihlesses or to 

pmduce any documents relevant to the matter before the Commission; 

Prescribe, promulgate, and enforce wdtten lules and regulations not inconsistent 

with this Title; 

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

Commission: 

(1) Applications, financial statements, hgerprints, contracts, licenses, 

suspension and cancellation notices, and all correspondence related to all 

applicants for licenses issued by the Commission; 

(2) Meeting minutes horn all Commission meetings; 

(3) Compact or Secretarial Pdures; 

(4) Repons and documentation relating patron disputes or other issues that 

affect the integrity of the Gaming Establishments and Operations; 

(5) Tribal Council communications and correspondences; 

(6) A list of ceaified Gaming Devices located at any Gaming Establishment 

whether or not such (faming Devices are in operation; and 

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

appropriate. 

To waive sovereign immunity against suit, to sue and be sued, to complain and 

defend in its name, to waive exhaustion of tribal re&s, to acq& service of 

process, to consent to jurisdiction of courts, to forego tribal mrt jurisdiction, and 

to consent to arbitration or mediation, but in each case only on behalf of itself and 

only with respect to a contract, claim, or obligation entered into or assumed by the 

Commission and only up to the contract amount, 

Adopt and amend bylaws, policies, and procedures as are reasonable and 

necessary, but not inconsistent with this Title and any other applicable laws or 

regulations, to dfectuate the purposes of this Title; 

Cause. the following to be achieved for the Commissim. 

(1) A written accounting system, approved by an independent certified public 

accounting fum, shall be established; 

(2) An inventory of proper\y shall be taken as of the last day of business of 

each fscal year of the Commission; 

(3) An annual hcial sultement of the operations of the Commission shall 

be prepared and provided to the Tribal Councik 

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

Council; 

Page 13 of 34 
.... . . (5); . .A proposed budget, which shall mnstitnte a plan of omon, shall be 

.... .... Prepared prior to the Geginning of each fiscal year bnd shall be ..... . . :p~~~:.:~+~?~ .. to@ .r?ibal;cOuncil for amal: and ... ... .. .... . . ... ....... 

:;T_,: ...: *!iii.o -... (6) Geperal pbMe8, which :W incIudc, among other appropriate matteas, a .. . ....... 

....- .,., ;: .-<,<IT.> . .,.. , sta%mml of purpose, -a stahmmt of policy, a sta&ment of administrative ........ ..... . ... . policies, and a statement ofpersonocl policies, shall be adopted. . . . .~ ... ... . . .... ..... '(2) into agreements, wntmw, or similar documents with any governmental .... ..... ,. . ...... ...... 

....... agency or with any Person within the limitations established by this Title; : . ....... 

..... .. ..... . . ~p~ 

........ . . ...... . . .." - .... ..... . . ... \-I F'udh-. receive, ,lease, or ~acqite, and own, hold, improve, use, and . ". ' 

. . othemise deal with Commission Pers& Pmperly, or any legal or equitable .... ..... ..... inWt in this pmpaty, wkev& located: . . : :.;~T.,:,.,,:+~! f, ..... . . . ....... 

. . 

........ ... 

. . . ~ 

, , : .,?:!.+-, 

... Sell, convey, mortgage, pledge, lease, %change and otherwise dispose of all or : :,: :.,: . ... ..... . . . . any W of of Subject Commission Prom provided, however, th& with .: .; . :; .... ........ ..... ..... 

... nXpt to ComInisSiOn W: Properly, the Copmi~ion~s~ obtain the #~q " ' "" ' 

.... 

.... 1.. .%. w&$n rpproval.of the Triba1:Coun~il; .:; - .::. :: .... . . w,ji..~ . . .... ..... ..... > *..:.*'*l;i', ..... . . a) Incw liabilities, WsoW money and is& tsmpaary or long-tam evidence of ... . . .... ... indebtedness, secnred by the Commission Pmonal Pwpsrty; provided, bowem .... ...... ..... that with re+* to indebtedness in an aggregate:@cipal mount in excess bf ....... .... ..... $50000000.00, the Commission shall obtain the prior written approval of the Tdbal ........ . . ... 

. . Council: ........ ....... ... ....... . . .... ..... . .... . .,. ,#@ , Lend motley. invast and minwt its funds, and receive and hold red and persod ....... 

......... 

. ........ .: . . P- as -=~LY for repayment; ..... ..... . . ..... ..... ... .. (ee) Hire employeas and agents, and define their compensation; .... . . .... ..... ..... ..... ..... ..... ....... ....... ..... 

.. .n. li;?,w~,5(ft) Establish mmmittees as deemadnecessluy; ,r, % -:: . -81 .. . . .. . ........ . . ~ 3Y". .... . . ..... ..... . . ... ... . : . Transact any lavkd business that will aidb Commission and perform any other 

:.: ..p!."??b. .... act not inconsistent with the law that fuahers the business and affairs of the . .,. ...... 

....... Commispion; and ..... 

. . ....... ........ .... ,,.. ;qc .:: @h) Take such other MOM and issne snch orders as the Cominis%ion may deem . . . . . , . YCLI ..% necessary and pmpu to fully perform its duties and mpnsi6'ities under this 

..~ ..... 

....... (a) Any rules or regulations the:CoaMission deems nemrsary to administer this Title 

:. .::.a ... :.. bscrc! ,.< ahall be promnlgated only upon thirty (30) days &ti= of the proposed . . .... ... , . . - . rulemaLing 4011, which ShaIl be pmvided to the Tribal Council and posted at the .... 

. " .. **~ '. ....... ..... hibal ~ffi~. . $5 . . : : .iz i :: .. . . ... ........ ..... ........ 

. . ..... .., ..~ . . ~ 

... 

. .~ 

..... @) The notice shaU speZii-thi. &&eot the proP;o0dK~on, the draft language 

of tbe proposed regulation, asd the factors the Commission has considered in its ... . .~ . ~ determination @&act the proposed ffignlation, . . and the addre$s at which the ., Commission shall receive commmts. : ........ ..... ..... 

....... 

....... 

....... 

. . ., (c) During the notice pedod theCommissim shall rscive comments regarding the ........ ... .... .... I ..... . ... 

- proposed iepulatlon at the designated mailing.address. ....... ... ....... . . .. 

-....... .?. .. $d) . The wmments . received by the Cdssiun shall be widexed by the ........ 

....... 

....... Conmnissioa ata meeting opeh to all intemted persons, and the Commission shall ... . . ......... ..... make a final deXennhationreEardioS the need for the mosed rermlation on the ... ?;hi; ,ie%,i:;r', basis of all the information available-ta the Commission. kny fd-detaminatioo . . . ........ of the Commission sball be resordcd in writing. 
The day-today activities of the Commission shall be under the direction of the 

Tribal Gaming Commission Administrator. 

The Board of Commissionets shall select and set the compensation for the 

Commission's Administrata. However, affer the effective date of this Title, no 

employment contract and no modifications or amendments to any employment 

contract for the Administrator shall be binding upon the Commission or Tribe 

unless and until it is approved by the Tribal Council. 

The Administrator must be licensed annually. The pmcedure used for licensing 

of the Administrator shall be the same procehrre used for the Commis$ioners and 

outlined in $20-2-4, except that the Administrator's eligibility for a gaming 

license shall be determined using the eligibility standards for Key Employee and 

Primary Management Omcial as set forth in 0206-1. 

Gaming CommtPsion StaUQuslitications 

No member of the Commission staff may be directly or indirectly employed by 

any Gaming Establishment or the Gaming Operation. 

Commission staff must be lice& annually. The pmcedure used for licensing 

Commission staff shall be the same pdure used for the Commissioners and 

outlined in 020-2-4, except that the Commission staff's eligibility for a gaming 

license shall be determined using the eligibility standards for Key Employee and 

Primary Mauagement Official as set forth in 020-6-1. 

Page 15 of 34 
O 20-2-10 Commissioners Prohibited fmm Padidpath8 in Guning 

Neither a Commissioner nor a member of the Commission staff shall be permitted to participate 

in any Gaming Activities within any of the Trih's Gaming Establishments except fa any such 

participation engaged in solely for educational, instructional, or investigative puposes. 

O UI-211 Penalty for Diwlgiall CuCain Mormatbn 

Any Commissioner or memk of the Commission staff who divulges any fad or information 

coming to his or her knowledge not generally known by the public respecting any aspect of his 

or ha duties as a Commissioner or member of the Commission staff, except insofar as he or she 

may be anthorind by the Commission or a wurt of competent jurisdiction or a judge thereof, is 

guilty of a class C mkhmmr. Euabem4 the breach of confidentiality may result in a 

penalty ranging hom censm, suspwsion, recommendat~on to the Tribal Council for removal 

from the Board of Comrmssioncrs fa a Commissioner, and termioation of employment for a 

member of the Commiwon's staff. 

0 20-2-U Reports 

[a) Tho Commigsion shall submit written quarterly repoas to the Council within 

thirty (30) days after the end of each quarter. Such reports shall contain the 

following information: 

(1) A summary of the number and types of licenses issued, denied. suspended. 

or revoked during the previous qnarte~; 

(2) A summary of any events of noneompb, b-h or violations of this 

Title a any other applicable laws or regulations; provided, bowever, that 

these reports are not the subject of or relating to a pding investigation 

king conducted by the Commission or a hearing before the Commission; 

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

Commission; and 

(4) All otha information which the Commission deems relevant in &r to 

keep the Council informed and cumnt on alJ gaming regulatory mattem. 

b) Nothing in this section shall authorize or pumit the Canmission to provide the 

Tribal Council with any information peaaining to a pending investigation being 

conducted by the Commission or hearing before the Commission. The Tribe shall 

comply with any obligation in a Compact, Secretarial Mures, or IGRA to 

provide such reports to the NIGC. 
. . . . . . . . . . . . . . . .. .. . CWR~ 

. . . . . . . . . : i RULES AND REQUIREMENTS 

Refords and Reports for Gpming EsWhmeats and OpemUom 

Cash Manazement and hal Control Svstem 

All Gaming Establishments and Gaming Operations shaU have a written cash 

management and internal control system adequate to safeguard all funds of the 

Gaming Establishment or Gaming Operation. Such cash management and 

intemal control system shall include procedures relating to the handling of 

intemal bankroll and cash receipts, deposits to the bank acmunts of the 

establishment, disbursements from such bank accounts, and dl other necessary 

mounting and auditing pmcedures relaung thereto. If the cash management and 

internal contml system is established and implemented by an Management 

Contractor, the Commission shall have the right to approve such system and shall, 

at any time once implemented, have the right to monitor this system whether 

directly or through an agent. This includes the right to inspect and examine all 

accounting mrds and books of accounting pertaining to the Gaming 

Establishment or Gaming Operation as well as all source documentation for these 

records. 

All financial data, records, and accounts are the property of the Tribe and shall be 

kept on the premises of the Gaming Establishment or Gaming Operation. If offpremises storage is necessary, the Commission shall approve the location. The 

Commission shall have access, eik dkatly or through an agent to the daily 

operations of the Gaming Establishment, and shall have the right to verify the 

daily gross revenues and income earned from all Gaming Activities. The 

Commission shall also have access to any other gaming-related information the 

Commission deems apprupriate. 

Upon request, the Commission shall be provided with copies of all documents, 

repoas, or other related paperwork produced in the operation of any Gaming 

Establishment or Gaming Operation. Such items shall be furnished to the 

Commission no later than one (1) weck after the request is made or no later than 

one (1) week after the items are produced. These items wiU include, but not be 

liited to, verifiable financial reports showing the revenues and expe'nses of the 

establishment, balance sheets, operation budgets and projections, towbus 

attendance and compensation, tan reporis, and all items completed for the NIGC 

or any other governmental agency. 
. . . . . . . . ~.. . . . . . . . . . 

. . 

. . 

.. . 

. . . . . . . 

be submitted to the 

..... . . ..... . ...~. . 

~. ~. . .... 

.. .. . ..... . ... ~ .. .. .. . . . . . . . . . . 

. ... . .. . . . .. 

. . 

(3) NO Person shdl fail to account my for monies received, ~Uected, or 

paid in Connection with Gaming Activities; .. .. .. . 

.. .. . . ..... . . . . . . . .. .. . 

. . . . . . . . 

.. .. .. . . ..... . . . . . , . 

. . , . . . . . 
(6) No Pmon shall engage in cheating in any Gaming Activity or in any 

Gaming Establishment: 

0) No Person, other than a law enforcement officer or security personnel, 

may enter or remain in a Gaming Establishment licensed under this 

GamiDg Ordinance while in the posession of a firearm; 

(8) No Pem shall violate any provision of this Gaming Ordinance or any 

order of the Tribal Gaming Commission; 

(9) Any Pmon who is in privity with a violator shall be deemed to be in 

violation of this Gaming Ordinance to the same extent as the violator, and 

shall be treated accordingly; 

(10) Any Primary Management Offcial is responsible to ensure that all Key 

Employees assisting in the operation of any Gaming Activity comply with 

this Gaming Ordinance: 

(11) No Person shall: 

(i) Use bogus, counterfeit or subdtute cards, or use any game cards 

that have bten tamped with; 

(ii) Employ or have on one's person any device to facilitate cheating in 

any Gaming Activity; 

(iii) Use any fraudulent scheme M technique, including when an 

operator or player Wtly or idhctly solicits, provides, or 

receives inside info- of the bestatus of a game for the benefit 

of either person; 

(iv) Cause, aid, abet or conspire to violate any provision of this 

Gaming Ordim or any rule adopted under this Gaming 

Mnance; and 

(v) Participate, either directly or indinclly, in any activity that would 

be considered cheating. 

(12) Alcoholic beverages shall not be possessed, sold, or offered for sale on the 

premises of any Gaming Establishment unless othenvii authorized by the 

Tribal Council; or 

(13) Except as permitted by the Commission, no Person shall possess. with the 

intent to use in connection with gaming, either individually, or in privity 

with others, any calculator, canpnm, or other electronic or mechanical 

device. to assist in projecting the outcome or odds of such gaming, to keep 

track of or analyze cads, or to change probabilities of any game or the 

playing strategies repularly utilized in such Gaming. 

@) The Commission shall have the authority to subject any Person committing an act 

or omission as prohibited here or elsewhere within this Gaming Ordinance to a 

penalty deemed appmpxiate by the Commission. 

CHAPTER N 

MANAGEMENT CONTRACIS 

0 20-4-1 munent htrpets Snbjxtto NIGC Approval 

(a) Ao~lication 

This secticn shall wly apply to Management Contracts that are subject to NIGC 

appmval under IGRA. 

Page 19 of 34 
No Management Contract, and no modifications, revision, or amendment fhe~&~, 

shall be binding npw the Tribe unless and until it is approved by the Tribal 

Ccmncil and the NIGC. 

Any Management Contract, including any modification, revision, or amendment 

therdo, shall satisfy the @merits of IGRA and any applicable NIGC 

regulat~ons and shall also include the following: 

(1) Compliance with Applicabk Law Required Any management contract 

shall pmvide that all Gaming Activities covered themder shall be 

conducted in accordance with this Title and all other applicable laws, 

regulations, amendments. pvisious, and eondihons. 

(2) Idernation of Duties rmd Responsibilities. Any management contract 

shall identify the duties and responsibilities of each party for eachthction 

as set forth in IGRA and any NICK! regulations. 

(3) Accounting. Any Management Contract shall provide for the 

establishment and maintmana of appmprhte accounting systems and 

pnxedurs.s that shall, at a minimum, permit tbe prepmation of financial 

statements in accordance with generally accepted accounting principles, 

are suscqtible to audit, and that pennit propa calculation of fees and 

expenses. 

(4) Repom. Any Management Contractor shall, at its own expense, be 

required to provide a monthly veriiiable fmcial report to the Tribal 

Council, tbe Commission, and if required by IGRA, the Secretmy of the 

Interior andlor NIGC. 

(5) Access. Any Management C!mhuctor shall be nqured to allow 

immediate access to the Gaming Operation and Gaming Estabhshments. 

including books and records,-to individuals designated by Tribal Council 

molution, the Commission, the Senetary of the Interior, andlor NIGC, for 

pqwes of ventying the daily gms revenues and income fmn any 

Gsming Activity and of verifying compliance with all applicable tdbal, 

federal and state law. 

(6) Gvarunfeed Minimum Poy~nr Any Management Contract shall provide 

for a miaimurn paanteed mdy payment to the Tribe in a sum cestain 

that has pferem over the retkmmt of any development and 

construction costs. 

(7) Dispurw, Any Management Contract shall include a mechanism to 

resolve disputes between the Trike and the Managesat Cwtracm. 

(8) Assi~fs and Subcontracts. llny Management Contract shall indicate 

that assignment of rights under a Management ConUact and 

subcontracting are not permitted unless approved by the Tribal Council, 

the Commission, and the PIIGC. 

(9) Ownership Infer&. Any change in the ownership interest in the 

Management Conuactor shall quire advance appmval of the 

Commission and the Tribal Council. 

(10) Prohibited Provisions. A Managemeat Contract shall not transfer or in 

any other manner convey any interest in the Tribe's lands unless 

. ... . . .... . ... Page 20 of 34 . .. . ~ 

. .. .. . ..... . ... .. . ~. . ~~ 
authorized by federal law and unless clearly specified in writing in said 

Management Contract. 

. . C-R V 

. . . .. . GENERAL LICENSE REQUIREMENTS AND RESTRICTIONS ..... .. . 

5 204-1 Requirement of a License 

The following Persons shall have a license issued by the Commission: 

(1) AU Primary Management Officials, Key Employees, and employees of 

any Gaming EstWshme~~t orGaming Operation shall obtain a gaming 

Iicense; 

(2) Fach Gaming Establishment shall obtain a facility license for each class of 

gaming played within the Gaming Establishment; 

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

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

exempt by the Commission; and 

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

order to effectively regulate Gaming Activities on the Tribe's Indian 

Lands shall obtain a license. 

@) Permissive 

A Principal or employee of a Gaming Vendor or Non-gaming Vendor may be 

required by the Commission to obtain a license. 

$3 20-5-2 Privilege; Conditions 

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

. . 

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

@) Applicants and licensees shall have a continuing duty to provide any materials, 

assistance or other information requid by the Commission, and to tiilly 

cooperate in any investigation conducted by or on behalf of the Commission. If 

any information provided on the application changes or becomes inaccurate in 

any way. the applicant or licensee shall promptly notify the Commission of such 

changes a inaccuracies. 

(c) Acceptance of a license by the licensee constitutes an agreement on the part of the 

licensee to be bound by the provisions of this Title, applicable laws, aud 

applicable rules and regulations as they are now, or as tbey may hereafter be 

amended or restated, and to cooperate fully with the Commission. 

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

Title and all other applicable laws. rules, regulations, amendments, provisions, 

andconditions, and ignorance thereof win not excuse violations. 

8 243-5-3 Licenses not Assignable or Transferable 

(a) A gaming license may not be assigned or transferred to another Person, except 

that the Commission may approve a transfer of a gaming license so that a licensee 

may transfer his or her employment to another Gaming Establishment or a 

Gaming Operation or to another type of Gaming Activity (Class 4 Class III, or 

both) without reapplying for a garmng license. 

Page 21 of 34 
. - . .~ ~ 

....... ....... ....... ....... ...... ........ . . . . . . . . ........ ....... ~.. ~ .~.. ..~. ...... ...... ...... ........ ....... ........ ...... ....... ~~ ~ . . ......... . .~ . ..... ...... ..... :';i?:i~ .... >.u~~--'- .. ' ~' 

. . Fdlty licenses and Gaming and Non-gaming Vendor licenses may no ....... ::: ..~.. : assignedortran . . ~. ~ ~ 

... 

....... :: ..... P -$.G;; Lieeass P= ..-.+ I.' I:: - ' 

....... 

..... 

. . ........ (a) Annual license fees shall he impd in accndaaco with a fee Wt k be 

established by the Commission. ....... .... . . ........ 

. . ..~~ ..... ..... .... ..... ...... ....... @) In addition to the license feesimposed pursuant to suwm (a), the &mion: :I ..... 

..... ........ -- ~. . . . : mayimpascsucbfeeFon~as~~leasonablyrel~tocostsef. ..... .. ..... ... . ~ .-.... .-..... ... . ....... ....enfomement, induding investigations a@ proeecdings before the ion, 

. (0 ;1- .?~,~hr.. ..~ .. and which will in the aggregate be sufficient to tole the Tribe and tbe .... 

: :p:-;>$.!.. ~.,*. .-, Commission to recorn its nawrnable costs of enforcing this Title. Such qstq . . .. . . ~. . ........ . may be estimated by the Commission and imps& prior to a ha1 Commission ..... ..... . ~ ...... action regarding a particular licensee or app~mt . . ....... . ~. '' .,. . . - ., . :<; !::., . .?,;I,$ ~ 5~: .... ..... . .~. - - - ic) - - - The amount of &:.f;es at any '- be inereaped by the Commhion, ...... 

....... 

..... provided, however, that niy:s+h in- shall not he retroactive. . . 

........ .... 

$2054 CredItsorRefunds ~. 

~..~ ' ... 

. . ~ny li&m paying a penalty for late ~g:or failing to file a rcpott for which there is an .. acceptable explanation mpy petition the Commksi0n h credit or rdund. The petition shall he :: 

6lcd within thirty (30) days after tbe petitioner hew or should have known that fhe payment was 

excusable, but not more tha&six (6) months rfterpayment in any case. . . 
Retention of Licensing Records 

Any reports obtained from fingerprint processing shall be incorporated into the 

applicant's license file. 

All Liceox applications, applications fa employment, backgound investigations, 

if applicable. and any related mattm shall be relained by the Commission for the 

following periods oftime: 

1 For recads relative to Primary Management Officials, Key Employees, 

and employees of the Gaming Establishments and Gaming %ration, no 

.. less tban three (3) years after the employment relationship with the .. Gaming Bstablishment a Gaming Opeation is terminated; 

(2) For records relative to Gaming Establishments, no less than three (3) years 

after the Gaming Establishment is no longer in operation; and 

(3) For records relative to Gaming Vendors and Non-Gaming Vendors, no 

less than three (3) yeam after the contrachlal relationship is terminated. 

All rsords for employees of Primary Management Officials and Key fimployees 

shaU be available fm inspeaion by the NIGC pnrsuant to lawfd requests 

submitted to the'Commission. 

CHAPFER VI 

GAMMG LICENSES FOR EMPLOYEES 

Standard for Issuing a Gaming Liaense 

General Reauirements 

The Commission may not issue a gaming license to any Person who, based on 

reliable information, the Commission determines in its sole discretion: 

(1) Has provided materially false or misleading statements to the Commission 

andlor the NIGC, or bas omitted material information from his or her 

application, or has refused to respond to all requests of the Commission 

and/or the NUjC fa information wnceming the applicant's background 

and activities: 

(2) Has been convicted (either by plea or by verdict) a has entered a plea of 

nolo contendere to any felony, any gaming offense, or any misdemeanor 

involving tbeff or wnversion of pmperty, where such conviction or plea, 

in the sole discretion of the Commission, jeop&s the integrity of the 

Tribe's Gaming Activities: 

(3) Is a Person whose prior activities, criminal record, if any, and reputation, 

habrts and associations (both business and personal) pose a threat to the 

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

enhance the dangers of unsuitable, unfair, or illcgal practices, methods, 

and activities in the conduct of Gaming Activities or the business and 

financial arrangements incidental to the conduct of Gaming Operations 

and Establishmmts; m 

(4) Hs attempted to interfere or to influencc, andfor bas interfered and/or 

influenced, unduly for gain or advantage, any decision or process of the 

Commission or the Tribe relating to gsming. Undue influence means the 

use of bribery, blackmail, intimidation, threats of violence, or other 

improper means to influence govanmental actions of the Tribe. Nothing 

in this section shall be in-ted as preventing a Person from expressing 

his or her opinims and consulting with members of the Tribe's 

Page 23 of 34 
government, or frmn responding to inqugics or requests from the 

Commission or the Tribal Council. 

(h) Primanr Management Officials and Kev Emnlovecs 

The Commission may not issue a gaming license m any Primary Management 

Official a Key Employee who, based on reliable information, the Commission 

determines in its sole discretion: 

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

(2) Has a direct or indirect financial interest in any Gaming Ertahlishment or 

the Gaming Operation, other than his or her share of any per capita 

payment or any employment compensation; or 

(3) Has been convicted of a felony, embwzlemcnt. thck or any othr moneyrelated or honesty-relaled crime (such as fraud). 

8 28-6-2 AppUuUm for Gaming License 

AU Rimary Management Ofticisls, Key Employees. and other employees of any Gamine 

~stablishm&t or ~amio~ Opcrahon shali submit a complctcd application. which shill indicate 

the twc of Gamine Activity (Class IL Class UL or both) for which ihc license is soueht. and Ule -. 

appl&ion shall include, but hot be limited to, the follo&ing: 

(a) Full name, other names used (oral or written), date and place of birth, gender, 

citizenship, social security number@), all 1anguage.s either spoken or written, and 

current business and residence telephone numbers; 

@) Currently and for the previous five (51 yw, busioess and employment positions 

held, ownership interests in those businesses, business and residence adhes, 

and drivers license numbers, 

(c) The names and cumnt addresses of at least thne personal refemmes, including 

one personal reference who was acquainted with the applicant during each period 

of residence listed under subsection @) above; 

(d) A description of any previws or existing business relationship with any Indian 

tribe, including ownership interests in those businesses; 

(e) A description of any previous or existing business relationship with the gaming 

industry in general, including ownershipintensts in those businesses; 

(fJ The name and address of any licensing or replatory 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; 

(g) The name and address of any licensing or regulatory agency with which the 

puson has tiled an application fa an occupational license or permit, whetha or 

not such license or permit was granted, 

(h) For each felony for which there is an ongoing prosecution or a conviction, the 

charge, the name and address of the c5urt involved, and the date and disposition if 

any; 

(i) Fa each misdemeanor convictim or ongoing misdemeanor prosecution 

~. (excluding Minor Trafffc Violations) within ten (10) years of the date of . .. ~~ . application, the huge, the name and address of the court involved, and the date 

. . . ~ ~ and disposition if any; 

(1) For each criminal charge (excluding Minor Trafic Violations), whether or not 

there is a conviction, if such criminal charge is within ten (10) years of the date of 

the application and is not otherwise listed pursuant to subsectious (h) or (i), the .. . 
criminal charge, the name and address of the court involved, and the date and 

disposition if any; 

(k) A photograph taken within the lo; 

(1) Tbe name of the Gaming Establishment or Gaming Operation when the applicant 

will be employed; 

(m) Any othm information the Commission deems relevant; 

(n) Fingerprints taken by the Commission that are consistent with 25 C.F.R. 

$522.2(h); 

(0) The Privacy Act notice required by 25 C.F.R. 8556.2(a) and the notices 

concerning false statements required by 25 C.F.R. 0556.3(a); and 

@) An agreement by the applicant to abide by all wnditions of the license; all 

applicable -ts of IGRA, this Title, and any Compact or Secrewial 

Procedures; and any other applicable laws or regulations. 

0 20-6-3 Previous Applicntioas Submitted Without Notices 

If the notices required in 520-6-2(0) do not appear on the most current awlication. the 

Commission shall botify the Rimary ~anagement-dfficial, Key Employee, or ot& employ& in 

writing that he or sbe shall either: 

(a) Complete a new application fom that contains a Privacy Act notice and the notice 

regarding false statements; or 

(b) Sign a statement that contains the Privacy Act notice, consent to the routine uses 

described in that notice, and sign a statement that contains the notice mgarding 

false statements. 

8 204-4 Withdrawal ofG.ming Ucem Application 

An application may not be withdrawn without the pempission of the Commission a by a duly 

anthorized person a agent of the Commission. An applicant may request to withdraw an 

application by submitting to the Commission a written request for w~thdrawal Tbe Commission 

retains the righf in its sole discretion. to grant or deny a requnt. 

Each applicant who is a Primary Management or Key Employee shall be reqd to 

. . . . . provide a financial. statement in the form adopted by the Commission, which shall include the ... . . . . .. . ... . . .. .. . applicant's inwme for the previous five (5) years and sources of that inwme, as well as all assets . . . . . . and debts of the applicant at the time of the application. The financial statement, if required, 

shall include copies of all federal income tax reNns filed by the applicant during the pmvious 

five (5) years. 

Once the application described in $20-6-2 is submitted, the Commission shall proceed as 

follows: 

(a) FineeminQ 

(1) Pursuant to 25 C.F.R. 8 522.2&), the Commission shall forward an 

applicant's fmgerphts to the NIGC to be processed by the Federal 

Burcan of Investigation's National Cdminal Information Cenw for a 

criminal history check. 
(2) The Commission may submit an applicant's fingerprints to any additional 

Tribal, local or state criminal history check system or center as the 

Commission deems necessary or appropriate. 

The Commission's staff shall conduct a backgmund investigation on each 

applicant sufficient to allow the Commission to make an eligib'ity determination 

under 5 ZQ-7-1 of this Title. The pfomance. of backgmd investigations and 

the issuance of gaming licenses shall be in acoordance with requirements at least 

as stringent as 25 C.F.R. Parts 556 and 558. As part of the Commission 

background investigation, desi of the Commission shaU, among other 

things: 

(1) Verify the applicant's identity through items such as a social security card, 

driver's license, bi certificate, or passport; 

(2) Contact each personal and business refmce provided in the application, 

when possible; 

(3) Conduct a civil history check; 

(4) Conduct a criminal history check via the submission of the applicant's 

fingetprints to the NIGC, and further obtain information from the 

appropriate court regarding past felony. misdemc~wr convictions, andlor 

criminal charges within the last ten years; 

(5) Inquire into any previous or existing business relationships with the 

gaming industry and Indian tribes by contacting the entities or tribes; 

(6) Verify the applicant's history and stabls with any licensing agency by 

contacting the agency; 

(7) Take other appropriate steps to verify the muracy of the information, 

focusing on problem areas noted, and 

(8) In conducting a backgmund investigation, the Commission shall promise 

W keep confidential the identity of each person intemiewed in the course 

of the investigation. 

Investiaative Rewrt 

The Commission's staff shall create and maintain an investigative report on each 

applicant containing the steps taken in conducting the background investigation, 

the mults obtained, the conclusions reached and the bases for those conclusions. 

The investigative report shall also contain a recammendation to the Commission's 

Adminishator as to whether the applicant meets the requirements of 520-6-1 of 

this Title. Based upon the investigative report, the Commission's Administrator 

may either grant a license to the applicant or deny the license application. 

Notice of Results 

Before issuing a license to a Primary Management Official or Key Employee, the 

Commission shall submit a notice. of results of the applicant's background 

investigation to the NIGC no later than sixty (60) days aft& thc applicant-begins 

work. The notice of mule shall contain the following information: 

(1) Applicant's name, date of bi& and social security number, 

(2) Date on which the applicant began or will begin work as a Key Employee 

or Primary Management Official, 

(3) A summary of the information presented in the investigative report, which 

Page 26 of 34 
. . 

shall include a listing of: 

(i) Licenses that have previously been denied; 

(i) Gaming licenses that have been revoked, even if subsequently 

reinstated; 

(iii) Evay known criminal charge brought against the applicant within 

Ule last ten (10) years of the date of application; and 

(iv) Every felony of which the applicant has been convicted a any 

ongoing pmecution. 

(4) A copy of the eligibility detemhation made under 5 206-1 of this Title. 

(I) Key Employees and Primary Management Wcials. Aftu the 

Commission has provided a notice of results to the NIGC, it may issue a 

gaming license to any Key Employee or Primary Management Official. 

After the Commission has issued a gaming license, it shall notify the 

NIGC of the issuance within thirty (30) days of issuing tbe license. 

(i) If, within the thuty (30) day period after the NIGC rece~vcs a 

complete notice of rewits fa a Key Employee or Primary 

Management Official, the MGC provides the tribe with a 

statement itemizing objections to the issuance of a license to that 

Key Employee or Rimary Managemeat Wial applicant, the 

Comnussion shall reconsider the application, taking into account 

the objections itemized by the NIGC The Commission shall make 

the fmal decision whether to issue a license to such applicant If 

the Commission issued a license before receiving the NIGC's 

statement of objections, notice and hearing shall be provided to the 

licensee as provided by 25 C.E.R. g 558.4. 

(ii) No Gaming Establishment or Gaming Operation shall employ or 

continue to employ a Key Employee a Primary Management 

Official who does not have a gaming license within (90) days of 

beginning work. 

(iii) If a eibe dues not license an applicant, the Chmission shall notify 

the NIGC; and the Commission shall forward copies of its 

eligibility ddennination and notice of results to the- NIGC for 

inclusion in the Indim Gaming Individuals Record Syrem. 

(2) Other Employees. If the applicant is not a Key Employee or a F'rimary 

Management Offcial and is approved for a gaming license, a gaming 

license shall be issued. 

(0 Denials 

If the applicant is denied a gaming license, both the applicant and the NIGC shall 

be notitied by the Commission that the application has been denied. Notification 

to both paaies shall take the form of a written letter summarizing the basic steps 

taken and where appropriate, a stltement as to the nasons(s) why the application 

was denied. Any temporary license or provisional employment shall be 

terminated 

(g) License a Reauirement of Emnlovment 

Page 27 of 34 
Unless written authorization is made by the Commission, no Gaming 

Establishment or Gaming Opnation shall employ a person who does not have a 

permanent license after ninety (90) daysof hire. 

1 All PrimaF/ Mawgeraent Officials, Key Employees, and other employees of the Gaming 

I ~stablishmnt or Gaming Operation must wear his or her gaming lice& at all ti- whilc in a 

Gaming Establishment or Gaming Operation so that it can be easily viewed by others. 

I 5 20-7-1 Stsadud for Issuing a Fadlity Lioense 

(a) ~ ~ 

The Commission shall issue a separaSe license for cach type of Gaming Activity . ~ (Class ll or Class Dl) to each pla., fgility, or location on Indian lands where the 

Tribe elects to allow Gaming ~ctivities, and shall do so according to nqtunmcnts 

at last as shinmnt - as those mntaincd in 25 C.F.R. 8559. The Commission shall 

issue a facility license only if the place, facility, or lo&on: 

(1) Is a sound physical structure with adequate and safe plumbing, electrical, 

beating and cooling and ventilation systems in place and operational; 

(2) Ha been inspected and approved for safety by a building and fire 

inspector designated by the Commission; 

(3) b adequate in all respects to acwmmcdate the Gaming and non-Gaming 

Activities intended to be carried on within the stmclure: 

~.. . ~.. .. . . (4) Is equipped with security and surveillance equipment meeting or . ..... 

.. . .. exceeding provision8 sat fath in re.gulations established by the . ...~ ~~~ Commission; 1 (5) Meets all quiments of applicable tribal and federal laws; and 

1 (6) Has paid all applicable licmse fees and costs. 

@) Violations of any provision of this Title, applicable rules and regulations, or 

relevant license provisions by a licensee deemed contrary to the public health, 

safety, morals, good order and general welfare of the Tribe and its members shall 

be deemed grounds for denying a facility license or suspension or revocation of a 

license. 

1 0 20-7-2 Applicution for a Facility License . . .... 

(a) All Gaming Establ&hments shall submit a completed application, which shall 

~.~ . indicate the type of Gaming Activity (Class It, Class III, or both) for which the ~ ~~~ . ~ ~.~.. ~ ~~~ ~ .. ~~ ~~ 

license is sought and the application shall include, but not be limited to, the 

~ ~ 

~~ . following: . . ~ .. 

~.. (1) The nar&e, physical addn:ss, and telephone number of the Gaming 

Establishmmr 

t (2) A complete hription of the pnmises at which gaming will be - .~ ~. . . . ~ conduct;d; 

~ ~ 

(3) An agreement by the Gaming Establishment to abide by all conditions of ~. 

. ~~ the license, this Title and any other applicable laws or regulations; and 

(4) Such other information and details as the Commission may require in 

order to properly discharge its duties. 

Page 28 of 34 
(b) AU applications shall be signed by an authorized Garmng Board member if the 

applicant is a Tribal Gaming Establishment. 

0 20-7-3 Mition of a New FacMy 

No later than 150 days before the opening of any new Gaming Wlishment, notice shall be 

submitted to the Commission. The notice shall contam: 

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

located, 

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

located, and 

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

located. 

5 20-7-4 Displaying FaciUty License 

Any facility license issued must be displayed by the licensee in a conspicuous public place 

within the Gaming Establishment so that it may be viewed by patrons. 

cmmmvm 

VENDOR LICENSES 

$3 M-8-1 Standard for Vendor Licensing 

No gaming license shall be issued to any applicant under this section who is determined by the 

Comolission to be a Person whose prior activities, criminal reun'd, if any, and reputation, habits 

and associations @otb business and personal) pose a threat to the public interest or to the 

effecrive regulation of gaming, or create or enhance the dangers of unsuitable, unfair, or illegal 

practices, methods, and activities in the wnduct of Gaming Activities or the business and 

financial arrangements incidental to the conduct of Gaming Operations and Establishments. 

B 20-8-2 Vendor Applicatiow 

(a) All Gaming Vendors and Non-Gaming Vendors shall submit a completed 

application, which shall include, but not be limited to, the following: 

(1) The name of the entity, the type of business organization (partnership, 

corporation, limited liability company), the physical address and phone 

number: 

(2) The names of all Principals; 

(3) A description of any previous or existing gaming or business relationship 

with any Indian hibe, including ownership interests in those bosinesses; 

(4) A demiption of any previous or existing business relationship with the 

gaming industry in general, including ownership interests in those 

businesses: 

(5) The name and address of any licensing or regulatory agency with which 

the Gaming Vendor or Non-Gaming Vendor has tiled an application for a 

license or permit related to gaming, whether or not such license or permit 

was granted; 

(6) The name and address of any licensing or regulatory agency with which 

the person has tled an application for an occupational license or permit, 

whether or not such license or pennit was granted,. 

Page 29 of 34 
...... 

............. .......... 

. . ... ....... ... ..... . . 

~ .. ... .. ~ 

... ....... .... (7) . : Ageem~~t by the spp@wtf to abide by @ opndiams of the license, this .. 

: :: ! ' .<?. ..... ....... 

. ........ . Title and my otha applioable laws or rr:guMom; and ..... ..... 

. . 

... 

.~ . (8) Sucb other Wonnation and details as .th Commission -may quire in 

order to propcrly discharge its duties. . . 

~. . ., . . - ? , :: 

.... (b) AUappli&onsshallbcsiguedbY~: ..:. . ... . ...... 

...... 

..... 

. . . 1 .TheaWlicantiftheheapplioantisa.nahlralpc~;. r.i (I .. ... ..... ..... ....... .... ....... 

....... 

- 

. . L--~2.:~-- - .......... (2) By a member or of the applicant if. the applicam b an ..... . . ...... >I . .:..... ...*. . unincorporated assouaton or parmarship; or - . ~ . 

. . ........ ...... ..... 

....... (3) By an executive officCrif the appli~~llt is a caporation or by some other ........ , ~. .; : ...,. individual spedtlcally ,uut!mked by the :cotpation to sign the ..... ..... appli*, in which evidmce of mthaity to bind tbe ....... 

....... 

....... aoolicaot shall be attached. . . . . . . .......... ....... . . ,.,, . .~. .- . . ..... 

........ 

....... 

....... If any change is made in that aut@ority, beforr: or ri& a license is issued, tbe ~. 

... , , *,.; _:-: ,-. CommWOn shall be immediate1 ...... y informed in ardting. Until infodon is ...... 

....... 

..... filed with fbe,:Qmmhion, any actioo of or commitm&t made by the ... ......... vntative shall bc binding upon the applicmt. ....... ...... 

..... ....... 

..... ....... ...... . .~. ~ ~. ....... .Ti.$ %qT*&: :. ....... ....... ..... ....... ....... ....... . . . . . . .......... : . :p: ;.p>: :..wfl&p .......... ........ ....... . . ........ ....... ....... ....... ..... ..... ..... ..... ....... ....... ...... ....... ....... ....... ....... ....... ...... ....... . . . . -: s&:<. .r:i .+;&/r:-- .......... i&:;&t% ': .......... ti8 :x 2 .......... .......... ...... ...... ....... ..... ........ .... ..... ..... ..... ..... ....... ...... ....... ....... ....... ....... ....... ........ ....... ....... 

....... ....... . .- . . , , . r. , 1 . ., .! , . ! : .. 2.2 ! 2: 7 z. ? ' : :j ............ , .......... ........... .......... . . 

=;, ; ,, .: ,..,,,, ,; . .:" :::m: - --; t. ,:P+.-Y.~~ 8, - il- . : -'LI .* . FTF-:~~. . . 7(i&'k~.BCi.:-+s.. ... ....... ............ s: .. , :,, ~. : <. ;$~ .,, $;:.,:fi.;,:+> :;< . b*$.+q ?~:*.:.q.,@ b. - ..~<.*,. ,&+i,,d:b&:>*3%:~;l ... ,,,. 

?i. . .............. ..:< .....;l * .. ........j.... . . .. ..' . A. .' ?;. , ..c >.?., ... .&,, ::: 1%. 82. :.v e~~.~'f;~~~~i:&.~ ..$>>: C.? ..... ..... ........ 

....... . , . . : 4 j . rrG;-rr,- x2.+ x&. iiLm .tiCs:.&-~Z&u, &-A?* . . . . ........ ,G$~~*. ,".$. >: &s‘7.,JF...~, .-c.<:.&,..., .....>. . ,r,dj t*:::,..: :~3i~zm',.*~~‘~*;v j.::4%?3., .. ...... ..... ... ..... . .,. . ....... ....... ........ ....... ....... ....... ....... ....... ....... ......... ~. ...... ;A&$& ,&+ . . .. , . .......... .......... ..... ....... ....... ...... c:..&lns.$~ ..... .... ..... ..... ..... 

....... ....... ....... ....... ....... ....... ....... ....... ....... ....... ....... ........ ....... .... ....... 

. . . , .::. js~l. ,;.,i;$ , j;!.: : m7~.~.$..:~:+..~?.~~t~~. x,miii~.y@..y! .: ....... .......... ....... ... .... .. .... ,' .;,, , : .. ... ... i;Y:,. : ........... ..... ....... .... .. .... ....... 

....... ,. ........ ....... ....... ... 
O 20-8-3 Withdrawal oi AppUcatIw by Vendor 

An application may not be withdrawn without the. permission of the Commission a by a duly 

authoriwl person or agent of the Commission. A vendor may request to withdraw an 

application by submitting to the Commission a written request for withdrawal. The Commission 

retains tbe right, in its sole discretion, to grant or deny a request. 

(a) Background investigations may bc conducted by the Commission staff on Gaming 

Vendors, Non-gaming Vendors, and Principals and employees of Gaming 

Vendors and Non-gaming Vendors. 

@) Bwkgxouud investigations shall be conducted in a manner which takes all 

reasonable steps to ensure the confidentiality of the information generated by the 

investigation, including the identity of each person interviewed in the course of 

the investigation, as well as the infonuation submitted by the applicant. 

AU Licenses issued to RincipaIs and employees of Gaming and Non-gaming Vendors must be 

wom by the licensee at all times while present in the Gaming Establishment or Gaming 

Operation so that it is easily viewed. 

CHAPTER M 

COMPACT OR SECRETARIAL PROCEDURES 

4 20.9-1 Compset wfth the State of Alabama or Seeret.rid Pmdures 

Notwithstanding any provision in this Title or the rules and regulations pmmulgated by the 

Commission, the Commission is hereby dimaad to comply with the provisions of a Compact or 

Secretarial Procednres, including. but not limited to. any Lieensing, approval, or monitoring 

requirements contained in a Compact or Secretarial Pmcedures. 

Notwithstanding any provision iu this Title M the ~les and regulations promulgated by the 

Commission, the Commission is hereby fully empowered to comply with all assessments 

authorized by the NIGC. Such assessments shall be payable solely fmm finds of Gaming 

Operation revenue as an operating expense. 

Notwithstanding any provision in this Title or the rules and regulations promulgated by the 

Commission, the Commission is hereby filly empowcred and reqnired to comply with all 

regulations promulgated by the NIGC, including, but not limited to, reporting requhneuts 

relating to ordinances, contra% license applications, background checks, and other information. 

AU mattns and occurrences contrary to this Title or rules and regulations pmmnlgated by the 

Commission which are not covered under a criminal code shall be deemed to be a civil violation. 

O 20-10.2 Civil Sanctions and Penalt*s 

(a) Twes of Penalities 

Page 31 of 34 
Based on the severity of the civil violation, the Commission shpU determine what 

sanctions andlor penalties it believes are wananted, including, but not limited to, 

the following: 

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

(2) Impose a civil penalty. If such violation is a continuing one, each day of 

such violation may be ded a separate offense; 

(3) Require that the Gaming Establishment ban the Person; 

(4) Request that the Person be pmwent expelled from Indian Lands m 

accordance with the provisions in tribal law; andlor 

(5) Any other sPnctian andlor penalty the Commission deems necessary to 

capy out the purposes of this Titlo; however, the sanction andlor penalty 

may not violate any applicable. laws. 

Sus~ension and Revocation of Licenses 

(1) If, aftu issuance of any license, the Commission &ves reliable 

infomation indicating that a Permri does not meet the eligibility criteria of 

such license, the Commission shall immediately suspend such license and 

shall notify the licensee in writing of the suspension and the propoeed 

revcation. 

(2) Before a license can he permanently revoked, a hemkg must be held. The 

Commission shall notify the licensee of a time and place fm a hearing on - the propped revocation. 

(3) After the re.vocation hearing, the Commission shall decide wbethe~ to 

revoke or to Ieinstate the gaming license. 

(4) The sam for revoc~tion shall he followed if such infarmation 

regard~ng ineligibility is nceived initially by the NIGC. For any Wmary 

Management Ofticid or Key Employee. the Commission shall notify the 

NIGC of its decision whethu to revoke or to reinstate the gaming license 

within 45 days of miving such information from the NIGC. 

Any actlon or decislon taken without a hearbq by the Commission may be 

appealed by any Person aggrieved by a decision made or action taken by tiling a 

petition no later than thirty (30) days after the petitloner knew or should have 

known of the decision or action. The Commission shall grant a prompt hearing 

upon receiving such a petition and shall msider its dewsion or action in light 

of evidence and argument presented at a he-g. 

All license hearings and enfowment hcadngs shall be conducted by rules and 

regulations established by the Commission. Fbthemore, the Commission shall 

comply with any heating pmxdures andlor requbments W foah in a Class Ill 

Compact or Secmmial Proadures. 

In all cases, the licensee or respondent shall, at a minimum, be provided with 

notice of the proceeding, an oppommity to be present and an oppormnrty to 

present evidence to the Commission and coht and clossexamine witnesses. 

Any dispute resulting from a decision of the Commission may be appealed to the 

Tribal Court within fourteen (14) days after notification of the Commission's 

decision is Mved. The decision of the Commission shall be upheld unless it a 

arbitrary and capricious, an abuse of discretion. not supported by substantial 

Page 32 of 34 
evidence or unanthodzed by law; provided that there shall be de novo review on 

all questions of law. 

P 20-10-4 Enforcernut Adlm in Trlbal Court 

(a) The Commission may bring an action in the Tribal Cwa to enforce a civil 

sanction and/or penalty issued by requesting an order: 

(1) To seize any Gaming Devices, proceeds or other property of a licensee 

connected with the Gaming Activities engaged in by the licensee; 

(2) To garnish any wages or payments fmm the Tribe to collect any unpaid 

fees, interest, or penalties; 

(3) To execute on any nonexempt propeay of a Person located within the 

boundaries of Indian Lands; and/or 

(4) For any other action deemed necessary or appropriate. 

(b) The Tribal Court shall have jurisdiction over any action brought by the 

commission to the fullest extent permitted by law and shall have the authority to 

enforce any and all penalties andlor sanctions provided for within this Title and 

elsewhere. 

0 20-10-5 Ex Me Communications 

(a) Neither the licensee nor any witnesses shall have any oral or written 

commdcation regarding any matter before the Commission with the 

Commissioners. Any such communication shall be reported in writing to the 

Commission staff who, in turn, will rcpotl the communication to the 0th 

members of the Commission, so that necessary and appropriate measures may be 

taken, including, but not limited to. disqualification from paRicipation in the 

p-gs. 

@) Nothing in this section shall prohibit the applicant, licensee or its authorized agent 

tiurn communicating with the Commission's legal counsel, its investigators, or 

ok authorized agents. 

(c) The Commission shall have the power to impose any sanction pursuant to this 

Chapter upon its determination that a licensce has made an ex patte 

communication in violation of this Section. 

B ZQ-10-6 Comity and Canfurrent J~ldion 

The Commission is empowered to seek comity and enforcement of the orders of the Commission 

by the corn of any other jurisdiction whme assistance may be nquind to give effect to the 

orders of the Commission. The Commission is also empowered to issue orders to enforce the 

lawful orders of other gaming quhtory agencies and the courts of foreign jurisdiction. 

I. the Chairman of the Pomh Band of Creek Indians, hereby affu my signature to the ordinance 

authoriz~ng it to become oficial this IS* day of July, 2013. 

Buford L Rolin. Chairman 

Poarch Band of &k ~ndians 

Page 33 of 34 
~~ 

. .~. ~ 

..... CERTIFI ....... 

. ~~ ~ 

CATION 

I, the Secretary of the Pmh Band of Creek Indians, certify that the foregoing is a true exat 

tiom the minutes of the Tribal Council meeting of the Poarch Band of Creek Indians, mmprised 

..... of nine rnembem with 6 in attendance on the larn day of July, 2013, and that the abovc is .~~ ~ .. ....... 

~ ~. . in conformity with the provisions the& adopted by a vote of 6 in favor, and 0 . - -- -agaiust, 0 abstentions. 

Pmh Band of CreeL India& 

Page 34 of 34